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Federal Register / Vol. 65, No. 210 / Monday, October 30, 2000

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Contents Federal Register

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Vol. 65, No. 210

Monday, October 30, 2000

Agricultural Marketing ServiceNOTICESAgency information collection activities:

Proposed collection; comment request, 64656–64657Meetings:

National Organic Standards Board, 64657–64658

Agriculture DepartmentSee Agricultural Marketing ServiceSee Commodity Credit CorporationSee Farm Service AgencySee Food and Nutrition ServiceSee Forest ServiceSee Natural Resources Conservation ServiceSee Rural Business-Cooperative ServiceSee Rural Utilities Service

Air Force DepartmentRULESSales and services:

Visual information documentation program, 64620–64622Visual information materials; release, dissemination, and

sale, 64619–64620

Chemical Safety and Hazard Investigation BoardNOTICESMeetings; Sunshine Act, 64661

Children and Families AdministrationNOTICESGrants and cooperative agreements; availability, etc.:

Native American language projects, 64702

Commerce DepartmentSee Export Administration BureauSee International Trade AdministrationSee National Oceanic and Atmospheric AdministrationSee National Telecommunications and Information

Administration

Commodity Credit CorporationRULESLoan and purchase programs:

Peanuts, 64594–64596Tobacco, 64589–64594

Commodity Futures Trading CommissionNOTICESMeetings; Sunshine Act, 64687–64688

Copyright Office, Library of CongressRULESCopyright office and procedures, etc.:

Cable statutory license; royalty rates adjustment, 64622–64623

Defense DepartmentSee Air Force DepartmentNOTICESAgency information collection activities:

Proposed collection; comment request, 64688–64690Submission for OMB review; comment request, 64688–

64689

Education DepartmentNOTICESAgency information collection activities:

Proposed collection; comment request, 64690–64691

Energy DepartmentSee Energy Information AdministrationSee Federal Energy Regulatory CommissionNOTICESMeetings:

Environmental Management Site-Specific AdvisoryBoard—

Los Alamos, NM, 64691

Energy Information AdministrationNOTICESAgency information collection activities:


Environmental Protection AgencyRULESSuperfund program:

National oil and hazardous substances contingencyplan—

National priorities list update, 64623–64624PROPOSED RULESAir quality implementation plans:

Preparation, adoption, and submittal—Motor vehicle inspection/maintenance program

requirements; onboard diagnostic check, 64648–64649

NOTICESMeetings:

Methylmercury; peer review workshop, 64702–64703Water pollution control:

National pollutant discharge elimination system(NPDES)—

Storm water multi-sector general permit for industrialactivities, 64745–64880

Executive Office of the PresidentSee Trade Representative, Office of United States

Export Administration BureauNOTICESMeetings:

Information Systems Technical Advisory Committee,64661

Export-Import BankNOTICESMeetings:

Sub-Saharan Africa Advisory Committee, 64703

Farm Service AgencyRULESFarm marketing quotas, acreage allotments, and production

adjustments:Peanuts, 64594–64596Tobacco, 64589–64594

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IV Federal Register / Vol. 65, No. 210 / Monday, October 30, 2000 / Contents

Federal Aviation AdministrationRULESAirworthiness directives:

Pratt & Whitney, 64597–64601Raytheon, 64602–64604Short Brothers, 64601–64602

PROPOSED RULESAirworthiness directives:

British Aerospace, 64629–64640Cessna, 64640–64642Construcciones Aeronauticas, S.A., 64634–64636Dassault, 64636–64638Israel Aircraft Industries, Ltd., 64631–64632

Class B airspace, 64642–64643NOTICESAdvisory circulars; availability, etc.:

Sustained engine imbalance, 64738Passenger facility charges; applications, etc.:

San Angelo, TX, et al., 64738–64739

Federal Communications CommissionRULESRadio stations; table of assignments:

Texas and Oklahoma, 64624NOTICESRulemaking proceedings; petitions filed, granted, denied,

etc., 64703–64704

Federal Energy Regulatory CommissionNOTICESElectric rate and corporate regulation filings:

Dynegy Midwest Generation, Inc., et al., 64697–64698Oregon Trail Electric Consumers Cooperative, Inc., et al.,

64698–64701Environmental statements; availability, etc.:

Reynolds Creek Hydroelectric Project; Haida Corporation,Hydaburg, AK, 64701

Hydroelectric applications, 64701–64702Meetings; Sunshine Act, 64702Applications, hearings, determinations, etc.:

Arizona Public Service Co., 64693Avista Corp. et al., 64693Central Power & Light Co., 64693–64694Mirabito Gas & Electric, Inc., 64694Northern Natural Gas Co., 64694Ocean State Power and Ocean State Power II, 64695Reliant Energy Mid-Atlantic Power Holdings, LLC, 64695Rochester Gas & Electric Corp., 64695Sempra Energy Solutions, 64695–64696Southwest Power Pool, Inc., 64696Texas Gas Transmission Corp., 64702West Georgia Generating Co., L.P., 64696–64697Williams Gas Pipelines Central, Inc., 64702

Federal Highway AdministrationNOTICESAgency information collection activities:

Proposed collection; comment request, 64739–64740Environmental statements; availability, etc.:

Sonoma County, CA, 64740

Federal Housing Enterprise Oversight OfficeNOTICESFederal National Mortgage Association (Fannie Mae) and

Federal Home Loan Mortgage Corporation (FreddieMac); systemic risk; comment request, 64718–64720

Federal Maritime CommissionNOTICESInvestigations, hearings, petitions, etc.:

China National Foreign Trade Transportation (Group)Corp., 64704

Federal Reserve SystemNOTICESBanks and bank holding companies:

Change in bank control, 64704Formations, acquisitions, and mergers, 64704–64705

Fish and Wildlife ServicePROPOSED RULESEndangered and threatened species:

Nesogenes rotensis, etc. (three plants from MarianaIslands and Guam), 64649–64650

Migratory bird hunting:Tungsten-nickel-iron shot approval as nontoxic for

waterfowl and coots hunting, 64650–64654

Food and Drug AdministrationRULESFood additives:

Polydextrose, 64604–64605Food for human consumption:

Irradiation in production, processing, and handling offood—

Seeds for sprouting; safe use of ionizing radiation formicrobial pathogens, 64605–64607

Human drugs and biological products:Postmarketing studies; status reports, 64607–64619

Medical devices:Gastroenterology and urology devices—

Implanted mechanical/hydraulic urinary continencedevice; correction, 64619

NOTICESAgency information collection activities:

Submission for OMB review; comment request, 64716–64717

Food and Nutrition ServiceRULESFood stamp program:

Personal Responsibility and Work OpportunityReconciliation Act of 1996; implementation—

Non-discretionary provisions, 64581–64589

Forest ServiceNOTICESEnvironmental statements; notice of intent:

Six Rivers National Forest, CA, 64658–64660

Health and Human Services DepartmentSee Children and Families AdministrationSee Food and Drug AdministrationNOTICESMeetings:

Vital and Health Statistics National Committee, 64705

Housing and Urban Development DepartmentSee Federal Housing Enterprise Oversight OfficeNOTICESAgency information collection activities:



VFederal Register / Vol. 65, No. 210 / Monday, October 30, 2000 / Contents

Immigration and Naturalization ServiceNOTICESAgency information collection activities:


Indian Affairs BureauPROPOSED RULESTribal government:

Certificate of degree of Indian or Alaska Native blood;documentation requirements and filing, processing,and issuing requirements and standards, 64643

Interior DepartmentSee Fish and Wildlife ServiceSee Indian Affairs BureauSee Land Management BureauSee National Park Service

International Trade AdministrationNOTICESAntidumping:

Brake rotors from—China, 64664–64666

Freshwater crawfish tail meat from—China, 64666

Mechanical transfer presses from—Japan, 64666–64667

Oil country tubular goods from—Mexico, 64667–64668

Antidumping and countervailing duties:Administrative review requests, 64662–64664

Countervailing duties:Oil country tubular goods from—

Italy, 64668–64669Meetings:

Automotive Parts Advisory Committee, 64669–64670

Justice DepartmentSee Immigration and Naturalization Service

Land Management BureauNOTICESAlaska Native claims selections:

Kuukpik Corp., 64720Meetings:

Resource Advisory Councils—Northwest Colorado, 64720

Realty actions; sales, leases, etc.:New Mexico, 64720–64721

Library of CongressSee Copyright Office, Library of Congress

National Highway Traffic Safety AdministrationRULESMotor vehicle safety standards:

Fuel system integrity—Compressed natural gas fuel containers, 64624–64627

NOTICESMotor vehicle safety standards; exemption petitions, etc.:

Piaggo & C., S.p.A., 64741

National Labor Relations BoardNOTICESOrganization, functions, and authority delegations:

Philadelphia, Pittsburgh, and Baltimore Regional Offices;geographic realignment, 64723

National Oceanic and Atmospheric AdministrationRULESFishery conservation and management:

Northeastern United States fisheries—Black sea bass, 64627–64628

PROPOSED RULESFishery conservation and management:

Northeastern United States fisheries—New England Fishery Management Council; meetings,

64654–64655NOTICESGrants and cooperative agreements; availability, etc.:

Coastal Services Center; Landscape Characterization andRestoration, Integration and Development, andSpecial Projects, 64674–64682

Meetings:Gulf of Mexico Fishery Management Council, 64683–

64684New England Fishery Management Council, 64684–64685U.S. Exclusive Economic Zone; Responsible Aquaculture;

Code of Conduct; workshops, 64682–64683Permits:

Endangered and threatened species, 64685–64687Marine mammals, 64670–64674

National Park ServiceNOTICESMeetings:

Subsistence Resource Commission, 64721National Register of Historic Places:

Pending nominations, 64721–64722

National Telecommunications and InformationAdministration

NOTICESMeetings:

Third generation wireless systems deployment in UnitedStates, 64687

Natural Resources Conservation ServiceNOTICESField office technical guides; changes:

Virginia, 64660–64661

Nuclear Regulatory CommissionNOTICESApplications, hearings, determinations, etc.:

Florida Power & Light Co., 64723–64724Tennessee Valley Authority, 64725

Office of Federal Housing Enterprise OversightSee Federal Housing Enterprise Oversight Office

Office of United States Trade RepresentativeSee Trade Representative, Office of United States

Postal ServicePROPOSED RULESDomestic Mail Manual:

Sack preparation changes for periodicals nonletter-sizemailing jobs that include automation flat rate andpresorted rate mailings, 64643–64648

Public Health ServiceSee Food and Drug Administration


VI Federal Register / Vol. 65, No. 210 / Monday, October 30, 2000 / Contents

Rural Business-Cooperative ServiceRULESGuaranteed loanmaking:

Domestic lamb industry adjustment assistance programset aside, 64596–64597

Rural Utilities ServiceRULESGuaranteed loanmaking:

Domestic lamb industry adjustment assistance programset aside, 64596–64597

Securities and Exchange CommissionNOTICESAgency information collection activities:

Proposed collection; comment request, 64725–64726Submission for OMB review; comment request, 64726–

64727Investment Company Act of 1940:

Exemption applications—Wachovia Variable Insurance Funds et al., 64727–

64734Self-regulatory organizations; proposed rule changes:

Philadelphia Stock Exchange, Inc., 64734–64735

Small Business AdministrationNOTICESDisaster and emergency areas:

Michigan, 64735

Social Security AdministrationNOTICESAgency information collection activities:


State DepartmentNOTICESArt objects; importation for exhibition:

Arts and the Camera: The Photographs of F. Holland Day,64736

Modern Art and America: Alfred Stieglitz and His NewYork Galleries, 64736–64737

Ukrainian Silver Jewish Ceremonial Objects, 64737Committees; establishment, renewal, termination, etc.:

Overseas Security Advisory Council, 64737

Meetings:Public Diplomacy U.S. Advisory Commission, 64737

Surface Transportation BoardNOTICESRailroad services abandonment:

CSX Transportation, Inc., 64741–64742Union Railroad Co., 64742–64743

Trade Representative, Office of United StatesNOTICESMeetings:

Industry Sector Advisory Committees—Services, 64737–64738

Transportation DepartmentSee Federal Aviation AdministrationSee Federal Highway AdministrationSee National Highway Traffic Safety AdministrationSee Surface Transportation Board

Treasury DepartmentNOTICESAgency information collection activities:

Proposed collection; comment request, 64743

Veterans Affairs DepartmentNOTICESMeetings:

Environmental Hazards Advisory Committee, 64743–64744

Separate Parts In This Issue

Part IIEnvironmental Protection Agency, 64745–64880

Reader AidsConsult the Reader Aids section at the end of this issue forphone numbers, online resources, finding aids, reminders,and notice of recently enacted public laws.


CFR PARTS AFFECTED IN THIS ISSUE

A cumulative list of the parts affected this month can be found in theReader Aids section at the end of this issue.

VIIFederal Register / Vol. 65, No. 210 / Monday, October 30, 2000 / Contents

7 CFR271...................................64581273...................................64581276...................................64581718...................................64594723...................................64589729...................................645941446.................................645941464.................................645894279.................................64596

14 CFR39 (3 documents) ...........64597,

64601, 64602Proposed Rules:39 (7 documents) ...........64629,

64631, 64632, 64634, 64636,64638, 64640

71.....................................64642

21 CFR172...................................64604179...................................64606314...................................64608601...................................64608876...................................64619

25 CFRProposed Rules:70.....................................65643

32 CFR811...................................64619811a.................................64621813...................................64621

37 CFR201...................................64623256...................................64623

39 CFRProposed Rules:111...................................64643

40 CFR300...................................64623Proposed Rules:51.....................................6464885.....................................64648

47 CFR73.....................................64624

49 CFR571...................................64624

50 CFR648...................................64627Proposed Rules:17.....................................6464920.....................................64650648...................................64654

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This section of the FEDERAL REGISTERcontains regulatory documents having generalapplicability and legal effect, most of whichare keyed to and codified in the Code ofFederal Regulations, which is published under50 titles pursuant to 44 U.S.C. 1510.

The Code of Federal Regulations is sold bythe Superintendent of Documents. Prices ofnew books are listed in the first FEDERALREGISTER issue of each week.

Rules and Regulations Federal Register

64581

Vol. 65, No. 210


DEPARTMENT OF AGRICULTURE

Food and Nutrition Service

7 CFR Parts 271, 273 and 276

[Amendment No. 381]

RIN 0584–AC41

Food Stamp Program: Non-Discretionary Provisions of thePersonal Responsibility and WorkOpportunity Reconciliation Act of 1996

AGENCY: Food and Nutrition Service,USDA.ACTION: Final rule.

SUMMARY: This rule finalizes a proposedrule published July 12, 1999, byamending the Food Stamp ProgramRegulations to implement certain non-discretionary provisions of the PersonalResponsibility and Work OpportunityReconciliation Act of 1996 (PRWORA)that affect the Food Stamp Program. Theregulatory changes include changes inthe minimum and maximum allotments,the standard and shelter deductions,household composition, the fair marketvalue of vehicles, the definition ofhomeless, and expedited service. Inaccordance with the proposal, this rulealso incorporates, where possible, theprinciples of the President’s RegulatoryReform Initiative and removes overlyprescriptive, outdated, and redundantprovisions, and increases State agencyflexibility.

DATES:Effective Date: This final rule is

effective December 29, 2000.Implementation Dates:1. The following amendments were to

be implemented August 22, 1996: Thedefinition of ‘‘Homeless individual’’ in§ 271.2, § 273.1(b)(1)(ii), § 273.2(i)(3)(i)and (i)(3)(ii).

2. The amendments to § 273.8(f)(1)and § 273.10(e)(4)(ii) were to beimplemented October 1, 1996.

3. The amendment to § 273.9(d)(8)was to be implemented January 1, 1997.

4. The amendments to§ 273.1(b)(1)(iii) and § 273.8(e)(3)(i)(A),are to be implemented no later thanMarch 1, 2001.

5. All remaining amendments are tobe implemented no later than January 1,2001.FOR FURTHER INFORMATION CONTACT:Margaret Werts Batko, CertificationPolicy Branch, Program DevelopmentDivision, Food and Nutrition Service,USDA, 3101 Park Center Drive,Alexandria, Virginia, 22302, (703) 305–2520, or e-mail [email protected]. Aregulatory impact analysis has beenprepared for this rule. You may requesta copy of the analysis by contacting usat the above address.SUPPLEMENTARY INFORMATION:

Executive Order 12866This rule has been determined to be

economically significant underExecutive Order 12866, and major underPub. L. 104–121, and has, therefore,been reviewed by the Office ofManagement and Budget (OMB).

Executive Order 13132

Federalism Summary Impact StatementExecutive Order 13132 requires

Federal agencies to consider the impactof their regulatory actions on State andlocal governments. FNS has consideredthe impact on State agencies. This ruledeals almost entirely with changesrequired by law, and implemented bylaw in 1996. The changes primarilyaffect food stamp recipients. The effectson State agencies are minimal and, tothe extent that they affect them, relievethem of administrative burdens. Thisrule is intended to have preemptiveeffect on any State law that conflictswith its provisions or that wouldotherwise impede its fullimplementation. PRWORA required allbut one of the changes made in this rule,and made most of them effective onenactment and all of them effective bythe beginning of FY 1997. FNS is notaware of any case where the onediscretionary provision of the rulewould preempt State law.

Prior Consultation With State OfficialsBefore drafting this rule, we received

input from State agencies at varioustimes. Because the FSP is a State

administered, federally funded program,our regional offices have formal andinformal discussions with State andlocal officials on an ongoing basis.These discussions involveimplementation and policy issues. Thisarrangement allows State agencies toprovide feedback that forms the basis formany discretionary decisions in thisand other FSP rules. In addition, FNSofficials attend regional, national, andprofessional conferences to discussissues and receive feedback from Stateofficials at all levels. Lastly, thecomments on the proposed rule fromState officials were carefully consideredin drafting this final rule.

Regulatory Flexibility ActThis rule has been reviewed with

regard to the requirements of theRegulatory Flexibility Act of 1980 (5U.S.C. 601–612). Shirley R. Watkins,Under Secretary for Food, Nutrition,and Consumer Services, has certifiedthat this rule will not have a significanteconomic impact on a substantialnumber of small entities. State and localwelfare agencies will be the mostaffected to the extent that theyadminister the Program. Participantswill be affected to the extent that theirbenefits will not increase at the rate theywould have under the old law.

Paperwork Reduction ActThis proposed rule does not contain

reporting or record keepingrequirements subject to approval byOMB under the Paperwork ReductionAct of 1995 (44 U.S.C. 3507).

Executive Order 12988This rule has been reviewed under

Executive Order 12988, Civil JusticeReform. This final rule is intended tohave preemptive effect with respect toany State or local laws, regulations orpolicies that conflict with its provisionsor that would otherwise impede its fullimplementation. This final rule is notintended to have retroactive effectunless so specified in the ‘‘Dates’’paragraph of this rule. Prior to anyjudicial challenge to the provisions ofthis rule or the application of itsprovisions, all applicable administrativeprocedures must be exhausted. In theFood Stamp Program the administrativeprocedures are as follows: (1) ForProgram benefit recipients—Stateadministrative procedures issuedpursuant to 7 U.S.C. 2020(e)(1) and 7

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64582 Federal Register / Vol. 65, No. 210 / Monday, October 30, 2000 / Rules and Regulations

CFR 273.15; (2) for State agencies—administrative procedures issuedpursuant to 7 U.S.C. 2023 set out at 7CFR 276.7 (for rules related to non-quality control (QC) liabilities) or Part283 (for rules related to QC liabilities);(3) for retailers and wholesalers—administrative procedures issued under7 U.S.C. 2023 set out at 7 CFR 278.8 andPart 279.

Unfunded Mandate Analysis

Title II of the Unfunded MandateReform Act of 1995 (UMRA), Pub. L.104–4, establishes requirements forFederal agencies to assess the effects oftheir regulatory actions on State, local,and tribal governments and the privatesector. Under section 202 of the UMRA,the Department generally must preparea written statement, including a cost-benefit analysis, for proposed and finalrules with ‘‘Federal Mandates’’ that mayresult in expenditures to State, local, ortribal governments, in the aggregate, orto the private sector, of $100 million ormore in any one year.

When such a statement is needed fora rule, section 205 of the UMRAgenerally requires the Department toidentify and consider a reasonablenumber of regulatory alternatives andadopt the least costly, more cost-effective or least burdensome alternativethat achieves the objectives of the rule.

This rule contains no Federalmandates (under the regulatoryprovisions of Title II of the UMRA) thatimpose costs on State, local, or tribalgovernments or to the private sector of$100 million or more in any one year.Thus, this rule is not subject to therequirements of sections 202 and 205 ofthe UMRA.

Regulatory Impact Analysis

Need for Action

This action is needed to implementseveral provisions of the PersonalResponsibility and Work OpportunityReconciliation Act of 1996, Pub. L. 104–193. This rule removes the exception incurrent rules that allows persons age 21and under who are themselves parentsor married, and who live with a parent,to participate in the Food StampProgram as a separate household;changes the way the maximumallotments are calculated by using 100%of the Thrifty Food Plan instead of103%; alters the definition of homelessby setting a time limit (where there wasnone before) on people whose primarynighttime residence is a temporaryaccommodation in the home of another;freezes the standard deduction in foodstamps for fiscal year 1997 and beyondat $134; retains a cap on the excess

shelter expense deduction; freezes thefair market value of vehicle exemptionat $4,650; freezes the minimumallotment at $10 a month; increases thenumber of days which States have toprovide expedited service from 5 to 7calendar days; eliminates householdsconsisting entirely of homeless peoplefrom those categories of householdsentitled to receive expedited service;and removes the State agency option toexclude from unearned income up to$50 monthly of title IV–D child supportpayments.

Effects on Administering Agencies

State food stamp offices are affected tothe extent that they must implement theprovisions described in this action.However, State agencies are notexpected to change their personnel dueto these changes, so State agencies areexpected to incur minimal costs.

Costs

The final rule does not make anyeconomically significant changes to theproposed rule. However, food stampparticipation has decreased more thanexpected since we published theproposed rule. Current estimates ofparticipation are about 20 percent lessthan previous estimates. Accordingly,total savings in food stamps issued fromthis rule for the 5 years from fiscal year1998 to 2002 are $9,039 million—downfrom the previous estimate of $11,195million.

Plain Language

We have written this final rule underthe plain language guidelines to make iteasier to read and clearer. We haveedited wording that we preserved fromthe proposed rule to conform to thoseguidelines, using simpler words andphrases where appropriate, andchanging sentences from passive toactive voice. We did not change themeaning of any of the language broughtfrom the proposed rule.

Background

The President signed the PersonalResponsibility and Work OpportunityReconciliation Act of 1996, Pub. L. 104–193 (PRWORA) on August 22, 1996.PRWORA contained several provisionsthat amended the Food Stamp Act of1977 (the Act), 7 U.S.C. 2011, et seq.,but allowed us (the Food and NutritionService of the Department ofAgriculture) no discretion inimplementing them. We publishedproposed rules on July 12, 1999, in theFederal Register at 64 FR 37454 toimplement those provisions. Theprovisions:

• Require that a person 21 years oldor younger who lives with a parent beconsidered part of the parent’shousehold, even if married and livingwith a spouse, living with a child, orboth;

• Set the maximum allotment at100% of the Thrifty Food Plan, ratherthan at 103%;

• Allow a person living in anotherperson’s house to be consideredhomeless for only 90 days;

• Freeze the standard deduction at$134;

• Retain the cap on the excess shelterexpense deduction;

• Freeze the exemption of the fairmarket value of a vehicle as a householdasset at $4,650;

• Freeze the minimum allotment for1- and 2-person households at $10;

• Increase from 5 to 7 the number ofdays State agencies have to provideexpedited service;

• Eliminate households consistingentirely of homeless persons from thekinds of households automaticallyallowed to receive expedited service;and

• Remove the State agency option toexclude up to $50 a month of the titleIV–D child support payments fromunearned income.

The period for comment on theproposed rules ended September 10,1999. We received comments on theproposed rules from ten State agenciesand an advocacy group. (In addition, theActing General Counsel of a Stateagency commented on our failure totreat a number of discretionaryprovisions of PRWORA in thisrulemaking. Those provisions will becovered in other rules that are currentlyin clearance or which have recentlybeen published. We will not deal withthem here.) In analyzing the commentsreceived, we will not address commentson provisions that are required by thelaw and on which we have nodiscretion. A number of commentssupported our proposals. We will notdiscuss those in detail here, either.Finally, a number of the commentsconcerned technical corrections forinadvertent omissions. We have madethe corrections where appropriate, butwill not discuss the comments. For afull understanding of the background ofthe provisions in this rule see theproposed rulemaking. In response tothose comments that need discussion,and for ease of reading, we will discusseach provision touched on by thosecomments, and the comments, in theorder in which they appear in the Codeof Federal Regulations.

Definition of Parental Control:Although not contemplated by


64583Federal Register / Vol. 65, No. 210 / Monday, October 30, 2000 / Rules and Regulations

PRWORA, to provide the sametreatment for a child living with a non-parent adult that is provided for a childliving with a natural or adoptive parentor stepparent, we proposed to changethe definition of parental control,amending 7 CFR 273.1 by removing theexception that a child who is living withhis or her own child(ren) or spouse isnot considered to be under parentalcontrol. A State agency commented thatunder its State law a married personunder 18 has attained majority and noother person is responsible for thatperson. We have amended the languageof the final rule to accommodate such asituation. Another State agency notedour removal of the exception, and statedits understanding that it could choose toretain the old policy if it applied itconsistently across the State. This isincorrect. Our view is that a child whois under parental control must be amember of the household that exercisesparental control, even if the child haschildren of his or her own. However,State agencies will have substantialauthority to determine parental control.

Reorganization of 7 CFR 273.1—Household Concept: In the spirit of thePresident’s Regulatory Reform Initiative,we proposed to reorganize § 273.1(which deals with the importantprogrammatic concept of ‘‘household’’),with the exception of 7 CFR 273.1(d)and (f), which we left unchanged. Wedid not propose significant changes to§ 273.1, as nearly every provision is setforth in the Act and can be changedonly through legislative action.However, we condensed severalsections into a single section, removingunnecessary language and provisionscovered elsewhere in the regulations,and providing State agency flexibilitywhere possible. The proposed rule setout the entire suggested revised text forthe convenience of the reader.

Boarders: To ensure uniformityamong all States, we proposed to retainin new paragraph (b)(3) the languageappearing in 7 CFR 273.1(c)(1), whichdefines a boarder. Whether a person isconsidered to be a boarder, andwhether, if deemed a boarder, a personmay participate in the Food StampProgram, is in part determined bywhether the person pays reasonablecompensation for lodging and meals. AState agency, in its comments, askedwhy not, in the interest of Stateflexibility, allow States to define whatconstitutes ‘‘reasonable’’ compensation.However, the State agency did not giveany further reason to change the existingregulation, and another State agencynoted that it had no objection to thepurely cosmetic change to the provision.This provision as written is easy to

administer, equitable to clients, andadaptable to each State’s automatedcertification system. Moreover, it hasnot been a problem for State agencies orclients in the past. For these reasons,and because the Thrifty Food Plan baseis a practicable way to determinewhether a person is paying reasonablecompensation in order to decide boarderstatus, and was previously subject topublic comments, we do not think thedefinition should be changed based ona single comment in this rule.

An advocate organization commentedthat we should make it clear that thedefinition of a commercial boardinghouse does not include group homes fordisabled, homeless shelters, or othersuch entities that may be licensed underthe same State laws as commercialboarding houses. Group homes fordisabled (group living arrangements),for example, are defined in 7 CFR 271.2as public or private nonprofit entities,and proposed 7 CFR 273.1(b)(7)(vii)(E)specified public or private nonprofithomeless shelters. We have modifiedthe language of the rule to make it clearthat the entities excepted from the rulebarring residents of institutions mustnot be confused with commercialboarding houses.

When we combined 7 CFR 273.1(a)(2),(b), (c)(1), (c)(3), and (e) in newparagraph (b), we eliminated 7 CFR273.1(c) of current regulations. Weadded a new paragraph (c). There hasbeen some confusion among Stateagencies as to when the policy on‘‘purchasing food and preparing meals’’overrides policy prohibiting theseparation of spouses and children, orprohibiting the participation ofboarders. The new paragraph (c)specifically allows State agencies toapply discretion when the rule does notlend itself to a simple and direct answerto certain living situations. We cannotcover all living situations by regulation.We intend that State agencies useprudent judgment in determining whento allow individuals to be certified asseparate households from others withwhom they reside and to protectProgram integrity by not allowing greatnumbers of households to fragment intosmaller households. The language alsostates that any State policy adoptedunder this provision must be appliedconsistently throughout the State.

A State agency commented that the‘‘Administrative Procedures Act’’requires it to develop rules for anyoptions allowed by Food StampProgram regulations (we presume theState agency was referring to its ownState Administrative Procedures Act,since States are not subject to theFederal Administrative Procedure Act, 5

U.S.C. 500, et seq.). It added that ifUSDA cannot cover all living situationsby regulations, a State agency cannot beexpected to do so and ensure that theyare handled consistently throughout theState. We recognize that it may bedifficult for States to spell out clearpolicies in this area and ensure that theyare applied across the State, but we arereluctant to impose such exacting rulesthat States cannot adapt the rules tolocal situations. We have, however,added the words ‘‘fairly’’ and‘‘equitably’’ to the rule to ensure that aState agency’s policy must be not onlyconsistent, but also fair. Moreover, westand ready to work with State agencieson a case-by-case basis to determinewhether individual cases fit a patternthat should be applied across the State,or are unique cases.

Strikers. We did not propose anychanges in 7 CFR 273.1(d), Head ofHousehold, and (f), AuthorizedRepresentative, because we believe thecurrent regulations are appropriate. Wehave redesignated the requirements incurrent regulations at 7 CFR 273.1(g) fordetermining the eligibility and benefitsof households containing members onstrike as paragraph (e), with minoreditorial changes for clarity. Wereceived no comments on our decisionswith regard to these provisions.

Application Processing—7 CFR 273.2Expedited Service: Current

regulations at 7 CFR 273.2(i) provide forexpedited service to certain categories ofhouseholds with very low income andresources, including households inwhich all members are homeless. Priorto PRWORA, section 11(e)(9) of the Act(7 U.S.C. 2020(e)(9)) required thatbenefits be provided not later than fivecalendar days following a household’sdate of application for all eligiblehouseholds that were also eligible forexpedited service. Section 838 ofPRWORA amended section 11(e)(9) ofthe Act by increasing the time thatStates may take to provide expeditedservice from five to seven calendar days,and eliminating households consistingentirely of homeless people from thosecategories of households entitled toreceive expedited service. We receivedno comments on the proposal toimplement these changes, as outlined inthe proposed rule.

Accordingly, consistent with ourproposals, this rule amends 7 CFR273.2(i)(3)(i) by striking ‘‘fifth’’ calendarday and inserting ‘‘seventh’’. This rulealso amends 7 CFR 273.2(i)(3)(ii) bystriking ‘‘5 calendar days’’ and inserting‘‘7 calendar days’’. In addition, the ruleremoves 7 CFR 273.2(i)(1)(iii) whichprovides that households in which all



members are homeless individuals areentitled to expedited service andredesignates (i)(1)(iv) as (i)(1)(iii).Homeless individuals may continue toqualify for expedited service under thefinancial criteria set forth in 7 CFR273.2(i).

Resource Eligibility Standards—7 CFR273.8

Fair Market Value: Section 810 ofPRWORA amended section 5(g) of theAct (7 U.S.C. 2014(g)) to provide thatany licensed vehicle that is not subjectto other exclusions and is used forhousehold transportation or to obtain orcontinue employment, to the extent thatthe fair market value of the vehicleexceeds $4,600 through September 30,1996, and $4,650 beginning October 1,1996, must be included in financialresources. Section 810 also freezes thefair market value exclusion limit used indetermining the countable value of theincluded vehicle at $4,650. Accordingly,this rule amends 7 CFR 273.8 to includethe new resource exclusion level, whichwas implemented October 1, 1996.

We proposed to modify the definitionof a vehicle that can be excluded froma household’s assets because it is usedfor income-producing purposes in thecurrent rules at 7 CFR 273.8(h)(1)(i)(redesignated 273.8(e)(3)(i)(A)).Examples of such vehicles would be acar used for a job as a delivery person,a motor vehicle used by a courier, a carused by a household member to call onclients or customers, even though thevehicle is not used for long-distancetravel, or any vehicle used to perform ajob that was advertised as requiring apersonally-owned motor vehicle. Thecurrent rule requires that the vehicle beused primarily for producing income.We proposed to remove the word‘‘primarily’’ to ensure that Stateagencies would not have to verify therelative amount of mileage traveled forincome-producing purposes. Two Stateagencies commented that our proposaldid not go far enough. They proposedthat we exclude any vehicle used to goto work. Section 5(g)(1)(C) of the Actdoes not allow us to change the rules tothat extent. Specifically, it excludesfrom a household’s financial resources avehicle ‘‘used to produce earnedincome.’’ This language allows us tomake the change we proposed, since avehicle used for deliveries is clearlybeing used to produce earned income.We do not believe that a reasonableview of the clear language of the Actallows us to exclude all vehicles used tocommute to work. Accordingly, this ruleamends 7 CFR 273.8 to remove therequirement that a vehicle used forincome-producing purposes be used

primarily for those purposes in order tobe excluded from a household’s assets.

A State agency commented that thelanguage on vehicles necessary totransport a physically disabledhousehold member at § 273.8(e)(3)(i)(E)seems somewhat contradictory becauseit talks about special vehicles andspecially equipped vehicles beingconsidered necessary, but then goes onto state that the vehicle need not havespecial equipment. We agree. We haveremoved the examples and havesimplified the provision, relying on thebasic statement that a vehicle necessaryto transport a physically disabledhousehold member is excluded.

Reorganization of 7 CFR 273.8In the proposed rule, we took the

opportunity to reorganize 7 CFR 273.8and to remove redundant orunnecessary language. Section 5(g)(2) ofthe Act requires that the Secretaryprescribe inclusions in, and exclusionsfrom, financial resources following theregulations in force as of June 1, 1982.The law provides an exception for theregulations governing vehicles andinaccessible resources. All otherresource inclusion and exclusionprovisions described in the regulationsas of June 1, 1982, became law byreference and can only be changedthrough legislative action. Nonetheless,there were some provisions we wereable to change and some areas where wecould remove redundant or unnecessarylanguage. This rule revises 7 CFR273.8(e), (g), (h), and (i), and removes (j).

We proposed to remove all theprovisions from paragraph (h) andtransfer some of them to (e) and theothers to (g). We have taken the list ofvehicles excluded from resourceconsideration currently contained inparagraphs (h)(1)(i)–(v) and (h)(2) andincorporated it into 7 CFR 273.8(e)(3).We rewrote the remaining provisions ofparagraphs (h)(3), (h)(4) and (h)(5)concerning the treatment of non-excluded vehicles and combined themwith the provisions in paragraph (g) toimprove readability. As a result oftransferring the text of paragraph (h),that paragraph no longer exists, and wehave redesignated paragraph (i) asparagraph (h). We have made aconforming amendment to paragraphs(e)(16) and (e)(18) to note the relocationof the vehicle exclusion provisions. Wealso, in the proposed rule, removed thecurrent 7 CFR 273.8(j), which providesthat the resources of certain non-household members must be treated inaccordance with 7 CFR 273.11. Webelieved the reference was unnecessary.After reviewing comments, andreconsidering the rule, we have decided

to retain the reference as a useful guideto policy.

In keeping with the principles of thePresident’s Regulatory Reform Initiativeof increasing State flexibility, this ruleremoves the proscriptive regulations inparagraph (g) for determining the fairmarket value of a vehicle and allowsState agencies to establish their ownmethodologies. However, to ensureclient protection, we have decided toretain the prohibition against increasingthe basic value of a vehicle because oflow mileage, optional equipment, orspecial apparatus for the handicapped,as State variations may affect eligibilityand costs.

We proposed also to revise paragraph(e)(11), which excludes from countableresources any resource that isspecifically excluded by any otherFederal statute and lists such excludedresources. We proposed to remove thespecific list of resources excluded byother Federal laws. We periodicallyprovide State agencies with a list ofsuch excluded resources through agencymemoranda because the list changesfrequently and quickly becomesoutdated. Doing this through theregulatory amendment process oftenresults in incomplete or obsoleteregulations, thereby causing confusion.We believe it is sufficient to have theregulation simply provide an exclusionfor any resource specifically excludedby another Federal statute and tocontinue to notify State agenciesthrough agency memoranda when suchlaws are enacted. We received nocomments on this provision (other thanone urging us to inform State agenciespromptly in writing of all exclusions,which we currently do). Therefore, weare amending the rule accordingly.

Income and Deductions—7 CFR 273.9Annual adjustments of gross and net

income standards, and maximumallotments. FNS currently publishesNotices in the Federal Register everyyear to announce the amounts of themonthly gross and net income eligibilitystandards, and of the maximumallotments, for the contiguous 48 Statesand the District of Columbia, Alaska,Hawaii, Guam and the U.S. VirginIslands. This process is cumbersome.The regulatory clearance processprecludes publishing the numbers intime for State agencies to use them.Therefore, we send the numbers to theState agencies by memorandum—customarily in August, so the Stateagencies can program their computers intime for the new numbers to take effecton the October 1 deadline each year. Wehave started posting the new numberson the FNS web site shortly after we



officially notify State agencies of them.This accomplishes the same thing aspublishing Notices in the FederalRegister. And it does it on time, andmore economically. Therefore, we willno longer publish these numbers inFederal Register Notices. You can findthem on our web site atwww.fns.usda.gov/fsp. We are making atechnical change to delete references topublication of these numbers in FederalRegister Notices from our rules.

Income exclusions: Currentregulations at 7 CFR 273.9(c)(1)(i)prescribe whether to exclude fromincome a number of kinds of publicassistance (PA) vendor payments(payments made by a third party onbehalf of a household). A commenterpointed out that a number of Stateagencies are now using TemporaryAssistance for Needy Families (TANF)funds to supplement housing assistancefrom the Department of Housing andUrban Development (HUD), and arechanneling those payments throughState or local housing authorities.Section 5(k)(2)(D) of the Act, 7 U.S.C.2014(k)(2)(D), requires us to excludesuch payments from income. Thecommenter inferred that we hadoverlooked this requirement of the Actin a previous revision of the rules. Sincethe Act requires us to exclude this newcategory of TANF-funded vendorpayments from income, we are makinga technical correction to the rules at 7CFR 273.9(c)(1)(i) to make thisrequirement clear. (We received thecomment after the end of the commentperiod, but we believe it is important tocorrect the rule in any case.)

Standard Deduction: Currentregulations at 7 CFR 273.9(d)(8) providethat, effective October 1, 1987, and eachOctober 1 thereafter, the standarddeduction from gross income must beadjusted to reflect changes in the CPI–U for items other than food for thetwelve months ending the precedingJune 30. Section 809 of PRWORAamended section 5(e) of the Act toprovide that the Secretary must allowand maintain the standard deduction foreach household in the 48 contiguousStates and the District of Columbia,Alaska, Hawaii, Guam, and the VirginIslands of the United States of $134,$229, $189, $269, and $118,respectively. In effect, PRWORAeliminated the annual adjustment to thevarious standard deductions. This ruleamends the regulations at 7 CFR273.9(d)(1) accordingly.

Excess Shelter Expense Deduction:Section 809 of PRWORA amendedsection 5(e) of the Act to change theexcess shelter limit. Section 5(e), 7U.S.C. 2014(e), now provides that a

household is entitled to an excessshelter expense deduction to the extentthat the monthly amount expended bya household for shelter exceeds anamount equal to 50 percent of monthlyhousehold income after all otherapplicable deductions have beenallowed. In the case of a household thatdoes not contain an elderly or disabledindividual, in the 48 contiguous Statesand the District of Columbia, Alaska,Hawaii, Guam and the Virgin Islands ofthe United States, the excess shelterexpense deduction must not exceed:

(i) For the period beginning on thedate of enactment of the law and endingon December 31, 1996, $247, $429,$353, $300, and $182 per month,respectively;

(ii) For the period beginning onJanuary 1, 1997, and ending onSeptember 30, 1998, $250, $434, $357,$304, and $184 per month, respectively;

(iii) For fiscal years 1999 and 2000,$275, $478, $393, $334, and $203 permonth, respectively; and

(iv) For fiscal year 2001 and eachsubsequent fiscal year, $300, $521,$429, $364, and $221 per month,respectively.

This final rule makes correspondingchanges to the regulations at 7 CFR273.9(d)(8).

Determining Household Eligibility andBenefit Levels—7 CFR 273.10

Maximum Allotments: Section 804 ofPRWORA amended section 3(o) of theAct (7 U.S.C. 2012(o)) by providing thaton October 1, 1996, and each October 1thereafter, the Department must adjustthe cost of the maximum allotment toreflect the cost of the Thrifty Food Planin the preceding June, and round theresult to the nearest lower dollarincrement for each household size,except that on October 1, 1996, theSecretary was not allowed to reduce thecost of the maximum allotment in effecton September 30, 1996.

Accordingly, this final rule amends 7CFR 273.10(e)(4)(ii) to provide thateffective October 1, 1996, the maximumfood stamp allotments must be based on100% of the cost of the TFP, as definedin section 271.2, for the preceding June,rounded to the nearest lower dollarincrement, except that on October 1,1996, the allotments may not fall belowthose in effect on September 30, 1996.

In addition, we are removing 7 CFR273.10(e)(4)(ii)(A) through (F), as theseparagraphs, which provide for theadjustment of the TFP for the years 1983through 1995, are outdated.

Conforming AmendmentsAid to Families with Dependent

Children: Section 101 of PRWORA block

granted this program to the States andrenamed it the Temporary Assistancefor Needy Families (TANF) program.Therefore, the terms ‘‘Aid to FamiliesWith Dependent Children’’ and itsacronym, ‘‘AFDC’’, are obsolete. Section109 of PRWORA made conformingamendments to the Act by replacing theobsolete terms with a reference toassistance under a State program fundedunder part A of title IV of the SocialSecurity Act, the provision thatauthorizes TANF.

Accordingly, this rule amendsSubchapter C by replacing the words‘‘Aid to Families with DependentChildren’’ with ‘‘Temporary Assistancefor Needy Families’’, by replacing‘‘AFDC’’ with ‘‘TANF’’, and byreplacing the words ‘‘Aid to Familieswith Dependent Children (AFDC)’’ with‘‘Temporary Assistance for NeedyFamilies (TANF)’’.

Child support payments: As requiredby section 5 of the Act prior toPRWORA, the current regulations at 7CFR 273.9(c)(12) provide that the Stateagency has the option to exclude fromunearned income up to $50 monthly oftitle IV–D child support payments incases where such payments are receivedby the households from the title IV–Dsupport agency responsible forcollecting such child support paymentson behalf of AFDC recipients. Section109 of PRWORA amended section 5 ofthe Act by removing this exclusion. Thisrule removes 7 CFR 273.9(c)(12) andrenumbers (c)(13) through (c)(17)accordingly.

As required by section 5 of the Actprior to PRWORA, current regulations at7 CFR 276.2(e)(1) provide that the Stateagency must pay FNS for the increaseddollar value of coupon allotmentsresulting from providing householdswith an income exclusion for childsupport payments as described in§ 273.9(c)(12). Section 109 of PRWORAamended section 5 of the Act byremoving the payback. Accordingly, thisrule removes 7 CFR 276.2(e) in itsentirety and removes the last twosentences of paragraph (2).

ImplementationAs stated in the preamble to the

proposed rules, we instructed Stateagencies through agency directive toimplement the provisions of PRWORAwithout waiting for formal regulations.The amendments to the definition of‘‘Homeless individual’’ in § 271.2, andthe amendments to § 273.1(b)(1)(ii) and§ 273.2(i)(3)(i) and (i)(3)(ii) were to beimplemented August 22, 1996. Theamendments to § 273.8(f)(1) and§ 273.10(e)(4)(ii) were to beimplemented October 1, 1996. The



amendment to § 273.9(d)(8) was to beimplemented January 1, 1997. Theremaining amendments in this rule,with two exceptions, must beimplemented no later than January 1,2001. The amendments to§ 273.1(b)(1)(iii), and § 273.8(e)(3)(i)(A),must be implemented no later thanMarch 1, 2001. After implementation,State agencies must adjust the cases ofongoing households at the nextrecertification, at household request, orwhen the case is next reviewed,whichever comes first. Ifimplementation of the above Act or thisrule is delayed, benefits must berestored, as appropriate, in accordancewith the Food Stamp Act.

Quality Control. Variances resultingfrom implementation of the provisionsof this final rule will be excluded fromerror analysis for 120 days from therequired implementation date. Stateagencies that implement the provisionsbefore the required implementation datemust notify the appropriate FNSregional office before implementing thatthey wish the variance exclusion periodto begin with the actualimplementation, as provided in 7 CFR275.12(d)(2)(vii)(A). The exclusionaryperiod will begin with the requiredimplementation date, if the State agencydoes not notify the appropriate regionaloffice.

List of Subjects

7 CFR Part 271Administrative practice and

procedure, Food stamps, Grantprograms—social programs.


procedures, Aliens, Claims, Foodstamps, Fraud, Grant programs—socialprograms, Penalties, Reporting andrecord keeping requirements, SocialSecurity, Students.


procedure, Food stamps, Reporting andrecord keeping requirements.

Accordingly, 7 CFR chapter II,subchapter C, and parts 271, 273, and276 are amended as follows:

SUBCHAPTER C—FOOD STAMP ANDFOOD DISTRIBUTION PROGRAM

1. In Subchapter C:a. Remove the words ‘‘Aid to Families

with Dependent Children’’ whereverthey appear and add the words‘‘Temporary Assistance for NeedyFamilies’’ in their place.

b. Remove the word ‘‘AFDC’’wherever it appears and add ‘‘TANF’’ inits place.

c. Remove the words ‘‘Aid to Familieswith Dependent Children (AFDC)’’wherever they appear, and add thewords ‘‘Temporary Assistance for NeedyFamilies (TANF)’’ in their place.

2. The authority citation for parts 271,273, and 276 continues to read asfollows:

Authority: 7 U.S.C. 2011–2036.

PART 271—GENERAL INFORMATIONAND DEFINITIONS

§ 271.2 [Amended]

3. In § 271.2:a. Amend paragraph (3) of the

definition of ‘‘Homeless individual’’ byadding the words ‘‘for not more than 90days’’ after the word ‘‘accommodation’’.

b. Amend the definition of ‘‘Minimumbenefit’’ by removing all text after theword ‘‘benefit’’ in the second sentenceand adding in its place ‘‘shall be $10.’’

c. Remove the definition of ‘‘Spouse’’.

PART 272—REQUIREMENTS FORPARTICIPATING STATE AGENCIES

4. In § 272.1, add paragraph (g)(157) toread as follows:

§ 272.1 General terms and conditions.

* * * * *(g) Implementation. * * *(157) Amendment No. 381. The

provisions of Amendment 381 areimplemented as follows:

(i) The definition of ‘‘Homelessindividual’’ in § 271.2, and theamendments to § 273.1(b)(1)(ii),§ 273.2(i)(3)(i) and (i)(3)(ii) were to beimplemented August 22, 1996;

(ii) The amendments to § 273.8(f)(1)and § 273.10(e)(4)(ii) were to beimplemented October 1, 1996;

(iii) The amendment to § 273.9(d)(8)was to be implemented January 1, 1997;

(iv) The amendments to§ 273.1(b)(1)(iii) and § 273.8(e)(3)(i)(A)must be implemented no later thanMarch 1, 2001; and

(v) All remaining amendments mustbe implemented no later than January 1,2001.* * * * *

PART 273—CERTIFICATION OFELIGIBLE HOUSEHOLDS

5. In § 273.1, remove paragraph (g),and revise paragraphs (a), (b), (c) and (e)to read as follows:

§ 273.1 Household concept.

(a) General household definition. Ahousehold is composed of one of thefollowing individuals or groups ofindividuals, unless otherwise specifiedin paragraph (b) of this section:

(1) An individual living alone;(2) An individual living with others,

but customarily purchasing food andpreparing meals for home consumptionseparate and apart from others; or

(3) A group of individuals who livetogether and customarily purchase foodand prepare meals together for homeconsumption.

(b) Special household requirements.—(1) Required household combinations.The following individuals who live withothers must be considered ascustomarily purchasing food andpreparing meals with the others, even ifthey do not do so, and thus must beincluded in the same household, unlessotherwise specified.

(i) Spouses;(ii) A person under 22 years of age

who is living with his or her natural oradoptive parent(s) or step-parent(s); and

(iii) A child (other than a foster child)under 18 years of age who lives withand is under the parental control of ahousehold member other than his or herparent. A child must be considered to beunder parental control for purposes ofthis provision if he or she is financiallyor otherwise dependent on a member ofthe household, unless State law definessuch a person as an adult.

(2) Elderly and disabled persons.Notwithstanding the provisions ofparagraph (a) of this section, anotherwise eligible member of ahousehold who is 60 years of age orolder and is unable to purchase andprepare meals because he or she suffersfrom a disability considered permanentunder the Social Security Act or a nondisease-related, severe, permanentdisability may be considered, togetherwith his or her spouse (if living there),a separate household from the otherswith whom the individual lives.Separate household status under thisprovision must not be granted when theincome of the others with whom theelderly disabled individual resides(excluding the income of the elderly anddisabled individual and his or herspouse) exceeds 165 percent of thepoverty line.

(3) Boarders. (i) Residents of acommercial boarding house, regardlessof the number of residents, are noteligible to participate in the Program. Acommercial boarding house is anestablishment licensed to offer mealsand lodging for compensation. It doesnot include any of the entities listed inparagraph (b)(7)(vii) of this section. Inproject areas without licensingrequirements, a commercial boardinghouse is a commercial establishmentthat offers meals and lodging forcompensation with the intent of makinga profit.



(ii) All other individuals or groups ofindividuals paying a reasonable amountfor meals or meals and lodging must beconsidered boarders and are not eligibleto participate in the Programindependently of the householdproviding the board. Such individualsor groups of individuals mayparticipate, along with a spouse orchildren living with them, as membersof the household providing the boarderservices, only at the request of thehousehold providing the boarderservices. An individual paying less thana reasonable amount for board must notbe considered a boarder but must beconsidered, along with a spouse orchildren living with him or her, as amember of the household providing theboard.

(A) For individuals whose boardarrangement is for more than two mealsper day, ‘‘reasonable compensation’’must be an amount that equals orexceeds the maximum food stampallotment for the appropriate size of theboarder household.

(B) For individuals whose boardarrangement is for two meals or less perday, ‘‘reasonable compensation’’ mustbe an amount that equals or exceedstwo-thirds of the maximum food stampallotment for the appropriate size of theboarder household.

(iii) Boarders must not be consideredto be residents of an institution asoutlined in paragraph (b)(7)(vii) of thissection.

(4) Foster care individuals.Individuals placed in the home ofrelatives or other individuals or familiesby a Federal, State, or localgovernmental foster care program mustbe considered to be boarders. Theycannot participate in the Programindependently of the householdproviding the foster care services. Suchfoster care individuals may participate,along with a spouse or children livingwith them, as members of the householdproviding the foster care services, onlyat the request of the householdproviding the foster care.

(5) Roomers. Individuals to whom ahousehold furnishes lodging forcompensation, but not meals, mayparticipate as separate households.Persons described in paragraph (b)(1) ofthis section must not be consideredroomers.

(6) Live-in attendants. A live-inattendant may participate as a separatehousehold. Persons described inparagraph (b)(1) of this section must notbe considered live-in attendants.

(7) Ineligible household members.The following persons are not eligible toparticipate as separate households or asa member of any household:

(i) Ineligible aliens and students asspecified in § 273.4 and § 273.5,respectively;

(ii) SSI recipients in ‘‘cash-out’’ Statesas specified in § 273.20;

(iii) Individuals disqualified fornoncompliance with the workrequirements of § 273.7;

(iv) Individuals against whom asanction was imposed for failure tocomply with a workfare requirement asspecified in § 273.22;

(v) Individuals disqualified for failureto provide an SSN as specified in§ 273.6;

(vi) Individuals disqualified for anintentional Program violation asspecified in § 273.16; and

(vii) Residents of an institution, withsome exceptions. Individuals must beconsidered residents of an institutionwhen the institution provides them withthe majority of their meals (over 50percent of three meals daily) as part ofthe institution’s normal services.Exceptions to this requirement includeonly the individuals listed inparagraphs (b)(7)(vii)(A) through(b)(7)(vii)(E) of this section. Theindividuals listed in paragraphs(b)(7)(vii)(A) through (b)(7)(vii)(E) canparticipate in the Program and must betreated as separate households from theothers with whom they reside, subject tothe mandatory household combinationrequirements of paragraph (b)(1) of thissection, unless otherwise stated:

(A) Individuals who are residents offederally subsidized housing for theelderly;

(B) Individuals who are narcoticaddicts or alcoholics and reside at afacility or treatment center for thepurpose of regular participation in adrug or alcohol treatment andrehabilitation program. This includesthe children but not the spouses of suchpersons who live with them at thetreatment center or facility;

(C) Individuals who are disabled orblind and are residents of group livingarrangements;

(D) Individual women or women withtheir children who are temporarilyresiding in a shelter for battered womenand children; and

(E) Individuals who are residents ofpublic or private nonprofit shelters forhomeless persons.

(c) Unregulated situations. Forsituations that are not clearly addressedby the provisions of paragraphs (a) and(b) of this section, the State agency mayapply its own policy for determiningwhen an individual is a separatehousehold or a member of anotherhousehold if the policy is applied fairly,

equitably and consistently throughoutthe State.* * * * *

(e) Strikers. Households with astriking member are not eligible toparticipate in the Program, unless thehousehold was eligible for benefits theday before the strike and is otherwiseeligible at the time of application. Astriker must be anyone involved in astrike or concerted stoppage of work byemployees (including a stoppage byreason of the expiration of a collective-bargaining agreement) and anyconcerted slowdown or other concertedinterruption of operations byemployees. Any employee affected by alockout, however, must not be deemedto be a striker. Further, an individualwho goes on strike but is exempt fromwork registration under § 273.7(b) theday before the strike, other than thoseexempt solely on the grounds that theyare employed, must not be deemed to bea striker. Also, persons such as truckdrivers who cannot do their jobsbecause the strike has left them withnothing to deliver, and employees whoare not part of the bargaining unit anddo not want to cross the picket line forfear of personal injury or death, mustnot be deemed to be strikers.

(1) Pre-strike eligibility must bedetermined by considering the day priorto the strike as the day of applicationand assuming the strike did not occur.

(2) Eligibility at the time ofapplication must be determined bycomparing the striking member’sincome before the strike to the striker’scurrent income and adding the higher ofthe two to the current income of non-striking members during the month ofapplication. If the household is eligible,the higher income figure must also beused in determining the household’sbenefits.* * * * *

§ 273.2 [Amended]6. In § 273.2:a. Remove paragraph (i)(1)(iii).b. Redesignate paragraph (i)(1) (iv) as

paragraph (i)(1)(iii).c. Amend paragraph (i)(3)(i) by

removing the word ‘‘fifth’’ wherever itappears and adding the word ‘‘seventh’’in its place.

d. Amend paragraph (i)(3)(ii) byremoving the words ‘‘5 calendar days’’and adding the words ‘‘7 calendar days’’in its place.

§ 273.8 [Amended]

7. In § 273.8:a. Amend paragraph (c)(2) by

removing the regulatory reference to‘‘paragraph (h)’’ and adding in its placea regulatory reference to ‘‘paragraph (f)’’.



b. Revise paragraph (e)(3).c. Amend paragraph (e)(11) by

removing the second sentence of theintroductory text and by removingparagraphs (e)(11)(i) through (e)(11)(ix).

d. Amend paragraph (e)(16) byremoving the regulatory reference to‘‘paragraphs (h)(1)(i), (h)(1)(ii) or(h)(1)(v)’’ and adding in its place theregulatory reference to ‘‘paragraphs(e)(3)(i)(A), (e)(3)(i)(B) or (e)(3)(i)(C)’’,respectively.

e. Amend paragraph (e)(18) byremoving the regulatory reference to‘‘paragraph (h)’’ and adding in its placea regulatory reference to ‘‘paragraph (f)’’.

f. Redesignate paragraphs (g) and (f) asparagraphs (f) and (g), respectively, andrevise newly redesignated paragraph (f).

g. Remove paragraph (h) andredesignate paragraphs (i) and (j) asparagraphs (h) and (i) and revise newlyredesignated paragraph (i).

The revisions read as follows:

§ 273.8 Resource eligibility standards.

* * * * *(e) Exclusions from resources. * * *(3)(i) Licensed vehicles that meet the

following conditions:(A) Used for income-producing

purposes such as, but not limited to, ataxi, truck, or fishing boat, or a vehicleused for deliveries, to call on clients orcustomers, or required by the terms ofemployment. Licensed vehicles thathave previously been used by a self-employed household member engagedin farming but are no longer used infarming because the household memberhas terminated his/her self-employmentfrom farming must continue to beexcluded as a resource for one year fromthe date the household memberterminated his/her self-employmentfarming;

(B) Annually producing incomeconsistent with its fair market value,even if used only on a seasonal basis;

(C) Necessary for long-distance travel,other than daily commuting, that isessential to the employment of ahousehold member (or ineligible alienor disqualified person whose resourcesare being considered available to thehousehold)—for example, the vehicle ofa traveling sales person or a migrantfarm worker following the work stream;

(D) Used as the household’s homeand, therefore, excluded underparagraph (e)(1) of this section;

(E) Necessary to transport a physicallydisabled household member (orphysically disabled ineligible alien orphysically disabled disqualified personwhose resources are being consideredavailable to the household) regardless ofthe purpose of such transportation(limited to one vehicle per physically

disabled household member). Thevehicle need not have specialequipment or be used primarily by orfor the transportation of the physicallydisabled household member; or

(F) Necessary to carry fuel for heatingor water for home use when thetransported fuel or water is anticipatedto be the primary source of fuel or waterfor the household during thecertification period. Households mustreceive this resource exclusion withouthaving to meet any additional testsconcerning the nature, capabilities, orother uses of the vehicle. Householdsmust not be required to furnishdocumentation, as mandated by§ 273.2(f)(4), unless the exclusion of thevehicle is questionable. If the basis forexclusion of the vehicle is questionable,the State agency may requiredocumentation from the household, inaccordance with § 273.2(f)(4).

(ii) On those Indian reservations thatdo not require vehicles driven by tribalmembers to be licensed, such vehiclesmust be treated as licensed vehicles forthe purpose of this exclusion.

(iii) The exclusions in paragraphs(e)(3)(i)(A) through (e)(3)(i)(C) of thissection will apply when the vehicle isnot in use because of temporaryunemployment, such as when a taxidriver is ill and cannot work, or whena fishing boat is frozen in and cannot beused.* * * * *

(f) Determining the value of non-excluded vehicles. (1) The State agencymust:

(i) Individually evaluate the fairmarket value of each licensed vehiclethat is not excluded under paragraph(e)(3) of this section;

(ii) Count in full toward thehousehold’s resource level, regardless ofany encumbrances on the vehicle, thatportion of the fair market value thatexceeds $4,650 beginning October 1,1996;

(iii) Evaluate such licensed vehiclesas well as all unlicensed vehicles fortheir equity value (fair market value lessencumbrances), unless specificallyexempt from the equity value test; and

(iv) Count as a resource only thegreater of the two amounts if the vehiclehas a countable fair market value ofmore than $4,650 after October 1, 1996,and also has a countable equity value.

(2) Only the following vehicles areexempt from the equity value testoutlined in paragraph (f)(1)(iii) of thissection:

(i) Vehicles excluded under paragraph(e)(3)(i) of this section;

(ii) One licensed vehicle perhousehold; and

(iii) Any other vehicle used totransport household members (or anineligible alien or disqualifiedhousehold member whose resources areconsidered available to the household)to and from employment (includingtimes during temporary periods ofunemployment), or to and from trainingor education that is preparatory toemployment, or to seek employment incompliance with the employment andtraining criteria specified in § 273.7.

(3) State agencies will be responsiblefor establishing methodologies fordetermining the fair market value ofvehicles. In establishing suchmethodologies, the State agency mustnot increase the basic value of a vehicleby adding the value of low mileage orother factors such as optionalequipment or special apparatus for thehandicapped. Any household thatclaims that the State agency’sdetermination of the value of itsvehicle(s) is not accurate must be giventhe opportunity to acquire verificationof the true value of the vehicle from areliable source.* * * * *

(i) Resources of non-householdmembers.

(1) The resources of non-householdmembers, as defined in § 273.1(b)(7)(i)and (ii), must be handled as outlined in§ 273.11(d).

(2) The resources of non-householdmembers, as defined in § 273.1(b)(7)(iii)through (vi), must be handled asoutlined in § 273.11(c) and (d), asappropriate.

8. In § 273.9:a. Revise paragraph (a)(4).b. Redesignate paragraph (c)(1)(i)(F) as

paragraph (c)(1)(i)(G), and add a newparagraph (c)(1)(i)(F).

c. Remove paragraph (c)(12) andredesignate paragraphs (c)(13), (c)(14),(c)(15), (c)(16) and (c)(17) as paragraphs(c)(12), (c)(13), (c)(14), (c)(15) and (c)(16)respectively.

d. Revise paragraph (d)(1), removeparagraph (d)(8), and redesignateparagraph (d)(9) as paragraph (d)(8).

e. Revise newly redesignatedparagraph (d)(8).

The revisions and addition read asfollows:

§ 273.9 Income and deductions.

(a) * * *(4) The monthly gross and net income

eligibility standards for all areas will beprescribed in tables posted on the FNSweb site, at www.fns.usda.gov/fsp.* * * * *

(c) * * *(1) * * *(i) * * *



(F) Housing assistance paymentsmade through a State or local housingauthority;* * * * *

(d) * * *(1) Standard deduction. Effective

October 1, 1996, for each household inthe 48 contiguous States and the Districtof Columbia, Alaska, Hawaii, Guam andthe Virgin Islands of the United States,the standard deduction must be $134,$229, $189, $269, and $118,respectively.* * * * *

(8) Adjustment of shelter deduction.In the case of a household that does notcontain an elderly or disabledindividual, in the 48 contiguous Statesand the District of Columbia, Alaska,Hawaii, Guam and the Virgin Islands ofthe United States, the excess shelterexpense deduction must not exceed:

(i) For the period beginning August22, 1996, and ending on December 31,1996, $247, $429, $353, $300, and $182per month, respectively;

(ii) For the period beginning onJanuary 1, 1997, and ending onSeptember 30, 1998, $250, $434, $357,$304, and $184 per month, respectively;

(iii) For the period beginning onOctober 1, 1998, and ending onSeptember 30, 2000, $275, $478, $393,$334, and $203 per month, respectively;and

(iv) For the period beginning onOctober 1, 2000, and thereafter, $300,$521, $429, $364, and $221 per month,respectively.* * * * *

9. In § 273.10:a. Amend the last sentence of

paragraph (e)(4)(i) by removing thewords ‘‘a General Notice published inthe Federal Register’’ and adding intheir place the words ‘‘a table posted onthe FNS web site, at www.fns.usda.gov/fsp.’’

b. Revise paragraph (e)(4)(ii) to read asfollows:

§ 273.10 Determining household eligibilityand benefit levels.

* * * * *(e) * * *(4) * * *(ii) Adjustment. Effective October 1,

1996, the maximum food stampallotments must be based on 100% ofthe cost of the TFP as defined in § 271.2of this chapter for the preceding June,rounded to the nearest lower dollarincrement, except that on October 1,1996, the allotments may not fall belowthose in effect on September 30, 1996.* * * * *

§ 276.2 [Amended]

10. Remove the last two sentences ofparagraph (a) and paragraph (e) in itsentirety in § 276.2.

Dated: October 13, 2000.Shirley R. Watkins,Under Secretary, Food, Nutrition, andConsumer Services.[FR Doc. 00–27483 Filed 10–27–00; 8:45 am]BILLING CODE 3410–30–U


Farm Service Agency

7 CFR Part 723

Commodity Credit Corporation

7 CFR Part 1464

RIN 0560–AF86

2000 Marketing Quotas and PriceSupport Levels for Fire-Cured (Type21), Fire-Cured (Types 22–23), DarkAir-Cured (Types 35–36), Virginia Sun-Cured (Type 37), and Cigar-Filler andBinder (Types 42–44 and 53–55)Tobacco

AGENCIES: Farm Service Agency andCommodity Credit Corporation, USDA.ACTION: Final rule.

SUMMARY: The purpose of this rule is tocodify the national marketing quotasand price support levels for the 2000crops for several kinds of tobaccoannounced by press release on March 1,2000.

Quotas are necessary to adjust theproduction levels of certain tobaccos tomore fully reflect supply and demandconditions, as provided in the 1938 Act.EFFECTIVE DATE: March 1, 2000.FOR FURTHER INFORMATION CONTACT:Robert L. Tarczy, Tobacco and PeanutsDivision, FSA, USDA, STOP 0514, 1400Independence Avenue, SW,Washington, DC 20250–0514, telephone202–720–5346, e-mail address [email protected]. Copies of thecost-benefit assessment prepared for thisrule can be obtained from Mr. Tarczy.SUPPLEMENTARY INFORMATION:


This rule has been determined to besignificant and was reviewed by OMBunder Executive Order 12866.

Federal Assistance Program

The title and number of the FederalAssistance Program, as found in theCatalog of Federal Domestic Assistance,to which this rule applies, are

Commodity Loans and Purchases—10.051.


This final rule has been reviewed inaccordance with Executive Order 12988.The provisions of this rule do notpreempt State laws, are not retroactive,and do not involve administrativeappeals.

Regulatory Flexibility Act

It has been determined that theRegulatory Flexibility Act is notapplicable to this final rule since neitherthe Farm Service Agency (FSA) nor theCommodity Credit Corporation (CCC) isrequired by 5 U.S.C. 553 or any otherprovision of law to publish a notice ofproposed rulemaking with respect to thesubject of these determinations.

Paperwork Reduction Act

The amendments to 7 CFR parts 723and 1464 set forth in this final rule donot contain information collections thatrequire clearance by the Office ofManagement and Budget under theprovisions of 44 U.S.C. chapter 35.

Unfunded Federal Mandates

This rule contains no Federalmandates under the regulatoryprovisions of Title II of the UnfundedMandate Reform Act of 1995 (UMRA),for State, local, and tribal governmentsor the private sector. Thus, this rule isnot subject to the requirements ofsections 202 and 205 of the UMRA.

Statutory Background

This final rule is issued pursuant tothe provisions of the 1938 Act and the1949 Act.

In accordance with section 312 of the1938 Act, for tobaccos other than flue-cured tobacco and burley tobacco, theSecretary of Agriculture is required toproclaim not later than March 1 of anymarketing year (MY) a nationalmarketing quota for those tobaccos forwhich marketing quotas have beenapproved in the prior 3 years. Areferendum on quotas for each kind isheld every 3 years.

On March 1, 2000, the Secretarydetermined and announced the nationalmarketing quotas and price supportlevels for the 2000 crops of fire-cured(type 21), fire-cured (types 22–23), darkair-cured (types 35–36), Virginia sun-cured (type 37), and cigar-filler andbinder (types 42–44 and 53–55)tobaccos. A number of relateddeterminations were made at the sametime which this final rule affirms. And,because the 1999 MY was the last of 3consecutive years of quota for fire-cured(types 22–23) and dark air-cured (types



35–36) tobacco, the Secretary alsoannounced that referenda would beconducted by mail with respect to thosetobaccos.

During the period March 20–24, 2000,eligible producers of fire-cured (types21–23) and dark air-cured (types 35–36)tobaccos voted in separate referenda todetermine whether such producersapproved marketing quotas for the 2000,2001, and 2002 MYs for these tobaccos.Of the producers voting, 92.0 percentfavored marketing quotas for fire-cured(types 21–23) tobacco and 90.4 percentfavored quotas for dark air-cured (types35–36) tobaccos. Accordingly, quotasand price support for both fire-cured(types 21–23) and dark air-cured (types35–36) tobaccos are in effect for the2000 though 2002 MYs.

Quotas for the other tobaccos coveredby this notice were approved inreferenda and are still in effect.

Under the 1949 Act, price support isrequired to be made available for eachcrop of a kind of tobacco for whichmarketing quotas are in effect or forwhich marketing quotas have not beendisapproved by producers. With respectto the 2000 crops of the kinds of tobaccothat are the subject of this notice, therespective maximum levels of pricesupport for these kinds of tobacco isdetermined in accordance with section106 of the 1949 Act. Announcement ofthe price support levels for these fivekinds of tobacco are normally madebefore the planting seasons. Under theprovisions of Section 1108 (c), of Pub.L. 99–272, the price support levelannouncements do not require priorrulemaking. For the 2000 crops, theprice support announcements weremade on March 1, 2000, at the sametime the quota announcements weremade. Quota and price supportdeterminations for burley and flue-cured tobacco are made separately andare the subject of separate notices.

Statutory ProvisionsSection 312(b) of the 1938 Act

provides, in part, that the nationalmarketing quota for a kind of tobacco isthe total quantity of that kind of tobaccothat may be marketed such that a supplyof such tobacco equal to its reservesupply level is made available duringthe MY.

Section 313(g) of the 1938 Actprovides that the Secretary may convertthe national marketing quota into anational acreage allotment forapportionment to individual farms.Since producers of these kinds oftobacco generally produce considerablyless than their respective nationalacreage allotments allow, a larger quotais necessary to make available

production equal to the reserve supplylevel. Further, under section 312(b) ofthe 1938 Act, the amount of the nationalmarketing quota may, not later than thefollowing March 1, be increased by notmore than 20 percent over the straightformula amount if the Secretarydetermines that such increase isnecessary in order to meet marketdemands or to avoid undue restrictionof marketings in adjusting the totalsupply to the reserve supply level.

Section 301(b)(14)(B) of the 1938 Actdefines ‘‘reserve supply level’’ as thenormal supply, plus 5 percent thereof,to ensure a supply adequate to meetdomestic consumption and export needsin years of drought, flood, or otheradverse conditions, as well as in yearsof plenty. ‘‘Normal supply’’ is definedin section 301(b)(10)(B) of the 1938 Actas a normal year’s domesticconsumption and exports, plus 175percent of a normal year’s domestic useand 65 percent of a normal year’sexports as an allowance for a normalyear’s carryover.

Normal year’s domestic consumptionis defined in section 301(b)(11)(B) of the1938 Act as the average quantityproduced and consumed in the UnitedStates during the 10 MYs immediatelypreceding the MY in which suchconsumption is determined, adjusted forcurrent trends in such consumption.Normal year’s exports is defined insection 301(b)(12) of the 1938 Act as theaverage quantity produced in andexported from the United States duringthe 10 MYs immediately preceding theMY in which such exports aredetermined, adjusted for current trendsin such exports.

Also, under section 313(g) of the 1938Act, the Secretary is authorized toestablish a national reserve from thenational acreage allotment in an amountequivalent to not more than 1 percent ofthe national acreage allotment for thepurpose of making corrections in farmacreage allotments, adjusting forinequities, and for establishingallotments for new farms. The Secretaryhas determined that the nationalreserve, noted herein, for the 1999 cropof each of these kinds of tobacco isadequate for these purposes.

Press ReleaseOn February 14, 2000, a press release

was issued in which interested personswere requested to comment with respectto setting quotas for the kinds of tobaccoaddressed in this rule.

Discussion of Comments Received FromPress Release

Fifteen written responses werereceived during the comment period

which ended March 1, 2000. Asummary of these comments by kinds oftobacco follows:

(1) Fire-cured (type 21) tobacco. Onecomment was received, recommendinga 15-percent reduction in 2000 quotas.

(2) Fire-cured (types 22–23) tobacco.Five comments were received.

Recommendations ranged from a 5-percent to a 71⁄2-percent increase in MY2000 quotas.

(3) Dark air-cured (types 35–36)tobacco. Six comments were received.All recommended a 5-percent increasein the quota.

(4) Virginia sun-cured (type 37)tobacco. One comment was received,recommending no change in quota.

(5) Cigar-filler and binder (types 42–44 and 53–55) tobacco. Two commentswere received. One recommended a 15-percent reduction in quotas, while theother recommended a 20-percentreduction.

Quota and Related DeterminationsThe tobacco program is, through

assessments, operated at no net cost totaxpayers other than the costs commonto all price support operations.Accordingly, producer comments aregiven considerable weight in thisreview. Based on a review of thecomments received and the latestavailable statistics of the FederalGovernment, which are the mostreliable data available, the followingdeterminations were made for the fivekinds of tobacco.

(1) Fire-Cured (Type 21) Tobacco

The average annual quantity of fire-cured (type 21) tobacco produced in theUnited States that is estimated to havebeen consumed in the United Statesduring the 10 MYs preceding the 1999MY was approximately 1.0 millionpounds (farm sales weight basis). Theaverage annual quantity produced in theUnited States and exported from theUnited States during the 10 MYspreceding the 1999 MY was 1.7 millionpounds (farm sales weight basis). Bothdomestic use and exports have trendeddownward. Because of theseconsiderations, a normal year’sdomestic consumption has beendetermined to be 0.7 million pounds,and a normal year’s exports have beendetermined to be 1.62 million pounds.Application of the formula prescribedby section 301(b)(14)(B) of the 1938 Actresults in a reserve supply level of 4.8million pounds (farm sales weightbasis).

Manufacturers and dealers reportedstocks held on October 1, 1999, of 2.7million pounds. The 1999 crop isestimated to be 2.5 million pounds.



Therefore, total supply for the 1999 MYis 5.2 million pounds. During the 1999MY, it is estimated that disappearancewill total approximately 2.1 millionpounds. Deducting this disappearancefrom total supply results in a 2000 MYbeginning stock estimate of 3.1 millionpounds.

The difference between the reservesupply level and the estimatedcarryover on October 1, 2000, is 1.7million pounds. This represents thequantity that may be marketed whichwill make available during the 2000 MYa supply equal to the reserve supplylevel. More than 95 percent of theannounced national marketing quota isexpected to be produced. Accordingly,it has been determined that a 2000national marketing quota of 1.782million pounds is necessary to makeavailable production of 1.7 millionpounds. As permitted by section 312(b)of the 1938 Act, it was furtherdetermined that the 2000 nationalmarketing quota should be increased by20 percent over the normal formulaamount in order to avoid unduerestriction of marketings. Thisdetermination took into account the sizeof last year’s quota, the comments, thelong storage time for aging purposes forthis tobacco, and the possibility ofchanges in demand over expecteddemand. Thus, the national marketingquota for the 2000 crop is 2.138 millionpounds.

In accordance with section 313(g) ofthe 1938 Act, dividing the 2000 nationalmarketing quota of 2.138 millionpounds by the 1995–99, 5-year nationalaverage yield of 1,566 pounds per acreresults in a 2000 national acreageallotment of 1,365.26 acres.

Pursuant to the provisions of section313(g) of the 1938 Act, a nationalacreage factor of 0.85 is determined bydividing the national acreage allotmentfor the 2000 MY, less a national reserveof 5.58 acres, by the total of the 2000preliminary farm acreage allotments(previous year’s allotments). Thepreliminary farm acreage allotmentsreflect the factors specified in section313(g) of the 1938 Act for apportioningthe national acreage allotment, less thenational reserve, to old farms.

(2) Fire-Cured (Types 22–23) TobaccoThe average annual quantity of fire-

cured (types 22–23) tobacco producedin the United States that is estimated tohave been consumed in the UnitedStates during the 10 MYs preceding the1999 MY was approximately 19.8million pounds (farm sales weightbasis). The average annual quantityproduced in the United States andexported during the 10 MYs preceding

the 1999 MY was 15.6 million pounds(farm sales weight basis). Domestic usehas trended upward while exports havevaried. Because of these considerations,a normal year’s domestic consumptionhas been determined to be 29.9 millionpounds, and a normal year’s exportshave been determined to be 19.0 millionpounds. Application of the formulaprescribed by section 301(b)(14)(B) ofthe 1938 Act results in a reserve supplylevel of 119.3 million pounds (farmsales weight basis).

Manufacturers and dealers reportedstocks held on October 1, 1999, of 86.8million pounds. The 1999 crop isestimated to be 34.0 million pounds.Therefore, total supply for the 1999 MYis 120.8 million pounds. During the1999 MY, it is estimated thatdisappearance will total approximately40.0 million pounds. Deducting thisdisappearance from total supply resultsin a 2000 MY beginning stock estimateof 86.8 million pounds.

The difference between the reservesupply level and the estimatedcarryover on October 1, 2000, is 32.5million pounds. This represents thequantity that may be marketed that willmake available during the 2000 MY asupply equal to the reserve supply level.Over 90 percent of the announcednational marketing quota is expected tobe produced. Accordingly, it has beendetermined that a 2000 nationalmarketing quota of 35.75 millionpounds is necessary to make availableproduction of 32.5 million pounds.

Utilizing section 312(b) of the 1938Act, it was further determined for thesame reason as with fire-cured (type 21)tobacco, that the 2000 nationalmarketing quota should be increased by20 percent over the normal formulaamount in order to avoid unduerestriction of marketings. Thus, thenational marketing quota for the 2000crop is 42.9 million pounds.

In accordance with section 313(g) ofthe 1938 Act, dividing the 2000 nationalmarketing quota of 42.9 million poundsby the 1995–99, 5-year average yield of2,494 pounds per acre results in a 2000national acreage allotment of 17,201.28acres.


(3) Dark Air-Cured (Types 35–36)Tobacco

The average annual quantity of darkair-cured (types 35–36) tobaccoproduced in the United States that isestimated to have been consumed in theUnited States during the 10 MYspreceding the 1999 MY wasapproximately 9.1 million pounds. Theaverage annual quantity produced in theUnited States and exported from theUnited States during the 10 MYspreceding the 1999 MY was 1.2 millionpounds (farm sales weight basis). Bothdomestic use and exports have beenerratic. Because of these considerations,a normal year’s domestic consumptionhas been determined to be 11.3 millionpounds, and a normal year’s exportshave been determined to be 1.5 millionpounds. Application of the formulaprescribed by section 301(b)(14)(B) ofthe 1938 Act results in a reserve supplylevel of 35.3 million pounds.

Manufacturers and dealers reportedstocks held on October 1, 1999, of 24.0million pounds. The 1999 crop isestimated to be 10.6 million pounds.Therefore, total supply for the 1999 MYis 34.6 million pounds. During the 1999MY, it is estimated that disappearancewill total approximately 9.2 millionpounds. Deducting this disappearancefrom total supply results in a 2000 MYbeginning stock estimate of 25.4 millionpounds.

The difference between the reservesupply level and the estimatedcarryover on October 1, 2000, is 9.9million pounds. This represents thequantity that may be marketed that willmake available during the 2000 MY asupply equal to the reserve supply level.Over 90 percent of the announcednational marketing quota is expected tobe produced. Accordingly, it has beendetermined that a national marketingquota of 10.625 million pounds isnecessary to make available productionof 9.9 million pounds. In accordancewith section 312(b) of the 1938 Act, ithas been further determined that the2000 national marketing quota shouldbe increased by 20 percent over thenormal formula amount in order toavoid undue restriction of marketings.This determination took into accountthe same factors as with fire-cured (type21) tobacco and industry preferences.This results in a national marketingquota for the 2000 MY of 12.75 millionpounds.

In accordance with section 313(g) ofthe 1938 Act, dividing the 2000 nationalmarketing quota of 12.75 millionpounds by the 1995–99, 5-year averageyield of 2,187 pounds per acre results in



a 2000 national acreage allotment of5,829.90 acres.


(4) Virginia Sun-Cured (Type 37)Tobacco

The average annual quantity ofVirginia sun-cured (type 37) tobaccoproduced in the United States that isestimated to have been consumed in theUnited States during the 10 MYspreceding the 1999 MY wasapproximately 60,000 pounds. Theaverage annual quantity produced in theUnited States and exported from theUnited States during the 10 MYspreceding the 1999 MY wasapproximately 100,000 pounds (farmsales weight basis). Both domestic useand exports are erratic. Because of theseconsiderations, a normal year’sdomestic consumption has beendetermined to be 79,000 pounds, and anormal year’s exports have beendetermined to be 17,850 pounds.Application of the formula prescribedby section 301(b)(14)(B) of the 1938 Actresults in a reserve supply level of259,000 pounds.

Manufacturers and dealers reportedstocks held on October 1, 1999, of50,000 pounds. The 1999 crop isestimated to be 160,000 pounds.Therefore, total supply for the 1999 MYis 210,000 pounds. During the 1999 MY,it is estimated that disappearance willtotal approximately 80,000 pounds.Deducting this disappearance from totalsupply results in a 2000 MY beginningstock estimate of 130,000 pounds.

The difference between the reservesupply level and the estimatedcarryover on October 1, 1999, is 129,000pounds. This represents the quantitythat may be marketed that will makeavailable during the 1999 MY a supplyequal to the reserve supply level. Aboutthree-quarters of the announced

national marketing quota is expected tobe produced. Accordingly, it has beendetermined that a 2000 nationalmarketing quota of 171,000 pounds isnecessary to make available productionof 129,000 pounds. Thus, the nationalmarketing quota for the 2000 crop is171,000 pounds.

In accordance with section 313(g) ofthe 1938 Act, dividing the 2000 nationalmarketing quota of 171,000 pounds bythe 1995–99, 5-year average yield of1,407 pounds per acre results in a 2000national acreage allotment of 121.54acres.


(5) Cigar-Filler and Binder (Types 42–44and 53–55) Tobacco

The average annual quantity of cigar-filler and binder (types 42–44 and 53–55) tobacco produced in the UnitedStates that is estimated to have beenconsumed in the United States duringthe 10 MYs preceding the 1999 MY wasapproximately 10.3 million pounds. Theaverage annual quantity produced in theUnited States and exported from theUnited States during the 10 MYspreceding the 1999 MY was less than100,000 pounds (farm sales weight).Domestic use has trended downwardand exports are very small. Thus, anormal year’s domestic consumptionhas been determined to be 5.2 millionpounds, and a normal year’s exportshave been determined to be 70,000pounds. Application of the formulaprescribed by section 301(b)(14)(B) ofthe 1938 Act results in a reserve supplylevel of 15.1 million pounds.

Manufacturers and dealers reportedstocks held on October 1, 1999, of 14.3million pounds. The 1999 crop isestimated to be 2.8 million pounds.Therefore, total supply for the 1999 MYis 17.1 million pounds. During the 1999MY, it is estimated that disappearance

will total about 5.0 million pounds.Deducting this disappearance from totalsupply results in a 2000 MY beginningstock estimate of 12.1 million pounds.

The difference between the reservesupply level and the estimatedcarryover on October 1, 2000, is 3.0million pounds. This represents thequantity that may be marketed that willmake available during the 2000 MY asupply equal to the reserve supply level.About 80 percent of the announcednational marketing quota is expected tobe produced. Accordingly, it has beendetermined that a 2000 nationalmarketing quota of 3.64 million poundsis necessary to make availableproduction of 3.0 million pounds. Thisresults in a 2000 national marketingquota of 3.64 million pounds. Thisdetermination reflects that there areshort reserve supplies and takes intoaccount possible changes in expecteddemand and the fact that even with thisadjustment the 2000 quota will be lessthan the 1999 crop quota.

In accordance with section 313(g) ofthe 1938 Act, dividing the 2000 nationalmarketing quota of 3.64 million poundsby the 1995–99, 5-year average yield of2,139 pounds per acre results in a 2000national acreage allotment of 1,701.73acres.

Pursuant to the provisions of section313(g), of the 1938 Act, a national factorof 0.825 is determined by dividing thenational acreage allotment for the 2000MY, less a national reserve of 6.57 acres,by the total of the 2000 preliminary farmacreage allotments (previous year’sallotments). The preliminary farmacreage allotments reflect the factorsspecified in section 313(g) of the 1938Act for apportioning the nationalacreage allotment, less the nationalreserve, to old farms.

(6) Referendum Results for Fire-Cured(Types 21–23) and Dark Air-cured(Types 35–36) Tobaccos

Because of the results of the producerreferendum, marketing quotas shall bein effect for the 2000 MY for both fire-cured (types 21–23) and dark air-cured(types 35–36) tobaccos. In separatereferenda held March 20–24, 2000, 92.0percent of fire-cured producers and 90.4percent of dark air-cured producersvoted in favor of quotas.

REFERENDUM DATA

Kind of tobacco Totalvotes Yes votes No votes

%Yes

votes

Fire-cured (types 21–23) ......................................................................................................................... 5,229 4,809 420 92.0Dark Air-cured (types 35–36) .................................................................................................................. 5,295 4,785 510 90.4



Price Support

Statutory ProvisionsSection 106(f)(6)(A) of the 1949 Act

provides that the level of support for the2000 crop of a kind of tobacco (otherthan flue-cured and burley) shall be thelevel in cents per pound at which the1999 crop of such kind of tobacco wassupported, plus or minus, asappropriate, the amount by which thebasic support level for the 2000 crop, asit would otherwise be determined undersection 106(b) of the 1949 Act, is greateror less than the support level for the1999 crop, as it would otherwise bedetermined under section 106(b). To theextent that the price support levelwould be increased as a result of thatcomparison, section 106(f) provides thatthe increase may be modified using theprovisions of 106(d). Under 106(d), theSecretary may reduce the level ofsupport for grades the Secretarydetermines will likely be in excesssupply so long as the weighted level ofsupport for all grades maintains at least65 percent of the increase in the pricesupport (from the previous year). TheSecretary must consult with theappropriate tobacco associations andtake into consideration the supply, andanticipated demand for the tobacco,

including the effect of the action onother kinds of quota tobacco. Indetermining whether the supply of anygrade of any kind of tobacco of a cropwill be excessive, the Secretary isrequired to consider the domesticsupply, including domestic inventories,the amount of such tobacco pledged assecurity for price support loans, andanticipated domestic and exportdemand, based on the maturity,uniformity, and stalk position of suchtobacco.

Section 106(b) of the 1949 Actprovides that the ‘‘basic support level’’for any year is determined bymultiplying the support level for the1959 crop of such kind of tobacco by theratio of the average of the index ofprices paid by farmers, including wagerates, interest and taxes (referred to asthe ‘‘parity index’’) for the 3 previouscalendar years to the average index ofsuch prices paid by farmers, includingwage rates, interest and taxes for the1959 calendar year.

In addition, section 106(f)(6)(B) of the1949 Act provides that to the extentrequested by the board of directors of anassociation through which price supportis made available to producers(producer association), the Secretarymay reduce the support level

determined under section 106(f)(6)(A) ofthe 1949 Act for the respective kind oftobacco to more accurately reflect themarket value and improve themarketability of such tobacco.Accordingly, the price support level fora kind of tobacco set forth in this rulecould be reduced if such a request ismade.

Price Support Determinations

The following levels of price supportfor the 1999 crops of various kinds oftobacco, which were determined inaccordance with section 106(f)(6)(A) ofthe 1949 Act, are as follows:

Kind and type Support level(cents per pound)

Fire-cured (type 21) ........ 155.9Fire-cured (types 22–23) 171.6Dark air-cured (types 35–

36) ............................... 148.1Virginia sun-cured (type

37) ............................... 138.0Cigar-filler and binder

(types 42–44 and 53–55) ............................... 123.8

For the 2000 crop year:(1) Average parity indexes for

calendar year periods 1996–1998 and1997–1999 are as follows:

Year Index Year Index

1996 .......................................................................................... 1,531 1997 ......................................................................................... 1,5741997 .......................................................................................... 1,574 1998 ......................................................................................... 1,5321998 .......................................................................................... 1,532 1999 ......................................................................................... 1,537Average .................................................................................... 1,546 Average .................................................................................... 1,548

(2) Average parity index, calendaryear 1959 = 298.

(3) 1999 ratio of 1,546 to 298 = 5.19;2000 ratio of 1,548 to 298 = 5.19.

(4) Ratios times 1959 support levelsare as follows:

Kind and type of tobacco1959 support level Basic support level 1

Increase from1999 to 2000(¢/lb.) 1999 (¢/lb.) 2000 (¢/lb.)

Fire-cured (type 21) ................................................................. 38.8 200.2 200.2 0Fire-cured (types 22–23) ......................................................... 38.8 200.2 200.2 0Dark air-cured (types 35–36) ................................................... 34.5 178.0 178.0 0Virginia sun-cured (type 37) .................................................... 34.5 178.0 178.0 0Cigar-filler and binder (types 42–44, 53–55) ........................... 28.6 147.6 147.6 0

1 1999 ratio is 5.19, 2000 ratio is 5.19.

Accordingly, the following pricesupport determinations were announcedon March 1, 2000, for the 2000 crops ofthe tobaccos which are the subject ofthis notice:

Kind and type of tobacco Support level(cents per pound)

Fire-cured (type 21) ........ 155.9Fire-cured (types 22–23) 171.6Dark air-cured (types 35–

36) ............................... 148.1

Kind and type of tobacco Support level(cents per pound)

Virginia sun-cured (type37) ............................... 138.0

Cigar-filler and binder(types 42–44 and 53–55) ............................... 123.8

List of Subjects

7 CFR Part 723

Acreage allotments, Marketing quotas,Penalties, Reporting and recordkeepingrequirements, Cigarettes.

7 CFR Part 1464

Price supports, Tobacco.

Accordingly, 7 CFR parts 723 and1464 are amended to read as follows:



PART 723—TOBACCO

1. The authority citation for 7 CFRpart 723 continues to read as follows:

Authority: 7 U.S.C. 1301, 1311–1314,1314–1, 1314b, 1314b–1, 1314b–2, 1314c,1314d, 1314e, 1314f, 1314i, 1315, 1316, 1362,1363, 1372–75, 1421, 1445–1, and 1445–2.

2. Section 723.113 is amended byadding paragraph (h) to read as follows:

§ 723.113 Fire-cured (type 21) tobacco.

* * * * *(h) The 2000-crop national marketing

quota is 2.138 million pounds.3. Section 723.114 is amended by

adding paragraph (h) to read as follows:

§ 723.114 Fire-cured (types 22–23)tobacco.




§ 723.115 Dark air-cured (types 35–36)tobacco.




§ 723.116 Sun-cured (type 37) tobacco.


quota is 171,000 pounds.6. Section 723.117 is amended by


§ 723.117 Cigar-filler and binder (types 42–44 and 53–55) tobacco.


quota is 3.64 million pounds.

PART 1464—TOBACCO


Authority: 7 U.S.C. 1421, 1423, 1441, 1445,and 1445–1; 15 U.S.C. 714b and 714c.

8. Section 1464.13 is amended byadding paragraph (h) to read as follows:

§ 1464.13 Fire-cured (type 21) tobacco.

* * * * *(h) The 2000-crop national price

support level is 155.9 cents per pound.9. Section 1464.14 is amended by


§ 1464.14 Fire-cured (types 22–23)tobacco.




§ 1464.15 Dark air-cured (types 35–36)tobacco.




§ 1464.16 Virginia sun-cured (type 37)tobacco.




§ 1464.17 Cigar-filler and binder (types 42–44 and 53–55) tobacco.


support level is 123.8 cents per pound.Signed at Washington, DC, on October 20,

2000.Keith Kelly,Administrator, Farm Service Agency andExecutive Vice President, Commodity CreditCorporation.[FR Doc. 00–27716 Filed 10–27–00; 8:45 am]BILLING CODE 3410–05–P


Farm Service Agency

7 CFR Parts 718 and 729

Commodity Credit Corporation

7 CFR Part 1446

RIN 0560–AF61

Amendments to RegulationsGoverning the Peanut Poundage Quotaand Price Support Programs

AGENCIES: Farm Service Agency andCommodity Credit Corporation, USDA.ACTION: Final rule.

SUMMARY: The Commodity CreditCorporation (CCC) and Farm ServiceAgency (FSA) are adopting as a finalrule the provisions of an interim ruleissued February 18, 2000, which mademinor changes to regulations governingthe peanut poundage quota and pricesupport programs. The rule also makesa technical amendment to theregulations to reinstate complianceregulations that are applicable totolerance for peanut acreage reported asplanted. In addition, this rule makestechnical corrections which updateregulations dealing with appeals andwith imported peanuts.

This action is necessary to improvethe administration of the peanut quotaand price support programs.

DATES: Effective October 30, 2000.FOR FURTHER INFORMATION CONTACT:David Kincannon, (202) 720–7914.SUPPLEMENTARY INFORMATION:


For purposes of Executive Order12866, this rule was determined to benot significant and was not reviewed bythe Office of Management and Budget(OMB) under Executive Order 12866.


The Regulatory Flexibility Act is notapplicable to this interim rule becauseneither the FSA nor CCC is required by5 U.S.C. 553 or any other provision oflaw to publish a notice of proposedrulemaking with respect to the subjectmatter of this rule.

Environmental Evaluation

It has been determined by anenvironmental evaluation that thisaction will have no significant impacton the quality of the humanenvironment. Therefore, neither anEnvironmental Assessment nor anEnvironmental Impact Statement isneeded.

Unfunded Federal Mandates

This rule contains no Federalmandates under the regulatoryprovisions of Title II of the UnfundedMandate Reform Act of 1995 (UMRA),for State, local, and tribal governmentsor the private sector. Thus, this rule isnot subject to the requirements ofsections 202 and 205 of the UMRA.

Federal Assistance Program

The title and number of the FederalAssistance Program, as found in theCatalog of Federal Domestic Assistance,to which this interim rule applies are:Commodity Loans and Purchases—10.051.


This program is not subject to theprovisions of Executive Order 12372,which requires intergovernmentalconsultation with State and localofficials. See the Notice related to 7 CFRpart 3015, subpart V, published at 48 FR29115 (June 24, 1983).


This rule has been reviewed inaccordance with Executive Order 12988.The provisions of this rule do notpreempt State laws to the extent thatsuch laws are consistent with theprovisions of this rule. Before any legalaction may be brought regardingdeterminations of this rule, theadministrative appeal provisions set



forth at 7 CFR part 780 must beexhausted.

National Appeals Division Rules ofProcedure

The procedures set out in 7 CFR parts11 and 780 apply to appeals of adversedecisions made under the regulationsadopted in this rule.

Paperwork Reduction ActThe information collection reporting

requirements contained in theregulations at 7 CFR parts 729 and 1446include OMB Control Numbers 0560–0006 and 0560–0014 assigned by OMB.The 0560–0006 collection requirementshave been approved by OMB and the0560–0014 collection requirements havebeen forwarded for approval. Theprovisions of this rule do not imposenew reporting requirements or changesin existing information collectionrequirements.

BackgroundAn interim rule issued by CCC and

FSA on February 18, 2000, initiatedchanges to regulations at 7 CFR parts718, 729 and 1446 applicable to thepeanut poundage quota and pricesupport programs. The changes wererelatively minor and primarily clarifiedadministrative provisions. Somechanges corrected erroneous referencesand, in one case, restated a necessaryprovision inadvertently omitted inprevious rulemaking. Several changesprovided peanut producers greaterflexibility. The comment period expiredMarch 20. FSA received no comments tothe amendments made effective by theinterim rule. Accordingly, theprovisions of the interim rule have beenadopted as final amendments to theregulations.

In addition, this final rule amends§ 1446.416 to remove the specificreference to section 22 of theAgricultural Adjustment Act of 1933, asamended (1933 Act), to add referencesto other authority pursuant to which thePresident could temporarily suspendrestrictions on the importation ofpeanuts and to amend references to theNational Appeals Division that are nolonger applicable or appropriate due tostatutory and regulatory changes.

Suspension of Restrictions onImported Peanuts

Under Section 358e(f)(6) of theAgricultural Adjustment Act of 1938(1938 Act), it is provided thatnotwithstanding any other provision ofthe 1938 Act, if the President issues aproclamation under section 404(b) ofthe Uruguay Round Agreements Act (19USCS 3601(b)) expanding the quantityof peanuts subject to the in-quota rate of

duty under a tariff-rate quota, or undersection 22 of the AgriculturalAdjustment Act (7 U.S.C. 624),reenacted with amendments by theAgricultural Marketing Agreement Actof 1937, temporarily suspendingrestrictions on the importation ofpeanuts, the Secretary shall, subject tosuch terms and conditions as theSecretary may prescribe, permit ahandler, with the written consent of theproducer, to purchase additionalpeanuts from any producer whocontracted with the handler and to offerthe peanuts for sale for domestic edibleuse. That provision is administered, forthe peanut program, under 7 CFR1446.616 but until this notice, whichupdates the regulation, the onlystatutory provision referred to in theregulation was Section 22 of theAgricultural Adjustment Act. Thisnotice amends 1446.416 so that it willmore closely track the provision ofSection 358e(f)(6) of the 1938 Act.

Reductions of Penalties and Appeals

The National Appeals Division (NAD)was reorganized by the Federal CropInsurance Reform and Department ofAgriculture Reorganization Act of 1994(Pub. L. 103–345) (the Act) and madesubject to the general supervision of andpolicy direction of the Secretary ofAgriculture. As a result of thereorganization, a new part 11 was addedto 7 CFR Subtitle A to set forth theprovisions for program participants toseek review of an adverse decision. Theprovisions of 7 CFR 1446.704 no longeraccurately reflected the appeal processas set forth in the regulations at 7 CFRpart 11 applicable to NAD. In addition,there was no reference to the appealregulations at 7 CFR part 11.Accordingly, the provisions of§ 1446.704 are amended by this finalrule to address penalty reductions onlyand a new section, § 1446.705 is addedto direct the public to the appealregulations at 7 CFR parts 11 and 780.

Because no comments were receivedon the amendments implemented by theinterim rule and since the amendmentswere minor, clarifying andadministrative in nature, the interimrule published at 65 FR 8245 onFebruary 18, 2000, amending 7 CFRparts 718, 729 and 1446, is adopted bythis rule as final without change. Thechanges made are of administrativenature for clarification. We havedetermined that these changes shouldbe included in this final rule as a delayin implementation would be contrary tothe public interest.

List of Subjects

7 CFR Part 718

Acreage allotments, Drug trafficcontrol, Loan programs–agriculture,Marketing quotas, Price supportprograms, Reporting and recordkeepingrequirements.

7 CFR Part 729

Marketing quotas, Peanuts, Penalties,Reporting and recordkeepingrequirements.

7 CFR Part 1446

Loan programs-agriculture, Peanuts,Price support programs, Reporting andrecordkeeping requirements,Warehouses.

Accordingly, for the reasons set forthin the preamble, changes to 7 CFR parts718, 729 and 1446 as issued as aninterim rule are adopted as final withoutchange. In addition, part 1446 is furtheramended as follows:

PART 1446–PEANUTS

1. The authority citation for part 1446continues to read as follows:

Authority: 7 U.S.C. 7271; 15 U.S.C. 714band 714c.

§ 1446.416 [Amended]2. Section 1446.416 is amended by

removing the phrase ‘‘section 22 of theAgricultural Adjustment Act of 1933, asamended,’’ and adding the phrase‘‘Section 404(b) of the Uruguay RoundAgreements Act (19 USCS § 3601(b))expanding the quantity of peanutssubject to the in-quota rate of dutyunder a tariff-rate quota, or undersection 22 of the AgriculturalAdjustments Act (7 U.S.C. 624),reenacted with amendments by theAgricultural Marketing Agreement Actof 1937’’.

3. Section 1446.704 is revised to readas follows:

§ 1446.704 Reductions of penalties.

(a) Request for reconsideration. Ahandler who is dissatisfied with apenalty that has been assessed againstsuch handler by the CCC ContractingOfficer pursuant to this part may file awritten request for reconsideration orreduction of the penalty that has beenassessed. Such request must be madewithin 15 days after the date of thenotice of assessment.

(b) Reduction of penalties.(1) By CCC Contracting Officer. To the

extent permitted by the provisions ofparagraph (d) of this section, the CCCContracting Officer may reduce theamount of penalty that is otherwisedetermined or assessed in accordance



with this part. Such reduction may bemade before the penalty is assessed ormay be made during the course of anappeal.

(2) By the Executive Vice President,CCC. To the extent permitted by theprovisions of paragraph (d) of thissection, the Executive Vice President,CCC, or the Executive Vice President’sdesignee, may reduce the amount ofpenalty that has been assessed inaccordance with this part.

(c) Reduction criteria. A penalty thatis determined or assessed in accordancewith this part may be reduced by theCCC Contracting Officer or theExecutive Vice President, CCC, or theExecutive Vice President’s designee, ifsuch person determines that:

(1) The violation for which thepenalty was assessed was minor orinadvertent;

(2) A reduction in the amount of thepenalty would not impair the effectiveoperation of the peanut program; and

(3) The assessment of penalty was notmade for failure to export contractadditional peanuts.

(d) Reduction limits.(1) If the reduction criteria in

paragraph (c) of this section has beenmet, the CCC Contracting Officer or theExecutive Vice President, CCC, or theExecutive Vice President’s designee, asapplicable, may reduce the penalty bysuch amount as such person considersappropriate (including a full reductionof the entire penalty) after taking intoaccount the severity of the violation andthe violation history of the handler.

(2) If one of the criteria in paragraphs(c) (1) and (2) of this section has notbeen satisfied and the remaining criteriahas been satisfied, the penalty shall notbe reduced to less than an amountwhich is equal to 40 percent of thenational average quota support rate forthe applicable crop year times thequantity of peanuts involved in theviolation.

(3) There shall not be a limit on theamount by which an assessment ofliquidated damages may be reduced bythe CCC Contracting Officer or theExecutive Vice President, CCC, or theExecutive Vice President’s designee.

§ 1446.705 and 1446.706 [Redesignated assections 1446.706 and 1446.707]

4. Sections 1446.705 and 1446.706 areredesignated as 1446.706 and 1446.707and § 1446.705 is added to read asfollows:

§ 1446.705 Appeals.A handler may obtain reconsideration

and review of any adversedetermination made under this part inaccordance with the appeal regulations

found at 7 CFR parts 11 and 780 of thistitle.

Signed at Washington, D.C., on October 23,2000.Keith Kelly,Administrator, Farm Service Agency andExecutive Vice President, Commodity CreditCorporation.[FR Doc. 00–27715 Filed 10–27–00; 8:45 am]BILLING CODE 3410–05–P


Rural Business-Cooperative Service

Rural Utilities Service

7 CFR Part 4279

RIN 0570–AA31

Business and Industry GuaranteedLoan Program—Domestic LambIndustry Adjustment AssistanceProgram Set Aside

AGENCY: Rural Business-CooperativeService, USDA.ACTION: Interim final rule with requestfor comments.

SUMMARY: The Rural Business-Cooperative Service (RBS) is amendingits regulation for Business and IndustryLoans, as part of a U.S. Department ofAgriculture (USDA) initiative to assistthe ailing domestic lamb industry, toestablish a 3-year set aside of a portionof its Business and Industry (B&I)Guaranteed Loan Program funds tofinance real estate purchases andimprovements, working capital, debtrefinancing, and equipment in domesticlamb packing and processing plants.The intended effect of this rule is toenhance the lamb industry’s ability tocompete in the marketplace.DATES: The effective date of this interimrule is October 30, 2000. Written or e-mail comments must be received on orbefore December 29, 2000 to be assuredof consideration.ADDRESSES: Submit written commentsvia U.S. Postal Service, in duplicate, tothe Regulations and PaperworkManagement Branch, Attention: CherylThompson, Rural Development, U.S.Department of Agriculture, STOP 0742,1400 Independence Avenue, SW.,Washington, DC 20250–0742. Submitwritten comments via Federal ExpressMail, in duplicate, to the Regulationsand Paperwork Management Branch,Attention: Cheryl Thompson, USDA-Rural Development, 3rd Floor, 300 EStreet, SW., Washington, DC 20546.Also, comments may be submitted viathe Internet by addressing them to

‘‘[email protected].’’ Thecomment must contain the word‘‘Lamb’’ in the subject line. Allcomments will be available for publicinspection during regular work hours atthe 300 E Street, SW., address listedabove.

FOR FURTHER INFORMATION CONTACT:Roland Woodfolk, Commercial LoanSpecialist, Business ProgramsProcessing Division, Rural Business-Cooperative Service, U.S. Department ofAgriculture, STOP 3221, 1400Independence Avenue, SW.,Washington, D.C. 20250–3221,telephone (202) 690–3805, or by sendingan e-mail message to‘‘[email protected]’’.

SUPPLEMENTARY INFORMATION:

Classification

This interim final rule has beendetermined not significant and,therefore, has not been reviewed by theOffice of Management and Budget(OMB) under Executive Order 12866.

Programs Affected

The Catalog of Federal DomesticAssistance number for this programimpacted by this action is 10.768,Business and Industry Loans.

Intergovernmental Review

Business and Industry Guaranteedloans are subject to the provisions ofExecutive Order 12372, which requireintergovernmental consultation withState and local officials. RBS hasconducted or will conductintergovernmental consultation in themanner delineated in 7 CFR part 3015,subpart V, ‘‘Intergovernmental Reviewof Department of Agriculture Programsand Activities.’’

Civil Justice Reform

This interim rule has been reviewedunder Executive Order 12988, ‘‘CivilJustice Reform.’’ In accordance with thisrule: (1) All state and local laws andregulations that are in conflict with thisrule will be preempted, (2) noretroactive effect will be given this rule,and (3) administrative proceedings ofthe National Appeals Division (7 CFRpart 11) must be exhausted beforebringing suit in court challenging actiontaken under this rule.

Environmental Impact Statement

This document has been reviewed inaccordance with 7 CFR part 1940,subpart G, ‘‘Environmental Program.’’RBS has determined that this actiondoes not constitute a major Federalaction significantly affecting the qualityof the human environment, and, in



accordance with the NationalEnvironmental Policy Act of 1969, 42U.S.C. 4321 et seq., an EnvironmentalImpact Statement is not required.

Paperwork Reduction ActThere is no reporting and

recordkeeping requirements associatedwith this interim rule.

Unfunded MandatesTitle II of the Unfunded Mandates

Reform Act of 1995 (UMRA), 2 U.S.Cchapters 17A and 25, establishesrequirements for Federal agencies toassess the effects of their regulatoryactions on state, local, and tribalgovernments and the private sector.Under section 202 of the UMRA, RBSgenerally must prepare a writtenstatement, including a cost-benefitanalysis, for proposed and final ruleswith ‘‘Federal mandates,’’ that mayresult in expenditures to state, local, ortribal governments, in the aggregate, orto the private sector, of $100 million ormore in any 1 year. When such astatement is needed for a rule, section205 of UMRA generally requires RBS toidentify and consider a reasonablenumber of regulatory alternatives andadopt the least costly, more cost-effective, or least burdensomealternative that achieves the objectivesof the rule. This rule contains noFederal mandates (under the regulatoryprovisions of title II of the UMRA) forstate, local, and tribal governments orthe private sector. Thus, this rule is notsubject to the requirements of sections202 and 205 of UMRA.

Regulatory Flexibility ActIn compliance with the Regulatory

Flexibility Act, RBS has determined thatthis action would not have a significanteconomic impact on a substantialnumber of small entities, because theaction will not affect a significantnumber of small entities, as defined bythe Regulatory Flexibility Act (5 U.S.C.601). RBS made this determinationbased on the fact that this regulationonly impacts those who choose toparticipate in the program. Small entityapplicants will not be impacted to agreater extent than large entityapplicants.

Executive Order 13132It has been determined under

Executive Order 13132, ‘‘Federalism,’’that this rule does not have sufficientfederalism implications to warrant thepreparation of a Federalism Assessment.The provisions contained in this rulewill not have a substantial direct effecton states or their political subdivisionsor on the distribution of power and

responsibilities among the variouslevels of Government.

Immediate Effectiveness of This RuleIt has been determined that this rule

should be issued as an interim rule,effective immediately (October 30,2000), but subject to the modification onthe consideration of comments that aretimely received. As a result of theUnited States International TradeCommission findings in InvestigationNumber TA–201–68 on July 7, 1999, thePresident issued a declarationconcerning the lamb meat industry. Inresponse to that declaration, theSecretary of Agriculture isimplementing import relief andadjustment assistance measures using,among other things, USDA loanprograms to facilitate efforts of thedomestic lamb industry to compete withforeign lamb industries.

Market conditions have deterioratedsince 1997. Lamb producers have beensome of the hardest hit, suffering majorlosses during 1997 and 1998, due torecord high imports of low-price lambmeat; so there is a critical need forimmediate action. Furthermore, whilethe need for immediate assistance iscritical, potential harm to other parties,resulting from the issuance of this ruleas an interim rule, is expected to beminimal. Therefore, RBS hasdetermined that the notice and publicprocedure thereon are impracticable,unnecessary, and contrary to publicinterest.

Discussion of the Interim RuleThe purpose of the B&I Guaranteed

Loan Program is to improve, develop, orfinance business, industry, andemployment and improve the economicand environmental climate in ruralcommunities. This purpose is achievedby bolstering the existing private creditstructure through the guaranteeing ofquality loans that will provide lastingcommunity benefits.

The U.S. sheep industry lackscompetitive domestic lamb products atthe wholesale and retail levels toeffectively compete with importedproducts. Upgrading processing systemsto produce a consumer-ready product atthe retail level, that include attributessuch as modified atmosphere packaging,portion control, and pre-cooked items,will greatly enhance the domestic lambindustry’s ability to compete in themarketplace. B&I loans to upgrade,replace, and install new processing andpackaging equipment are eligible underexisting program regulations. As part ofa USDA initiative to target assistance tothe domestic lamb industry, the Agencyis setting aside a portion of the B&I

Guaranteed Loan Program funds tofinance real estate purchases andimprovements, working capital, debtrefinancing, and equipment in domesticlamb processing and packaging plants.This rule is intended to recognize theset aside of $15 million in fiscal year(FY) 2001, $5 million in FY 2002, and$5 million in FY 2003.

List of Subjects in 7 CFR Part 4279Loan programs—Business, Rural

areas.Therefore, chapter XLII, title 7, Code

of Federal Regulations, is amended asfollows:

PART 4279—GUARANTEEDLOANMAKING


Authority: 5 U.S.C. 301; 7 U.S.C 1989.

Subpart B—Business and IndustryLoans

2. Section 4279.175 is added to readas follows:

§ 4279.175 Domestic lamb industryadjustment assistance program set aside.

A 3-year set aside of B&I GuaranteedLoan Program funds has beenestablished in the National Office tofund loans to lamb processors for realestate purchases and improvements;working capital; debt refinancing; andupgrading, replacing, and installing newprocessing and packaging equipment fordomestic lamb packing and processingplants. The set aside is $15 million forFY 2001, $5 million for FY 2002, and $5million for FY 2003. These funds will beavailable through the third quarter ofeach respective year and, if not used,will revert for use in the generalprogram.

Dated: September 29, 2000.Jill Long Thompson,Under Secretary, Rural Development.[FR Doc. 00–27788 Filed 10–27–00; 8:45 am]BILLING CODE 3410–XY–P

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. 99–NE–29–AD; Amendment 39–11952; AD 2000–22–06]

RIN 2120–AA64

Airworthiness Directives; Pratt &Whitney JT8D Series Turbofan Engines

AGENCY: Federal AviationAdministration, DOT.



ACTION: Final rule.

SUMMARY: This amendment adopts anew airworthiness directive (AD),applicable to Pratt & Whitney (PW) JT8Dseries turbofan engines, that requiresinspections of main fuel pump controlshafts for excessive spline wear.Additionally, as terminating action tothe inspections, this action requires thereplacement of the main fuel pumpcontrol shaft with parts of improveddesign, and reworking the main fuelpump impeller, impeller gear train plateassembly, and impeller cover assembly.This amendment is prompted by reportsof failed main fuel pump control shaftscaused by excessive spline wear. Theactions specified by this AD areintended to prevent loss of enginethrottle control, uncommandedacceleration, uncommandeddeceleration or inflight shutdown,which could result in reduced airplanecontrol during a critical phase of flight.DATES: Effective December 4, 2000. Theincorporation by reference of certainpublications listed in the regulations isapproved by the Director of the FederalRegister as of December 4, 2000.ADDRESSES: The service informationreferenced in this AD may be obtainedfrom Pratt & Whitney, 400 Main St., EastHartford, CT 06108; telephone (860)565–8770, fax (860) 565–4503. Thisinformation may be examined at theFederal Aviation Administration (FAA),New England Region, Office of theRegional Counsel, 12 New EnglandExecutive Park, Burlington, MA; or atthe Office of the Federal Register, 800North Capitol Street, NW, suite 700,Washington, DC.FOR FURTHER INFORMATION CONTACT:Christopher Spinney, AerospaceEngineer, Engine Certification Office,FAA, Engine and Propeller Directorate,12 New England Executive Park,Burlington, MA 01803–5299; telephone(781) 238–7175, fax (781) 238–7199.SUPPLEMENTARY INFORMATION: Aproposal to amend part 39 of the FederalAviation Regulations (14 CFR part 39) toinclude an airworthiness directive (AD)that is applicable to Pratt & Whitney(PW) Models JT8D–1, –1A, –1B, –7,–7A, –7B, –9, –9A, –11, –15, –15A seriesturbofan engines was published in theFederal Register on May 5, 2000 (65 FR26152). That action proposed to requireinspections of main fuel pump controlshafts for excessive spline wear.Additionally, as terminating action tothe inspections, this proposal wouldrequire the replacement of the main fuelpump control shaft with parts ofimproved design, and reworking themain fuel pump impeller, impeller gear

train plate assembly, and impeller coverassembly.

Comments ReceivedInterested persons have been afforded

an opportunity to participate in themaking of this amendment. Dueconsideration has been given to thecomments received.

Use of PMA Part NumberOne comment requests that the FAA

clarify the AD to allow the use of a partsmanufacturer approved (PMA) part forthe new main fuel pump control shaft.The FAA agrees that the addition ofspecific part number language willclarifiy the requirements of the AD.Specific part number language has beenadded to paragraph (e) of the AD.

Request To Clarify Gearbox ChangeMaintenance

One comment asks the FAA to clarifythe requirements regarding a gearboxchange where the entire gearbox isremoved and the hardware, includingthe fuel pump, is transferred to thereplacement gearbox. The FAA does notagree that the inspection requirementsneed to be clarified. In the case of thegearbox change, the accessibility of themain fuel pump is clearly defined inparagraph (e)(1) of this AD and,therefore, requires the inspectionsdetailed in paragraph (a) of the AD.

Requests for Extension of Inspectionand Replacement Limits

Two comments request thatinspection and replacement intervals beextended or altered. One comment asksthat the FAA extend the overhaul limitfor main fuel pumps with more that12,000 hours TIS since overhaul from2000 hours TIS to 3000 hours TIS.Another comment requests that theoverhaul limit for a main fuel pumpwith over 12,000 TIS be extended to6,000 hours if a successful inspection isperformed on the pump. Extensions arerequested based on the impact theadditional fuel pump overhauls willhave on an operator’s fleet. The FAAagrees in part with these comments. Itis not the intent of this AD to place anyundue burden on an operator’s fleetmaintenance. The FAA understandsfrom these comments that someoperators would prefer to have analternative plan that precludesperforming the inspections and theassociated unplanned maintenance thatmay result from the inspection program.These operators would prefer to beproactive and to expedite the main fuelpump overhauls on a scheduled basis inorder to be fully compliant with therequired closing action of the AD, rather

than having to perform linemaintenance inspections. The FAA hasdetermined that this is an acceptableapproach and has added an optionalaccelerated fleet campaign program thatwill permit the closing action for the ADto be performed for the entire fleet withthe highest time main fuel pumps beingaddressed first. However, the FAArealizes that the optional plan still maynot satisfy the fleet impact concerns ofall operators. Operators who believe thatthe actions required by the AD are asignificant burden on their operationsand who can show that an alternativeplan meets the requirements ofparagraph (f) of this AD should submitthose plans in accordance with theinstructions of paragraph (f).

Request for Extension of the InitialInspection Threshold

A comment requests that the 1000hours TIS threshold time for conductingaccessibility inspections be extended.The FAA concurs and has extended theinitial inspection threshold to 3000hours TIS for main fuel pumps that havenot incorporated the reworked impeller,impeller gear train plate assembly andimpeller cover assembly. For main fuelpumps that have incorporated thereworked impeller, impeller gear trainplate assembly and impeller coverassembly the initial inspectionthreshold has been extended to 6000hours TIS. These changes are reflectedin paragraph (a) of this AD.

Change Terminating ActionOne comment recommends that the

reworked impeller, impeller gear trainplate assembly and impeller coverassembly be deemed terminating actionto the inspections of paragraphs (a) and(b). This comment asks that the FAAeliminate the replacement of the mainfuel pump control shaft as terminatingaction. The FAA agrees in part. TheFAA recognizes that partialincorporation of the terminating actionshas some benefit to the main fuel pumpcontrol shaft durability. However, theFAA does not agree that it should beterminating action to the inspections.Instead a relaxed inspection andreplacement schedule has been addedfor main fuel pumps that haveincorporated the reworked impeller,impeller gear train plate assembly andimpeller cover assembly. These changesare reflected in paragraphs (a)(1) and(c)(3)(iii) of this AD.

Modify Definition of AccessibilityOne comment suggests that, to be

consistent with the alert servicebulletin, the words ‘‘on the engine’’ beadded to the definition of accessibility.



The FAA agrees and has modified thedefinition in paragraph (e) for clarity.

Typographical Errors in ASBTwo comments point out several

typographical errors in ASB A6381. TheFAA agrees that some typographicalerrors may exist in the ASB, however,the errors will not prevent properexecution of the instructions in theASB. The alleged typographical errorswill be forwarded to the manufacturerfor possible corrections to later revisionsof the ASB.

Require Inspections at Shop Visits onlyOne comment states that the

accessibility inspection requirementsplace a burden on large complexmaintenance operations because of thevariety of possible locations and fuelpump exposures. The comment suggeststhat the FAA limit inspections to a shopvisit to reduce the training and toolingrequired for all of the line maintenancefacilities. The FAA agrees and hasadded an optional accelerated fleetcampaign in paragraph (d) of this AD foroperators who choose not to equip theirline maintenance facilities with thenecessary training and tooling toperform the inspections of this AD.

Removal of Engine ModelsOne comment requests that the FAA

remove JT8D–1, –1A and –1B modelsfrom the applicability section of the AD.The FAA does not agree. While theseparticular models are no longer believedto be operating, they are still listed onthe type certificate for the JT8D and, assuch, must be included in theapplicability section of the rule.

Removal of Backlash InspectionOne comment recommends removal

of the backlash inspection because ofthe possibility of missing a worn controlshaft. The FAA does not agree. While noinspection program can be 100%effective, this inspection minimizes thepossibility of a badly worn main fuelpump control shaft being returned toservice prior to being replaced at thenext overhaul.

Use of Argo-Tech Parts List NumberOne comment recommends that the

AD be changed to state that a certainArgo-Tech parts list number should bereferenced as terminating action to theinspections of the AD. The FAA doesnot agree that a change needs to bemade to the AD to reference the Argo-Tech parts list number. The certifiedparts list for an engine build is based onthe engine manufacturer’s part numbers.There is no top level part numberchange on the engine manufacturer’s top

level part number for the main fuelpump assembly, and, therefore, nochange in the AD compliance section.An operator may use the Argo-Techparts list number as long as they candemonstrate by the incorporation of thatnumber that the appropriatemaintenance actions required by the ADhave been complied with.

After careful review of the availabledata, including the comments notedabove, the FAA has determined that airsafety and the public interest require theadoption of the rule with the changesdescribed previously. The FAA hasdetermined that these changes willneither increase the economic burdenon any operator nor increase the scopeof the AD.

Economic Impact

There are approximately 5,800engines of the affected design in theworldwide fleet. The FAA estimates that2962 engines installed on aircraft of USregistry would be affected by thisproposed AD, that it would takeapproximately 0.3 work hours toperform the required inspections and0.5 hours per engine to accomplish thereplacements proposed at overhaul, andthat the average labor rate is $60 perwork hour. Required parts would costapproximately $3,996 per engine. Basedon these figures, the total cost impact ofthe proposed AD on US operators isestimated to be $11,978,328.

Regulatory Impact

This rule does not have federalismimplications, as defined in ExecutiveOrder 13132, because it would not havea substantial direct effect on the States,on the relationship between the nationalgovernment and the States, or on thedistribution of power andresponsibilities among the variouslevels of government. Accordingly, theFAA has not consulted with stateauthorities prior to publication of thisrule.

For the reasons discussed above, Icertify that this action (1) is not a‘‘significant regulatory action’’ underExecutive Order 12866; (2) is not a‘‘significant rule’’ under DOTRegulatory Policies and Procedures (44FR 11034, February 26, 1979); and (3)will not have a significant economicimpact, positive or negative, on asubstantial number of small entitiesunder the criteria of the RegulatoryFlexibility Act. A final evaluation hasbeen prepared for this action and it iscontained in the Rules Docket. A copyof it may be obtained from the RulesDocket at the location provided underthe caption ‘‘ADDRESSES.’’

List of Subjects in 14 CFR Part 39Air transportation, Aircraft, Aviation

safety, Incorporation by reference,Safety Adoption of the Amendment.

Accordingly, pursuant to theauthority delegated to me by theAdministrator, the Federal AviationAdministration amends part 39 of theFederal Aviation Regulations (14 CFRpart 39) as follows:

PART 39—AIRWORTHINESSDIRECTIVES


Authority: 49 U.S.C. 106(g), 40113, 44701.


adding the following new airworthinessdirective:2000–22–06 Pratt & Whitney: Amendment

39–11952. Docket No. 99–NE–29–AD.Applicability: Pratt & Whitney (PW)

Models JT8D–1, –1A, –1B, –7, –7A, –7B, –9,–9A, –11, –15, –15A turbofan engines,installed on but not limited to Boeing 727and 737 series, and McDonnell Douglas DC–9 series airplanes.

Note 1: This airworthiness directive (AD)applies to each engine identified in thepreceding applicability provision, regardlessof whether it has been modified, altered, orrepaired in the area subject to therequirements of this AD. For engines thathave been modified, altered, or repaired sothat the performance of the requirements ofthis AD is affected, the owner/operator mustrequest approval for an alternative method ofcompliance in accordance with paragraph (f)of this AD. The request should include anassessment of the effect of the modification,alteration, or repair on the unsafe conditionaddressed by this AD; and, if the unsafecondition has not been eliminated, therequest should include specific proposedactions to address it.

Compliance: Required as indicated, unlessaccomplished previously.

To prevent loss of engine throttle control,uncommanded acceleration, uncommandeddeceleration or inflight shutdown, whichcould result in reduced airplane controlduring a critical phase of flight, accomplishthe following:

Initial Inspection

(a) Inspect and, if necessary, replace themain fuel pump control shaft in accordancewith procedures and intervals described inparagraphs 1.B. and 1.C. of theAccomplishment Instructions of PW AlertService Bulletin (ASB) A6381, dated March15, 2000, as follows:

(1) For fuel pumps that have incorporatedthe modifications of paragraph (c)(1) but notthe modifications of paragraph (c)(2) as of theeffective date of this AD, perform the initialinspection at the next main fuel pumpaccessibility after accumulating 6000 hourstime in service (TIS) since last main fuelpump overhaul.



(2) For fuel pumps that have notincorporated the modifications of paragraph(c)(1) as of the effective date of this AD,perform the initial inspection at the nextmain fuel pump accessibility afteraccumulating 3000 hours TIS since last mainfuel pump overhaul.

Repetitive Inspections

(b) Thereafter, reinspect the main fuelpump control shaft and remove and replace,if necessary, in accordance with intervals andprocedures described in paragraphs 1.B. and1.C. of the Accomplishment Instructions ofPW ASB A6381, dated March 15, 2000.

Installation and Terminating Action

(c) At the next main fuel pump overhaulperform the following:

(1) Install a reworked impeller, impellergear train plate assembly and impeller cover

assembly in accordance with paragraph 2.Aof PW ASB A6381, dated March 15, 2000.

(2) Replace the main fuel pump controlshaft with a serviceable main fuel pumpcontrol shaft.

(3) The next main fuel pump overhaulmust occur no later than:

(i) 12,000 hours time in service (TIS) sincelast fuel pump overhaul; or

(ii) 2000 hours TIS from the effective dateof this AD; or

(iii) 3000 hours TIS from the effective dateof this AD, provided the main fuel pump hasincorporated the modifications of paragraph(c)(1) as of the effective date of this AD andthe inspection results from paragraph (a) ofthis AD are less than or equal to 15 degrees;whichever occurs latest.

(4) Modifications required by paragraph(c)(1) and (c)(2) of this AD constituteterminating action to the inspectionsrequired by paragraphs (a) and (b) of this AD.

Optional Fleet Campaign

(d) It is not necessary to perform theinspections required by paragraphs (a) and(b) or to adhere to the schedule of paragraph(c)(3) of this AD if the main fuel controlmodifications of paragraph (c)(1) and (c)(2)are performed throughout an operator’s fleetin accordance with the schedule of Table 1or Table 2 of this AD as follows:

(1) For fuel pumps that have incorporatedthe modifications of paragraph (c)(1) but notthe modifications of paragraph (c)(2) as of theeffective date of this AD, performmodifications in accordance with theschedule of Table 1.

(2) For fuel pumps that have notincorporated the modifications of paragraphs(c)(1) as of the effective date of this AD,perform the modification in accordance withthe schedule of Table 2.

TABLE 1.—OPTIONAL ACCELERATED FLEET CAMPAIGN SCHEDULE

[For engines that have incorporated the modifications of paragraph (c)(1) of this AD but not the modifications of paragraph (c)(2) of this AD as ofthe effective date of this AD]

Time in service since last main fuel pump overhaul: Perform modifications of paragraph (c)(2) of this AD:

Greater than or equal to 15,000 hours TIS on the effective date of thisAD.

Within 1,000 hours TIS from the effective date of this AD.

Greater than or equal to 12,000 hours and less than 15,000 hours TISon the effective date of this AD.


Greater than or equal to 8,000 hours and less then 12,000 hours TISon the effective date of this AD..


Less than 8,000 hours TIS on the effective date of this AD ................... Within 4,000 hours TIS from the effective date of this AD or 8,000 TISsince last main fuel pump overhaul, whichever occurs later.

TABLE 2.—OPTIONAL ACCELERATED FLEET CAMPAIGN SCHEDULE

[For engines that have NOT incorporated the modifications of paragraph (c)(1) of this AD as of the effective date of this AD]

Time in service since last main fuel pump overhaul: Perform modifications of paragraph (c)(1) and (c)(2) of this AD:

Greater than or equal to 12,000 hours TIS on the effective date of thisAD.






Less than 6,000 hours TIS on the effective date of this AD ................... Within 4,000 hours TIS from the effective date of this AD or 6,000hours TIS since last main fuel pump overhaul, whichever occurslater.

Definitions(e) For the purpose of this AD:(1) Accessibility of the main fuel pump is

defined as removal of the fuel control fromthe fuel pump on the engine or removal ofthe fuel pump from the engine.

(2) Main fuel pump overhaul is defined ascompliance with the manufacturer’srecommended overhaul procedures describedin Argo-Tech Overhaul Manual 73–11–1.

(3) A serviceable main fuel pump controlshaft is defined as Argo Tech part number219093 or Rogers Dierks part numberRD219093.

Alternative Methods of Compliance(f) An alternative method of compliance or

adjustment of the compliance time thatprovides an acceptable level of safety may beused if approved by the Manager, EngineCertification Office (ECO). Operators shallsubmit their request through an appropriateFAA Principal Maintenance Inspector, whomay add comments and then send it to theManager, ECO.

Note 2: Information concerning theexistence of approved alternative methods ofcompliance with this AD, if any, may beobtained from the ECO.

Ferry Flights

(g) Special flight permits may be issued inaccordance with sections 21.197 and 21.199of the Federal Aviation Regulations (14 CFR21.197 and 21.199) to operate the airplane toa location where the requirements of this ADcan be accomplished.

Incorporated by Reference

(h) The actions specified in this AD mustbe done in accordance with the followingPratt & Whitney Alert Service Bulletin:

Document no. Pages Revision Date

JT8D A6381 .......................................... All .......................... Original .................................................. March 15, 2000



Total pages: 14.This incorporation by reference wasapproved by the Director of the FederalRegister in accordance with 5 U.S.C. 552(a)and 1 CFR part 51. Copies may be obtainedfrom Pratt & Whitney, 400 Main St., EastHartford, CT 06108; telephone (860) 565–8770, fax (860) 565–4503. Copies may beinspected at the FAA, New England Region,Office of the Regional Counsel, 12 NewEngland Executive Park, Burlington, MA; orat the Office of the Federal Register, 800North Capitol Street, NW, suite 700,Washington, DC.

Effective Date of This AD

(i) This amendment becomes effective onDecember 4, 2000.

Issued in Burlington, Massachusetts, onOctober 20, 2000.Jay J. Pardee,Manager, Engine and Propeller Directorate,Aircraft Certification Service.[FR Doc. 00–27507 Filed 10–27–00; 8:45 am]BILLING CODE 4910–13–U



14 CFR Part 39

[Docket No. 2000–NM–202–AD; Amendment39–11951; AD 2000–22–05]

RIN 2120–AA64

Airworthiness Directives; ShortBrothers Model SD3–60 SHERPASeries Airplanes

AGENCY: Federal AviationAdministration, DOT.ACTION: Final rule.

SUMMARY: This amendment supersedesan existing airworthiness directive (AD),applicable to all Short Brothers ModelSD3–60 SHERPA series airplanes, thatcurrently requires a one-time visualinspection to determine the part numberof the power control cable assembliesand pulleys of the engine controls; andreplacement of the power control cableassemblies and pulleys (as applicable)with new parts, if necessary. Thisamendment requires accomplishment ofthe inspection and replacement inaccordance with revised procedures.This amendment is prompted byissuance of mandatory continuingairworthiness information by a foreigncivil airworthiness authority. Theactions specified by this AD areintended to prevent breakage of thepower control cable assemblies due tothe inflexible construction of the cable,which could result in loss of enginepower and consequent reducedcontrollability of the airplane.DATES: Effective December 4, 2000.

The incorporation by reference ofcertain publications listed in theregulations is approved by the Directorof the Federal Register as of December4, 2000.ADDRESSES: The service informationreferenced in this AD may be obtainedfrom Short Brothers, Airworthiness &Engineering Quality, P.O. Box 241,Airport Road, Belfast BT3 9DZ,Northern Ireland. This information maybe examined at the Federal AviationAdministration (FAA), TransportAirplane Directorate, Rules Docket,1601 Lind Avenue, SW., Renton,Washington; or at the Office of theFederal Register, 800 North CapitolStreet, NW., suite 700, Washington, DC.FOR FURTHER INFORMATION CONTACT:Norman B. Martenson, Manager,International Branch, ANM–116, FAA,Transport Airplane Directorate, 1601Lind Avenue, SW., Renton, Washington98055–4056; telephone (425) 227–2110;fax (425) 227–1149.SUPPLEMENTARY INFORMATION: Aproposal to amend part 39 of the FederalAviation Regulations (14 CFR part 39)by superseding AD 99–03–06,amendment 39–11020 (64 FR 5588,February 4, 1999), which is applicableto all Short Brothers Model SD3–60SHERPA series airplanes, was publishedin the Federal Register on June 30, 2000(65 FR 40549). The action proposed torequire a one-time inspection todetermine the part number of the powercontrol cable assemblies and pulleys ofthe engine controls; and replacement ofthe power control cable assemblies andpulleys (as applicable) with new parts,if necessary.

CommentsInterested persons have been afforded

an opportunity to participate in themaking of this amendment. Nocomments were submitted in responseto the proposal or the FAA’sdetermination of the cost to the public.

ConclusionThe FAA has determined that air

safety and the public interest require theadoption of the rule as proposed.

Cost ImpactThe FAA estimates that

approximately 28 airplanes of U.S.registry will be affected by this AD, thatit will take approximately 15 workhours per airplane to accomplish therequired actions, and that the averagelabor rate is $60 per work hour. Basedon these figures, the cost impact of theAD on U.S. operators is estimated to be$25,200, or $900 per airplane.

The cost impact figure discussedabove is based on assumptions that no

operator has yet accomplished any ofthe requirements of this AD action, andthat no operator would accomplishthose actions in the future if this ADwere not adopted. The cost impactfigures discussed in AD rulemakingactions represent only the timenecessary to perform the specific actionsactually required by the AD. Thesefigures typically do not includeincidental costs, such as the timerequired to gain access and close up,planning time, or time necessitated byother administrative actions.

Regulatory ImpactThe regulations adopted herein will

not have a substantial direct effect onthe States, on the relationship betweenthe national Government and the States,or on the distribution of power andresponsibilities among the variouslevels of government. Therefore, it isdetermined that this final rule does nothave federalism implications underExecutive Order 13132.

For the reasons discussed above, Icertify that this action (1) is not a‘‘significant regulatory action’’ underExecutive Order 12866; (2) is not a‘‘significant rule’’ under DOTRegulatory Policies and Procedures (44FR 11034, February 26, 1979); and (3)will not have a significant economicimpact, positive or negative, on asubstantial number of small entitiesunder the criteria of the RegulatoryFlexibility Act. A final evaluation hasbeen prepared for this action and it iscontained in the Rules Docket. A copyof it may be obtained from the RulesDocket at the location provided underthe caption ADDRESSES.


safety, Incorporation by reference,Safety.

Adoption of the Amendment




Authority: 49 U.S.C. 106(g), 40113, 44701.

§ 39.13 [Amended]

2. Section 39.13 is amended byremoving amendment 39–11020 (64 FR5588, February 4, 1999), and by addinga new airworthiness directive (AD),



amendment 39–11951, to read asfollows:2000–22–05 Short Brothers, PLC:

Amendment 39–11951. Docket 2000–NM–202–AD. Supersedes AD 99–03–06,Amendment 39–11020.

Applicability: All Model SD3–60 SHERPAseries airplanes, certificated in any category.

Note 1: This AD applies to each airplaneidentified in the preceding applicabilityprovision, regardless of whether it has beenmodified, altered, or repaired in the areasubject to the requirements of this AD. Forairplanes that have been modified, altered, orrepaired so that the performance of therequirements of this AD is affected, theowner/operator must request approval for analternative method of compliance inaccordance with paragraph (c) of this AD.The request should include an assessment ofthe effect of the modification, alteration, orrepair on the unsafe condition addressed bythis AD; and, if the unsafe condition has notbeen eliminated, the request should includespecific proposed actions to address it.


To prevent breakage of the power controlcable assemblies due to the inflexibleconstruction of the cable, which could resultin loss of engine power and consequent

reduced controllability of the airplane,accomplish the following:

Inspection and Corrective Actions

(a) At the next scheduled heavymaintenance inspection, but no later than1,200 flight hours after the effective date ofthis AD: Perform a one-time inspection todetermine the part number (P/N) of thepower control cable assemblies and pulleysof the engine controls, in accordance withPart A of the Accomplishment Instructions ofShorts Service Bulletin SD3–60 SHERPA–76–1, Revision 2, dated March 21, 2000.

(1) If any power control cable assemblyhaving P/N SD3–47–1091 or SD3–47–1094 isfound, prior to further flight, replace thepower control cable assembly with a newpower control cable assembly in accordancewith Part B of the AccomplishmentInstructions of the service bulletin.

(2) If any pulley having P/N C181605 isfound, prior to further flight, replace thepulley with a new pulley in accordance withPart C of the Accomplishment Instructions ofthe service bulletin.

Spares

(b) As of the effective date of this AD, noperson shall install on the engine controls ofany airplane a cable assembly having P/NSD3–47–1091 or SD3–47–1094, or any pulleyhaving P/N C181605.

Alternative Methods of Compliance

(c) An alternative method of compliance oradjustment of the compliance time thatprovides an acceptable level of safety may beused if approved by the Manager,International Branch, ANM–116, FAA,Transport Airplane Directorate. Operatorsshall submit their requests through anappropriate FAA Principal MaintenanceInspector, who may add comments and thensend it to the Manager, International Branch,ANM–116.

Note 2: Information concerning theexistence of approved alternative methods ofcompliance with this AD, if any, may beobtained from the Manager, InternationalBranch, ANM–116.

Special Flight Permits

(d) Special flight permits may be issued inaccordance with sections 21.197 and 21.199of the Federal Aviation Regulations (14 CFR21.197 and 21.199) to operate the airplane toa location where the requirements of this ADcan be accomplished.

Incorporation by Reference

(e) The actions shall be done in accordancewith Shorts Service Bulletin SD3–60SHERPA–76–1, Revision 2, dated March 21,2000, which contains the following list ofeffective pages:

Page No. Revision level shown on page Date shown onpage

1, 3, 4, 7, 13, 27 ...................................................................................... 2 ................................................................................. Mar. 21, 2000.2, 8, 10–12, 14–16, 23, 29 ...................................................................... 1 ................................................................................. Oct. 14, 1998.5, 6, 9, 17–22, 24–26, 28 ........................................................................ Original ....................................................................... July 1998.

This incorporation by reference wasapproved by the Director of the FederalRegister in accordance with 5 U.S.C. 552(a)and 1 CFR part 51. Copies may be obtainedfrom Short Brothers, Airworthiness &Engineering Quality, P.O. Box 241, AirportRoad, Belfast BT3 9DZ, Northern Ireland.Copies may be inspected at the FAA,Transport Airplane Directorate, 1601 LindAvenue, SW., Renton, Washington; or at theOffice of the Federal Register, 800 NorthCapitol Street, NW., suite 700, Washington,DC.

Effective Date

(f) This amendment becomes effective onDecember 4, 2000.

Issued in Renton, Washington, on October23, 2000.

Donald L. Riggin,Acting Manager, Transport AirplaneDirectorate, Aircraft Certification Service.[FR Doc. 00–27629 Filed 10–27–00; 8:45 am]

BILLING CODE 4910–13–U



14 CFR Part 39

[Docket No. 99–NM–376–AD; Amendment39–11949; AD 2000–22–03]

RIN 2120–AA64

Airworthiness Directives; RaytheonModel DH.125, Model HS.125, ModelBH.125, Model BAe.125 Series 800A(Including Major Variants C–29A andU1–25), Model Hawker 800, ModelHawker 800XP, and Model Hawker 1000Series Airplanes

AGENCY: Federal AviationAdministration, DOT.ACTION: Final rule.

SUMMARY: This amendment adopts anew airworthiness directive (AD),applicable to certain Raytheon ModelDH.125, Model HS.125, Model BH.125,Model BAe.125 Series 800A, ModelHawker 800, Model Hawker 800XP, andModel Hawker 1000 series airplanes,that requires leak checks andinspections for corrosion of the pitot/

static and stall vent drain valves, andreplacement of certain components, ifnecessary. This amendment is promptedby reports of plugged or taped drainvalves as well as consequent corrosionof certain drain valves. The actionsspecified by this AD are intended toprevent erroneous altimeter andairspeed indications due to plugged ortaped pitot/static and stall vent drainvalves.DATES: Effective December 4, 2000.

The incorporation by reference ofcertain publications listed in theregulations is approved by the Directorof the Federal Register as of December4, 2000.ADDRESSES: The service informationreferenced in this AD may be obtainedfrom Raytheon Aircraft Company,Manager-Service Engineering, HawkerCustomer Support Department, P. O.Box 85, Wichita, Kansas 67201–0085.This information may be examined atthe Federal Aviation Administration(FAA), Transport Airplane Directorate,Rules Docket, 1601 Lind Avenue, SW.,Renton, Washington; or at the FAA,Wichita Aircraft Certification Office,1801 Airport Road, Room 100, Mid-



Continent Airport, Wichita, Kansas; orat the Office of the Federal Register, 800North Capitol Street, NW., suite 700,Washington, DC.FOR FURTHER INFORMATION CONTACT: PaulDeVore, Aerospace Engineer, Systemsand Propulsion Branch, ACE–116W,FAA, Wichita, Kansas 67209; telephone316) 946–4142; fax (316) 946–4407.SUPPLEMENTARY INFORMATION: Aproposal to amend part 39 of the FederalAviation Regulations (14 CFR part 39) toinclude an airworthiness directive (AD)that is applicable to certain RaytheonModel DH.125, Model HS.125, ModelBH.125, Model BAe.125 Series 800A,Model Hawker 800, Model Hawker800XP, and Model Hawker 100 seriesairplanes was published in the FederalRegister on June 19, 2000 (65 FR 37922).That action proposed to require leakchecks and inspections for corrosion ofthe pitot/static and stall vent drainvalves, and replacement of certaincomponents, if necessary.

Comments

Interested persons have been affordedan opportunity to participate in themaking of this amendment. Nocomments were submitted in responseto the proposal or the FAA’sdetermination of the cost to the public.

Conclusion

The FAA has determined that airsafety and the public interest require theadoption of the rule as proposed.

Cost Impact

There are approximately 900airplanes of the affected design in theworldwide fleet. The FAA estimates that585 airplanes of U.S. registry will beaffected by this AD, that it will takeapproximately 4 work hours perairplane to accomplish the requiredactions, and that the average labor rateis $60 per work hour. Based on thesefigures, the cost impact of the AD onU.S. operators is estimated to be$140,400, or $240 per airplane.

The cost impact figure discussedabove is based on assumptions that nooperator has yet accomplished any ofthe requirements of this AD action, andthat no operator would accomplishthose actions in the future if this ADwere not adopted. The cost impactfigures discussed in AD rulemakingactions represent only the timenecessary to perform the specific actionsactually required by the AD. Thesefigures typically do not includeincidental costs, such as the timerequired to gain access and close up,planning time, or time necessitated byother administrative actions.

Regulatory Impact

The regulations adopted herein willnot have a substantial direct effect onthe States, on the relationship betweenthe national Government and the States,or on the distribution of power andresponsibilities among the variouslevels of government. Therefore, it isdetermined that this final rule does nothave federalism implications underExecutive Order 13132.

For the reasons discussed above, Icertify that this action (1) is not a‘‘significant regulatory action’’ underExecutive Order 12866; (2) is not a‘‘significant rule’’ under DOTRegulatory Policies and Procedures (44FR 11034, February 26, 1979); and (3)will not have a significant economicimpact, positive or negative, on asubstantial number of small entitiesunder the criteria of the RegulatoryFlexibility Act. A final evaluation hasbeen prepared for this action and it iscontained in the Rules Docket. A copyof it may be obtained from the RulesDocket at the location provided underthe caption ADDRESSES.

List of Subjects in 14 CFR Part 39

Air transportation, Aircraft, Aviationsafety, Incorporation by reference,Safety.

Adoption of the Amendment




Authority: 49 U.S.C. 106(g), 40113, 44701.

§ 39.13 [Amended]

2. Section 39.13 is amended byadding the following new airworthinessdirective:2000–22–03 Raytheon Aircraft Co. (Formerly

Beech): Amendment 39–11949. Docket99–NM–376–AD.

Applicability: Model DH.125, ModelHS.125, Model BH.125, Model BAe.125,Model Hawker 800, Model Hawker 800XP,and Model Hawker 1000 series airplanes; aslisted in Raytheon Aircraft Service BulletinSB 34–3207, dated August 1999; excludingthose airplanes on which all pitot/static drainvent valves have been modified with aninsert in accordance with Raytheon AircraftRepair Design Office instructions; certificatedin any category.

Note 1: This AD applies to each airplaneidentified in the preceding applicability

provision, regardless of whether it has beenotherwise modified, altered, or repaired inthe area subject to the requirements of thisAD. For airplanes that have been modified,altered, or repaired so that the performanceof the requirements of this AD is affected, theowner/operator must request approval for analternative method of compliance inaccordance with paragraph (f) of this AD. Therequest should include an assessment of theeffect of the modification, alteration, or repairon the unsafe condition addressed by thisAD; and, if the unsafe condition has not beeneliminated, the request should includespecific proposed actions to address it.


To prevent erroneous altimeter andairspeed indications due to plugged or tapedpitot/static and stall vent drain valves,accomplish the following:

Leak Tests

(a) Within 300 hours time-in-service afterthe effective date of this AD: Drain the pitot/static and stall vent drain valves, andperform a leak test of the systems, inaccordance with Raytheon Aircraft ServiceBulletin SB 34–3207, dated August 1999. Ifall drain valves are operating correctly andthe leak test is passed successfully,thereafter, repeat the leak test at intervals notto exceed 300 hours time-in-service.

Drain Valves Operative, Leak Test Failed

(b) If all drain valves are operative, but anyvalve does not pass the leak test required byparagraph (a) of this AD: Prior to furtherflight, accomplish the actions specified inparagraph (b)(1), (b)(2), or (b)(3) of this AD.

(1) Apply a temporary seal of the drainvalve(s) in accordance with RaytheonAircraft Service Bulletin SB 34–3223, datedAugust 1999. Within 300 hours time-in-service after the accomplishment of thetemporary seal, accomplish the requirementsof paragraph (b)(2) or (b)(3) of this AD.

(2) Replace the drain valve componentswith new or serviceable drain valvecomponents in accordance with RaytheonAircraft Service Bulletin SB 34–3207, datedAugust 1999, and perform the leak testspecified in paragraph (a) of this AD.Thereafter, repeat the requirements ofparagraph (a) of this AD at intervals not toexceed 300 hours time-in-service.

(3) Modify the drain valves in accordancewith Raytheon Aircraft Service Bulletin SB34–3282, dated August 1999. Thereafter,repeat the requirements of paragraph (a) ofthis AD at intervals not to exceed 300 hourstime-in-service unless all the drain valveshave been modified. Accomplishment of thismodification on ALL drain valves constitutesterminating action for the requirement toperform repetitive leak tests.

Drain Valves Inoperative

(c) If any drain valve is inoperative (e.g.,plugged or taped), whether or not any leakingis detected: Prior to further flight,disassemble the valve and clean allobstructions in accordance with RaytheonAircraft Service Bulletin SB 34–3207, datedAugust 1999, and perform a general visualinspection for corrosion of the drain valve.



Note 2: For the purposes of this AD, ageneral visual inspection is defined as: ‘‘Avisual examination of an interior or exteriorarea, installation, or assembly to detectobvious damage, failure, or irregularity. Thislevel of inspection is made under normallyavailable lighting conditions such asdaylight, hangar lighting, flashlight, ordroplight, and may require removal oropening of access panels or doors. Stands,ladders, or platforms may be required to gainproximity to the area being checked.’’

(d) If no corrosion of the drain valves isdetected, prior to further flight, perform theactions specified in either paragraph (d)(1) or(d)(2) of this AD at the time specified.

(1) Perform the leak test specified inparagraph (a) of this AD, and thereafter,repeat the leak test requirements at intervalsnot to exceed 300 hours time-in-service.

(2) Prior to further flight, modify anyinoperative valve in accordance withRaytheon Aircraft Service Bulletin SB 34–3282, dated August 1999. Thereafter, repeatthe leak test requirements of paragraph (a) ofthis AD at intervals not to exceed 300 hourstime-in-service. Modification of ALL thedrain valves constitutes terminating actionfor the requirement to perform repetitive leaktests.

(e) If any drain valve is corroded, prior tofurther flight: Inspect the connecting tubingfor corrosion and replace any corroded valveor tubing with a new or serviceable valve ortubing in accordance with Raytheon AircraftService Bulletin SB 34–3207, dated August1999. Accomplish the actions of paragraph(e)(1) or (e)(2) of the AD at the time specified.

(1) Prior to further flight, perform the leaktest specified in paragraph (a) of this AD, andthereafter, repeat the leak test requirementsof paragraph (a) of this AD at intervals notto exceed 300 hours time-in-service.

(2) Prior to further flight, modify anyreplaced drain valve in accordance withRaytheon Aircraft Service Bulletin SB 34–3282, dated August 1999. Thereafter, repeatthe leak test requirements of paragraph (a) ofthis AD at intervals not to exceed 300 hourstime-in-service. Modification of ALL thedrain valves constitutes terminating actionfor the requirement to perform repetitive leaktests.


(f) An alternative method of compliance oradjustment of the compliance time thatprovides an acceptable level of safety may beused if approved by the Manager, WichitaAircraft Certification Office (ACO), ACE–116W, FAA. Operators shall submit theirrequests through an appropriate FAAPrincipal Maintenance Inspector, who mayadd comments and then send it to theManager, Wichita ACO.

Note 3: Information concerning theexistence of approved alternative methods ofcompliance with this AD, if any, may beobtained from the Wichita ACO.

Special Flight Permit

(g) Special flight permits may be issued inaccordance with sections 21.197 and 21.199of the Federal Aviation Regulations (14 CFR21.197 and 21.199) to operate the airplane to

a location where the requirements of this ADcan be accomplished.

Incorporation by Reference(h) The actions shall be done in accordance

with Raytheon Aircraft Service Bulletin SB34–3207, dated August 1999; RaytheonAircraft Service Bulletin SB 34–3223, datedAugust 1999; or Raytheon Aircraft ServiceBulletin SB 34–3282, dated August 1999; asapplicable. This incorporation by referencewas approved by the Director of the FederalRegister in accordance with 5 U.S.C. 552(a)and 1 CFR part 51. Copies may be obtainedfrom Raytheon Aircraft Company, Manager-Service Engineering, Hawker CustomerSupport Department, P. O. Box 85, Wichita,Kansas 67201–0085. Copies may be inspectedat the FAA, Transport Airplane Directorate,1601 Lind Avenue, SW., Renton,Washington; or at the FAA, Wichita AircraftCertification Office, 1801 Airport Road,Room 100, Mid-Continent Airport, Wichita,Kansas; or at the Office of the FederalRegister, 800 North Capitol Street, NW., suite700, Washington, DC.

Effective Date

(i) This amendment becomes effective onDecember 4, 2000.

Issued in Renton, Washington, on October23, 2000.Donald L. Riggin,Acting Manager, Transport AirplaneDirectorate, Aircraft Certification Service.[FR Doc. 00–27631 Filed 10–27–00; 8:45 am]BILLING CODE 4910–13–U

DEPARTMENT OF HEALTH ANDHUMAN SERVICES

Food and Drug Administration

21 CFR Part 172

[Docket No. 92F–0305]

Food Additives Permitted for DirectAddition to Food for HumanConsumption; Polydextrose

AGENCY: Food and Drug Administration,HHS.ACTION: Final rule.

SUMMARY: The Food and DrugAdministration (FDA) is amending thefood additive regulations to provide forthe safe use of polydextrose as a bulkingagent, texturizer, or both intablespreads. This action is in responseto a petition filed by Pfizer, Inc.DATES: This rule is effective October 30,2000. Submit written objections andrequests for a hearing by November 29,2000.ADDRESSES: Submit written objections tothe Dockets Management Branch (HFA–305), Food and Drug Administration,5630 Fishers Lane, rm. 1061, Rockville,MD 20852.

FOR FURTHER INFORMATION CONTACT:Rosalie M. Angeles, Center for FoodSafety and Applied Nutrition (HFS–206), Food and Drug Administration,200 C St. SW., Washington, DC 20204,202–418–3107.SUPPLEMENTARY INFORMATION:

I. Introduction

In a notice published in the FederalRegister of August 24, 1992 (57 FR38311), FDA announced that a foodadditive petition (FAP 2A4332) hadbeen filed by Pfizer, Inc., 235 East 42dSt., New York, NY 10017–5755. Pfizer,Inc., subsequently announced the sale ofthe Pfizer Food Science Group and thetransfer of the petition to Cultor FoodScience, Inc., 430 Saw Mill River Rd.,Ardsley, NY 10502. Recently, thepetitioner announced a name changefrom Cultor Food Science, Inc., toDanisco Cultor America, Inc. (Danisco),to reflect the acquisition of the companyby Danisco. The petition proposed toamend the food additive regulations in§ 172.841 Polydextrose (21 CFR 172.841)to provide for the safe use ofpolydextrose as a bulking agent,texturizer, or both in tablespreads.

Polydextrose is intended to replacefully caloric ingredients and to producereduced- or lower calorie and/or lower-fat tablespreads. The proposed use levelof polydextrose in tablespreads is 5 to12 percent with the weighted mean uselevel estimated to be 8.5 percent. Thepetitioner contends that this use levelmakes possible the formulation oflower-calorie tablespreads that comparefavorably with prototypes that containno polydextrose. The petitionersubmitted data to substantiate this claimand to demonstrate that the use ofpolydextrose in tablespreads istechnologically self-limiting (Ref. 1).

II. Conclusions

FDA estimated that the meanconsumption of polydextrose from theproposed use in tablespread is 0.7 gramper person per day (g/p/d). The agencyconsiders this consumptioninsignificant compared to the estimatedcumulative intake of polydextrose of17.5 g/p/d from all currently regulateduses of the additive. Therefore, FDAconcludes that there will be a negligibleincrease in dietary exposure topolydextrose from the issuance of thisamendment to the regulation (Ref. 2).

FDA has evaluated data in thepetition and other relevant material inits files. Based on this information, theagency concludes that: (1) The proposedfood additive use is safe, (2) the additivewill achieve its intended technicaleffect, and therefore, (3) the regulation



in § 172.841 should be amended as setforth below.

In accordance with § 171.1(h) (21 CFR171.1(h)), the petition and thedocuments that FDA considered andrelied upon in reaching its decision toapprove the petition are available forinspection at the Center for Food Safetyand Applied Nutrition by appointmentwith the information contact personlisted above. As provided in § 171.1(h),the agency will delete from thedocuments any materials that are notavailable for public disclosure beforemaking the documents available forinspection.

On June 1, 1998, the Presidentdirected all Federal agencies to use‘‘plain language’’ in all new documents.In compliance with this directive, FDAhas drafted its amendment to § 172.841using the principles of ‘‘plain language’’set forth by the President. In amendingthe regulation, the agency is also makingan editorial change by alphabetizing thelist of regulated uses of polydextrose.

III. Environmental ImpactIn the notice of filing, FDA gave

interested parties an opportunity tosubmit comments on the petitioner’senvironmental assessment. The agencyreceived no comments in response tothat notice.

The agency has carefully consideredthe potential environmental effects ofthis rule. FDA has concluded that theaction will not have a significant impacton the human environment and that anenvironmental impact statement is notrequired. The agency’s finding of nosignificant impact and the evidencesupporting that finding, contained in anenvironmental assessment, may be seenin the Dockets Management Branch(address above) between 9 a.m. and 4p.m., Monday through Friday.

IV. Paperwork Reduction Act of 1995This final rule contains no collection

of information. Therefore, clearance bythe Office of Management and Budgetunder the Paperwork Reduction Act of1995 is not required.

V. ObjectionsAny person who will be adversely

affected by this regulation may at anytime file with the Dockets ManagementBranch (address above) writtenobjections by November 29, 2000. Eachobjection shall be separately numbered,and each numbered objection shallspecify with particularity the provisionsof the regulation to which objection ismade and the grounds for the objection.Each numbered objection on which ahearing is requested shall specifically sostate. Failure to request a hearing for

any particular objection shall constitutea waiver of the right to a hearing on thatobjection. Each numbered objection forwhich a hearing is requested shallinclude a detailed description andanalysis of the specific factualinformation intended to be presented insupport of the objection in the eventthat a hearing is held. Failure to includesuch a description and analysis for anyparticular objection shall constitute awaiver of the right to a hearing on theobjection. Three copies of all documentsare to be submitted and are to beidentified with the docket numberfound in brackets in the heading of thisdocument. Any objections received inresponse to the regulation may be seenin the Dockets Management Branchbetween 9 a.m. and 4 p.m., Mondaythrough Friday.

VI. ReferenceThe following references have been

placed on display in the DocketsManagement Branch (address above)and may be seen by interested personsbetween 9 a.m. and 4 p.m., Mondaythrough Friday.

1. Memorandum dated December 2, 1992,from the Division of Product Manufactureand Use to the Division of Petition Control,‘‘FAP 2A4332: Pfizer, Inc., Polydextrose inTablespreads, Technologically Self-limitingLevel, Submission of 11–12–92.’’

2. Memorandum dated September 30,1992, from the Division of ProductManufacture and Use to the Division ofPetition Control, ‘‘FAP 2A4332 (MATS #658):Pfizer, Inc., Polydextrose as a Bulking Agent/Texturizer in Tablespreads, Submission of 6–22–92.’’

List of Subjects in 21 CFR Part 172Food additives, Reporting and

recordkeeping requirements.Therefore, under the Federal Food,

Drug, and Cosmetic Act and underauthority delegated to the Commissionerof Food and Drugs and redelegated tothe Director, Center for Food Safety andApplied Nutrition, 21 CFR part 172 isamended as follows:

PART 172—FOOD ADDITIVESPERMITTED FOR DIRECT ADDITIONTO FOOD FOR HUMANCONSUMPTION


Authority: 21 U.S.C. 321, 341, 342, 348,371, 379e.

2. Section 172.841 is amended byrevising paragraph (c) to read as follows:

§ 172.841 Polydextrose.* * * * *

(c) Polydextrose is used in accordancewith current good manufacturing

practice as a bulking agent, formulationaid, humectant, and texturizer in thefollowing foods when standards ofidentity established under section 401of the act do not preclude such use:

(1) Baked goods and baking mixes(restricted to fruit, custard, andpudding-filled pies; cakes; cookies; andsimilar baked products);

(2) Chewing gum;(3) Confections and frostings;

dressings for salads;(4) Film coatings on single and

multiple vitamin and mineralsupplement tablets;

(5) Frozen dairy desserts and mixes;(6) Fruit spreads;(7) Gelatins, puddings and fillings;(8) Hard and soft candy;(9) Peanut spread;(10) Sweet sauces, toppings, and

syrups; and(11) Tablespreads.

* * * * *Dated: October 20, 2000.

L. Robert Lake,Director of Regulations and Policy, Centerfor Food Safety and Applied Nutrition.[FR Doc. 00–27734 Filed 10–27–00; 8:45 am]BILLING CODE 4160–01–F



21 CFR Part 179

[Docket No. 99F–673]

Irradiation in the Production,Processing and Handling of Food


SUMMARY: The Food and DrugAdministration (FDA) is amending thefood additive regulations to provide forthe safe use of ionizing radiation tocontrol microbial pathogens in seeds forsprouting. This action is in response toa petition filed by Caudill Seed Co., Inc.DATES: This regulation is effectiveOctober 30, 2000. Submit writtenobjections and requests for a hearing byNovember 29, 2000.ADDRESSES: Submit written objections tothe Dockets Management Branch (HFA–305), Food and Drug Administration,5630 Fishers Lane, rm. 1061, Rockville,MD 20852.FOR FURTHER INFORMATION CONTACT:Lane A. Highbarger, Center for FoodSafety and Applied Nutrition (HFS–206), Food and Drug Administration,200 C St. SW., Washington, DC 20204,202–418–3032.




I. BackgroundIn a notice published in the Federal

Register of August 16, 1999 (64 FR44530), FDA announced that a foodadditive petition (FAP 9M4673) hadbeen filed by Caudill Seed Co., Inc.,1402 West Main St., Louisville, KY40203. The petitioner proposed that thefood additive regulations in part 179Irradiation in the Production, Processingand Handling of Food (21 CFR part 179)be amended to provide for the safe useof sources of ionizing radiation tocontrol microbial pathogens in alfalfaand other sprouting seeds.

II. Safety EvaluationUnder section 201(s) of the Federal

Food, Drug, and Cosmetic Act (21 U.S.C.321(s)), a source of radiation used totreat food is defined as a food additive.The additive is not, literally, added tofood. Instead, a source of radiation isused to process or treat food such that,analogous to other food processes, itsuse can affect the characteristics of thefood. In the subject petition, theintended technical effect is a change inthe microbial load of the food,specifically, a reduction in the numberof microbial pathogens in or on seedsfor sprouting.

The petitioner submitted publishedarticles and other study reportscontaining data and information relatedto seeds for sprouting and other kindsof food in the areas of radiationchemistry, nutrition, toxicology, andmicrobiology. FDA has fully consideredthe data and studies submitted in thepetition as well as other information inits files relevant to the safety andnutritional adequacy of seeds treatedwith ionizing radiation prior tosprouting.

The effects of ionizing radiation onthe characteristics of treated foods are adirect result of the chemical reactionsinduced by the absorbed radiation.Scientists have compiled a large body ofdata regarding the effects of ionizingradiation on different foods undervarious conditions of irradiation.Research has established that the typesand amounts of products generated byradiation-induced chemical reactions(‘‘radiolysis products’’) depend on thechemical constituents of the food andon the conditions of irradiation.Furthermore, the principles of radiationchemistry govern the extent of changes,if any, both in the nutrient levels and inthe microbial load of irradiated foods.Key factors include the specific nutrientor microorganism of interest, the food,and the conditions of irradiation. Seethe agency’s final rule permitting the

irradiation of meat for FDA’s discussionof radiation chemistry, nutrition,toxicology, and microbiology related toirradiation of foods under variousconditions of use (62 FR 64107,December 3, 1997).

FDA has reviewed the relevant dataand information submitted in thepetition regarding radiation chemistryas it applies to seeds for sprouting, aswell as data readily available and in theagency’s files. FDA has concluded thatthe concentrations and types ofradiolysis products formed by theirradiation of seeds for sprouting will becomparable to those products producedby the irradiation of foods of similarcomposition (Ref. 1). Most of theseradiolysis products are formed in verysmall amounts and are either the sameas, or structurally similar to, compoundsfound in foods that have not beenirradiated. Thus, the chemicalcomposition of sprouts grown fromirradiated seeds will not differ in anysignificant manner from sprouts grownfrom seeds that have not beenirradiated.

This petition contained no toxicitystudies on the sprouts grown fromirradiated seeds. Nonetheless, a reviewof the agency’s data base and submittedpublished references of toxicologicalstudies related to irradiated foods,combined with the fact that onlynegligible amounts of radiolysisproducts are expected to be present inthe sprouts that are grown fromirradiated seeds for sprouting, show thatthe estimated exposure of an individualto these radiolytic products will benegligible. Therefore, FDA hasdetermined that no toxicity concerns areraised from the petitioned use ofirradiation on seeds for sprouting (Ref.2).

The purported technical effect ofirradiating seeds for sprouting is tocontrol the level of microbial pathogens.FDA evaluated data on the relationbetween various doses of radiation andthe reduction of detectable levels ofcoliforms generally, and Escherichiacoli 0157:H7 and Salmonella serotypeStanley specifically. The petitionerfound that, depending on the pathogenand other factors, between 3 and 5KiloGray (kGy) of irradiation wouldreduce the amount of pathogens tobelow detectable levels (Ref. 3). Toaccommodate the uncertainty ofirradiation treatment and dose variationdue to absorption by the target, thepetitioner requested a maximumirradiation dose of 8 kGy. The agencyhas determined that irradiation of seedsfor sprouting at levels up to 8 kGy willhave the desired effect of controlling the

levels of microbial pathogens on seedsfor sprouting (Ref. 3).

Regarding the nutritional aspects ofirradiating seeds for sprouting, it is welldocumented that protein, fat, andminerals are not significantly altered byirradiation within the given dose rangerequested in this petition (Ref. 2). Thepetitioner evaluated the potential loss ofvitamins from irradiation of seeds forsprouting. Although there was a greatdeal of variability in vitamin levels ofthe seeds tested (e.g., in studiessubmitted by the petitioner, vitamin Acontent of sprouts grown from controlseeds was actually lower than that forsprouts grown from irradiated seeds),researchers did not observe anysignificant losses of any of the vitaminsin the resultant sprouts (up to 6 kGy)when compared to nonirradiatedcontrols. Any loss of vitamins, even ifit occurs, is expected to beinconsequential when compared to totaldietary nutrient consumption (Ref. 2).FDA therefore concludes, based on allthe evidence before it, that irradiation ofseeds for sprouting under the conditionsset forth in the regulation below will nothave an adverse impact on thenutritional adequacy of a person’s diet.

III. LabelingFDA has also considered whether

irradiated seeds for sprouting andsprouts grown from such seeds mustbear special labeling. In particular, FDAevaluated the application of § 179.26(c)(21 CFR 179.26(c)) to these products.

A. Seeds for SproutingSince any permissible use of ionizing

radiation on seeds for sprouting must bein conformance with § 179.26(b), thelabel and labeling of such seeds forsprouting must comply with therequirements in § 179.26(c).

B. Sprouts Grown From Irradiated Seedsfor Sprouting

It is important to recognize that in theuse of radiation that is the subject of thisrule, the irradiated article is not what isgenerally eaten because the unsproutedseeds are not normally consumed.While irradiation of the seeds forsprouting may cause some changes inthe seed (for example, reduced viabilityof sprouting), the nutritional and flavorcharacteristics of the sprouts will derivefrom the fact that they were grown andnot from the fact that the seeds wereprocessed by irradiation. Moreover, theagency has no reason to believe thatsprouts grown from irradiated seeds willdiffer in their sensory characteristicsfrom sprouts grown from seeds thathave not been irradiated. Therefore, theagency concludes that sprouts grown



from seeds that have been irradiatedneed not be labeled as treated byirradiation where the sproutsthemselves have not been irradiated.

Based on the data and studiessubmitted in the petition and otherinformation in the agency’s files, FDAconcludes that: (1) The proposed use ofirradiation on seeds for sprouting atlevels not to exceed 8 kGy is safe, (2) theirradiation will achieve its intendedtechnical effect, and therefore, (3) theregulations in § 179.26 should beamended as set forth below.

In accordance with § 171.1(h) (21 CFR171.1(h)), the petition and thedocuments that FDA considered andrelied upon in reaching its decision toapprove the petition are available forinspection at the Center for Food Safetyand Applied Nutrition by appointmentwith the information contact personlisted above. As provided in § 171.1(h),the agency will delete from thedocuments any materials that are notavailable for public disclosure beforemaking the documents available forinspection.

This final rule contains no collectionsof information. Therefore, clearance bythe Office of Management and Budgetunder the Paperwork Reduction Act of1995 is not required.

IV. Environmental Impact

The agency has determined under 21CFR 25.32(j) that this action is of a typethat does not individually orcumulatively have a significant effect onthe human environment. Therefore,neither an environmental assessment

nor an environmental impact statementis required.

V. ObjectionsAny person who will be adversely

affected by this regulation may at anytime file with the Dockets ManagementBranch (address above) writtenobjections by November 29, 2000. Eachobjection shall be separately numbered,and each numbered objection shallspecify with particularity the provisionsof the regulation to which objection ismade and the grounds for the objection.Each numbered objection on which ahearing is requested shall specifically sostate. Failure to request a hearing forany particular objection shall constitutea waiver of the right to a hearing on thatobjection. Each numbered objection forwhich a hearing is requested shallinclude a detailed description andanalysis of the specific factualinformation intended to be presented insupport of the objection in the eventthat a hearing is held. Failure to includesuch a description and analysis for anyparticular objection shall constitute awaiver of the right to a hearing on theobjection. Three copies of all documentsshall be submitted and shall beidentified with the docket numberfound in brackets in the heading of thisdocument. Any objections received inresponse to the regulation may be seenin the Dockets Management Branchbetween 9 a.m. and 4 p.m., Mondaythrough Friday.

VI. ReferencesThe following references have been

placed on display at the Dockets

Management Branch (address above)and may be seen by interested personsbetween 9 a.m. and 4 p.m., Mondaythrough Friday.

1. FDA Memorandum, K. Morehouse to J.Ziyad, February 23, 2000.

2. FDA Memorandum, I. Chen to J. Ziyad,February 28, 2000.

3. FDA Memorandum, M. Walderhaug to J.Ziyad, December 15, 1999.


Food additives, Food labeling, Foodpackaging, Radiation protection,Reporting and recordkeepingrequirements, Signs and symbols.

Therefore, under the Federal Food,Drug, and Cosmetic Act and underauthority delegated to the Commissionerof Food and Drugs, and redelegated tothe Director, Center for Food Safety andApplied Nutrition, 21 CFR part 179 isamended as follows:

PART 179—IRRADIATION IN THEPRODUCTION, PROCESSING ANDHANDLING OF FOOD


Authority: 21 U.S.C. 321, 342, 343, 348,373, 374.

2. Section 179.26 is amended in thetable in paragraph (b) by adding entry‘‘10.’’ under the headings ‘‘Use’’ and‘‘Limitations’’ to read as follows:

§ 179.26 Ionizing radiation for thetreatment of food.

* * * * *(b) * * *

Use Limitations

* * * * * * *

10. For control of microbial pathogens on seeds for sprouting. Not to exceed 8.0 kGy.

* * * * *

Dated: October 20, 2000.

L. Robert Lake,Director of Regulations and Policy, Centerfor Food Safety and Applied Nutrition.[FR Doc. 00–27735 Filed 10–27–00; 8:45 am]

BILLING CODE 4160–01–F




[Docket No. 99N–1852]

Postmarketing Studies for ApprovedHuman Drug and Licensed BiologicalProducts; Status Reports


SUMMARY: The Food and DrugAdministration (FDA) is revising the

requirements for annual postmarketingstatus reports for approved human drugand biological products, and is requiringapplicants to submit annual statusreports for certain postmarketing studiesof licensed biological products. Thisrule describes the types ofpostmarketing studies covered by thesestatus reports, the information to beincluded in the reports, and the type ofinformation that FDA would considerappropriate for public disclosure. Thisaction will implement the Food andDrug Administration Modernization Actof 1997 (FDAMA).

DATES: This rule is effective February27, 2001.



FOR FURTHER INFORMATION CONTACT:Sharon T. Risso, Center for Biologics

Evaluation and Research (HFM–500), Food and DrugAdministration, 1401 RockvillePike, Rockville, MD 20852–1448,301–827–5098; or

James L. Cobbs, Center for DrugEvaluation and Research (HFD–102), Food and DrugAdministration, 5600 Fishers Lane,Rockville, MD 20857, 301–827–5922.


I. Background

A. Statutory Requirements

Section 130(a) of FDAMA (Public Law105–115) amended the Federal Food,Drug, and Cosmetic Act (the act) byadding a new provision on reports ofpostmarketing studies (section 506B ofthe act (21 U.S.C. 356b)). Section 506Bof the act provides FDA with additionalauthority for monitoring the progress ofpostmarketing studies that applicantshave made a commitment to conductand requires the agency to makepublicly available information thatpertains to the status of these studies.The following summary describes theobligations of applicants and of FDAunder section 506B of the act.

1. Submission of Annual Reports toFDA Under Section 506B of the Act

Any applicant that has committed toconduct a postmarketing study for adrug or biological product that isapproved for marketing must submit toFDA a report on the progress of thestudy or the reasons for the failure of theapplicant to conduct the study. Theapplicant must submit the report withina year after the approval of the productand annually thereafter on theanniversary of the product’s U.S.approval until the study is completed orterminated. This provision applies tocommitments for postmarketing studiesthat were made on or after enactment ofFDAMA, as well as commitments madebefore enactment of FDAMA.

2. Special One-Time ReportingRequirement Under Section 506B of theAct

An applicant must submit an initialreport to FDA for study commitmentsmade before November 21, 1997, within6 months after the effective date of thefinal rule. Subsequent to the initialreport, an applicant must submit anannual report to the agency on theanniversary of the product’s U.S.approval. For those applicants requiredto submit an annual report 7 to 12months after the effective date of the

final rule, the submission of the initialreport to FDA within 6 months after theeffective date of the final rule is anadditional one-time burden.

3. FDA Obligations Under Section506B(c) of the Act

FDA must develop and publishannually in the Federal Register areport on the status of postmarketingstudy commitments.

4. FDA Obligation Under FDAMA(Section 130(b))

FDA must submit a specific report toCongress by October 1, 2001, thatcontains the following:

1. A summary of the status reportssubmitted under section 506B of the act;

2. An evaluation of the performanceof applicants in fulfilling theircommitments to conduct postmarketingstudies under this provision;

3. FDA’s timeliness in reviewing thesepostmarketing studies; and

4. Any legislative recommendationsregarding postmarketing studies.

B. Proposed Rule

FDA published a proposed rule in theFederal Register of December 1, 1999(64 FR 67207), that would revise therequirements for annual postmarketingstatus reports for drug and biologicalproducts, and that would requireapplicants to submit annual statusreports for certain postmarketing studiesof licensed biological products. Theproposed rule described the types ofpostmarketing studies covered by thesestatus reports, the information to beincluded in the reports, and the type ofinformation that FDA would considerappropriate for public disclosure. Theagency proposed this action toimplement section 130 of FDAMA. Inproposed §§ 314.81(b)(2)(vii) and(b)(2)(viii), and 601.70(b), FDA wouldrequire that a status report for apostmarketing study contain thefollowing information:

1. Applicant’s name.2. Product name. This would include

the approved product’s established/proper name and proprietary name, ifapplicable.

3. New drug application (NDA)number, abbreviated new drugapplication (ANDA) number, biologicslicense application (BLA) referencenumber, or supplement number for theapproved product.

4. Date of product’s U.S. approval.5. Date of postmarketing study

commitment.6. Description of postmarketing study

commitment. For clinical studies, thissection would include the purpose ofthe postmarketing study, the patient

population addressed by the study, thenumber of patients and/or subjects to beincluded in the study, and theindication and dosage(s) that are to bestudied. For nonclinical studies, thissection would include the type andpurpose of the study (e.g.,carcinogenicity study to determineeffects of chronic dosing).

7. Schedule for conduct, completion,and reporting of the postmarketingstudy commitment. This section wouldinclude projected dates for initiation ofthe different phases of the study, forcompletion of the study, and forsubmission of the final study report toFDA. If the original schedule is revisedunder section 9 of this status report, therevised schedule would also be reportedin this section (i.e., section 7) in thenext status report with a note indicatingthat the schedule has been revised asreported in the previous status report.

8. Current status of the postmarketingstudy commitment. Applicants wouldcategorize the status of eachpostmarketing study using one of thefollowing terms that describe the study’sstatus on the U.S. anniversary date ofapproval of the application or otheragreed date:

a. Pending. The study has not beeninitiated (i.e., first patient has not beenenrolled).

b. Ongoing. The study is proceedingaccording to, or ahead of, the originalschedule described in section 7 of thestatus report. If a study has beencompleted but the final study report hasnot been submitted to FDA, the date thestudy was completed would beprovided.

c. Delayed. The study is proceedingbut is behind the original scheduledescribed in section 7 of the statusreport.

d. Terminated. The study was endedbefore completion.

e. Submitted. The study has beencompleted (i.e., last patient finished theprotocol) or terminated and a final studyreport has been submitted to FDA. Thiscategory would include the date thefinal study report was submitted toFDA.

9. Explanation of the study’s status.This section would include a briefdescription of the status of the study,including the number of patients and/orsubjects enrolled to date and anexplanation of the study’s statusidentified under section 8 of the statusreport (e.g., delayed due to difficulty inpatient accrual, terminated becausestudy would no longer provide usefulinformation, terminated because studyis no longer feasible, terminated becauseof adverse events or other safety issuesassociated with the use of the product).



If the schedule under section 7 of thestatus report has changed since the lastannual report, this section would alsoinclude a revised schedule, as well asthe reason(s) for the revision.

FDA invited the public to submitwritten comments on the proposed ruleby February 14, 2000, and on theinformation collection provisions byJanuary 3, 2000. Comments receivedhave been considered and are discussedin section III of this document. Nocomments were received on theinformation collection provisions.

C. Availability of GuidanceTo help applicants comply with the

requirements of this final rule, theagency is developing a guidance forindustry entitled ‘‘Reports on the Statusof Postmarketing Studies—Implementation of section 130 of theFood and Drug AdministrationModernization Act of 1997.’’ FDAintends to make a draft of this guidanceavailable shortly after publication of thisfinal rule.

II. Description of the Final RuleThis final rule amends parts 314 and

601 (21 CFR parts 314 and 601) to revisethe status reports section ofpostmarketing annual reports for drugand licensed biological products(§§ 314.81(b)(2)(vii) and 601.28). Thisfinal rule also amends part 601 torequire applicants with licensedbiological products to submit a separateannual report that describes the status ofcertain postmarketing studies (§ 601.70).The major provisions of the final ruleare summarized below.

Under §§ 314.81(b)(2)(vii) and601.70(a), the final rule definespostmarketing studies for which statusreports must be submitted to FDA undersection 506B of the act as those thatconcern: (1) Clinical safety; (2) clinicalefficacy; (3) clinical pharmacology; and(4) nonclinical toxicology studies thatare either required by FDA (e.g.,accelerated approval clinical benefitstudies, pediatric studies) or committedto by the applicant, in writing, at thetime of approval of an application or asupplement or after approval of anapplication or supplement. FDA isincluding clinical safety and efficacyand clinical pharmacology studieswithin the scope of this rule becausethese types of studies provide the mostrelevant and useful additionalinformation about the risks, benefits,and optimal use of an approved drug orlicensed biological product. FDA also isincluding nonclinical toxicology studieswithin the scope of this rule, althoughsuch studies are not performed onhuman subjects, because they are

important to the further evaluation ofthe safety of a marketed drug orbiological product. For the purpose ofthis rule, clinical safety and clinicalefficacy studies include humanepidemiological studies. Clinicalpharmacology studies includepharmacokinetic and pharmacodynamicstudies.

Under §§ 314.81(b)(2)(vii) and 601.70,the final rule requires applicants toprovide status reports to FDA regardingthe progress of the postmarketingstudies described above. In addition,under § 314.81(b)(2)(viii), applicantswith approved NDA’s and ANDA’s mustprovide status reports for anypostmarketing study not reported under§ 314.81(b)(2)(vii) (e.g., chemistry,manufacturing, controls, productstability). These include postmarketingstudies performed by, or on behalf of,the applicant on its own initiative.Section 314.81(b)(2)(viii) does notrepresent a new reporting burden forapplicants with approved NDA’s orANDA’s because these applicants arecurrently required to provide statusreports on postmarketing studies inannual reports. FDA is not requiring asimilar reporting requirement forpostmarketing studies of licensedbiologicals in this rule. However,applicants with licensed biologicalproducts may voluntarily submit statusreports to FDA for postmarketingstudies that are not required to bereported under § 601.70.

The agency is committed toharmonizing its reporting requirementsfor drugs and biologics as much aspossible. FDA considered amending itsbiologics regulations to require thesubmission of information inpostmarketing annual reports currentlysubmitted to the agency by applicantswith approved NDA’s and ANDA’sunder § 314.81(b)(2)(i) through (b)(2)(vi).FDA also considered combiningpostmarketing annual reports requiredunder §§ 601.12(d), 601.28, andproposed 601.70 into a single annualreport that would include additionalinformation as required in§ 314.81(b)(2)(i) through (b)(2)(vi).However, FDA has determined thatrequiring such additional information isbeyond the scope of this rulemaking,and that it is appropriate, at this time,to harmonize only the drugs andbiologics postmarketing annualreporting requirements as they relate tosection 506B of the act.

III. Comments on the Proposed Ruleand FDA Responses

FDA received seven comments on theproposed rule from representatives ofpharmaceutical companies and

associations. While most commentsagreed that the proposed ruleappropriately implements section 130 ofFDAMA, many comments expressedconcern about what information shouldbe included in the status reports andwhat information should be disclosed tothe public.

A discussion of the comments on theproposed rule and the agency’sresponses follows.

A. Status Reports(Comment 1) One comment claimed

that the proposed content of statusreports exceeds that necessary todetermine, as stated in section 130 ofFDAMA, ‘‘the progress of the study orthe reasons for the failure of the sponsorto conduct the study.’’ The commentsaid that the agency turns the simplereporting requirement contemplated byFDAMA into a potentially complicatedand burdensome exercise. For example,the comment noted that applicants mustprovide detailed information on apostmarketing study commitmentregarding the purpose of the study, thepatient population addressed by thestudy, the indication and dosage(s) thatare to be studied, the projected dates forinitiation of the different phases of thestudy and completion of the study, thestatus of patient accrual, as well as anexplanation of the study’s status (whichwould be categorized separately). Thecomment recommended that theproposed rule be revised to requireapplicants to simply identify a pertinentpostmarketing study commitment andreport on its status using a standardizeddescription. The comment added thatadditional details regarding thepostmarketing study commitmentshould be provided at the discretion ofthe applicant.

FDA has reviewed the proposedcontent for status reports and hasdecided to make several changes. In§§ 314.81(b)(2)(vii)(a)(6) and601.70(b)(6), the agency is revising therequirements for the ‘‘Description ofpostmarketing study commitment’’section of status reports to permit anapplicant to determine the type ofinformation that is necessary to identifya postmarketing study commitment.Instead of specifying the elements thatwould be required to be included in thissection, the provision now providesexamples of the type of information thatapplicants may choose to use todescribe a postmarketing studycommitment. This section, as revised,now reads:

The description must include sufficientinformation to uniquely describe the study.This information may include the purpose ofthe study, the type of study, the patient



population addressed by the study and theindication(s) and dosage(s) that are to bestudied.

The list of examples does not contain‘‘the number of patients and/or subjectsto be included in the study.’’ However,an applicant is required to includepatient accrual information (byproviding the number of patients orsubjects enrolled to date and the totalplanned enrollment) in the sectionrequiring an explanation of the study’sstatus.

The agency recognizes that the extentof information necessary to identifyvarious postmarketing studycommitments will vary. In most cases,it will be sufficient to use the languageprovided in the FDA documentdescribing the postmarketing studycommitment (e.g., action letter). In othercases, such as when multiple studies arerequired to fulfill a postmarketing studycommitment, additional information islikely to be needed to describe each ofthe studies.

In §§ 314.81(b)(2)(vii)(a)(7) and601.70(b)(7), the agency is revising the‘‘Schedule of conduct, completion andreporting of the postmarketing studycommitment’’ section of the statusreport to require inclusion of only theinformation that is most important indetermining the progress of a study andto clarify that information. FDA isreplacing the phrase ‘‘projected dates forinitiation of the different phases of thestudy’’ with the phrase ‘‘actual orprojected dates for submission of thestudy protocol to FDA, completion ofpatient accrual or initiation of an animalstudy’’ and adding ‘‘any additionalmilestones or submissions for whichprojected dates were specified as part ofthe commitment.’’ FDA recognizesstudy phases may vary depending onthe type of study and the study design.Because information on some phases ofa study may not be meaningful inestablishing study progress, FDA islimiting the information for this sectionto the projected, or actual, dates for thesubmission of the study protocol toFDA; for completion of patient accrualinto a clinical study or initiation of ananimal study; for completion of thestudy; and for submission of the finalstudy report to FDA. In addition, FDArecognizes that some studycommitments include an agreement toreport important intermediatetimepoints or early study endpoints(e.g., evaluation of surrogate endpointsin a study also measuring clinicalbenefit). If a study commitment includesreporting at such intermediatetimepoints, these timepoints should beincluded in the projected schedulesubmitted under

§§ 314.81(b)(2)(vii)(a)(7) and601.70(b)(7).

FDA is requiring that the schedule inthis section include actual dates, if theyrepresent milestones that have alreadybeen reached, in addition to projecteddates. This is particularly appropriatefor studies that were started before theeffective date of this final rule and forwhich a particular aspect of the studyhas already been completed by theeffective date. Actual dates are alsoappropriate if a particular aspect of thestudy (e.g., submission of studyprotocol) was completed prior toapproval of the drug or agreement onthe postmarketing commitment.

The agency is revising the section title‘‘Schedule for conduct, completion andreporting of the postmarketing studycommitment’’ by removing the word‘‘conduct’’ from the section heading.FDA is making this revision because theword ‘‘conduct’’ is not necessary.

FDA is modifying the section‘‘Current status of the postmarketingstudy commitment’’ at§§ 314.81(b)(2)(vii)(a)(8) and601.70(b)(8), by removing from theparagraph ‘‘Ongoing’’ the requirement toinclude the date the study wascompleted, and removing from theparagraph ‘‘Submitted’’ the requirementto provide the date the final study reportwas submitted to FDA. These daterequirements have been added to thesection ‘‘Explanation of the study’sstatus’’ at §§ 314.81(b)(2)(vii)(a)(9) and601.70(b)(9) to consolidate under thissection all information providingclarification of the status of individualstudies. The paragraph ‘‘Pending’’ hasbeen clarified to state that studies thathave not been initiated will becategorized as delayed if the study isbehind the original schedule forcompletion and reporting of thepostmarketing commitment. FDA ismodifying the paragraph ‘‘Terminated’’to clarify that this category is to be usedif a study has been terminated beforecompletion, but a final study report hasnot yet been submitted to the agency.

FDA is requiring, as proposed, thatannual status reports include theapplicant’s name, product name,application (NDA, ANDA, BLA, andsupplement) number, date ofpostmarketing commitment, and theproduct approval date. However, in§§ 314.81(b)(2)(vii)(a)(4) and601.70(b)(4), the agency is replacing the‘‘Date of product’s U.S. approval’’section heading with the heading ‘‘Dateof U.S. approval of NDA, ANDA, orBLA.’’ This change is being made toclarify identification of thepostmarketing commitment because the

product may be included in more thanone application.

FDA is keeping all other sections ofthe status reports as proposed, becausethe agency believes that the informationthat is being requested in them isnecessary to identify a postmarketingstudy commitment, to establish theprogress of a postmarketing studycommitment, or to identify the reasonsfor the failure of the applicant toconduct the study. The agency will usethese status reports to review theprogress of postmarketing studycommitments and to meet its statutoryreporting obligations (i.e., its report toCongress on this topic by October 1,2001, and its annual report in theFederal Register on the status ofpostmarketing study commitments).FDA anticipates that preparation of astatus report for a postmarketing studycommitment will not be burdensome.Each status report should contain nomore than one page of information thatis readily available to the applicant.

(Comment 2) One comment said thatmuch of the information required to besubmitted in an NDA annual reportunder the proposed rule must already besubmitted to an investigational newdrug application (IND). The commentnoted that the risk of duplicativereporting burdens is exacerbated by thefact that NDA and IND anniversarydates may differ and applicants may berequired to collect and reconcileinformation for the same postmarketingstudies twice a year. The commentrecommended that FDA scale back thescope of the information required to besubmitted to the NDA annual report andalso permit applicants to referencepertinent sections of an IND and INDannual report in an NDA annual report.

FDA declines to permit applicants toreference their IND and IND annualreports in the status report section ofNDA and BLA annual reports. Most ofthe information contained in thesereports is different from the informationsubmitted to the IND and is used by theagency for different purposes. FDAneeds the information that is containedin a status report in the prescribedformat to meet its statutory reportingobligations. FDA does not believe thatpreparation of status reports will beunduly burdensome for applicants, andthe fact that no comments weresubmitted on the information collectionprovisions supports this conclusion.

B. Public Disclosure of InformationNew §§ 314.81(b)(2)(vii)(b) and

601.70(e) require the agency to publiclydisclose any information concerning apostmarketing study if the agencydetermines that the information is



necessary to identify the applicant or toestablish the status of the study,including the reasons, if any, for failureto conduct, complete, and report thestudy. The proposal stated thatinformation necessary to establish thestatus of a postmarketing study wouldinclude the study protocol, patientaccrual rates, reports of unexpectedsuspected adverse drug reactions, andstudy results. The proposal alsospecified that FDA would not publiclydisclose trade secrets, as defined in§ 20.61 (21 CFR 20.61), or information,described in § 20.63 (21 CFR 20.63), thedisclosure of which would constitute anunwarranted invasion of personalprivacy.

(Comment 3) Three commentsstrongly objected to the publicdisclosure provisions of the proposedrule contending that such disclosurecould potentially result in release ofconfidential and highly sensitivecommercial information. One commentsaid that the ‘‘proposed rule directlyviolates the limits set by FDAMA,’’when the proposed rule calls for thedisclosure of the study protocol, patientaccrual rates, reports of unexpectedsuspected adverse drug reactions, andstudy results. The comment claimedthat the agency is incorrect when itasserts that this additional informationis ‘‘necessary to identify the applicantand to establish the status of a study.’’Another comment noted that there is aninconsistency in the content of thestatus reports section and the publicdisclosure sections of the proposed rulethat needs clarification. The content ofthe status report section is limited topatient accrual and study status,whereas the public disclosure sectionstates that the study protocol and studyresults will be made public.

The comments recommended thatstudy protocols, reports of unexpectedsuspected adverse drug reactions, andresults of the study not be publiclydisclosed. One comment said thatclinical protocols are highly proprietaryin terms of design and analytical planand that applicants should only berequired to provide a generaldescription of the study for publicdisclosure. Another comment said thatwith regard to disclosure of studyresults in an orphan drug exclusivitysituation, the publication of detailedstudy results may allow competitors tostrategically redesign clinical trials in aneffort to nullify another company’smarket exclusivity. The comment alsosaid that detailed knowledge of studyresults could also lead to potentialdisputes between competitors vianegative advertising. The commentrecommended that applicants only be

required to provide a brief summary ofthe study results for public disclosure.Another comment said that disclosureof study results represents bad sciencebecause it is generally not appropriate to‘‘peek’’ at results from a study before itsscheduled completion. Anothercomment said that annual publicdisclosure of all reports of unexpectedadverse drug reactions are inappropriatefor epidemiological studies because noscientifically-based conclusions can bedrawn when safety reports are reviewedout of context of the study populationand without regard to the appropriatecontrols. However, the comment notedthat if any new association isestablished between a product and apreviously unknown adverse reaction,such information should be madepublic. Another comment noted that ifa study is delayed because of lowpatient accrual rates, despite legitimateefforts to enroll subjects, informationposted on a website could negativelyaffect the company and its ability tocomplete the commitment.

FDA has considered these commentsand agrees that disclosure of the studyprotocol, reports of unexpectedsuspected adverse drug reactions, andthe results of studies reported under§§ 314.81(b)(2)(vii) and 601.70 are notnecessary to achieve the purposes of therule or section 130 of FDAMA. Section130 of FDAMA requires the agency topublicly disclose information pertainingto status reports if that information isnecessary to identify the applicant andto establish the status of a study,including the reasons, if any, for failureto conduct, complete, and report thestudy. FDA has, therefore, decided toremove the following sentence fromproposed §§ 314.81(b)(2)(vii)(b) and601.70(e): ‘‘Information necessary toestablish the status of a postmarketingstudy includes the study protocol,patient accrual rates, reports ofunexpected suspected adverse drugreactions, and study results.’’

For purposes of public disclosure, theagency intends to release informationthat establishes the status of a study andthat is contained in§§ 314.81(b)(2)(vii)(a)(1) through(b)(2)(vii)(a)(9) and 601.70(b)(1) through(b)(9) of the final rule. These sections donot call for study results and FDA doesnot believe that any informationprovided by applicants in these sectionsof a status report would be consideredconfidential commercial information.However, even if an applicant considerscertain information in these sections tobe confidential commercial information,section 130(a) of FDAMA wouldauthorize FDA to release suchinformation if it were necessary to

identify the applicant or to establish thestatus of a study, including the reasons,if any, for failure to conduct, complete,and report the study. The agency hasdecided that a study protocol, studyresults, and reports of unexpectedsuspected adverse drug reactions are notinformation necessary to establish thestatus of the study. However, the agencyexpects to continue to receive studyprotocols and study results since thatinformation is necessary for FDA todetermine whether a study commitmenthas been satisfied. The agency alsoexpects to continue to receive reports ofunexpected suspected adverse drugreactions, which are required reports.Other laws, such as the Freedom ofInformation Act (FOIA), woulddetermine whether the agency wouldrelease to the public study protocols,study results, and reports of unexpectedsuspected adverse drug reactions.

FDA believes that the number ofpatients who are enrolled in apostmarketing study is an importantfactor establishing the status of a study.Applicants would provide suchinformation to FDA in status reports,and, under section 130 of FDAMA,patient accrual rates would beconsidered to be public information.

(Comment 4) One comment claimedthat the proposed rule is contrary toFOIA and the Trade Secrets Act. Thecomment said that FOIA specificallyexempts confidential commercialinformation from public disclosureunder 5 U.S.C. 552(b)(4) (so-called‘‘FOIA Exemption 4’’) and that theTrade Secrets Act makes it a crime fora Federal employee to disclose anyinformation within the scope of FOIAExemption 4, including confidentialcommercial information to the extentthat the disclosure is not authorized bylaw (18 U.S.C. 1905). The commentfurther asserted that there is nothing inthe legislative history of FDAMA tosuggest that Congress intended to makepublic information that wouldotherwise be exempt from disclosureunder FOIA, except to the very narrowextent necessary to identify a sponsorand establish the status of a study. Thecomment said that the only informationthat should be required to be disclosedshould be basic information to identifythe study and sponsor, and thestandardized information on the statusof a study (or, if applicable, a briefexplanation of why a study was notconducted). The comment said that thisis the only information that should beposted on FDA’s website.

FDA disagrees with the commentbecause it does not believe that statusreports would contain confidentialcommercial information. In any event,



section 130(a) of FDAMA requires theagency to disclose certain informationfrom postmarketing study reports evenif that information ordinarily would beconsidered confidential commercialinformation. Since section 130(a) ofFDAMA requires disclosure, thedisclosure would be authorized by lawand not prohibited by the Trade SecretsAct. FDA will not disclose anyinformation from postmarketing studyreports that is considered a trade secretas defined in § 20.61(a) and section301(j) of the act (21 U.S.C. 331(j)) orwould constitute an unwarrantedinvasion of personal privacy as definedin § 20.63.

(Comment 5) Two comments wantedto know what information would bedisclosed on FDA’s website and whatformat would be used for this purpose.One of the comments asked if acompany would have the opportunity toreview information before it is postedon the website to ensure thatconfidential data are not disclosed.Another comment requested that anefficient procedure be established toidentify the information that isdisclosable. The comment said thatapplicants should be instructed toinclude a section in their postmarketingstatus reports that is specificallyintended for public disclosure. Thecomment noted that this approach isconsistent with that adopted recently byFDA for information provided bysponsors to advisory committees inconnection with open advisorycommittee meetings. The comment alsonoted that if FDA disagrees with anapplicant’s designation of disclosableinformation, the agency could thenconsult with the applicant.

FDA intends to include informationon its webpage that is provided to FDAby applicants in their status reports. Inthe proposed rule, FDA stated that thewebsite will contain, at a minimum, thefollowing information for eachpostmarketing study commitment:Name of the applicant, applicationnumber, product name, dosage form,product use category, type of study,commitment description, commitmentdate, projected study completion date,current status of commitment, applicantsummary of status, annual report duedate, and date annual report received.At this time, FDA intends to includethis information on FDA’s webpage, aswell as the date the final study report isreceived by the agency. In the future,FDA may decide to add or remove typesof information from the website or torevise the format. FDA intends toprovide a suggested format forpostmarketing reports and an exampleof what information will appear on the

agency website in the guidance theagency is developing or on which theagency will solicit public comment. (Seesection I.C of this document.)

With regard to the submission of apublicly releasable version of the statusreport by applicants, the agency will notrequire such submissions at this time.FDA is considering recommending, inguidance, that applicants include withtheir status reports a publicly releasableversion of the report. This version of thestatus report would facilitate FDA’stransmission of information to itswebsite.

(Comment 6) One comment said thatthe agency needs to clarify that publicdisclosure does not apply to chemistry,manufacturing, and controls (CMC)studies. Another comment said that theagency needs to clarify that publicdisclosure does not apply to the log ofoutstanding regulatory business sectionof approved NDA annual reports.

The rule has been clarified to requirethe status of CMC studies that theapplicant has agreed to conduct to bereported under § 314.81(b)(2)(viii). FDAwould not publicly disclose in itsannual Federal Register report orwebsite information concerningpostmarketing study commitmentssubmitted in NDA annual reports under§§ 314.81(b)(2)(viii) and 314.81(b)(2)(ix).FDA intends to limit information in theannual Federal Register report andwebsite to information submitted instatus reports under §§ 314.81(b)(2)(vii)and 601.70.

C. Scope of Proposed Rule—FDAMA130 Studies for Drug and LicensedBiological Products

Annual reports submitted under§ 314.81(b)(2) apply to human drugproducts with an approved NDA orANDA. New § 601.70 applies to humanlicensed biological products that meetthe definition of ‘‘drug’’ under the act;it would not apply to biologicalproducts that meet the definition of‘‘medical device’’ under the act. Revised§ 314.81(b)(2)(vii) and new § 601.70require, under section 130 of FDAMA,status reports of postmarketing studiesconcerning clinical safety, clinicalefficacy, clinical pharmacology, andnonclinical toxicology that are requiredby FDA (e.g., accelerated approvalclinical benefit studies and pediatricstudies) or that the applicant committedto conduct, in writing, either at the timeof approval of an application for thedrug product or licensed biologicalproduct or of a supplement to anapplication, or after approval of anapplication or a supplement.

(Comment 7) One comment requestedthat reporting on the status of

nonclinical studies (e.g., preclinical) bemade optional for § 601.70.

FDA disagrees with the comment. Theagency is requiring that information beprovided for postmarketing nonclinicaltoxicology studies because of theirsignificance in assessing the safety ofdrug and licensed biological products.

(Comment 8) One comment said thatFDA should set some reasonable limiton how far back in time it will requireapplicants to report on studies that theycommitted to conduct years beforeenactment of section 130 of FDAMA butthat still remain open. The commentsuggested that the agency could removethe status report requirement for a studycommitment that was entered into morethan 3 years ago.

FDA disagrees with the comment.Section 130 of FDAMA requires that thestatus of postmarketing studycommitments, whether entered intobefore or after the date of enactment ofFDAMA, be reported to FDA annuallyuntil the commitment is completed orterminated. Many clinical studies takeseveral years to complete. Studies thatapplicants committed to conduct severalyears ago are only now coming tocompletion and will yield importantinformation about the safety andeffective use of the drug or biologicalproduct. The agency will monitor anapplicant’s submission of status reportsunder §§ 314.81(b)(2)(vii) and 601.70 forany postmarketing study commitmentthat the agency has formally tracked inagency postmarketing commitment databases.

D. Scope of Proposed Rule—OtherStudies for Drug Products

In § 314.81(b)(2)(viii), FDA proposedto require that status reports besubmitted for any postmarketing studynot included under § 314.81(b)(2)(vii)that is being performed by, or on behalfof, the applicant. The applicant was toprovide the information prescribedunder § 314.81(b)(2)(vii) for each of thepostmarketing studies subject toreporting.

(Comment 9) Three commentsrequested that the agency remove thissection from the regulations becausesection 130 of FDAMA only requiresstatus reports for studies that a companyhas committed to FDA to perform. Oneof the comments said that, as analternative, the agency could limit thestudies in this section to those whichthe applicant committed to FDA that itwould conduct.

FDA disagrees with the comment. Theagency currently requires that the statusof any postmarketing studies performedby, or on behalf of, the applicant beprovided in NDA annual reports and



FDA will continue to require statusreports for these studies. It was not theintent of this rule, however, to expandcurrent reporting requirements forpostmarketing studies reported under§ 314.81(b)(2)(viii). In considering thecomments received, FDA has decidedthat it is not necessary to prescribe thecontent and format for status reportsunder § 314.81(b)(2)(viii) and hasremoved this requirement. Section314.81(b)(2)(viii) and (b)(2)(ix) areretained in this rule due to thereorganization of § 314.81(b)(2)(vii).

(Comment 10) Two commentsrequested that CMC studies be exemptfrom inclusion in proposed§ 314.81(b)(2)(viii) because there is nopurpose in providing such informationin this section. One comment said thateven though current § 314.81(b)(2)(vii)requires status reports for ‘‘any’’postmarketing study, existing regulationand guidance have previouslyestablished a more narrow definition ofthe CMC reporting requirement. Thecomment explained that current§ 314.81(b)(2)(iv) states that reports forCMC changes are only required for newinformation that may affect FDA’sprevious conclusions about the safety oreffectiveness of the drug product andthat the guidance for industry on‘‘Format and Content for the CMCsection of an Annual Report’’ specifiesonly the need to include stability dataunder current § 314.81(b)(2)(vii). Thecomment recommended that CMC studyinformation be provided under current§ 314.81(b)(2)(iv) so that all theinformation pertinent to the chemistryreview would be consolidated into asingle section. Another comment saidthat reporting the status of CMC studiesis not pertinent and repeating thisinformation under proposed§ 314.81(b)(2)(viii) is redundant andunnecessary.

FDA disagrees in part with thiscomment. Section 314.81(b)(2)(vii)currently requires reporting of anypostmarketing study. FDA’s currentguidance for industry states that dataaccumulated from ongoing stabilitystudies should be included in§ 314.81(b)(2)(vii). Therefore, it is clearfrom existing regulations and guidancethat stability studies are to be reportedunder existing § 314.81(b)(2)(vii) (now§ 314.81(b)(2)(viii) of the rule). Thesereports provide FDA with valuableinformation regarding the safety andefficacy of products, and FDA hasdecided to retain this requirement in thefinal rule. However, FDA has decided tomodify § 314.81(b)(2)(viii) to clarify thereporting requirements for CMC studies.FDA will maintain a requirement forreporting data from all ongoing product

stability studies including those that arebeing conducted without apostmarketing study commitment, (e.g.,annual stability assessment performedin conformance with 21 CFR 211.166).For other types of CMC studies, FDA isrevising § 314.81(b)(2)(viii) to require astatus report for only those studieswhich the applicant has agreed toperform. This section now reads asfollows:

Status of other postmarketing studies.A status report of any postmarketingstudy not included under paragraph(b)(2)(vii) of this section that is beingperformed by, or on behalf of, theapplicant. A status report is to beincluded for any chemistry,manufacturing, and controls studies thatthe applicant has agreed to perform andfor all product stability studies.

Information from other CMC studies,experiences, investigations, or tests thatare not stability studies or the subject ofa specific commitment but that providenew information that may affect FDA’sprevious decisions about product safetyand efficacy will continue to be reportedunder § 314.81(b)(2)(iv).

E. Fulfillment of CommitmentsFDA proposed at §§ 314.81(b)(2)(vii)

and 601.70(b) that the status ofpostmarketing studies be submitted tothe agency annually until FDA notifiesthe applicant, in writing, that the agencyconcurs with the applicant’sdetermination that the studycommitment has been fulfilled or thatthe study is either no longer feasible orwould no longer provide usefulinformation.

(Comment 11) Three commentsrequested that FDA specify thetimeframe for agency review of a finalstudy report and for notifying theapplicant whether or not thepostmarketing study commitment hasbeen fulfilled or that a commitment iseither no longer feasible to fulfill orwould no longer provide usefulinformation. One of the commentssuggested a 90-day timeframe andanother comment suggested a 60-daytimeframe.

In general, FDA expects that finalstudy reports for postmarketing studycommitments will be submitted to theagency with a supplemental applicationto modify a product’s labeling when thestudies support such a change. Whenthey are submitted in support of asupplement, FDA will review thesubmission under established reviewtimes for supplements. (For PrescriptionDrug User Fee Act (PDUFA) products,see letters from Secretary of Health andHuman Services to the Chairman of theCommittee on Commerce of the House

of Representatives (143 CongressionalRecord H10886, November 13, 1997),and the Chairman of the Committee onLabor and Human Resources of theSenate (143 Congressional RecordS12653, November 13, 1997)). If nosupplemental application is submittedor a supplement is submitted for aproduct not covered by PDUFA, FDAwill generally review the final studyreport and notify the applicant inwriting within 1 year of receipt of thereport regarding whether it considersthe commitment to have been met.

(Comment 12) One comment said thatthe requirement to continue to submitstatus reports on terminatedpostmarketing studies until FDAconsiders that the study commitmentshave been fulfilled is too vague. Thecomment requested clarification of thecriteria that the agency would use todeem a study fulfilled.

FDA will review final study reportsand determine whether or not the studymet the objectives of the commitment.Whether or not the objectives have beenmet will have to be determined on acase-by-case basis because of the varietyof postmarketing study commitments.Once FDA completes its review of thefinal study report, it will notify theapplicant, in writing, of the agency’sconclusion. An applicant would berequired to submit annual status reportsto FDA until it receives writtennotification that the agency concludesthat: (1) The study commitment hasbeen met, or (2) the study is either nolonger feasible or would no longerprovide useful information.

FDA may conclude that the study isno longer feasible but that thecommitment’s objectives remainimportant and can be addressed througha study of modified design. In this case,the original study may be terminatedwith no further reporting once a newpostmarketing study commitment andschedule are agreed upon.

FDA may conclude that even thougha study was completed, it failed to meetthe commitment objectives; or anapplicant may terminate a study thatFDA subsequently determines is feasibleand would yield useful information. Inthese cases, the agency may ask theapplicant to undertake another study tofulfill its commitment.

(Comment 13) One comment said thatFDA’s confirmation in writing that astudy commitment has been fulfilledcould reasonably be accommodatedthrough addition of a suitable field inthe Form FDA 2252 (Transmittal ofPeriodic Reports for Drugs for HumanUse), which would be completed byFDA at the time that receipt of theannual report is acknowledged. From



that point on, the comment said that thestatus of the postmarketing commitmentshould be tracked under outstandingregulatory business. The comment notedthat this suggestion, intended to reducethe administrative burden on FDA ofacknowledging receipt of final studyreports, would not remove the need forFDA to confirm in writing that theyhave evaluated the study report andconcur with the applicant’s conclusionsor proposed action (e.g., submission andapproval of a labeling supplement toaccommodate study results).

FDA disagrees with this suggestion.The agency will not acknowledge thatthe postmarketing study commitmenthas been fulfilled until it has reviewedthe final study report and concurs thatthe commitment has been met.Applicants found to have fulfilled theircommitments will be notified inwriting. In addition, this informationwill be acknowledged in the agency’sdata bases and website.

F. Annual Report Submission DateCurrent § 314.81(b)(2) requires that an

applicant submit an annual report eachyear within 60 days of the anniversarydate of U.S. approval of the application.FDA proposed to require the samesubmission times at § 601.70(c) forannual progress reports ofpostmarketing study commitmentsentered into by applicants with licensedbiological products.

(Comment 14) One comment saidthat, for postmarketing studies that arealready underway and for which annualreports are already provided, applicantsshould be permitted to continue to usethe annual reporting cycles that arealready established. The comment notedthat it submits annual reports based onthe anniversary date of the studyinitiation rather than the anniversarydate of U.S. approval.

Current § 314.81(b)(2) requires thatNDA annual reports be submitted to theagency within 60 days of theanniversary date of approval of theapplication. FDA will continue torequire that NDA annual reports besubmitted within the same timeframe.Applicants would not be permitted tosubmit NDA or BLA annual reportsbased on the anniversary date of astudy’s initiation.

Many drug and licensed biologicalproducts have multiple postmarketingstudies underway that were initiated ondifferent dates. The submission ofannual reports based on the date ofstudy initiation would result in multiplereports in any given year, therebyunnecessarily increasing an applicant’sreporting burden and complicatingFDA’s tracking and review of

postmarketing study commitmentreports. It is FDA’s intent to minimizethe reporting burden on industry byrequiring only a single annual report forany NDA, ANDA, or BLA product. Thissingle report allows applicants tosubmit status information on all studiesand allows FDA reviewers to review andevaluate at one time the progress of allstudies, some of which may be related.

G. Implementation Scheme—EffectiveDates

FDA proposed that any final rule thatmay issue based on the proposed rulebecome effective 90 days after its dateof publication in the Federal Register.Applicants that have entered into acommitment prior to November 21,1997, to conduct a postmarketing studyunder proposed § 314.81(b)(2)(vii) or§ 601.70 would be required, asmandated by FDAMA, to submit aninitial report to FDA within 6 monthsafter the effective date of any final rulethat issued based on the proposed rule.

(Comment 15) One commentrequested that FDA provide that theeffective date of any final rule be 120days after the date of publication of therule in the Federal Register. Thecomment noted that, with the proposed90-day effective date, an applicant couldbe required to submit an initial report 5months following publication of thefinal rule, depending on the anniversarydate of their products. The commentclaimed that the 90-day effective date isnot consistent with section 130 ofFDAMA which indicates that applicantsshould have 6 months following theissuance of final regulations to submitinitial reports on postmarketing studycommitments. The commentrecommended that the effective date bemodified to ensure that all applicantswill have at least 6 months to filereports under the new requirements.

FDA does not believe that section 130of FDAMA requires the agency to givea period of 6 months after issuing a finalrule for applicants to prepare apostmarketing study status report.Rather, section 130(a) of FDAMArequires all applicants, regardless of theanniversary date of the approval of theirdrug, to submit status information forpostmarketing study commitmentsmade prior to November 21, 1997,within 6 months of the final rule’sissuance. This timely submission ofinformation is necessary to allow FDAto meet its reporting obligation inproviding Congress with an evaluationof industry’s performance in meetingpostmarketing commitment obligationsand FDA’s performance in reviewingthose postmarketing study reports.

However, FDA has considered thecomment and is revising the effectivedate to 120 days after the date ofpublication of the rule in the FederalRegister. Although FDA anticipates theinformation required to complete aninital report on the progress ofpostmarketing studies is readilyavailable to the applicant, the agencyunderstands that some applicants mayhave a greater reporting burden thanother applicants due to a larger numberof postmarketing commitments.Revision of the effective date will giveall applicants a minimum of 4 monthsto prepare an initial report on theirpostmarketing commitments. If anapplicant chooses to submit the reportup to 60 days after the anniversary dateof the approval of the drug, theapplicant will have 6 months in whichto file an initial report.

Once the rule goes into effect, annualreports due on or after the effective datemust meet the format and contentrequirements of this final rule. Anapplicant who has annual reports dueon or after August 27, 2001, will berequired to submit a special 6-monthreport for all commitments made priorto November 21, 1997. This one-timeadditional report is required if:

(1) The drug or biological product wasapproved before November 21, 1997;

(2) Postmarketing study commitmentswere made before November 21, 1997;and

(3) The next annual report is not dueuntil August 27, 2001, or later.

(Comment 16) One commentrequested that FDA remove therequirement to submit a separate initialreport within 6 months of the effectivedate of the final rule for pre-FDAMAcommitments. The comment assertedthat these reports would contain datafrom a time interval of less than 1 yearand that significant resources would berequired to prepare such a report as wellas for FDA to review the report, which,due to the limited data, would be ofminimal value. Another comment saidthat there is little value in requiringsubmission of these separate reports andthat the requirement should be fulfilledin the next annual report due for eachproduct. The comment claimed that thiswould also be more compatible withcollation and publication of the plannedAnnual Federal Register Report.

FDA does not accept this suggestion.Section 130(a) of FDAMA requires thatan initial report on the progress ofpostmarketing commitments made priorto November 21, 1997, be submitted toFDA within 6 months of the agencyissuing a final rule. Although someinformation on postmarketing studiesmay be included in annual reports for



new drugs submitted before the effectivedate of the final rule, these reports maynot include all information necessaryfor FDA to evaluate a study’s progress.Also, applicants of approved biologicalproducts may not have previouslysubmitted study status information.FDA acknowledges that the special 6-month report may contain limited newdata. However, the submission of thatdata, in the format required by§§ 314.81(b)(2)(vii) and 601.70(b), isnecessary to allow FDA to respond in atimely manner to Congress as requiredin section 130(b) of FDAMA. Therefore,FDA maintains this one-time reportingrequirement.

IV. Environmental ImpactThe agency has determined under 21

CFR 25.30(h) that this action is of a typethat does not individually orcumulatively have a significant effect onthe human environment. Therefore,neither an environmental assessmentnor an environmental impact statementis required.

V. Analysis of ImpactsFDA has examined the impact of this

final rule under Executive Order 12866and the Regulatory Flexibility Act (5U.S.C. 601–612) (as amended by subtitleD of the Small Business RegulatoryFairness Act of 1966 (Public Law 104–121)), and the Unfunded MandatesReform Act of 1995 (Public Law 104–4).Executive Order 12866 directs agenciesto assess all costs and benefits ofavailable regulatory alternatives and,when regulation is necessary, to selectregulatory approaches that maximizenet benefits (including potentialeconomic, environmental, public healthand safety, and other advantages;distributive impacts; and equity). TheRegulatory Flexibility Act requiresagencies to analyze whether a rule mayhave a significant impact on asubstantial number of small entitiesand, if it does, to analyze regulatoryoptions that would minimize theimpact. Section 202 of the UnfundedMandates Reform Act requires thatagencies prepare a written statement ofanticipated costs and benefits andbefore proposing any rule that mayresult in an expenditure by State, local,and tribal governments, in the aggregate,or by the private sector of $100 million(adjusted annually for inflation) in anyone year.

The agency has determined that thefinal rule is not a significant action asdefined in the Unfunded MandatesReform Act, and will not have an effecton the economy that exceeds $100million in any one year. The analysisbelow details FDA’s estimate of the

potential cost and the potential benefitof the rule. Based on FDA’s analysisusing available data, the agency doesnot anticipate that the rule will result ina significant impact on a substantialnumber of small entities.

A. Nature of ImpactCurrently, applicants holding

approved NDA’s or ANDA’s arerequired to submit annual reports to theagency that include information on thecurrent status of any postmarketingstudies of the drug product performedby, or on the behalf of, the applicant.Although the final rule prescribes theformat for the required information, thisrequirement would add no neweconomic burden for the majority ofNDA and ANDA applicants. About halfof the applicants holding approvedNDA’s or ANDA’s with outstandingpostmarketing study commitmentsmade prior to the enactment of FDAMAmay incur a small cost the first year, iftheir annual report is due within the last6 months after the effective date ofissuance of the final rule and they mustsubmit one initial report within the first6 months after the effective date. FDAestimates that: (1) There will beapproximately 116 such reportssubmitted; (2) each report will report ontwo postmarketing studies, on average;and (3) each report will require about 16hours (or 8 hours per study) tocomplete. Assuming an average wagerate of $35 per hour, the estimated, one-time cost of this provision is $64,960.

Applicants with licensed biologicalproducts are currently required tosubmit information on postmarketingstudies in pediatric populations inannual reports to the agency. Theseapplicants will incur additional costs tocomply with the requirements in thisfinal rule. The agency estimates thatabout 33 applicants will submitpostmarketing status reports (reportingon two postmarketing studies, onaverage) on approximately 43 approvedBLA’s annually. As the reportingrequirements are not extensive and theinformation is readily accessible to theapplicant, FDA estimates thatestablishments will require about 16hours to complete the requiredinformation for each report (or 8 hoursfor each study). Assuming an averagewage rate of $35 per hour, the estimatedincremental cost of the annual reportingrequirement will be $560 per report, foran industry total of $24,080 per year. Aswith applicants holding NDA’s orANDA’s, a few applicants with licensedbiological products with outstandingpostmarketing study commitments mayalso incur an additional, one-time costbecause they must submit their initial

report within the first 6 months after theeffective date of the final rule and anannual report within the last 6 monthsof the year. FDA estimates there will beapproximately seven such reports, for atotal one-time cost of about $4,000.

B. Small Business ImpactsThe requirements in this final rule

will not have a significant economicimpact on a substantial number of smallentities. The agency neither expects thefinal rule to result in an increasednumber of completed postmarketingstudies nor believes that applicants willincur significantly increased costs fromcompleting studies earlier thanintended, as a result of the reporting,tracking, and disclosure activitiesimplemented by the agency. Becauseaffected applicants holding NDA’s andANDA’s must currently submit annualreports to the agency, they already haveprocedures in place to monitor theirpostmarketing studies. The additionalreporting requirement for applicantsholding approved BLA’s and thereformatting of the annual reports forapplicants holding NDA’s and ANDA’swould be minimal. To simplify thereporting requirement further, however,the agency will publish a guidance forindustry to aid applicants in preparingreports in the proper format (see sectionI.C of this document).

C. FederalismFDA has analyzed this final rule in

accordance with the principles set forthin Executive Order 13132. FDA hasdetermined that the rule does notcontain policies that have substantialdirect effects on the States, on therelationship between the NationalGovernment and the States, or on thedistribution of power andresponsibilities among the variouslevels of government. Accordingly, theagency has concluded that the rule doesnot contain policies that havefederalism implications as defined inthe order and, consequently, afederalism summary impact statement isnot required.

VI. The Paperwork Reduction Act of1995

This final rule contains informationcollection provisions that werereviewed by the Office of Managementand Budget (OMB) under the PaperworkReduction Act of 1995 (the PRA) (44U.S.C. 3501–3520), and that FDAinvited the public to send comments toOMB. No comments were received byOMB on these provisions. A descriptionof these provisions is shown below withan estimate of the annual reportingburden. Included in the estimate is the



time for reviewing the instructions,searching existing data sources,gathering and maintaining the dataneeded, and completing and reviewingeach collection of information.

Title: Reporting the Status ofPostmarketing Studies for ApprovedHuman Drugs and Licensed BiologicalProducts.

Description: Section 506B of the actprovides FDA with additional authorityfor monitoring the progress ofpostmarketing studies that companieshave made a commitment to conductand also requires the agency to make thestatus of these studies publiclyavailable.

Under section 506B(a) of the act,applicants that have committed toconduct a postmarketing study for anapproved human drug or biologicalproduct must submit to FDA a report ofthe progress of the study or the reasonsfor the failure of the applicant toconduct the study. This report must besubmitted within 1 year after the U.S.approval of the application and thenannually until the study is completed orterminated. Under §§ 314.81(b)(2)(vii)and 601.70(b), information submitted ina status report would be limited to thatwhich is needed to sufficiently identifyeach applicant that has committed toconduct a postmarketing study, thestatus of the study that is beingreported, and the reasons, if any, for theapplicant’s failure to conduct, complete,and report the study.

Currently under § 314.81(b)(2),applicants holding an NDA or an ANDAmust submit status reports onpostmarketing studies for the approvedhuman drug product as part of anannual report to FDA. The agency isamending § 314.81(b)(2)(vii) to specifyinformation that must be included instatus reports submitted under section506B of the act (studies of clinicalsafety, clinical efficacy, clinicalpharmacology, and nonclinicaltoxicology that are required by FDA orthat an applicant commits, in writing, toconduct either at the time of approval ofan application or a supplement to anapplication or after approval of anapplication or supplement). New§ 314.81(b)(2)(viii) of the final rulerequires status information on anypostmarketing study commitments notreported under paragraph (b)(2)(vii) thatare being performed by, or on behalf of,the applicant; and paragraph (b)(2)(ix)permits the applicant to list any open

regulatory business with FDAconcerning the drug product subject tothe application. For licensed biologicalproducts, FDA is requiring applicantsunder § 601.70 to submit postmarketingstatus reports for studies of clinicalsafety, clinical efficacy, clinicalpharmacology, and nonclinicaltoxicology that are required by FDA orthat an applicant of a BLA commits toconduct, in writing, at the time ofapproval of an application or asupplement to an application or afterapproval of an application or asupplement. FDA is revising § 601.28(c)to require that the status ofpostmarketing pediatric studiesdescribed in new § 601.70 be reportedunder § 601.70 rather than § 601.28.This final rule is intended to provideFDA with specific procedures formonitoring the progress ofpostmarketing studies that companieshave made a commitment, in writing, toconduct and also to permit the agencyto make the status of these studiespublicly available.

Description of Respondents:Applicants holding approvedapplications for human drugs andbiological products that have committedto conduct postmarketing studies.

As required by section 3506(c)(2)(B)of the PRA, FDA provided anopportunity for public comment on theinformation collection requirements ofthe proposed rule (64 FR 67207). Inaccordance with the PRA, OMBreserved approval of the informationcollection burden in the proposed rulestating ‘‘FDA shall assess commentsreceived regarding informationcollection requirements contained in theproposed rule. These comments shall beaddressed in the preamble to the finalrule.’’ No letters of comment on theinformation collection requirementswere submitted to OMB.

Under current § 314.81(b)(2),applicants with approved NDA’s andANDA’s for human drugs are required tosubmit to the agency two copies of theannual reports that must includeinformation on the current status of anypostmarketing study (OMB control No.0910–0001).

New § 314.81(b)(2)(vii) expresslyrequires status information to beprovided in a specific format as part ofthe status reports of postmarketingstudy commitments (clinical safety,clinical efficacy, clinical pharmacology,and nonclinical toxicology), a subpart of

the annual report. Based on pastexperience, the agency estimates thateach applicant holding an approvedNDA or ANDA would expend anadditional 8 hours to reformat theannual report. This is a one-time burdenrequired under new § 314.81(b)(2)(vii).Based on the number of drug applicantsin past years who have committed toconduct postmarketing studies, theagency estimates that this provisionwould apply to approximately 183applicants and approximately 462postmarketing studies.

Based upon information obtainedfrom the Center for Biologics Evaluationand Research’s computerizedapplication and license tracking database, the agency estimates thatapproximately 33 applicants with 43approved BLA’s have committed toconduct approximately 86postmarketing studies (clinical safety,clinical efficacy, clinical pharmacology,and nonclinical toxicology) and wouldbe required to submit an annualprogress report on those postmarketingstudies under § 601.70. Section 601.70requires postmarketing studies statusreports for the first time for allbiological products. Previously, statusreports were required only forpostmarketing studies in pediatricpopulations. Based on past experiencewith reporting under § 314.81(b)(2), theagency estimates that approximately 8hours annually are required for anapplicant to gather, complete, andsubmit the appropriate information foreach study (approximately two studiesper report). Included in these 8 hours isthe time necessary to initially format thestatus report.

Applicants holding NDA’s, ANDA’s,and BLA’s whose anniversary date ofU.S. approval of the application fallswithin the latter half of the year after theeffective date of this final rule arerequired under section 506B of the actto submit an initial report to FDA forpostmarketing studies committed to beconducted prior to November 21, 1997,within 6 months after the effective dateof the final rule in addition to thereports required by the final rule. Thisinformation collection is a statutoryrequirement for which the final ruleadds no additional burden other thanprescribing the format. The burden ofsetting up the format is calculated under§§ 314.81(b)(2)(vii) and 601.70(b).



TABLE 1.—ESTIMATED ANNUAL REPORTING BURDEN 1

21 CFR Section No. ofRespondents

AnnuallyFrequency per

Response

Total AnnualResponse

Hours perResponse Total Hours

314.81(b)(2)(vii), (b)(2)(viii), and(b)(2)(ix) 2 183 2.5 462 8 3,696

601.70(b) and (d) 33 2.6 86 8 688

Total 4,384

1 There are no capital costs or operating and maintenance costs asociated with this collection of information.2 One-time burden for reformatting annual report.

The information collectionrequirements of the final rule have beensubmitted to OMB for review. Prior tothe effective date of the final rule, FDAwill publish a document in the FederalRegister announcing OMB’s decision toapprove, modify, or disapprove theinformation collection requirements inthe final rule. An agency may notconduct or sponsor, and a person is notrequired to respond to, a collection ofinformation unless it displays acurrently valid OMB control number.

List of Subjects

21 CFR Part 314

Administrative practice andprocedure, Confidential businessinformation, Drugs, Reporting andrecordkeeping requirements.

21 CFR Part 601

Administrative practice andprocedure, Biologics, Confidentialbusiness information.

Therefore, under the Federal Food,Drug, and Cosmetic Act, the PublicHealth Service Act, and under authoritydelegated to the Commissioner of Foodand Drugs, 21 CFR parts 314 and 601 areamended as follows:

PART 314—APPLICATIONS FOR FDAAPPROVAL TO MARKET A NEW DRUG

1. The authority citation for 21 CFRpart 314 is revised to read as follows:

Authority: 21 U.S.C. 321, 331, 351, 352,353, 355, 355a, 356, 356a, 356b, 356c, 371,374, 379e.

2. Section 314.81 is amended byrevising the introductory text ofparagraph (b)(2), by revising paragraph(b)(2)(vii), and by adding paragraphs(b)(2)(viii) and (b)(2)(ix) to read asfollows:

§ 314.81 Other postmarketing reports.

* * * * *(b) * * *(2)Annual report. The applicant shall

submit each year within 60 days of theanniversary date of U.S. approval of the

application, two copies of the report tothe FDA division responsible forreviewing the application. Each annualreport is required to be accompanied bya completed transmittal Form FDA 2252(Transmittal of Periodic Reports forDrugs for Human Use), and mustinclude all the information requiredunder this section that the applicantreceived or otherwise obtained duringthe annual reporting interval that endson the U.S. anniversary date. The reportis required to contain in the order listed:* * * * *

(vii) Status reports of postmarketingstudy commitments. A status report ofeach postmarketing study of the drugproduct concerning clinical safety,clinical efficacy, clinical pharmacology,and nonclinical toxicology that isrequired by FDA (e.g., acceleratedapproval clinical benefit studies,pediatric studies) or that the applicanthas committed, in writing, to conducteither at the time of approval of anapplication for the drug product or asupplement to an application, or afterapproval of the application or asupplement. For pediatric studies, thestatus report shall include a statementindicating whether postmarketingclinical studies in pediatric populationswere required by FDA under § 201.23 ofthis chapter. The status of thesepostmarketing studies shall be reportedannually until FDA notifies theapplicant, in writing, that the agencyconcurs with the applicant’sdetermination that the studycommitment has been fulfilled or thatthe study is either no longer feasible orwould no longer provide usefulinformation.

(a) Content of status report. Thefollowing information must be providedfor each postmarketing study reportedunder this paragraph:

(1) Applicant’s name.(2) Product name. Include the

approved drug product’s establishedname and proprietary name, if any.

(3) NDA, ANDA, and supplementnumber.

(4) Date of U.S. approval of NDA orANDA.

(5) Date of postmarketing studycommitment.

(6) Description of postmarketing studycommitment. The description mustinclude sufficient information touniquely describe the study. Thisinformation may include the purpose ofthe study, the type of study, the patientpopulation addressed by the study andthe indication(s) and dosage(s) that areto be studied.

(7) Schedule for completion andreporting of the postmarketing studycommitment. The schedule shouldinclude the actual or projected dates forsubmission of the study protocol toFDA, completion of patient accrual orinitiation of an animal study,completion of the study, submission ofthe final study report to FDA, and anyadditional milestones or submissions forwhich projected dates were specified aspart of the commitment. In addition, itshould include a revised schedule, asappropriate. If the schedule has beenpreviously revised, provide both theoriginal schedule and the most recent,previously submitted revision.

(8) Current status of thepostmarketing study commitment. Thestatus of each postmarketing studyshould be categorized using one of thefollowing terms that describes thestudy’s status on the anniversary date ofU.S. approval of the application or otheragreed upon date:

(i) Pending. The study has not beeninitiated, but does not meet the criterionfor delayed.

(ii) Ongoing. The study is proceedingaccording to or ahead of the originalschedule described under paragraph(b)(2)(vii)(a)(7) of this section.

(iii) Delayed. The study is behind theoriginal schedule described underparagraph (b)(2)(vii)(a)(7) of this section.

(iv) Terminated. The study was endedbefore completion but a final studyreport has not been submitted to FDA.

(v) Submitted. The study has beencompleted or terminated and a finalstudy report has been submitted to FDA.



(9) Explanation of the study’s status.Provide a brief description of the statusof the study, including the patientaccrual rate (expressed by providing thenumber of patients or subjects enrolledto date, and the total plannedenrollment), and an explanation of thestudy’s status identified underparagraph (b)(2)(vii)(a)(8) of this section.If the study has been completed, includethe date the study was completed andthe date the final study report wassubmitted to FDA, as applicable.Provide a revised schedule, as well asthe reason(s) for the revision, if theschedule under paragraph(b)(2)(vii)(a)(7) of this section haschanged since the last report.

(b) Public disclosure of information.Except for the information described inthis paragraph, FDA may publiclydisclose any information described inparagraph (b)(2)(vii) of this section,concerning a postmarketing study, if theagency determines that the informationis necessary to identify the applicant orto establish the status of the study,including the reasons, if any, for failureto conduct, complete, and report thestudy. Under this section, FDA will notpublicly disclose trade secrets, asdefined in § 20.61 of this chapter, orinformation, described in § 20.63 of thischapter, the disclosure of which wouldconstitute an unwarranted invasion ofpersonal privacy.

(viii) Status of other postmarketingstudies. A status report of anypostmarketing study not included underparagraph (b)(2)(vii) of this section thatis being performed by, or on behalf of,the applicant. A status report is to beincluded for any chemistry,manufacturing, and controls studies thatthe applicant has agreed to perform andfor all product stability studies.

(ix) Log of outstanding regulatorybusiness. To facilitate communicationsbetween FDA and the applicant, thereport may, at the applicant’s discretion,also contain a list of any open regulatorybusiness with FDA concerning the drugproduct subject to the application (e.g.,a list of the applicant’s unansweredcorrespondence with the agency, a listof the agency’s unansweredcorrespondence with the applicant).

PART 601—LICENSING

3. The authority citation for 21 CFRpart 601 is revised to read as follows:

Authority: 15 U.S.C. 1451–1561; 21 U.S.C.321, 351, 352, 353, 355, 356b, 360, 360c–360f, 360h–360j, 371, 374, 379e, 381; 42U.S.C. 216, 241, 262, 263, 264; sec 122, Pub.L. 105–115, 111 Stat. 2322 (21 U.S.C. 355note).

4. Section 601.28 is amended byrevising the second sentence inparagraph (c) to read as follows:

§ 601.28 Annual reports of postmarketingpediatric studies.

* * * * *(c) * * * The statement shall include

whether postmarketing clinical studiesin pediatric populations were requiredor agreed to, and, if so, the status ofthese studies shall be reported to FDAin annual progress reports ofpostmarketing studies under § 601.70rather than under this section.

5. Subpart G, consisting of § 601.70, isadded to part 601 to read as follows:

Subpart G—Postmarketing Studies

§ 601.70 Annual progress reports ofpostmarketing studies.

(a) General requirements. This sectionapplies to all required postmarketingstudies (e.g., accelerated approvalclinical benefit studies, pediatricstudies) and postmarketing studies thatan applicant has committed, in writing,to conduct either at the time of approvalof an application or a supplement to anapplication, or after approval of anapplication or a supplement.Postmarketing studies within themeaning of this section are those thatconcern:

(1) Clinical safety;(2) Clinical efficacy;(3) Clinical pharmacology; and(4) Nonclinical toxicology.(b)What to report. Each applicant of a

licensed biological product shall submita report to FDA on the status ofpostmarketing studies for each approvedproduct application. The status of thesepostmarketing studies shall be reportedannually until FDA notifies theapplicant, in writing, that the agencyconcurs with the applicant’sdetermination that the studycommitment has been fulfilled, or thatthe study is either no longer feasible orwould no longer provide usefulinformation. Each annual progressreport shall be accompanied by acompleted transmittal Form FDA–2252,and shall include all the informationrequired under this section that theapplicant received or otherwiseobtained during the annual reportinginterval which ends on the U.S.anniversary date. The report mustprovide the following information foreach postmarketing study:

(1) Applicant’s name.(2) Product name. Include the

approved product’s proper name andthe proprietary name, if any.

(3) Biologics license application (BLA)and supplement number.

(4) Date of U.S. approval of BLA.(5) Date of postmarketing study

commitment.(6) Description of postmarketing study

commitment. The description mustinclude sufficient information touniquely describe the study. Thisinformation may include the purpose ofthe study, the type of study, the patientpopulation addressed by the study andthe indication(s) and dosage(s) that areto be studied.

(7) Schedule for completion andreporting of the postmarketing studycommitment. The schedule shouldinclude the actual or projected dates forsubmission of the study protocol toFDA, completion of patient accrual orinitiation of an animal study,completion of the study, submission ofthe final study report to FDA, and anyadditional milestones or submissions forwhich projected dates were specified aspart of the commitment. In addition, itshould include a revised schedule, asappropriate. If the schedule has beenpreviously revised, provide both theoriginal schedule and the most recent,previously submitted revision.

(8) Current status of thepostmarketing study commitment. Thestatus of each postmarketing studyshould be categorized using one of thefollowing terms that describes thestudy’s status on the anniversary date ofU.S. approval of the application or otheragreed upon date:

(i) Pending. The study has not beeninitiated, but does not meet the criterionfor delayed.

(ii) Ongoing. The study is proceedingaccording to or ahead of the originalschedule described under paragraph(b)(7) of this section.

(iii) Delayed. The study is behind theoriginal schedule described underparagraph (b)(7) of this section.

(iv) Terminated. The study was endedbefore completion but a final studyreport has not been submitted to FDA.

(v) Submitted. The study has beencompleted or terminated and a finalstudy report has been submitted to FDA.

(9) Explanation of the study’s status.Provide a brief description of the statusof the study, including the patientaccrual rate (expressed by providing thenumber of patients or subjects enrolledto date, and the total plannedenrollment), and an explanation of thestudy’s status identified underparagraph (b)(8) of this section. If thestudy has been completed, include thedate the study was completed and thedate the final study report wassubmitted to FDA, as applicable.Provide a revised schedule, as well asthe reason(s) for the revision, if theschedule under paragraph (b)(7) of this



section has changed since the previousreport.

(c) When to report. Annual progressreports for postmarketing studycommitments entered into by applicantsshall be reported to FDA within 60 daysof the anniversary date of the U.S.approval of the application for theproduct.

(d) Where to report. Submit twocopies of the annual progress report ofpostmarketing studies to the Food andDrug Administration, Center forBiologics Evaluations and Research,Document Control Center (HFM–99),1401 Rockville Pike, Rockville, MD20852–1448.

(e) Public disclosure of information.Except for the information described inthis paragraph, FDA may publiclydisclose any information concerning apostmarketing study, within themeaning of this section, if the agencydetermines that the information isnecessary to identify an applicant or toestablish the status of the studyincluding the reasons, if any, for failureto conduct, complete, and report thestudy. Under this section, FDA will notpublicly disclose trade secrets, asdefined in § 20.61 of this chapter, orinformation, described in § 20.63 of thischapter, the disclosure of which wouldconstitute an unwarranted invasion ofpersonal privacy.

Dated: October 13, 2000.Margaret M. Dotzel,Associate Commissioner for Policy.[FR Doc. 00–27731 Filed 10–26–00; 8:45 am]BILLING CODE 4160–01–F



21 CFR Part 876


Gastroenterology and UrologyDevices; Effective Date of theRequirement for Premarket Approvalof the Implanted Mechanical/HydraulicUrinary Continence Device; Correction

AGENCY: Food and Drug Administration,HHS.ACTION: Final rule; correction.

SUMMARY: The Food and DrugAdministration (FDA) is correcting afinal rule that appeared in the FederalRegister of September 26, 2000 (65 FR57726). The final rule requires the filingof a premarket approval application ora notice of completion of a productdevelopment protocol for the implanted

mechanical/hydraulic urinarycontinence device, a generic type ofmedical device intended for thetreatment of urinary incontinence. Inthe final rule, the effective date wasstated incorrectly. This documentcorrects that error.FOR FURTHER INFORMATION CONTACT:Nicole L. Wolanski, Center for Devicesand Radiological Health (HFZ–470),Food and Drug Administration, 9200Corporate Blvd., Rockville, MD 20850,301–594–2194.SUPPLEMENTARY INFORMATION: In FR Doc.00–24632 appearing on page 57726 inthe Federal Register of September 26,2000, the following correction is made:

1. On page 57726, in the secondcolumn, under the EFFECTIVE DATEcaption, the date ‘‘October 26, 2000’’ iscorrected to read ‘‘September 26, 2000.’’

Dated: October 19, 2000.Linda S. Kahan,Deputy Director for Regulations Policy, Centerfor Devices and Radiological Health.[FR Doc. 00–27736 Filed 10–27–00; 8:45 am]BILLING CODE 4160–01–F

DEPARTMENT OF DEFENSE

Department of the Air Force

32 CFR Part 811

RIN 0701–AA62

Release, Dissemination, and Sale ofVisual Information Materials

AGENCY: Department of the Air Force,DoD.ACTION: Final rule.

SUMMARY: The Department of the AirForce is revising our rules on theRelease, Dissemination, and Sale ofVisual Information Materials to reflectcurrent polices. These rules implementAir Force Instruction (AFI) 33–117,Visual Information Management, andapply to all Air Force activities.EFFECTIVE DATE: December 1, 2000.ADDRESSES: Mr. Raymond Dabney, HQAFCIC/ITSM, 1250 Air Force Pentagon,Washington, DC 20330–1250, 703–588–6136.FOR FURTHER INFORMATION CONTACT: Mr.Raymond Dabney, HQ AFCIC/ITSM,703–588–6136.SUPPLEMENTARY INFORMATION: TheDepartment of the Air Force is revisingour rules on the Release, Dissemination,and Sale of Visual Information Materialsof the Code of Federal Regulations(CFRs) (32 CFR part 811) to reflectcurrent policies. This part implementsAir Force Instruction (AFI) 33–117,

Visual Information Management, andapply to all Air Force activities. Thispart was published as a proposed rulein the Federal Register on December 28,1999 (64 FR 72621, FR Doc. 99–33604).Comments were solicited for 60 daysending on February 28, 2000. Nocomments were received.

List of Subjects in 32 CFR Part 811Archives and records, Motion

pictures.For the reasons stated in the

preamble, the Department of the AirForce is revising 32 CFR Part 811 to readas follows:

PART 811—RELEASE,DISSEMINATION, AND SALE OFVISUAL INFORMATION MATERIALS

Sec.811.1 Exceptions.811.2 Release of visual information

materials.811.3 Official requests for visual

information productions or materials.811.4 Selling visual information materials.811.5 Customers exempt from fees.811.6 Visual information product/material

loans.811.7 Collecting and controlling fees.811.8 Forms prescribed and availability of

publications.

Authority: 10 U.S.C. 8013.

§ 811.1 Exceptions.The regulations in this part do not

apply to:(a) Visual information (VI) materials

made for the Air Force Office of SpecialInvestigations for use in an investigationor a counterintelligence report. (See AirForce Instruction (AFI) 90–301, TheInspector General Complaints, whichdescribes who may use these materials.)

(b) VI materials made during AirForce investigations of aircraft ormissile mishaps according to AFI 91–204, Safety Investigations and Reports.(See AFI 90–301.)

§ 811.2 Release of visual informationmaterials.

(a) Only the Secretary of the Air Forcefor Public Affairs (SAF/PA) clears andreleases Air Force materials for useoutside Department of Defense (DoD),according to AFI 35–205, Air ForceSecurity and Policy Review Program.

(b) The Secretary of the Air Force forLegislative Liaison (SAF/LL) arrangesthe release of VI material through SAF/PA when a member of Congress asks forthem for official use.

(c) The International Affairs Division(HQ USAF/CVAII) or, in some cases, themajor command (MAJCOM) ForeignDisclosure Office, must authorizerelease of classified and unclassified



materials to foreign governments andinternational organizations or theirrepresentatives.

§ 811.3 Official requests for visualinformation productions or materials.

(a) Send official Air Force requests forproductions or materials from the DoDCentral Records Centers by letter ormessage. Include:

(1) Descriptions of the images needed,including media format, dates, etc.

(2) Visual information recordidentification number (VIRIN),production, or Research, development,test, and evaluation (RDT&E)identification numbers, if known.

(3) Intended use and purpose of thematerial.

(4) The date needed and a statementof why products are needed on aspecific date.

(b) Send inquiries about motionpicture or television materials to theDefense Visual Information Center(DVIC), 1363 Z Street, Building 2730,March ARB, CA 92518–2703.

(c) Send Air Force customer inquiriesabout still photographic materials to 11CS/SCUA, Bolling AFB, Washington,DC 20332–0403 (the Air Forceaccessioning point).

(d) Send non-Air Force customers’inquiries about still photographicmaterials to the DVIC.

§ 811.4 Selling visual informationmaterials.

(a) Air Force VI activities cannot sellmaterials.

(b) HQ AFCIC/ITSM may approve theloan of copies of original materials forfederal government use.

(c) Send requests to buy:(1) Completed, cleared, productions,

to the National Archives and RecordsAdministration, National AudiovisualCenter, Information Office, 8700Edgeworth Drive, Capitol Heights, MD20722–3701.

(2) Nonproduction VI motion mediato the DVIC. The center may sell otherAir Force VI motion picture andtelevision materials, such as historicaland stock footage. When it sells VImotion media, the DVIC assessescharges, unless § 811.5 exempts therequesting activity.

(3) VI still media to the DoD StillMedia Records Center (SMRC), Attn:SSRC, Washington, DC 20374–1681.When SMRC sells VI still media, theSMRC assesses charges, unless § 811.5exempts the requesting activity.

§ 811.5 Customers exempt from fees.

Title III of the 1968 IntergovernmentalCooperation Act (42 U.S.C. 4201, 4231,and 4233) exempts some customers

from paying for products and loans.This applies if the supplier hassufficient funds and if the exemptiondoes not impair its mission. Therequesting agency must certify that thematerials are not commerciallyavailable. When requests for VI materialdo not meet exemption criteria, therequesting agency pays the fees.Exempted customers include:

(a) DoD and other governmentagencies asking for materials for officialactivities (see DoD Instruction 4000.19,Interservice, and IntergovernmentalSupport, August 9, 1995, and DoDDirective 5040.2, Visual Information(VI), December 7, 1987.

(b) Members of Congress asking for VImaterials for official activities.

(c) VI records center materials orservices furnished according to law orExecutive Order.

(d) Federal, state, territorial, county,municipal governments, or theiragencies, for activities contributing to anAir Force or DoD objective.

(e) Nonprofit organizations for publichealth, education, or welfare purposes.

(f) Armed Forces members with acasualty status, their next of kin, orauthorized representative, if VI materialrequested relates to the member anddoes not compromise classifiedinformation or an accident investigationboard’s work.

(g) The general public, to help theArmed Forces recruiting program orenhance public understanding of theArmed Forces, when SAF/PAdetermines that VI materials or servicespromote the Air Force’s best interest.

(h) Incidental or occasional requestsfor VI records center materials orservices, including requests fromresidents of foreign countries, when feeswould be inappropriate. AFI 16–101,International Affairs and SecurityAssistance Management, tells how aforeign government may obtain AirForce VI materials.

(i) Legitimate news organizationsworking on news productions,documentaries, or print products thatinform the public on Air Forceactivities.

§ 811.6 Visual information product/material loans.

(a) You may request unclassified andclassified copies of current Air Forceproductions and loans of DoD and otherFederal productions from JVISDA,ATTN: ASQV–JVIA–T–AS, Bldg. 3, Bay3, 11 Hap Arnold Blvd., Tobyhanna, PA18466–5102.

(1) For unclassified products, useyour organization’s letterhead, identifysubject title, PIN, format, and quantity.

(2) For classified products, use yourorganization’s letterhead, identify

subject title, personal identificationnumber (PIN), format, and quantity.Also, indicate that either yourorganization commander or securityofficer, and MAJCOM VI managerapprove the need.

(b) You may request other VImaterials, such as, still images andmotion media stock footage, from DVIC/OM–PA, 1363 Z Street, Building 2730,March ARB, CA 92518–2703.

§ 811.7 Collecting and controlling fees.(a) The DoD records centers usually

collect fees in advance. Exceptions aresales where you cannot determineactual cost until work is completed (forexample, television and motion pictureservices with per minute or per footagecharges).

(b) Customers pay fees, per AFR 177–108, Paying and Collecting Transactionsat Base Level, with cash, treasury check,certified check, cashier’s check, bankdraft, or postal money order.

§ 811.8 Forms prescribed and availabilityof publications.

(a) AF Form 833, Visual InformationRequest, AF Form 1340, VisualInformation Support Center WorkloadReport, DD Form 1995, VisualInformation (VI) Production Requestand Report, DD Form 2054–1, VisualInformation (VI) Annual Report, and DDForm 2537, Visual Information CaptionSheet are prescribed by this part.

(b) Air Force publications and formsreferenced in this part are available fromNTIS, 5285 Port Royal Road,Springfield, VA 22161 or online athttp://www.afpubs.hq.af.mil. DoDpublications are available athttp://www.defenselink.mil/pubs.

Janet A. Long,Air Force Federal Register Liaison Officer.[FR Doc. 00–27021 Filed 10–27–00; 8:45 am]BILLING CODE 5001–05–P


Department of the Air Force

32 CFR Parts 811a and 813

RIN 0701–AA63

Visual Information DocumentationProgram

AGENCY: Department of the Air Force,DoD.ACTION: Final rule.

SUMMARY: The Department of the AirForce is revising our rules on the VisualInformation Documentation Program ofthe Code of Federal Regulations (CFRs)to reflect current polices. These rules



implement Air Force Instruction (AFI)33–117, Visual InformationManagement, and apply to all Air Forceactivities.EFFECTIVE DATE: December 1, 2000.ADDRESSES: Submit comments to Mr.Raymond Dabney, HQ AFCIC/ITSM,1250 Air Force Pentagon, Washington,DC 20330–1250, 703–588–6136.FOR FURTHER INFORMATION CONTACT: Mr.Raymond Dabney, HQ AFCIC/ITSM,703–588–6136.SUPPLEMENTARY INFORMATION: TheDepartment of the Air Force isredesignating 32 CFR part 811a as 32CFR part 813 and revising it to reflectcurrent policies. This part implementsAFI 33–117, Visual InformationManagement, and applies to all AirForce activities. This part was publishedas a proposed rule in the FederalRegister on January 5, 2000 (65 FR 419,FR Doc. 00–235). Comments weresolicited for 60 days ending on March6, 2000. No comments were received.

List of Subjects in 32 CFR Parts 811aand 813

Archives and records, Motionpictures.

PART 811a—[REDESIGNATED ASPART 813]

For the reasons set forth in thepreamble, the Department of the AirForce is redesignating 32 CFR part 811aas 32 CFR part 813 and revising it toread as follows:

PART 813—VISUAL INFORMATIONDOCUMENTATION PROGRAM

Sec.813.1 Purpose of the visual information

documentation (VIDOC) program.813.2 Sources of VIDOC.813.3 Responsibilities.813.4 Combat camera operations.813.5 Shipping or transmitting visual

information documentation images.813.6 Planning and requesting combat

documentation.813.7 Readiness reporting.


§ 813.1 Purpose of the visual informationdocumentation (VIDOC) program.

Using various visual and audio media,the Air Force VIDOC program recordsimportant Air Force operations,historical events, and activities for useas decision making and communicativetools. VIDOC of Air Force combatoperations is called COMCAMdocumentation. Air Force publicationsare available at NTIS, 5285 Port RoyalRoad, Springfield, VA 22161 or onlineat http://www.afpubs.hq.af.mil. DoD

publications are available at http://www.defenselink.mil/pubs.

§ 813.2 Sources of VIDOC.Primary sources of VIDOC materials

include:(a) HQ AMC active and reserve

combat camera (COMCAM) forces, bothground and aerial, whose primary goalis still and motion mediadocumentation of Air Force and aircomponent combat and combat supportoperations, and related peacetimeactivities such as humanitarian actions,exercises, readiness tests, andoperations.

(b) Visual information forces withcombat documentation capabilities fromother commands: HQs ACC, AETC,AFRES, and AFSPACECOM.

(c) Communications squadron basevisual information centers (BVISCs).

(d) Air Digital Recorder (ADR) imagesfrom airborne imagery systems, such asheads up displays, radar scopes, andimages from electro-optical sensorscarried aboard aircraft and weaponssystems.

(e) Photography of Air ForceResearch, Development, Test &Evaluation (RDT&E) activities, includinghigh speed still and motion mediaoptical instrumentation.

§ 813.3 Responsibilities.(a) HQ AFCIC/ITSM:(1) Sets Air Force VIDOC policy.(2) Oversees United States Air Force

(USAF) COMCAM programs and combatreadiness.

(3) Makes sure Air Force participatesin joint actions by coordinating with theOffice of the Secretary of Defense staff,Joint Chiefs of Staff (JCS), executivedepartments, and other branches of theUnited States Government.

(4) Approves use of Air ForceCOMCAM forces in non-Air Forceactivities.

(b) Air components:(1) Manage air component COMCAM

and visual information support withintheir areas of responsibility. Documentssignificant events and operations fortheater and national-level use.

(2) Sets requirements for COMCAMand VI support. Includes requirementsin operations plans (OPLAN) force lists,concept plans (CONPLAN), operationsorders (OPORD), and similardocuments. See Air Force Manual(AFMAN) 10–401, Operation Plan andConcept Plan Development andImplementation.

(3) Coordinate with MAJCOM VImanagers to plan and source VIDOCforces for war, contingencies, andexercises.

(4) Provide input (VI and COMCAMrequirements) to HQ AMC/SCMV, 203

West Losey Street, Room 3180, ScottAFB, IL 62225–5223, as required todevelop the annual VI Exercise SupportPlan. Include requirements to exerciseVI forces to refine operationalprocedures and meet defined objectives.

(c) HQ AMC:(1) Provides primary Air Force ADR

theater support to the air componentcommanders.

(2) Maintains a deployable theatersupport Unified TransportationCommand (UTC) to manage ADRrequirements above the aviation winglevel. This includes the gathering,editing, copying, and distribution ofADR images from combat aviationsquadrons for operational analysis,bomb damage assessment, collateralintelligence, training, historical, publicaffairs, and other needs.

(3) Sets combat training standards anddevelops programs for all Air ForceCOMCAM personnel (includes bothformal classroom and field readinesstraining).

(4) Coordinates and meets COMCAMneeds in war, operations, and conceptplans.

(5) Provides the Air Force’s primaryCOMCAM capability and assists aircomponent and joint commands withdeliberate and crisis action planning forUSAF’s COMCAM assets.

(6) Provides component and theatercommands COMCAM planningassistance and expertise forcontingencies, humanitarian actions,exercises, and combat operations.

(7) Acts as manpower and equipmentforce packaging (MEFPAK) manager forCOMCAM UTCs.

(8) Funds HQ AMC COMCAMpersonnel and equipment forcontingency or wartime deployments.(The requester funds temporary dutyand supply costs for planned events,such as non-JCS exercises andcompetitions.)

(9) Develops and monitors the annualAir Force-wide VI Exercise SupportPlan for the Air Staff, with assistancefrom air components and supportingMAJCOMs. (Use criteria contained in§ 813.4(e)(1) and provide equitabledeployment opportunity for taskedcommands’ VI resources.)

(d) MAJCOM VI managers:(1) Plan and set policy for

documenting activities of operational,historical, public affairs, or othersignificance within their commands.

(2) Train and equip VIDOC forces todocument war, contingencies, majorevents, Air Force and joint exercises,and weapons tests.

(3) Make sure COMCAM and BVISCforces meet their wartime tasking andidentify and resolve deficiencies. Refer



significant deficiencies and problemsand proposed resolution to HQ AFCIC/ITSM.

(4) Allow documentation ofsignificant Air Force activities andevents, regardless of their sensitivity orclassification. Protect materials as thesupported command directs. Safeguardclassified images or handle themaccording to Department of Defense(DoD) Directive 5200.1, DoDInformation Security Program, June 7,1982, with Changes 1 and 2, and AFI31–401, Information Security ProgramManagement. The authority in charge ofthe event or operation approvesdocumentation distribution.

(5) Update UTC availability inMAJCOM information systems.

(6) Assist Air Force Operations Group,in identifying the command’s capabilityto support COMCAM and VIrequirements.

(7) Provide inputs to HQ AMC/SCMVfor the annual VI Exercise Support Planfor JCS exercises.

(8) Make sure units that havedeployable VI teams have Status ofResources and Training System(SORTS) reportable designedoperational capability (DOC) statementsthat accurately reflect their mission andtaskings.

(9) Develop and overseemeasurements, such as operationalreadiness inspection criteria, to evaluateVI force readiness at DOC-tasked units.

§ 813.4 Combat camera operations.(a) Air Force COMCAM forces

document Air Force and air componentactivities.

(b) The supported unified commandor joint task force commander, throughthe air component commander (whenassigned), controls Air Force COMCAMforces in a joint environment. If an aircomponent is assigned, the aircomponent normally managesdocumentation of its operations. AirForce COMCAM and visual informationsupport for joint operations will beproportionate to USAF combat forceparticipation. In airlift operations, HQAMC may be the supported command.

(c) During contingencies, exercises,and other operations, the Air Forceprovides its share of Unified Commandheadquarters COMCAM and visualinformation support forces for stillphotographic, motion media, graphics,and other VI services.

(d) COMCAM and VI forces take partin Air Force and joint exercises to testprocedures and over-all readiness.COMCAM and VI forces also provide VIproducts to command, operations,public affairs, historical, and othersignificant customers.

(e) Sourcing COMCAM forces. SeeAFMAN 10–401 for specific procedures.

(1) When VI support teams arerequired, the lead wing’s VI UTCdeploys as primary, whenever possible.If lead wing VI support is not available,the providing command sources therequirement from other active or reservecomponent forces, or coordinates withother MAJCOMs for assistance.

(2) Air Force VI personnel who assistsupported commands in determiningCOMCAM and VI requirements andsourcing consider the total USAF VIcommunity as a resource. Plannersconsider employing USAF deployableVI support teams, augmentation combatdocumentation teams fromAFSPACECOM, AETC, and ACC, aswell as active and reserve COMCAMteams.

§ 813.5 Shipping or transmitting visualinformation documentation images.

(a) COMCAM images. Send COMCAMimages to the DoD Joint Combat CameraCenter, Room 5A518, Pentagon,Washington, DC 20330–3000, by thefastest means possible, following theapproval procedures that on-scene andtheater commanders set.

(b) Other non-COMCAM images. Afteruse, send significant non-COMCAMimages to the appropriate DoD mediarecords center through the Air Forcerecord center accessioning point.

(c) Identification of VIDOC materials.Clearly identify all VIDOC andCOMCAM material with slates,captions, and cover stories.

§ 813.6 Planning and requesting combatdocumentation.

(a) Planned combat documentation.Air components identify documentationneeds as early as possible in OPLANs,CONPLANs, and OPORDs and sendcopies of these plans to HQ AMC/SCMV, 203 West Losey Street, Room3180, Scott AFB, IL 62225–5223.Include the contact for planning andsupport.

(b) Activity documentation.MAJCOMs may request that HQ AMCdocument their activities. Sendinformation copies of requests to HQAFCIC/ITSM, 1250 Air Force Pentagon,Washington, DC 20330–1250, and HQAMC/SCMV. When a supportingcomponent command operationallycontrols HQ AMC COMCAM units,other organizations that need supportmust coordinate requests with thesupported command.

(c) Unplanned combatdocumentation. Send short noticerequests to the supported operationalcommander as soon as possible, withinformation copies to HQ AFCIC/ITSM

and HQ AMC/SCMO. Identify endproduct requirements, media formats,and deadlines.

(d) Humanitarian, disaster relief, andcontingencies. Theater commandersnormally task the supportingcomponent through the Joint OperationPlanning and Execution System, that inturn, requests support from HQ AMC.HQ USAF can directly task HQ AMC todocument humanitarian, disaster relief,or contingency activities if it does notreceive other tasking(s). In these cases,coordinate with the supported unifiedcommand.

§ 813.7 Readiness reporting.All Air Force units assigned a DOC

statement report readiness statusthrough the SORTS process. See AFI10–201, Status of Resources andTraining System, for specificinformation and reporting criteria.

Janet A. Long,Air Force Federal Register Liaison Officer.[FR Doc. 00–27020 Filed 10–27–00; 8:45 am]BILLING CODE 5001–05–U

LIBRARY OF CONGRESS

Copyright Office


[Docket No. 2000–4 CARP CRA]

Adjustment of Cable Statutory LicenseRoyalty Rates

AGENCY: Copyright Office, Library ofCongress.ACTION: Final rule.

SUMMARY: The Copyright Office of theLibrary of Congress is publishing finalregulations governing the adjustment ofthe royalty rates for the cable statutorylicense.DATES: These regulations are effectiveJuly 1, 2000.FOR FURTHER INFORMATION CONTACT:David O. Carson, General Counsel, orWilliam J. Roberts, Jr., Senior Attorneyfor Compulsory Licenses, CopyrightArbitration Royalty Panel (CARP), P.O.Box 70977, Southwest Station,Washington, D.C. 20024. Telephone:(202) 707–8380. Telefax (202) 252–3423.SUPPLEMENTARY INFORMATION:

I. BackgroundSection 111 of the Copyright Act, 17

U.S.C., creates a statutory license forcable systems that retransmit to theirsubscribers over-the-air broadcastsignals. Royalty fees for this license arecalculated as percentages of a cablesystem’s gross receipts received from



subscribers for receipt of broadcastsignals. A cable system’s individualgross receipts determine the applicablepercentages. These percentages, and thegross receipts limitations, are publishedin 37 CFR part 256 and are subject toadjustment at five-year intervals. 17U.S.C. 801(b)(2)(A) & (D). This was awindow year for such an adjustment.

The Library received two petitions fora rate adjustment and published aFederal Register notice seekingcomment on these petitions anddirected interested parties to file aNotice of Intent to Participate in aCopyright Arbitration Royalty Panel(‘‘CARP’’) proceeding. 65 FR 10564(February 28, 2000). The Library alsodesignated a 30-day period to negotiatea settlement as to adjustment of therates. 37 CFR 251.63(a). The Libraryextended the negotiation period on twoseparate occasions in Orders dated May15, 2000, and June 5, 2000. Theextensions proved to be successful, asthe Library received a joint proposal toadjust the cable royalty fees and thegross receipts limitations.

Pursuant to § 251.63(b) of the CARPrules, the Library published in theFederal Register the proposedadjustments to the percentages of grossreceipts paid by cable systems, and thegross receipts limitations. 65 FR 54984(September 12, 2000). Section 251.63(b)provides that the Library ‘‘may adoptthe rate embodied in the proposedsettlement without convening anarbitration panel, provided that noopposing comment is received by theLibrarian [of Congress] from a partywith an intent to participate in a CARPproceeding.’’ 37 CFR 251.63(b). Nocomments or Notices of Intent toParticipate were received, enablingpublication of today’s final regulationsadopting the proposed settlement.

The regulations take effect on July 1,2000, which means that the new cablerates, and the gross receipts limitations,are applicable to the second accountingperiod of 2000 and thereafter.

List of Subjects

37 CFR Part 201

Copyright, Procedures.

37 CFR Part 256

Cable television, Royalties.For the reasons set forth in the

preamble, the Library amends 37 CFRparts 201 and 256 as follows:

PART 201—GENERAL PROVISIONS



§ 201.17 [Amended]

2. In § 201.17:a. In paragraph (d)(2), remove

‘‘$292,000’’ each place it appears andadd ‘‘$379,600’’ in its place.

b. In paragraph (e)(12), remove‘‘$75,800’’ and add ‘‘$98,600’’ in itsplace.

c. In paragraph (g)(2)(ii), remove‘‘.893’’ and add ‘‘.956’’ in its place.

PART 256—ADJUSTMENT OFROYALTY FEE FOR CABLECOMPULSORY LICENSE


Authority: 17 U.S.C. 702, 802.

§ 256.2 [Amended]

4. In § 256.2:a. In paragraph (a), introductory text,

remove the phrase ‘‘the first semiannualaccounting period of 1985’’ and add thephrase ‘‘the second semiannualaccounting period of 2000’’ in its place.

b. In paragraph (a)(1), remove ‘‘.893’’and add ‘‘.956’’ in its place.

c. In paragraph (a)(2), remove ‘‘.893’’and add ‘‘.956’’ in its place.

d. In paragraph (a)(3), remove ‘‘.563’’and add ‘‘.630’’ in its place.

e. In paragraph (a)(4), remove ‘‘.265’’and add ‘‘.296’’ in its place.

f. In paragraph (b), introductory text,remove the phrase ‘‘the first semiannualaccounting period of 1985’’ and add thephrase ‘‘the second semiannualaccounting period of 2000’’ in its place.

g. In paragraph (b)(1), remove‘‘$146,000’’ each place it appears andadd ‘‘$189,800’’ in its place, and remove‘‘$5,600’’ and add ‘‘$7,400’’ in its place.

h. In paragraph (b)(2), remove‘‘$146,000’’ each place it appears, andadd ‘‘$189,800’’ in its place, and remove‘‘$292,000’’ each place it appears andadd ‘‘$379,600’’ in its place.


Marybeth Peters,Register of Copyrights.

Approved by:

James H. Billington,The Librarian of Congress.[FR Doc. 00–27713 Filed 10–27–00; 8:45 am]

BILLING CODE 1410–33–P

ENVIRONMENTAL PROTECTIONAGENCY

40 CFR Part 300

[FRL–6859–8]

National Oil and HazardousSubstances Pollution Contingency;National Priorities List

AGENCY: Environmental ProtectionAgency (EPA).ACTION: Notice of deletion of the WhiteFarm Equipment Landfill Superfundsite (site) from the National PrioritiesList (NPL).

SUMMARY: The EPA Region VIIannounces the deletion of the WhiteFarm Equipment Landfill site, CharlesCity, Iowa from the NPL. The NPL isappendix B of 40 CFR part 300 whichis the National Oil and HazardousSubstances Pollution Contingency Plan(NCP), which EPA promulgatedpursuant to section 105 of theComprehensive EnvironmentalResponse, Compensation, and LiabilityAct of 1980 (CERCLA), as amended. TheEPA and the state of Iowa havedetermined that the site poses nosignificant threat to public health or theenvironment and, therefore, no furtherremedial measures pursuant to CERCLAare appropriate.EFFECTIVE DATE: October 30, 2000.FOR FURTHER INFORMATION CONTACT:Catherine Barrett, Remedial ProjectManager, U.S. EPA, Region VII,Superfund Division, 901 North 5thStreet, Kansas City, Kansas 66101,telephone (913) 551–7704, fax (913)551–7063.SUPPLEMENTARY INFORMATION: The site tobe deleted from the NPL is: White FarmEquipment Landfill site, Charles City,Iowa.

A Notice of Intent to Delete for thissite was published in the FederalRegister on September 7, 2000 (65 FR54190). The closing date for commentson the Notice of Intent to Delete wasOctober 10, 2000. No comments werereceived, therefore, EPA has notprepared a Responsiveness Summary.The EPA identifies sites that appear topresent a significant risk to publichealth, welfare, or the environment andit maintains the NPL as the list of thosesites. Any site deleted from the NPLremains eligible for fund-financesremedial actions in the unlikely eventthat conditions at the site warrant suchaction. Section 300.425(e)(3) of the NCPstates that fund-financed actions may betaken at sites deleted from the NPL.Deletion of a site from the NPL does notaffect responsible party liability or



1 NGV2 was developed by an industry workinggroup that included container manufacturers, CNGusers, and utilities.

impede agency efforts to recover costsassociated with response efforts.


Environmental protection, Airpollution control, Chemicals, Hazardoussubstances, Hazardous waste,Intergovernmental relations, Naturalresources, Oil pollution, Penalties,Reporting and recordkeepingrequirements, Superfund, Waterpollution control, Water supply.

Dated: August 18, 2000.Martha Steincamp,Acting Regional Administrator, Region 7.

40 CFR part 300 is amended asfollows:

PART 300—[AMENDED]


Authority: 33 U.S.C. 1321(c)(2); 42 U.S.C.9601-9657; E.O. 12777, 56 FR 54757, 3 CFR,1991 Comp., p. 351; E.O. 12580, 52 FR 2923,3 CFR, 1987 Comp., p. 193.

Appendix B [Amended]

2. Table 1 of appendix B to part 300is amended by deleting the White FarmEquipment Co. Dump, Charles City,Iowa site.

[FR Doc. 00–27578 Filed 10–27–00; 8:45 am]BILLING CODE 6560–50–U

FEDERAL COMMUNICATIONSCOMMISSION

47 CFR Part 73

[DA 00–2300; MM Docket No. 97–26, RM–8968, RM–9089, RM–9090; MM Docket No.97–91, RM–8854, RM–9221]

Radio Broadcasting Services; Detroit,Howe, Jacksboro, Lewisville,Gainesville, Robinson, Corsicana,Mineral Wells TX, Antlers, Hugo, OK

AGENCY: Federal CommunicationsCommission.ACTION: Final rule.

SUMMARY: This document dismisses anApplication for Review filed by JerrySnyder and Associates, an Applicationfor Review filed by Metro Broadcasters-Texas, Inc., and a Petition for PartialReconsideration filed by HispanicBroadcasting Corporation. Thisdocument also grants a Request forImmediate Issuance of Erratum filed byGreat Plains Radiocasting to the extentof removing Channel 294C2 at Detroit,Texas. All of these pleadings weredirected to the Report and Order in thisproceeding. 63 FR 45182, August 25,1997.

DATES: Effective November 28, 2000.FOR FURTHER INFORMATION CONTACT:Robert Hayne, Mass Media Bureau,(202) 418–2177.SUPPLEMENTARY INFORMATION: This is asynopsis of the Commission’sMemorandum Opinion and Orderadopted September 27, 2000, andreleased October 6, 2000. The full textof this decision is available forinspection and copying during normalbusiness hours in the FCC ReferenceInformation Center at Portals II, CY–A257, 445 12th Street, SW.,Washington, DC. The complete text ofthis decision may also be purchasedfrom the Commission’s copy contractor,International Transcription Service,Inc., (202) 857–3805, 1231 M Street,NW., Washington, DC 20036.


Radio broadcasting.Part 73 of title 47 of the Code of

Federal Regulations is amended asfollows:

PART 73—[AMENDED]

1. The authority citation for Part 73continues to read as follows:

Authority: 47 U.S.C. 154, 303, 334, 336.

2. Section 73.202(b), the Table of FMAllotments, under Texas, is amended byremoving Channel 294C2, Detroit.Federal Communications Commission.John A. Karousos,Chief, Allocations Branch, Policy and RulesDivision, Mass Media Bureau.[FR Doc. 00–27745 Filed 10–27–00; 8:45 am]BILLING CODE 6712–01–U


National Highway Traffic SafetyAdministration

49 CFR Part 571

[Docket No. NHTSA–00–8191]

RIN 2127–AH94

Federal Motor Vehicle SafetyStandards; Compressed Natural GasFuel Container Integrity

AGENCY: National Highway TrafficSafety Administration (NHTSA),Department of Transportation (DOT).ACTION: Final rule, petitions forreconsideration.

SUMMARY: In response to petitions forreconsideration, this agency isamending the bonfire test procedures inthe Federal motor vehicle safetystandard concerning compressed natural

gas fuel container integrity. Theamendments will facilitate the testing ofcompressed natural gas containerswithout adversely affecting safety.DATES: Effective date: The amendmentin this document becomes effectiveNovember 29, 2000.

Petitions for reconsideration: Anypetition for reconsideration of this rulemust be received by NHTSA no laterthan December 14, 2000.ADDRESSES: Petitions for reconsiderationof this rule should refer to the abovementioned docket number and besubmitted to: Administrator, NationalHighway Traffic Safety Administration,400 Seventh Street, SW., Washington,DC 20590.FOR FURTHER INFORMATION CONTACT: Fornon-legal issues: Mr. Charles Hott,National Highway Traffic SafetyAdministration, 400 Seventh Street,SW., Washington, DC 20590 (Telephone202–366–0247).

For legal issues: Mr. Steve Wood,NCC–20, Assistant Chief Counsel forRulemaking, National Highway TrafficSafety Administration, 400 SeventhStreet, SW., Washington, DC 20590(202–366–2992).SUPPLEMENTARY INFORMATION:

I. Regulatory Background

On September 26, 1994, NHTSApublished a final rule establishingStandard No. 304, Compressed NaturalGas Fuel Container Integrity, whichspecifies tests and performancerequirements regarding the durability,strength, and pressure relief ofcompressed natural gas (CNG) fuelcontainers. (59 FR 49010) TheSeptember 1994 final rule also specifiedlabeling requirements for CNG fuelcontainers. The CNG fuel containerrequirements are based on specificationsin ANSI/NGV2, a voluntary industrystandard addressing CNG fuelcontainers which was adopted by theAmerican National Standards Institute(ANSI).1 One of the performance testsinvolves subjecting containers to abonfire test to evaluate their pressurerelief characteristics.

NHTSA decided in the September1994 final rule to specify that No. 2diesel fuel be used to generate the firein the bonfire test. The agency indicatedthat it was specifying No. 2 diesel fuelon an interim basis because of itsawareness that environmental problemsresult from use of this fuel. The agencystated that it would study whether otherfuels could be used for the bonfire test.



On December 19, 1994, NHTSApublished a supplemental notice ofproposed rulemaking (SNPRM) thatproposed, among other things, to amendthe bonfire test procedures andconditions to allow alternative fueltypes. (59 FR 65299) Specifically, theagency proposed that the bonfire test beconducted with any fuel that generatesa flame temperature equivalent to that ofNo. 2 diesel fuel (i.e., any fuel thatgenerates a flame temperature of 850 to900 degrees Celcius (C)). NHTSArequested comments about theappropriateness of using flametemperature to define equivalenceamong fuel types.

Commenters addressing the issue ofbonfire fuel generally supported theproposal. EDO Corporation andBrunswick Composites favored allowingany fuel as long as the specifiedtemperature is maintained. Ford MotorCompany commented that the proposalwas appropriate, provided the flamecharacteristics of different fuels aresimilar. AGA/NGVC also supported theproposal.

On November 24, 1995, NHTSApublished a final rule that amended thebonfire test procedures and announcedits decision to terminate rulemaking onadditional performance requirements forCNG containers that the agency hadpreviously proposed. (60 FR 57943)Specifically, section S8.3.6 wasamended to allow the bonfire test to beconducted using any fuel that generatesa flame temperature between 850 and900 degrees C for the duration of thetest. The agency stated that theamendment provided greater flexibilityin conducting the bonfire test. It furtherstated that the amendment eliminated aprovision that specified the use of a fuelthat posed environmental problems.

II. Petitions for ReconsiderationNHTSA received petitions for

reconsideration from the AmericanAutomobile Manufacturers Association(AAMA), Ford, Consumers Gas,

Powertech (a research and developmentlaboratory), and CNG containermanufacturers, including NGV Systems,Pressed Steel Tank (PST), and LincolnComposites (Lincoln). The petitionersrequested that NHTSA amend StandardNo. 304 with respect to therequirements for labeling CNGcontainers and the bonfire testprocedures. In a final rule publishedSeptember 6, 1996, the agencyresponded to issues associated with thelabeling of CNG containers. (61 FR47086) In today’s notice, NHTSAresponds to the issues associated withthe bonfire test.

Lincoln, Powertech, and NGVSystems stated that the bonfire testprocedures in S8.3.6 are not feasible.Section S8.3.6 states that ‘‘The fire isgenerated by any fuel that maintains aflame temperature between 850 and 900degrees C for the duration of the test, asverified by each of the threethermocouples in S8.3.2 or S8.3.3.’’NGV Systems provided test data thatindicate that the thermocoupletemperatures reached during a bonfiretest cannot be verified under theprocedures specified in the final rulebecause of variability in the testing.Lincoln recommended that the agencyadopt the 1996 edition of NGV2, whichrequires that two of the threethermocouples average 590 degrees C(1100 degrees F) over any one-minuteinterval (except that there would be notemperature requirements if thecontainer vents within five minutes ofigniting the fire). Lincoln did notexplain why this temperature, which ismuch lower than the initial requirementof 850–900 degrees, would be sufficient.PST stated that because thermocoupleson the container do not registertemperatures as high as 850 C and arenot constant within the 50 C rangeduring the test, diesel fuel should bespecified.

Powertech requested that NHTSAharmonize its requirement with the

International Standards Organization’s(ISO) proposed standard (CD 11439) andthe Canadian Standards Associations’proposed standard (B51–95 (part 2)).Both proposed standards are consistentwith the 1996 edition of NGV2 whichspecifies a minimum fire temperature of590 degrees C using a thermocouple thatis placed directly below the containerand is shielded from direct flameimpingement. These organizations didnot establish a maximum testtemperature because of the difficulty inprecisely controlling the large-scale firetest conditions. In addition torecommending the adoption of NGV2’sbonfire temperature, Lincolnrecommended rewording the entirebonfire test procedure in FMVSS No.304 to make it consistent with the 1996edition of NGV2. That company furtherstated that if its recommendation werenot accepted, then the bonfire testprocedures of the standard should bewithdrawn and that the issue of thebonfire procedures should be revisitedafter NGV2 is completed.

III. NHTSA Decision

After reviewing the petitions andother available information, NHTSA hasdecided to amend the bonfire testprocedures to be consistent with theANSI/NGV2 industry standardpublished in June 1998. That standardspecifies that, within five minutes ofignition, the average temperature of twoof the thermocouples must be not lessthan 430 degrees C over each oneminute interval for the duration of thetest, beginning 5 minutes after theignition of the fire and ending 20minutes after ignition. It also calls forplacement of three thermocouples oneinch below the CNG container, andspecifies that temperatures be recordedevery 30 seconds after the ignition of thefire. In other words, any two of the threethermocouples must have an averagetemperature of not less than 430 degreesC over a 60-second interval, i.e.,

1

2

T T T THigh 1 High 2 High 1 High 2+

++

≥2 2

430 C time 30 sec time 60 sec

o

@ @

These test procedures will facilitatethe testing of CNG containers in severalways, while maintaining the level ofsafety currently required by StandardNo. 304. First, eliminating the currentnarrow 50 degree C temperature rangewill make it easier to conductcompliance tests consistent with thetemperature specifications of the

standard. Data submitted by thepetitioners that indicate that the finalrule’s bonfire test procedures were notfeasible because the petitioners couldnot maintain the temperature specifiedin the 1995 final rule. Second,specifying that the thermocouples willbe placed so that they are suspendedbelow the CNG containers, instead of

attached to them as is currentlyspecified in the standard, will increasetheir accuracy in measuring the flametemperature. Third, specifying aminimum average temperature for thethermocouples will facilitate the use ofany type of fuel that can be used togenerate the needed heat for the bonfiretests. The temperature specified in the



2 Voluntary consensus standards are technicalstandards developed or adopted by voluntaryconsensus standards bodies. Technical standardsare defined by the NTTAA as ‘‘performance-basedor design-specific technical specifications andrelated management systems practices.’’ Theypertain to ‘‘products and processes, such as size,strength, or technical performance of a product,process or material.’’

1995 final rule is the flame temperaturefor diesel fuel, 850–900 degrees C. Thisis not practical because the containermust reach the flame temperature of thefuel that is burning. At such hightemperatures, the CNG containermaterial may be destroyed.

NHTSA’s decision to pattern thebonfire test procedures after ANSI/NGV2 is consistent with the NationalTechnology Transfer and AdvancementAct (NTTAA), which generally requiresFederal agencies to evaluate and useexisting voluntary consensus standards 2

in their regulatory activities unlessdoing so would be inconsistent withapplicable law (e.g., the statutoryprovisions regarding NHTSA’s vehiclesafety authority) or otherwiseimpractical; see section 12(d) of Pub. L.104–113. The agency believes thatNGV2 is suitable and consistent withthe agency’s own statutory mandate tobe practicable and meet the need forsafety. Accordingly, NHTSA has revisedthe bonfire test procedures to beconsistent with the June 1998 version ofthe ANSI standard.

Technical AmendmentIn addition, NHTSA is making a

technical amendment to the Applicationsection (S3) to state explicitly thatStandard No. 304 applies to ‘‘eachpassenger car, multipurpose passengervehicle, truck, and bus that uses CNG asa motor fuel and to each containerdesigned to store CNG as motor fuel on-board any motor vehicle.’’ While thestandard’s applicability is stated in S6.1and S6.2, it was not fully stated in S3.

IV. Rulemaking Analyses and Notices

A. Executive Order 12866 (FederalRegulation) and DOT RegulatoryPolicies and Procedures

NHTSA has considered the impact ofthis rulemaking action under ExecutiveOrder 12866 and the Department ofTransportation’s regulatory policies andprocedures. This rulemaking documentwas not reviewed under E.O. 12866,‘‘Regulatory Planning and Review.’’Further, this action has been determinedto be ‘‘nonsignificant’’ under theDepartment of Transportation’sregulatory policies and procedures. Theagency has decided not to prepare aFinal Regulatory Evaluation (FRE)because the impacts of these

amendments are so minimal as not towarrant preparation of a full regulatoryevaluation. The amendments in today’sfinal rule make the bonfire testconditions consistent with a voluntaryindustry standard. Since the industry isalready following that standard, thischange does not result in any changesin costs.

B. Regulatory Flexibility ActNHTSA has also considered the

effects of this rulemaking action underthe Regulatory Flexibility Act. Basedupon the agency’s evaluation, I certifythat this rule will not have a significanteconomic impact on a substantialnumber of small entities. The rationalefor this certification is that theamendments will not result in any costincrease or decrease for CNG containermanufacturers. NHTSA is aware ofapproximately ten companies thatmanufacture CNG containers. Becauseeach CNG container manufacturer isaffiliated with a Fortune 500 or otherlarge business, none of them would beconsidered a small business under theU.S. Small Business Administration’saffiliation rule (13 CFR 121.401).

C. Executive Order 13132 (Federalism)The agency has analyzed this

rulemaking in accordance with theprinciples and criteria contained inExecutive Order 13132 and hasdetermined that it does not havesufficient federalism implications towarrant consultation with State andlocal officials or the preparation of afederalism summary impact statement.The final rule has no substantial effectson the States, or on the current Federal-State relationship, or on the currentdistribution of power andresponsibilities among the various localofficials.

D. National Environmental Policy ActIn accordance with the National

Environmental Policy Act of 1969,NHTSA has considered theenvironmental impacts of this rule. Theagency has determined that this rulewill not have any adverse impact on thequality of the human environment.

E. Civil Justice ReformThis rulemaking does not have any

retroactive effect. Under 49 U.S.C.30103, whenever a Federal motorvehicle safety standard is in effect, aState may not adopt or maintain a safetystandard applicable to the same aspectof performance which is not identical tothe Federal standard, except to theextent that the State requirementimposes a higher level of performanceand applies only to vehicles procured

for the State’s use. 49 U.S.C. 30161 setsforth a procedure for judicial review offinal rules establishing, amending orrevoking Federal motor vehicle safetystandards. That section does not requiresubmission of a petition forreconsideration or other administrativeproceedings before parties may file suitin court.

List of Subjects in 49 CFR Part 571Imports, Motor vehicle safety, Motor

vehicles, Rubber and rubber products,Tires.

In consideration of the foregoing, theagency is amending Standard No. 304;Compressed Natural Gas Fuel ContainerIntegrity, Part 571 at Title 49 of the Codeof Federal Regulations as follows:


1. The authority citation for Part 571continues to read as follows:

Authority: 49 U.S.C. 322, 30111, 30115,30117 and 30166; delegation of authority at49 CFR 1.50.

2. Section 571.304, is amended byrevising S3 and S8.3 through S8.3.9 toread as follows:

§ 571.304 Standard No. 304, Compressednatural gas fuel container integrity

S3. Application. This standardapplies to each passenger car,multipurpose passenger vehicle, truck,and bus that uses CNG as a motor fueland to each container designed to storeCNG as motor fuel on-board any motorvehicle.* * * * *

S8.3 Bonfire test. The requirementsof S7.3 shall be met under theconditions of S8.3.1 through S8.3.7.

S8.3.1 Fill the CNG fuel containerwith compressed natural gas and test itat:

(a) 100 percent of service pressure;and

(b) 25 percent of service pressure.S8.3.2 Container positioning.(a) Position the CNG fuel container in

accordance with paragraphs (b) and (c)of S8.3.2.

(b) Position the CNG fuel container sothat its longitudinal axis is horizontaland its bottom is 100 mm (4 inches)above the fire source.

(c)(1) Position a CNG fuel containerthat is 1.65 meters (65 inches) in lengthor less and is fitted with one pressurerelief device so that the center of thecontainer is over the center of the firesource.

(2) Position a CNG fuel container thatis greater than 1.65 meters (65 inches)in length and is fitted with one pressurerelief device at one end of the containerso that the center of the fire source is



0.825 meters (32.5 inches) from theother end of the container, measuredhorizontally along a line parallel to thelongitudinal axis of the container.

(3) Position a CNG fuel container thatis fitted with pressure relief devices atmore than one location along its lengthso that the portion of container over thecenter of the fire source is the portionmidway between the two pressure reliefdevices that are separated by thegreatest distance, measured horizontallyalong a line parallel to the longitudinalaxis of the container.

(4) Test a CNG fuel container that isgreater than 1.65 meters (65 inches) inlength, is protected by thermalinsulation, and does not have pressurerelief devices, twice at 100 percent ofservice pressure. In one test, position

the center of the container over thecenter of the fire source. In another test,position one end of the container so thatthe fire source is centered 0.825 meters(32.5 inches) from one end of thecontainer, measured horizontally alonga line parallel to the longitudinal axis ofthe container.

S8.3.3 Number and placement ofthermocouples. To monitor flametemperature, place three thermocouplesso that they are suspended 25 mm (oneinch) below the bottom of the CNG fuelcontainer. Position thermocouples sothat they are equally spaced over thelength of the fire source or length of thecontainer, whichever is shorter.

S8.3.4 Shielding.(a) Use shielding to prevent the flame

from directly contacting the CNG fuel

container valves, fittings, or pressurerelief devices.

(b) To provide the shielding, use steelwith 0.6 mm (.025 in) minimumnominal thickness.

(c) Position the shielding so that itdoes not directly contact the CNG fuelcontainer valves, fittings, or pressurerelief devices.

S8.3.5 Fire source. Use a uniformfire source that is 1.65 meters long (65inches). Beginning five minutes after thefire is ignited, maintain an averageflame temperature of not less than 430degrees Celsius (800 degrees Fahrenheit)as determined by the average of the twothermocouples recording the highesttemperatures over a 60 second interval:

1

2

T T T THigh 1 High 2 High 1 High 2+

++

≥2 2

430 C time 30 sec time 60 sec

o

@ @

If the pressure relief device releasesbefore the end of the fifth minute afterignition, then the minimum temperaturerequirement does not apply.

S8.3.6 Recording data. Record time,temperature, and pressure readings at 30second intervals, beginning when thefire is ignited and continuing until thepressure release device releases.

S8.3.7 Duration of exposure to firesource. The CNG fuel container isexposed to the fire source for 20minutes after ignition or until thepressure release device releases,whichever period is shorter.

S8.3.8 Number of tests percontainer. A single CNG fuel containeris not subjected to more than onebonfire test.

S8.3.9 Wind velocity. The averageambient wind velocity at the CNG fuelcontainer during the period specified inS8.3.6 of this standard is not to exceed2.24 meters/second (5 mph).* * * * *

Issued on: October 24, 2000.

Sue Bailey,Administrator.[FR Doc. 00–27723 Filed 10–27–00; 8:45 am]


DEPARTMENT OF COMMERCE

National Oceanic and AtmosphericAdministration

50 CFR Part 648

[Docket No. 000119014-0137-02; I.D.091800G]

Fisheries of the Northeastern UnitedStates; Black Sea Bass Fishery;Commercial Quota Harvested forQuarter 4 Period

AGENCY: National Marine FisheriesService (NMFS), National Oceanic andAtmospheric Administration (NOAA),Commerce.

ACTION: Closure; Quarter 4 commercialblack sea bass fishery.

SUMMARY: NMFS announces that theblack sea bass commercial quotaavailable in the quarter 4 period to thecoastal states from Maine through NorthCarolina has been harvested.Commercial vessels may not land blacksea bass in the Northeast region for theremainder of the 2000 quarter 4 quotaperiod (through December 31, 2000).Regulations governing the black sea bassfishery require publication of thisnotification to advise the coastal statesfrom Maine through North Carolina thatthe quota has been harvested and toadvise vessel permit holders and dealerpermit holders that no commercialquota is available for landing black seabass in these states north of 35°15.3’ N.lat.

DATES: Effective 0001 hrs local time,November 1, 2000, through 2400 hrslocal time, December 31, 2000.FOR FURTHER INFORMATION CONTACT:Jennifer L. Anderson, FisheryManagement Specialist, at (978) 281-9226.

SUPPLEMENTARY INFORMATION:Regulations governing the black sea bassfishery are found at 50 CFR part 648.The regulations require annualspecification of a commercial quota thatis allocated into four quota periodsbased upon percentages of the annualquota. The quarter 4 (October throughDecember) commercial quota isdistributed to the coastal states fromMaine through North Carolina. Theprocess to set the annual commercialquota is described in § 648.140.

The initial total commercial quota forblack sea bass for the 2000 calendar yearwas 3,024,742 lb (1,372,000 kg) (65 FR33486, May 24, 2000). The quarter 4period quota, which is equal to 19.77percent of the annual commercial quota,was 540,170 lb (245,017 kg). The quotaallocation was adjusted downward (65FR 50465, August 18, 2000) tocompensate for 1999 quarter 4 landingsin excess of the 1999 quarter 4 quota,consistent with the procedures in §648.140. The final adjusted quarter 4quota was 450,661 lb (204,416 kg).

Section 648.141 requires the RegionalAdministrator, Northeast Region, NMFS(Regional Administrator), to monitor thecommercial black sea bass quota foreach quota period on the basis of dealerreports, state data, and other availableinformation to determine when the



commercial quota has been harvested.NMFS is required to publish anotification in the Federal Registeradvising and notifying commercialvessels and dealer permit holders that,effective upon a specific date, the blacksea bass commercial quota has beenharvested and no commercial quota isavailable for landing black sea bass forthe remainder of the quarter 4 period,north of 35°15.3’ N. lat. The RegionalAdministrator has determined, basedupon dealer reports and other availableinformation, that the black sea basscommercial quota for the 2000 quarter 4period has been harvested.

The regulations at § 648.4(b) providethat Federal black sea bass moratoriumpermit holders agree as a condition ofthe permit not to land black sea bass inany state after NMFS has published anotification in the Federal Registerstating that the commercial quota for theperiod has been harvested and that nocommercial quota for the black sea bassis available. The Regional Administratorhas determined that the quarter 4 periodfor black sea bass no longer hascommercial quota available. Therefore,

effective 0001 hrs local time, November1, 2000, further landings of black seabass in coastal states from Mainethrough North Carolina, north of35°15.3’ N. lat., by vessels holdingcommercial Federal fisheries permitsare prohibited through December 31,2000. The 2001 quarter 1 period forcommercial black sea bass harvest willopen on January 1, 2001. EffectiveNovember 1, 2000, federally permitteddealers are also advised that they maynot purchase black sea bass fromfederally permitted black sea bassmoratorium permit holders who land incoastal states from Maine through NorthCarolina, north of 35°15.3’ N. lat., forthe remainder of the quarter 4 period(through December 31, 2000).

The regulations at § 648.4(b) alsoprovide that, if the commercial black seabass quota for a period is harvested andthe coast is closed to the possession ofblack sea bass north of 35°15.3’ N. lat.,any vessel owners who hold validcommercial permits for both the blacksea bass and the NMFS SoutheastRegion Snapper-Grouper fisheries maysurrender their black sea bass

moratorium permit by certified mailaddressed to the Regional Administrator(see table 1 at § 600.502) and fishpursuant to their Snapper-Grouperpermit, as long as fishing is conductedexclusively in waters, and landings aremade, south of 35°15.3’ N. lat. Amoratorium permit for the black seabass fishery that is voluntarilyrelinquished or surrendered will bereissued upon the receipt of the vesselowner’s written request after aminimum period of 6 months from thedate of cancellation.

Classification

This action is required by 50 CFR part648 and is exempt from review underExecutive Order 12866.

Authority: 16 U.S.C. 1801 et seq.


Clarence Pautzke,Director, Office of Sustainable Fisheries,National Marine Fisheries Service.[FR Doc. 00–27819 Filed 10–27–00; 8:45 am]

BILLING CODE 3510–22–S


This section of the FEDERAL REGISTERcontains notices to the public of the proposedissuance of rules and regulations. Thepurpose of these notices is to give interestedpersons an opportunity to participate in therule making prior to the adoption of the finalrules.

Proposed Rules Federal Register

64629

Vol. 65, No. 210




14 CFR Part 39

[Docket No. 2000–NM–141–AD]

RIN 2120–AA64

Airworthiness Directives; BritishAerospace (Jetstream) Model 4101Airplanes

AGENCY: Federal AviationAdministration, DOT.ACTION: Notice of proposed rulemaking(NPRM).

SUMMARY: This document proposes theadoption of a new airworthinessdirective (AD) that is applicable to allBritish Aerospace (Jetstream) Model4101 airplanes. This proposal wouldrequire inspection for cracking of themounting brackets of the hydraulichand pump at the frame attachmentflanges, replacement of any crackedbracket with a new bracket, replacementof all bolts and nuts with new bolts andnuts, and installation of a particular ‘D’packer. This action is necessary toprevent failure of these brackets, whichcould result in inability to extend thelanding gear in an emergency situationwhere the main hydraulic system is lost.This action is intended to address theidentified unsafe condition.DATES: Comments must be received byNovember 29, 2000.ADDRESSES: Submit comments intriplicate to the Federal AviationAdministration (FAA), TransportAirplane Directorate, ANM–114,Attention: Rules Docket No. 2000–NM–141–AD, 1601 Lind Avenue, SW.,Renton, Washington 98055–4056.Comments may be inspected at thislocation between 9 a.m. and 3 p.m.,Monday through Friday, except Federalholidays. Comments may be submittedvia fax to (425) 227–1232. Commentsmay also be sent via the Internet usingthe following address: [email protected]. Comments sentvia fax or the Internet must contain

‘‘Docket No. 2000–NM–141–AD’’ in thesubject line and need not be submittedin triplicate. Comments sent via theInternet as attached electronic files mustbe formatted in Microsoft Word 97 forWindows or ASCII text.

The service information referenced inthe proposed rule may be obtained fromBritish Aerospace Regional AircraftAmerican Support, 13850 MclearenRoad, Herndon, Virginia 20171. Thisinformation may be examined at theFAA, Transport Airplane Directorate,1601 Lind Avenue, SW., Renton,Washington.

FOR FURTHER INFORMATION CONTACT:Norman B. Martenson, Manager,International Branch, ANM–116, FAA,Transport Airplane Directorate, 1601Lind Avenue, SW., Renton, Washington98055–4056; telephone (425) 227–2110;fax (425) 227–1149.SUPPLEMENTARY INFORMATION:

Comments Invited

Interested persons are invited toparticipate in the making of theproposed rule by submitting suchwritten data, views, or arguments asthey may desire. Communications shallidentify the Rules Docket number andbe submitted in triplicate to the addressspecified above. All communicationsreceived on or before the closing datefor comments, specified above, will beconsidered before taking action on theproposed rule. The proposals containedin this notice may be changed in lightof the comments received.

Submit comments using the followingformat:

• Organize comments issue-by-issue.For example, discuss a request tochange the compliance time and arequest to change the service bulletinreference as two separate issues.

• For each issue, state what specificchange to the proposed AD is beingrequested.

• Include justification (e.g., reasons ordata) for each request.

Comments are specifically invited onthe overall regulatory, economic,environmental, and energy aspects ofthe proposed rule. All commentssubmitted will be available, both beforeand after the closing date for comments,in the Rules Docket for examination byinterested persons. A reportsummarizing each FAA-public contactconcerned with the substance of this

proposal will be filed in the RulesDocket.

Commenters wishing the FAA toacknowledge receipt of their commentssubmitted in response to this noticemust submit a self-addressed, stampedpostcard on which the followingstatement is made: ‘‘Comments toDocket Number 2000–NM–141–AD.’’The postcard will be date stamped andreturned to the commenter.

Availability of NPRMsAny person may obtain a copy of this

NPRM by submitting a request to theFAA, Transport Airplane Directorate,ANM–114, Attention: Rules Docket No.2000–NM–141–AD, 1601 Lind Avenue,SW., Renton, Washington 98055–4056.

DiscussionThe Civil Aviation Authority (CAA),

which is the airworthiness authority forthe United Kingdom, notified the FAAthat an unsafe condition may exist onall British Aerospace (Jetstream) Model4101 airplanes. The CAA advises that itreceived reports of cracking of themounting brackets of the hydraulichand pump at the frame attachmentflanges. The cracking was found whenslight leakage of hydraulic fluid in thevicinity of the pump was discovered.Failure of these brackets could result ininability to extend the landing gear inan emergency situation where the mainhydraulic system is lost.

Explanation of Relevant ServiceInformation

The manufacturer has issuedJetstream Service Bulletin J41–53–046,dated March 15, 2000. The servicebulletin describes procedures for a one-time dye penetrant inspection to detectcracking of the mounting brackets of thehydraulic hand pump at the frameattachment flanges, replacement of anycracked bracket with a new bracket, andreplacement of all bolts and nuts withnew bolts and nuts. The service bulletinalso describes procedures forinstallation of particular ‘D’ packers tothe mounting brackets to improveservice life and reliability.Accomplishment of the actionsspecified in the service bulletin isintended to adequately address theidentified unsafe condition. The CAAclassified this service bulletin asmandatory and issued Britishairworthiness directive 003–03–2000 inorder to assure the continued

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64630 Federal Register / Vol. 65, No. 210 / Monday, October 30, 2000 / Proposed Rules

airworthiness of these airplanes in theUnited Kingdom.

FAA’s Conclusions

This airplane model is manufacturedin the United Kingdom and is typecertificated for operation in the UnitedStates under the provisions of section21.29 of the Federal AviationRegulations (14 CFR 21.29) and theapplicable bilateral airworthinessagreement. Pursuant to this bilateralairworthiness agreement, the CAA haskept the FAA informed of the situationdescribed above. The FAA hasexamined the findings of the CAA,reviewed all available information, anddetermined that AD action is necessaryfor products of this type design that arecertificated for operation in the UnitedStates.

Explanation of Requirements ofProposed Rule

Since an unsafe condition has beenidentified that is likely to exist ordevelop on other airplanes of the sametype design registered in the UnitedStates, the proposed AD would requireaccomplishment of the actions specifiedin the service bulletin describedpreviously.

Cost Impact

The FAA estimates that 59 airplanesof U.S. registry would be affected by thisproposed AD, that it would takeapproximately 4 work hours perairplane to accomplish the proposedactions, and that the average labor rateis $60 per work hour. Based on thesefigures, the cost impact of the proposedAD on U.S. operators is estimated to be$14,160, or $240 per airplane.

The cost impact figure discussedabove is based on assumptions that nooperator has yet accomplished any ofthe proposed requirements of this ADaction, and that no operator wouldaccomplish those actions in the future ifthis AD were not adopted. The costimpact figures discussed in ADrulemaking actions represent only thetime necessary to perform the specificactions actually required by the AD.These figures typically do not includeincidental costs, such as the timerequired to gain access and close up,planning time, or time necessitated byother administrative actions.

Regulatory Impact

The regulations proposed hereinwould not have a substantial directeffect on the States, on the relationship

between the national Government andthe States, or on the distribution ofpower and responsibilities among thevarious levels of government. Therefore,it is determined that this proposalwould not have federalism implicationsunder Executive Order 13132.

For the reasons discussed above, Icertify that this proposed regulation (1)is not a ‘‘significant regulatory action’’under Executive Order 12866; (2) is nota ‘‘significant rule’’ under the DOTRegulatory Policies and Procedures (44FR 11034, February 26, 1979); and (3) ifpromulgated, will not have a significanteconomic impact, positive or negative,on a substantial number of small entitiesunder the criteria of the RegulatoryFlexibility Act. A copy of the draftregulatory evaluation prepared for thisaction is contained in the Rules Docket.A copy of it may be obtained bycontacting the Rules Docket at thelocation provided under the captionADDRESSES.


Air transportation, Aircraft, Aviationsafety, Safety.

The Proposed Amendment

Accordingly, pursuant to theauthority delegated to me by theAdministrator, the Federal AviationAdministration proposes to amend part39 of the Federal Aviation Regulations(14 CFR part 39) as follows:



Authority: 49 U.S.C. 106(g), 40113, 44701.

§ 39.13 [Amended]

2. Section 39.13 is amended byadding the following new airworthinessdirective:British Aerospace Regional Aircraft

[Formerly Jetstream Aircraft Limited;British Aerospace (Commercial Aircraft)Limited]: Docket 2000–NM–141–AD.

Applicability: All Model Jetstream 4101airplanes, certificated in any category.

Note 1: This AD applies to each airplaneidentified in the preceding applicabilityprovision, regardless of whether it has beenmodified, altered, or repaired in the areasubject to the requirements of this AD. Forairplanes that have been modified, altered, orrepaired so that the performance of therequirements of this AD is affected, theowner/operator must request approval for analternative method of compliance inaccordance with paragraph (b) of this AD.

The request should include an assessment ofthe effect of the modification, alteration, orrepair on the unsafe condition addressed bythis AD; and, if the unsafe condition has notbeen eliminated, the request should includespecific proposed actions to address it.


To prevent failure of the mounting bracketsof the hydraulic hand pump at the frameattachment flanges, which could result ininability to extend the landing gear in anemergency situation where the mainhydraulic system is lost, accomplish thefollowing:

Inspection and Installation

(a) Within 6 months after the effective dateof this AD, perform a one-time dye penetrantinspection to detect cracking of the mountingbrackets of the hydraulic hand pump at theframe attachment flanges, install ‘D’ packersto the mounting brackets, and replace allbolts and nuts with new bolts and nuts, inaccordance with the AccomplishmentInstructions of Jetstream Service BulletinJ41–53–046, dated March 15, 2000. If anycracked bracket is found during theinspection, prior to further flight, replace itwith a new bracket.


(b) An alternative method of compliance oradjustment of the compliance time thatprovides an acceptable level of safety may beused if approved by the Manager,International Branch, ANM–116, FAA,Transport Airplane Directorate. Operatorsshall submit their requests through anappropriate FAA Principal MaintenanceInspector, who may add comments and thensend it to the Manager, International Branch,ANM–116.

Note 2: Information concerning theexistence of approved alternative methods ofcompliance with this AD, if any, may beobtained from the International Branch,ANM–116.


(c) Special flight permits may be issued inaccordance with sections 21.197 and 21.199of the Federal Aviation Regulations (14 CFR21.197 and 21.199) to operate the airplane toa location where the requirements of this ADcan be accomplished.

Note 3: The subject of this AD is addressedin British airworthiness directive 003–03–2000.

Issued in Renton, Washington, on October24, 2000.Donald L. Riggin,Acting Manager, Transport AirplaneDirectorate, Aircraft Certification Service.[FR Doc. 00–27798 Filed 10–27–00; 8:45 am]BILLING CODE 4910–13–P


64631Federal Register / Vol. 65, No. 210 / Monday, October 30, 2000 / Proposed Rules



14 CFR Part 39


RIN 2120–AA64

Airworthiness Directives; IsraelAircraft Industries, Ltd., Model GalaxyAirplanes


SUMMARY: This document proposes theadoption of a new airworthinessdirective (AD) that is applicable tocertain Israel Aircraft Industries, Ltd.,Model Galaxy airplanes. This proposalwould require replacement of certainexisting fasteners in the aft pickupfittings of the horizontal stabilizer. Thisaction is necessary to prevent fatiguefailure of those fasteners, which couldresult in reduced structural integrity ofthe empennage. This action is intendedto address the identified unsafecondition.

DATES: Comments must be received byNovember 29, 2000.ADDRESSES: Submit comments intriplicate to the Federal AviationAdministration (FAA), TransportAirplane Directorate, ANM–114,Attention: Rules Docket No. 2000–NM–201–AD, 1601 Lind Avenue, SW.,Renton, Washington 98055–4056.Comments may be inspected at thislocation between 9 a.m. and 3 p.m.,Monday through Friday, except Federalholidays. Comments may be submittedvia fax to (425) 227–1232. Commentsmay also be sent via the Internet usingthe following address: [email protected]. Comments sentvia fax or the Internet must contain‘‘Docket No. 2000–NM–201–AD’’ in thesubject line and need not be submittedin triplicate. Comments sent via theInternet as attached electronic files mustbe formatted in Microsoft Word 97 forWindows or ASCII text.

The service information referenced inthe proposed rule may be obtained fromGalaxy Aerospace Corporation, OneGalaxy Way, Fort Worth AllianceAirport, Fort Worth, Texas 76177. Thisinformation may be examined at theFAA, Transport Airplane Directorate,1601 Lind Avenue, SW., Renton,Washington.

FOR FURTHER INFORMATION CONTACT:Norman B. Martenson, Manager,International Branch, ANM–116, FAA,

Transport Airplane Directorate, 1601Lind Avenue, SW., Renton, Washington98055–4056; telephone (425) 227–2110;fax (425) 227–1149.SUPPLEMENTARY INFORMATION:

Comments InvitedInterested persons are invited to

participate in the making of theproposed rule by submitting suchwritten data, views, or arguments asthey may desire. Communications shallidentify the Rules Docket number andbe submitted in triplicate to the addressspecified above. All communicationsreceived on or before the closing datefor comments, specified above, will beconsidered before taking action on theproposed rule. The proposals containedin this notice may be changed in lightof the comments received.





Comments are specifically invited onthe overall regulatory, economic,environmental, and energy aspects ofthe proposed rule. All commentssubmitted will be available, both beforeand after the closing date for comments,in the Rules Docket for examination byinterested persons. A reportsummarizing each FAA-public contactconcerned with the substance of thisproposal will be filed in the RulesDocket.




DiscussionThe Civil Aviation Administration of

Israel (CAAI), which is theairworthiness authority for Israel,notified the FAA that an unsafecondition may exist on certain Israel

Aircraft Industries, Ltd., Model Galaxyairplanes. The CAAI advises that earlyfatigue failure of the fasteners thatsupport the aft pickup fittings of thehorizontal stabilizer can occur. Thisfailure was detected during a fatigue testconducted by the manufacturer. Suchfatigue failure, if not corrected, couldresult in reduced structural integrity ofthe empennage.


Israel Aircraft Industries has issuedGALAXY Service Bulletin GALAXY–55–008, dated March 23, 2000, whichdescribes procedures for removingcertain existing HI–LOKS or life-limitedfasteners in the aft pickup fittings of thehorizontal stabilizer, and replacingthose fasteners with improved non-life-limited fasteners. The replacementinvolves measuring the diameter of thebolt shank, reaming holes, inspecting todetect cracks using an eddy currenttechnique, and installing certain newbolts. Accomplishment of the actionsspecified in the service bulletin isintended to adequately address theidentified unsafe condition. The CAAIclassified this service bulletin asmandatory and issued Israeliairworthiness directive 55–00–04–05,dated April 27, 2000, in order to assurethe continued airworthiness of theseairplanes in Israel.

FAA’s ConclusionsThis airplane model is manufactured

in Israel and is type certificated foroperation in the United States under theprovisions of section 21.29 of theFederal Aviation Regulations (14 CFR21.29) and the applicable bilateralairworthiness agreement. Pursuant tothis bilateral airworthiness agreement,the CAAI has kept the FAA informed ofthe situation described above. The FAAhas examined the findings of the CAAI,reviewed all available information, anddetermined that AD action is necessaryfor products of this type design that arecertificated for operation in the UnitedStates.


Since an unsafe condition has beenidentified that is likely to exist ordevelop on other airplanes of the sametype design registered in the UnitedStates, the proposed AD would requireaccomplishment of the actions specifiedin the service bulletin describedpreviously.

Cost ImpactThe FAA estimates that 10 Model

GALAXY airplanes of U.S. registry



would be affected by this proposed AD,that it would take approximately 16work hours per airplane to accomplishthe proposed actions, and that theaverage labor rate is $60 per work hour.Required parts would costapproximately $250 per airplane. Basedon these figures, the cost impact of theproposed AD on U.S. operators isestimated to be $12,100, or $1,210 perairplane.


Regulatory ImpactThe regulations proposed herein

would not have a substantial directeffect on the States, on the relationshipbetween the national Government andthe States, or on the distribution ofpower and responsibilities among thevarious levels of government. Therefore,it is determined that this proposalwould not have federalism implicationsunder Executive Order 13132.



safety, Safety.

The Proposed AmendmentAccordingly, pursuant to the

authority delegated to me by theAdministrator, the Federal AviationAdministration proposes to amend part39 of the Federal Aviation Regulations(14 CFR part 39) as follows:



Authority: 49 U.S.C. 106(g), 40113, 44701.


adding the following new airworthinessdirective:Israel Aircraft Industries, LTD.: Docket

2000–NM–201–AD.Applicability: Model GALAXY airplanes

having serial numbers 004 through 012inclusive, and serial number 015; certificatedin any category.

Note 1: This AD applies to each airplaneidentified in the preceding applicabilityprovision, regardless of whether it has beenmodified, altered, or repaired in the areasubject to the requirements of this AD. Forairplanes that have been modified, altered, orrepaired so that the performance of therequirements of this AD is affected, theowner/operator must request approval for analternative method of compliance inaccordance with paragraph (b) of this AD.The request should include an assessment ofthe effect of the modification, alteration, orrepair on the unsafe condition addressed bythis AD; and, if the unsafe condition has notbeen eliminated, the request should includespecific proposed actions to address it.


To prevent fatigue failure of certainexisting fasteners in the aft pickup fittings ofthe horizontal stabilizer, which could resultin reduced structural integrity of theempennage, accomplish the following:

Fastener Replacement

(a) Within 300 flight hours after theeffective date of this AD, or within 3,600flight hours after accomplishing GALAXY(Israel Aircraft Industries, Ltd.) ServiceBulletin GALAXY–55–031, whichever occurslater: Remove existing HI–LOKS or life-limited fasteners in the aft pickup fittings ofthe horizontal stabilizer, and replace thosefasteners with improved non-life-limitedfasteners (including measuring the diameterof the bolt shank, reaming holes, inspectingto detect cracks using an eddy currenttechnique, and installing new bolts havingpart numbers specified in GALAXY (IsraelAircraft Industries, Ltd.) Service BulletinGALAXY–55–008, dated March 23, 2000).Perform the actions in accordance withGALAXY (Israel Aircraft Industries, Ltd.)Service Bulletin GALAXY–55–008, datedMarch 23, 2000.


(b) An alternative method of compliance oradjustment of the compliance time thatprovides an acceptable level of safety may beused if approved by the Manager,International Branch, ANM–116, FAA,Transport Airplane Directorate. Operatorsshall submit their requests through anappropriate FAA Principal MaintenanceInspector, who may add comments and then

send it to the Manager, International Branch,ANM–116.




Note 3: The subject of this AD is addressedin Israeli airworthiness directive 55–00–04–05, dated April 27, 2000.




14 CFR Part 39


RIN 2120–AA64

Airworthiness Directives; BritishAerospace Model BAe 146 and ModelAvro 146–RJ Series Airplanes


SUMMARY: This document proposes theadoption of a new airworthinessdirective (AD) that is applicable to allBritish Aerospace Model BAe 146 andModel Avro 146–RJ series airplanes.This proposal would require repetitivenon-destructive testing (NDT)inspections to detect cracking at thefuselage end of the inner sidestays of themain landing gear (MLG) by the anti-rotation pin, and replacement of thesidestay with a new sidestay, ifnecessary. This action is necessary todetect and correct fatigue cracking of theinner sidestays of the MLG, which couldresult in failure of the MLG. This actionis intended to address the identifiedunsafe condition.DATES: Comments must be received byNovember 29, 2000.ADDRESSES: Submit comments intriplicate to the Federal AviationAdministration (FAA), TransportAirplane Directorate, ANM–114,Attention: Rules Docket No. 2000–NM–



253–AD, 1601 Lind Avenue, SW.,Renton, Washington 98055–4056.Comments may be inspected at thislocation between 9:00 a.m. and 3:00p.m., Monday through Friday, exceptFederal holidays. Comments may besubmitted via fax to (425) 227–1232.Comments may also be sent via theInternet using the following address: [email protected]. Commentssent via fax or the Internet must contain‘‘Docket No. 2000–NM–253–AD’’ in thesubject line and need not be submittedin triplicate. Comments sent via theInternet as attached electronic files mustbe formatted in Microsoft Word 97 forWindows or ASCII text.

The service information referenced inthe proposed rule may be obtained fromBritish Aerospace Regional AircraftAmerican Support, 13850 MclearenRoad, Herndon, Virginia 20171. Thisinformation may be examined at theFAA, Transport Airplane Directorate,1601 Lind Avenue, SW., Renton,Washington.


Comments Invited






Comments are specifically invited onthe overall regulatory, economic,environmental, and energy aspects ofthe proposed rule. All commentssubmitted will be available, both beforeand after the closing date for comments,

in the Rules Docket for examination byinterested persons. A reportsummarizing each FAA-public contactconcerned with the substance of thisproposal will be filed in the RulesDocket.


Availability of NPRMs

Any person may obtain a copy of thisNPRM by submitting a request to theFAA, Transport Airplane Directorate,ANM–114, Attention: Rules Docket No.2000–NM–253–AD, 1601 Lind Avenue,SW., Renton, Washington 98055–4056.

Discussion

The Civil Aviation Authority (CAA),which is the airworthiness authority forthe United Kingdom, notified the FAAthat an unsafe condition may exist onall British Aerospace Model BAe 146and Model Avro 146-RJ series airplanes.The CAA advises that, during increasedload fatigue testing, a crack has beenfound at the fuselage end on the innersidestays of the main landing gear(MLG) by the anti-rotation pin. Suchfatigue cracking, if not detected andcorrected, could result in failure of theMLG.


The manufacturer has issued BritishAerospace Service Bulletin SB.32–157,dated June 2, 2000. The BritishAerospace service bulletin referencesMessier-Dowty Service Bulletin 146–32–148, including Appendix A, datedApril 17, 2000, as the appropriatesource of service information foraccomplishment of repetitive non-destructive testing (NDT) inspections todetect cracking at the fuselage end of theinner sidestays of the MLG by the anti-rotation pin. The British Aerospaceservice bulletin recommends thatcracked sidestays be replaced with newsidestays prior to further flight.Accomplishment of the actionsspecified in the Messier-Dowty servicebulletin is intended to adequatelyaddress the identified unsafe condition.

The CAA classified the BritishAerospace service bulletin as mandatoryand issued British airworthinessdirective 001–06–2000 in order toassure the continued airworthiness ofthese airplanes in the United Kingdom.

FAA’s ConclusionsThese airplane models are

manufactured in the United Kingdomand are type certificated for operation inthe United States under the provisionsof section 21.29 of the Federal AviationRegulations (14 CFR 21.29) and theapplicable bilateral airworthinessagreement. Pursuant to this bilateralairworthiness agreement, the CAA haskept the FAA informed of the situationdescribed above. The FAA hasexamined the findings of the CAA,reviewed all available information, anddetermined that AD action is necessaryfor products of this type design that arecertificated for operation in the UnitedStates.


Since an unsafe condition has beenidentified that is likely to exist ordevelop on other airplanes of the sametype design registered in the UnitedStates, the proposed AD would requireaccomplishment of the inspectionsspecified in the Messier-Dowty servicebulletin described previously. Theproposed AD also would requirereplacement of any cracked sidestaywith a new sidestay.

Cost ImpactThe FAA estimates that 60 Model BAe

146–100A, –200A, and –300A seriesairplanes, and Model Avro 146RJ70A,146RJ85A, and 146–RJ100A seriesairplanes, of U.S. registry would beaffected by this proposed AD. It wouldtake approximately 1 work hour perairplane to accomplish the proposedinspection, at an average labor rate of$60 per work hour. Based on thesefigures, the cost impact of the proposedAD on U.S. operators is estimated to be$3,600, or $60 per airplane, perinspection cycle.



would not have a substantial directeffect on the States, on the relationship



between the national Government andthe States, or on the distribution ofpower and responsibilities among thevarious levels of government. Therefore,it is determined that this proposalwould not have federalism implicationsunder Executive Order 13132.





Accordingly, pursuant to theauthority delegated to me by theAdministrator, the Federal AviationAdministration proposes to amend part39 of the Federal Aviation Regulations(14 CFR part 39) as follows:



Authority: 49 U.S.C. 106(g), 40113, 44701.

§ 39.13 [Amended]

2. Section 39.13 is amended byadding the following new airworthinessdirective:

British Aerospace Regional Aircraft(Formerly British Aerospace RegionalAircraft Limited, Avro InternationalAerospace Division; British Aerospace,PLC; British Aerospace CommercialAircraft Limited): Docket 2000–NM–253–AD.

Applicability: All Model BAe 146–100A,–200A, and –300A series airplanes, and allModel Avro 146–RJ70A, 146–RJ85A, and146–RJ100A series airplanes, certificated inany category.

Note 1: This AD applies to each airplaneidentified in the preceding applicabilityprovision, regardless of whether it has beenmodified, altered, or repaired in the areasubject to the requirements of this AD. Forairplanes that have been modified, altered, orrepaired so that the performance of the

requirements of this AD is affected, theowner/operator must request approval for analternative method of compliance inaccordance with paragraph (c) of this AD.The request should include an assessment ofthe effect of the modification, alteration, orrepair on the unsafe condition addressed bythis AD; and, if the unsafe condition has notbeen eliminated, the request should includespecific proposed actions to address it.


To detect and correct fatigue cracking ofthe inner sidestays of the main landing gear(MLG), which could result in failure of theMLG, accomplish the following:

Inspection

(a) Prior to the accumulation of 8,000 totalflight cycles on the MLG sidestays, or within500 flight cycles after the effective date ofthis AD, whichever occurs later: Perform anon-destructive testing (NDT) inspection todetect cracking at the fuselage end of theinner sidestays of the MLG by the anti-rotation pin, in accordance with Messier-Dowty Service Bulletin 146–32–148,including Appendix A, dated April 17, 2000.Repeat the inspection thereafter at intervalsnot to exceed 4,000 flight cycles.

Replacement

(b) If any cracking is found during anyinspection required by paragraph (a) of thisAD, prior to further flight, replace thesidestay with a new sidestay in accordancewith British Aerospace Service BulletinSB.32–157, dated June 2, 2000.






Note 3: The subject of this AD is addressedin British airworthiness directive 001–06–2000.




14 CFR Part 39


RIN 2120–AA64

Airworthiness Directives;Construcciones Aeronauticas, S.A.(CASA), Model CN–235, CN–235–100,and CN–235–200 Series Airplanes


SUMMARY: This document proposes theadoption of a new airworthinessdirective (AD) that is applicable to allCASA Model CN–235, CN–235–100,and CN–235–200 series airplanes. Thisproposal would require replacing theupper brackets in frames 33, 34, and 35,with improved brackets that are morefatigue resistant, and reinforcing frame35. This action is necessary to preventfatigue cracking in the zone of thefittings connecting the fuselage tostiffener rods located in frames 33, 34,and 35, which could result in reducedstructural integrity of the airplane. Thisaction is intended to address theidentified unsafe condition.DATES: Comments must be received byNovember 29, 2000.ADDRESSES: Submit comments intriplicate to the Federal AviationAdministration (FAA), TransportAirplane Directorate, ANM–114,Attention: Rules Docket No. 2000–NM–264–AD, 1601 Lind Avenue, SW.,Renton, Washington 98055–4056.Comments may be inspected at thislocation between 9:00 a.m. and 3:00p.m., Monday through Friday, exceptFederal holidays. Comments may besubmitted via fax to (425) 227–1232.Comments may also be sent via theInternet using the following address: 9–anm–[email protected] sent via fax or the Internetmust contain ‘‘Docket No. 2000–NM–264–AD’’ in the subject line and neednot be submitted in triplicate.



Comments sent via the Internet asattached electronic files must beformatted in Microsoft Word 97 forWindows or ASCII text.

The service information referenced inthe proposed rule may be obtained fromConstrucciones Aeronauticas, S.A.,Getafe, Madrid, Spain. This informationmay be examined at the FAA, TransportAirplane Directorate, 1601 LindAvenue, SW., Renton, Washington.FOR FURTHER INFORMATION CONTACT:Norman B. Martenson, Manager,International Branch, ANM–116, FAA,Transport Airplane Directorate, 1601Lind Avenue, SW., Renton, Washington98055–4056; telephone (425) 227–2110;fax (425) 227–1149.SUPPLEMENTARY INFORMATION:

Comments Invited










DiscussionThe Dirección Général de l’Aviación

Civil (DGAC), which is theairworthiness authority for Spain,notified the FAA that an unsafecondition may exist on all CASA ModelCN–235, CN–235–100, and CN–235–200series airplanes. The DGAC advises that,during fatigue testing of the Model CN–235 series airplane, cracks were foundin the zone of the fittings connecting thefuselage to stiffener rods located inframe 35. Similar stiffener rods areattached to the fuselage at frames 33 and34. Such fatigue cracking, if notdetected and corrected, could result inreduced structural integrity of theairplane.


CASA has issued Service Bulletin SB–235–53–48, dated December 11, 1997,which describes procedures forreplacing the upper brackets in frames33, 34, and 35, with improved bracketsthat are more fatigue resistant, andreinforcing frame 35. Accomplishmentof the actions specified in the servicebulletin is intended to adequatelyaddress the identified unsafe condition.The DGAC classified this servicebulletin as mandatory and issuedSpanish airworthiness directive 02/2000, dated January 31, 2000, in orderto assure the continued airworthiness ofthese airplanes in Spain.

FAA’s ConclusionsThis airplane model is manufactured

in Spain and is type certificated foroperation in the United States under theprovisions of section 21.29 of theFederal Aviation Regulations (14 CFR21.29) and the applicable bilateralairworthiness agreement. Pursuant tothis bilateral airworthiness agreement,the DGAC has kept the FAA informedof the situation described above. TheFAA has examined the findings of theDGAC, reviewed all availableinformation, and determined that ADaction is necessary for products of thistype design that are certificated foroperation in the United States.


Since an unsafe condition has beenidentified that is likely to exist ordevelop on other airplanes of the same

type design registered in the UnitedStates, the proposed AD would requireaccomplishment of the actions specifiedin the service bulletin describedpreviously.

Cost ImpactThe FAA estimates that 1 airplane of

U.S. registry would be affected by thisproposed AD, that it would takeapproximately 80 work hours perairplane to accomplish the proposedactions, and that the average labor rateis $60 per work hour. Required partswould cost approximately $2,871 perairplane. Based on these figures, the costimpact of the proposed AD on the U.S.operator of the one affected airplane isestimated to be $7,671.






safety, Safety.







Authority: 49 U.S.C. 106(g), 40113, 44701.


adding the following new airworthinessdirective:Construcciones Aeronauticas, S.A. (CASA):

Docket 2000–NM–264–AD.Applicability: All Model CN–235, CN–235–

100, and CN–235–200 series airplanes,certificated in any category.


Compliance: Required as indicated, unlessaccomplished previously. To prevent fatiguecracking in the zone of the fittings connectingthe fuselage to stiffener rods located inframes 33, 34, and 35, which could result inreduced structural integrity of the airplane,accomplish the following:

Bracket Replacement

(a) Prior to the accumulation of 25,000 totallandings, replace the upper brackets inframes 33, 34, and 35, with improvedbrackets that are more fatigue resistant, andreinforce frame 35, in accordance with CASAService Bulletin SB–235–53–48, datedDecember 11, 1997.



Note 2: Information concerning theexistence of approved alternative methods ofcompliance with this AD, if any, may be

obtained from the International Branch,ANM–116.



Note 3: The subject of this AD is addressedin Spanish airworthiness directive 02/2000,dated January 31, 2000.




14 CFR Part 39


RIN 2120–AA64

Airworthiness Directives; DassaultModel Mystere-Falcon 900 and Falcon900EX Series Airplanes


SUMMARY: This document proposes theadoption of a new airworthinessdirective (AD) that is applicable tocertain Dassault Model Mystere-Falcon900 and Falcon 900EX series airplanes.This proposal would requirereplacement of the protective screens ofthe underfloor structure boxes at frame25. This action is necessary to preventwater from collecting and freezing in thestructure boxes at frame 25, whichcould result in jamming of the flightcontrols and consequent reducedcontrollability of the airplane. Thisaction is intended to address theidentified unsafe condition.DATES: Comments must be received byNovember 29, 2000.ADDRESSES: Submit comments intriplicate to the Federal AviationAdministration (FAA), TransportAirplane Directorate, ANM–114,Attention: Rules Docket No. 2000–NM–291–AD, 1601 Lind Avenue, SW.,Renton, Washington 98055–4056.Comments may be inspected at thislocation between 9 a.m. and 3 p.m.,Monday through Friday, except Federalholidays.

Comments may be submitted via faxto (425) 227–1232. Comments may alsobe sent via the Internet using thefollowing address: [email protected]. Comments sentvia fax or the Internet must contain‘‘Docket No. 2000–NM–291–AD’’ in thesubject line and need not be submittedin triplicate. Comments sent via theInternet as attached electronic files mustbe formatted in Microsoft Word 97 forWindows or ASCII text.

The service information referenced inthe proposed rule may be obtained fromDassault Falcon Jet, P.O. Box 2000,South Hackensack, New Jersey 07606.This information may be examined atthe FAA, Transport AirplaneDirectorate, 1601 Lind Avenue, SW.,Renton, Washington.FOR FURTHER INFORMATION CONTACT:Norman B. Martenson, Manager,International Branch, ANM–116, FAA,Transport Airplane Directorate, 1601Lind Avenue, SW., Renton, Washington98055–4056; telephone (425) 227–2110;fax (425) 227–1149.SUPPLEMENTARY INFORMATION:

Comments Invited











Any person may obtain a copy of thisNPRM by submitting a request to theFAA, Transport Airplane Directorate,ANM–114, Attention: Rules Docket No.2000–NM–291–AD, 1601 Lind Avenue,SW., Renton, Washington 98055–4056.

Discussion

The Dirección Générale de l’AviaciónCivile (DGAC), which is theairworthiness authority for France,notified the FAA that an unsafecondition may exist on certain DassaultModel Mystere-Falcon 900 and Falcon900EX series airplanes. The DGACadvises that it has received a report ofclogging at the drain hole for theunderfloor structure boxes at frame 25.Other reports have been receivedindicating that these screens mayencourage water retention in thestructure boxes through which the flightand throttle controls are routed. Suchwater retention is the result of theirmesh and installation of the screens. Ifwater collects in the structure boxes atframe 25, it could freeze, which couldresult in jamming of the flight controlsand consequent reduced controllabilityof the airplane.


Dassault has issued Falcon 900EXService Bulletin 0093, dated March1999, and Falcon 900 Service Bulletin0232, dated March 1999. These servicebulletins describe procedures forremoving the existing protective screensthat are riveted to the center beam andare also bonded to the frame and to thebottom of the underfloor structure boxesat frame 25, and installing new wider-mesh screens that are riveted to thecenter beam and bonded to the frameonly. Accomplishment of the actionsspecified in the service bulletins isintended to adequately address theidentified unsafe condition. The DGACclassified these service bulletins asmandatory and issued Frenchairworthiness directive 1999–446–028(B), dated November 3, 1999, inorder to assure the continuedairworthiness of these airplanes inFrance.

FAA’s ConclusionsThese airplane models are

manufactured in France and are typecertificated for operation in the UnitedStates under the provisions of section21.29 of the Federal AviationRegulations (14 CFR 21.29) and theapplicable bilateral airworthinessagreement. Pursuant to this bilateralairworthiness agreement, the DGAC haskept the FAA informed of the situationdescribed above. The FAA hasexamined the findings of the DGAC,reviewed all available information, anddetermined that AD action is necessaryfor products of this type design that arecertificated for operation in the UnitedStates.


Since an unsafe condition has beenidentified that is likely to exist ordevelop on other airplanes of the sametype design registered in the UnitedStates, the proposed AD would requireaccomplishment of the actions specifiedin the service bulletins describedpreviously.

Cost ImpactThe FAA estimates that 127 Dassault

Model Mystere-Falcon 900 and Falcon900EX series airplanes of U.S. registrywould be affected by this proposed AD,that it would take approximately 5 workhours per airplane to accomplish theproposed actions, and that the averagelabor rate is $60 per work hour.Required parts would costapproximately $128 per airplane. Basedon these figures, the cost impact of theproposed AD on U.S. operators isestimated to be $54,356, or $428 perairplane.



would not have a substantial directeffect on the States, on the relationshipbetween the national Government andthe States, or on the distribution ofpower and responsibilities among the

various levels of government. Therefore,it is determined that this proposalwould not have federalism implicationsunder Executive Order 13132.



safety, Safety.





Authority: 49 U.S.C. 106(g), 40113, 44701.


adding the following new airworthinessdirective:Dassault Aviation: Docket 2000–NM–291–

AD.Applicability: Model Mystere-Falcon 900

series airplanes having serial numbers 1through 177 inclusive; and Model Falcon900EX series airplanes having serial numbers1 through 41 inclusive; certificated in anycategory.





To prevent water from collecting andfreezing in the structure boxes at frame 25,which could result in jamming of the flightcontrols and consequent reducedcontrollability of the airplane, accomplishthe following:

Screen Replacement

(a) Within 6 months after the effective dateof this AD: Remove the existing protectivescreens that are riveted to the center beamand are also bonded to the frame and to thebottom of the underfloor structure boxes atframe 25, and install new wider-meshscreens that are riveted to the center beamand bonded to the frame only. Accomplishthe actions in accordance with DassaultFalcon 900 Service Bulletin 0232, datedMarch 1999, or Dassault Falcon 900EXService Bulletin 0093, dated March 1999, asapplicable.






Note 3: The subject of this AD is addressedin French airworthiness directive 1999–446–028(B), dated November 3, 1999.

Issued in Renton, Washington, on October24, 2000.

Donald L. Riggin,Acting Manager, Transport AirplaneDirectorate, Aircraft Certification Service.[FR Doc. 00–27792 Filed 10–27–00; 8:45 am]




14 CFR Part 39


RIN 2120–AA64

Airworthiness Directives; BritishAerospace Model BAe 146 and ModelAvro 146–RJ Series Airplanes


SUMMARY: This document proposes theadoption of a new airworthinessdirective (AD) that is applicable to allBritish Aerospace Model BAe 146 andModel Avro 146–RJ series airplanes.This proposal would require revisingthe Airworthiness Limitations Sectionof the Instructions for ContinuedAirworthiness to incorporate life limitsfor certain items and inspections todetect fatigue cracking in certainstructures. This proposal is prompted byissuance of a revision to theairworthiness limitations of the BAe/Avro 146 Aircraft Maintenance Manual,which specifies new inspections andcompliance times for inspection andreplacement actions. The actionsspecified by the proposed AD areintended to ensure that fatigue crackingof certain structural elements is detectedand corrected; such fatigue crackingcould adversely affect the structuralintegrity of these airplanes.DATES: Comments must be received byNovember 29, 2000.ADDRESSES: Submit comments intriplicate to the Federal AviationAdministration (FAA), TransportAirplane Directorate, ANM–114,Attention: Rules Docket No. 99–NM–190–AD, 1601 Lind Avenue, SW.,Renton, Washington 98055–4056.Comments may be inspected at thislocation between 9:00 a.m. and 3:00p.m., Monday through Friday, exceptFederal holidays. Comments may besubmitted via fax to (425) 227–1232.Comments may also be sent via theInternet using the following address: [email protected]. Commentssent via fax or the Internet must contain‘‘Docket No. 99–NM–190–AD’’ in thesubject line and need not be submittedin triplicate. Comments sent via theInternet as attached electronic files mustbe formatted in Microsoft Word 97 forWindows or ASCII text.

The service information referenced inthe proposed rule may be obtained fromBritish Aerospace Regional Aircraft

American Support, 13850 MclearenRoad, Herndon, Virginia 20171. Thisinformation may be examined at theFAA, Transport Airplane Directorate,1601 Lind Avenue, SW., Renton,Washington.


Comments Invited







Commenters wishing the FAA toacknowledge receipt of their commentssubmitted in response to this noticemust submit a self-addressed, stampedpostcard on which the followingstatement is made: ‘‘Comments toDocket Number 99–NM–190–AD.’’ Thepostcard will be date stamped andreturned to the commenter.


Any person may obtain a copy of thisNPRM by submitting a request to theFAA, Transport Airplane Directorate,



ANM–114, Attention: Rules Docket No.99–NM–190–AD, 1601 Lind Avenue,SW., Renton, Washington 98055–4056.

DiscussionThe Civil Aviation Authority (CAA),

which is the airworthiness authority forthe United Kingdom, notified the FAAthat a revision to Section 05–10–01 hasbeen issued for Chapter 5 of the BAe/Avro 146 Aircraft Maintenance Manual(AMM). That section also referencesadditional sections of the AMM. [TheFAA refers to the information includedin the revised section of the AMM as theAirworthiness Limitations Section(ALS).] The revised section affects allBritish Aerospace Model BAe 146 andModel Avro 146–RJ series airplanes. Inaddition, that section providesmandatory replacement times andstructural inspection intervals approvedunder section 25.571 of the JointAviation Requirements and the FederalAviation Regulations (14 CFR 25.571).As airplanes gain service experience, oras results of post-certification testingand evaluation are obtained, it maybecome necessary to add additional lifelimits or structural inspections to ensurethe continued structural integrity of theairplane.

The CAA advises that analysis offatigue test data has revealed thatcertain inspections must be performedat specific intervals to preclude fatiguecracking in certain areas of the airplane.In addition, the CAA advises thatcertain life limits must be imposed forvarious components on these airplanesto preclude the onset of fatigue crackingin those components. Such fatiguecracking, if not corrected, couldadversely affect the structural integrityof these airplanes.


British Aerospace has issued Section05–10–01, Revision 65, dated August 3,1999, which is a revision to Chapter 5of the BAe/Avro 146 AircraftMaintenance Manual (AMM). Thatsection references additional sections,which include the following:

1. Life limit times for certainstructural components, or othercomponents or equipment.

2. Structural inspection times todetect fatigue cracking of certainSignificant Structural Items (SSI’s).

The revision to Section 05–10–01 ofthe AMM describes new inspectionsand compliance times for inspectionand replacement actions.Accomplishment of those actions willpreclude the onset of fatigue cracking ofcertain structural elements of theairplane.

The CAA has approved Section 05–10–01, Revision 65, of the AMM toassure the continued airworthiness ofthese airplanes in the United Kingdom.The CAA has not issued acorresponding airworthiness directive,although accomplishment of theadditional life limits and structuralinspections contained in the AMMrevision may be considered mandatoryfor operators of these airplanes in theUnited Kingdom.

FAA’s ConclusionsThe FAA has reviewed Section 05–

10–01, Revision 65, of the AMM and allavailable information, and determinedthat AD action is necessary for productsof these type designs that arecertificated for operation in the UnitedStates. Pursuant to this bilateralairworthiness agreement, the CAA haskept the FAA informed of the situationdescribed above. These airplane modelsare manufactured in the UnitedKingdom and are type certificated foroperation in the United States under theprovisions of section 21.29 of theFederal Aviation Regulations (14 CFR21.19) and the applicable bilateralairworthiness agreement. The FAA hasdetermined that Section 05–10–01,Revision 65, of the AMM must beincorporated into the ALS of theInstructions for ContinuedAirworthiness.


Since an unsafe condition has beenidentified that is likely to exist ordevelop on other airplanes of the sametype design registered in the UnitedStates, the proposed AD would requirea revision to the ALS of the Instructionsfor Continued Airworthiness toincorporate inspections to detect fatiguecracking of certain SSI’s and to reviselife limits for certain equipment andvarious components that are specified inthe previously referenced maintenancedocument.

Explanation of Action Taken by theFAA

In accordance with airworthinessstandards requiring ‘‘damage toleranceassessments’’ for transport categoryairplanes [section 25.1529 of the FederalAviation Regulations (14 CFR 25.1529),and the Appendices referenced in thatsection], all products certificated tocomply with that section must haveInstructions for ContinuedAirworthiness (or, for some products,maintenance manuals) that include anALS. That section must set forth:

• Mandatory replacement times forstructural components,

• Structural inspection intervals, and• Related approved structural

inspection procedures necessary toshow compliance with the damage-tolerance requirements.

Compliance with the terms specifiedin the ALS is required by sections 43.16(for persons maintaining products) and91.403 (for operators) of the FederalAviation Regulations (14 CFR 43.16 and91.403).

In order to require compliance withthese inspection intervals and lifelimits, the FAA must engage inrulemaking, namely the issuance of anAD. For products certificated to complywith the referenced part 25requirements, it is within the authorityof the FAA to issue an AD requiring arevision to the ALS that includesreduced life limits, or new or differentstructural inspection requirements.These revisions then are mandatory foroperators under section 91.403(c) of theFederal Aviation Regulations (14 CFR91.403), which prohibits operation of anairplane for which airworthinesslimitations have been issued unless theinspection intervals specified in thoselimitations have been complied with.

After that document is revised, asrequired, and the AD has been fullycomplied with, the life limit orstructural inspection change remainsenforceable as a part of theairworthiness limitations. (This isanalogous to AD’s that require changesto the Limitations Section of theAirplane Flight Manual.)

Requiring a revision of theairworthiness limitations, rather thanrequiring individual inspections, isadvantageous for operators because itallows them to record AD compliancestatus only once—at the time they makethe revision—rather than after everyinspection. It also has the advantage ofkeeping all airworthiness limitations,whether imposed by originalcertification or by AD, in one placewithin the operator’s maintenanceprogram, thereby reducing the risk ofnon-compliance because of oversight orconfusion.

Cost ImpactThe FAA estimates that 45 airplanes

of U.S. registry would be affected by thisproposed AD, that it would takeapproximately 1 work hour per airplaneto accomplish the proposed actions, andthat the average labor rate is $60 perwork hour. Based on these figures, thecost impact of the proposed AD on U.S.operators is estimated to be $2,700, or$60 per airplane.

The cost impact figure discussedabove is based on assumptions that nooperator has yet accomplished any of



the proposed requirements of this ADaction, and that no operator wouldaccomplish those actions in the future ifthis AD were not adopted.





safety, Safety.





Authority: 49 U.S.C. 106(g), 40113, 44701.


adding the following new airworthinessdirective:British Aerospace Regional Aircraft

(Formerly British Aerospace RegionalAircraft Limited, Avro InternationalAerospace Division; British Aerospace,PLC; British Aerospace CommercialAircraft Limited): Docket 99–NM–190–AD.

Applicability: All Model BAe 146 andModel Avro 146–RJ series airplanes,certificated in any category.

Note 1: This AD applies to each airplaneidentified in the preceding applicability

provision, regardless of whether it has beenmodified, altered, or repaired in the areasubject to the requirements of this AD. Forairplanes that have been modified, altered, orrepaired so that the performance of therequirements of this AD is affected, theowner/operator must request approval for analternative method of compliance inaccordance with paragraph (c) of this AD.The request should include an assessment ofthe effect of the modification, alteration, orrepair on the unsafe condition addressed bythis AD; and, if the unsafe condition has notbeen eliminated, the request should includespecific proposed actions to address it.


To ensure continued structural integrity ofthese airplanes, accomplish the following:

Airworthiness Limitations Revision

(a) Within 30 days after the effective dateof this AD, revise the AirworthinessLimitations Section (ALS) of the Instructionsfor Continued Airworthiness byincorporating Section 05–10–01, Revision 65,dated August 3, 1999, of Chapter 5 of theBAe/Avro 146 Aircraft Maintenance Manual(AMM), into the ALS. This section referencesother sections of the AMM. The applicablerevision level of the referenced sections isthat in effect on the effective date of this AD.

(b) Except as specified in paragraph (c) ofthis AD: After the actions specified inparagraph (a) of this AD have beenaccomplished, no alternative inspections orinspection intervals may be approved for thestructural elements specified in thedocument listed in paragraph (a) of this AD.









14 CFR Part 39

[Docket No. 2000–CE–24–AD]

RIN 2120–AA64

Airworthiness Directives; CessnaAircraft Company Model 172RGAirplanes


SUMMARY: This document proposes toadopt a new airworthiness directive(AD) that would apply to certain CessnaAircraft Company (Cessna) Model 172airplanes. The proposed AD wouldrequire you to inspect the main landinggear pivot assemblies for cracks, replaceany cracked main landing gear pivotassemblies, and install new bushings onthe pivot assembly shaft. Many servicedifficulty reports of cracked mainlanding gear pivot assemblies on theaffected airplanes prompted theproposed action. The actions specifiedby the proposed AD are intended todetect, correct, and prevent futurecracks on the original design landinggear pivots. Cracked main landing gearpivots could fail resulting in gear-uplandings or loss of braking.DATES: The Federal AviationAdministration (FAA) must receive anycomments on this proposed rule byDecember 7, 2000.ADDRESSES: Send comments in triplicateto the Federal Aviation Administration(FAA), Central Region, Office of theRegional Counsel, Attention: RulesDocket No. 2000–CE–24–AD, 901Locust, Room 506, Kansas City,Missouri 64106. You may readcomments at this location between 8a.m. and 4 p.m., Monday throughFriday, except holidays.

You may get the service informationreferenced in this proposed AD from theCessna Aircraft Company, ProductSupport, P.O. Box 7706, Wichita,Kansas 67277; telephone: (316) 517–5800; facsimile: (316) 942–9006. Youmay examine this information at theRules Docket at the above address.FOR FURTHER INFORMATION CONTACT:Steven Litke, Aerospace Engineer,Wichita Aircraft Certification Office,FAA, 1801 Airport Road, Mid-ContinentAirport, Wichita, Kansas 67209;telephone: (316) 946–4127; facsimile:(316) 946–4407.




Comments Invited

How do I comment on the proposedAD? We invite your comments on theproposed rule. You may send whateverwritten data, views, or arguments youchoose. You need to include the rule’sdocket number and send yourcomments in triplicate to the addressnamed under the caption ADDRESSES.We will consider all comments receivedby the closing date named above, beforetaking action on the proposed rule. Wemay change the proposals contained inthis notice because of the commentsreceived.

Are there any specific portions of theproposed AD I should pay attention to?The FAA specifically invites commentson the overall regulatory, economic,environmental, and energy aspects ofthe proposed rule that might call for aneed to change the proposed rule. Youmay examine all comments we receivebefore and after the closing date forcomments in the Rules Docket. We willfile a report in the Rules Docket thatsummarizes each FAA contact with thepublic that concerns the substantiveparts of this proposal.

The FAA is reexamining the writingstyle we currently use in regulatorydocuments, in response to thePresidential memorandum of June 1,1998. That memorandum requiresfederal agencies to communicate moreclearly with the public. We want to readyour comments on the ease ofunderstanding this document, and anyother suggestions you might have toimprove the clarity of FAAcommunications that affect you. Youcan get more information about thePresidential memorandum and the plainlanguage initiative at http://www.faa.gov/language/.

How can I be sure FAA receives mycomment? If you want us toacknowledge the receipt of yourcomments, you must include a self-addressed, stamped postcard. On thepostcard, write ‘‘Comments to DocketNo. 2000–CE–24–AD.’’ We will datestamp and mail the postcard back toyou.

Discussion

What events have caused thisproposed AD? The FAA has receivedmany service difficulty reports offailures of pivot assemblies on CessnaModel 172RG airplanes. Failure of themain landing gear pivots has resulted ingear-up landings or loss of braking. Theend of the pivot experiences overloadstresses because of improper bushingclearance. This stress can producefatigue cracks that spread until the pivotfitting fails, preventing the landing gear

from extending. In other cases, brakefluid leaks through the fatigue crackresulting in loss of braking action.

What are the consequences if thecondition is not corrected? Originaldesign landing gear pivots, if notreplaced with improved pivots, couldcrack and fail, resulting in gear-uplandings or loss of braking.

Relevant Service Information

Is there service information thatapplies to this subject? Cessna hasissued Service Bulletin SEB90–1,Revision 3, dated March 15, 1999.

What are the provisions of this servicebulletin? The service bulletin containsprocedures for:—Inspecting the main landing gear

pivot assemblies for cracks,—Replacing any cracked main landing

gear pivot assemblies, and—Installing new bushings on the pivot

assembly shaft.

The FAA’s Determination and anExplanation of the Provisions of theProposed AD

What has FAA decided? Afterexamining the circumstances andreviewing all available informationrelated to the incidents, we havedetermined that:—The unsafe condition referenced in

this document exists or could developon other Cessna Model 172RGairplanes of the same type design;

—These airplanes should have theactions named in the service bulletinincorporated; and

—The FAA should take AD action tocorrect this unsafe condition.What would this proposed AD

require? This proposed AD wouldrequire you to follow the Cessna ServiceBulletin SEB90–1, Revision 3, datedMarch 15, 1999, and the Model 172RGSeries Service Manual and do theseactions:—Inspect the main landing gear pivot

assemblies for cracks;—Replace any cracked main landing

gear pivot assemblies; and—Install new bushings on the pivot

assembly shaft.

Cost Impact

How many airplanes would thisproposed AD impact? We estimate theproposed AD would affect 766 airplanesin the U.S. registry.

What would be the cost impact of theproposed actions for the affectedairplanes on the U.S. Register? Weestimate that it would take about 20workhours for each airplane to do bothproposed pivot assembly inspections, atan average labor rate of $60 an hour.Based on the figures presented above,

we estimate the total cost impact of theproposed inspection on U.S. operators is$919,200, or $1,200 for each airplane.

We estimate that it would take about5 workhours for each airplane to doboth proposed bushing replacementsconcurrent with the pivot assemblyinspection, at an average labor rate of$60 an hour. Parts cost about $200 foreach airplane. Based on the figurespresented above, we estimate the totalcost impact of the proposed bushingreplacement on U.S. operators is $500for each airplane.

If a crack is found during the pivotassembly inspection, the pivot assemblymust be replaced. We estimate that itwould take about 3 workhours to doeach proposed pivot assemblyreplacement, at an average labor rate of$60 an hour. Parts cost about $2,783 foreach pivot assembly. Based on thefigures presented above, we estimate thetotal cost impact of the proposed pivotassembly replacement on U.S. operatorsis $2,963 for each pivot assembly.

We have no way of knowing howmany airplanes will require replacementpivot assemblies. The total cost for eachairplane for this proposed AD dependson whether a crack is found during theinspection of the pivot assembly. Weestimate the total cost impact of this ADfor each airplane to U.S. operators is:

Neither pivotcracked

One pivotcracked

Both pivotscracked

$1700 ................ $4663 $7626

Regulatory ImpactWould this proposed AD impact

relations between Federal and Stategovernments? The regulations proposedwould not have a substantial directeffect on the States, between thenational government and the States, oron the distribution of power andresponsibilities among the variouslevels of government. We havedetermined that this proposed rulewould not have federalism implicationsunder Executive Order 13132.

Would this proposed AD involve asignificant rule or regulatory action? Forthe reasons discussed above, I certifythat this action (1) is not a ‘‘significantregulatory action’’ under ExecutiveOrder 12866; (2) is not a ‘‘significantrule’’ under DOT Regulatory Policiesand Procedures (44 FR 11034, February26, 1979); and (3) if put into effect, willnot have a significant economic impact,positive or negative, on a substantialnumber of small entities under thecriteria of the Regulatory Flexibility Act.We have placed a copy of the draftregulatory evaluation prepared for thisaction in the Rules Docket. You may get



a copy of it by contacting the RulesDocket at the location provided underthe caption ADDRESSES.




Therefore, under the authoritydelegated to me by the Administrator,the Federal Aviation Administration(FAA) proposes to amend part 39 of theFederal Aviation Regulations (14 CFRpart 39) as follows:



Authority: 49 U.S.C. 106(g), 40113, 44701.

§ 39.13 [Amended]2. FAA amends Section 39.13 by

adding a new airworthiness directive(AD) to read as follows:Cessna Aircraft Company: Docket No. 2000–

CE–24–AD.(a) What airplanes are affected by this AD?

Model 172RG, with the serial numbers 691

and 172RG0001 through 172RG1191,certified in any category.

(b) Who must comply with this AD?Anyone who wishes to operate any of theabove airplanes must comply with this AD.

(c) What problem does this AD address?The actions specified in this AD are intendedto detect, correct, and prevent future crackson the original design landing gear pivots.Cracked main landing gear pivots could fail,resulting in gear-up landings or loss ofbraking.

(d) What must I do to address thisproblem? To address this problem, you mustdo the following actions:

Actions Compliance times Procedures

(1) Inspect the main landing gear pivot assem-blies for cracks.

Within the next 100 time-inservice after the ef-fective date of this AD.

Do this action following the ACCOMPLISH-MENT INSTRUCTIONS in Cessna ServiceBulletin SEB90–1, Revision 3, dated March15, 1999, and the Model 172RG SeriesService Manual.

(2) If you find cracks, replace the affected mainlanding gear pivot assembly with the part ref-erenced in the service bulletin.

Before further flight after the inspection .......... Do this action following the ACCOMPLISH-MENT INSTRUCTIONS in Cessna ServiceBulletin SEB90–1, Revision 3, dated March15, 1999, and the Model 172RG SeriesService Manual.

(3) Install new bushings on both main landinggear pivot assemblies using the applicable kitreferenced in the service bulletin.

Before further flight after the inspection .......... Do this action following the ACCOMPLISH-MENT INSTRUCTIONS in Cessna ServiceBulletin SEB90–1, Revision 3, dated March15, 1999, and the Model 172RG SeriesService Manual.

(e) Can I comply with this AD in any otherway? You may use an alternative method ofcompliance or adjust the compliance time if:

(1) Your alternative method of complianceprovides an equivalent level of safety; and

(2) The Manager, Wichita AircraftCertification Office (ACO), approves youralternative. Send your request through anFAA Principal Maintenance Inspector, whomay add comments and then send it to theManager, Wichita ACO.

Note: This AD applies to each airplaneidentified in paragraph (a) of this AD,regardless of whether it has been modified,altered, or repaired in the area subject to therequirements of this AD. For airplanes thathave been modified, altered, or repaired sothe performance of the requirements of thisAD is affected, the owner/operator mustrequest approval for an alternative method ofcompliance under paragraph (e) of this AD.The request should include an assessment ofthe effect of the modification, alteration, orrepair on the unsafe condition addressed bythis AD; and, if you have not eliminated theunsafe condition, specific actions youpropose to address it.

(f) Where can I get information about anyalready-approved alternative methods ofcompliance? Contact Steven Litke, AerospaceEngineer, Wichita Aircraft CertificationOffice, FAA, 1801 Airport Road, Mid-Continent Airport, Wichita, Kansas 67209;telephone: (316) 946–4127; facsimile: (316)946–4407.

(g) What if I need to fly the airplane toanother location to comply with this AD? TheFAA can issue a special flight permit under§§ 21.197 and 21.199 of the Federal Aviation

Regulations (14 CFR 21.197 and 21.199) tooperate your airplane to a location where youcan do the requirements of this AD.

(h) How do I get copies of the documentsreferenced in this AD? You may get copies ofthe documents referenced in this AD fromthe Cessna Aircraft Company, ProductSupport, P.O. Box 7706, Wichita, Kansas67277; or read this document at FAA, CentralRegion, Office of the Regional Counsel, 901Locust, Room 506, Kansas City, Missouri64106.

Issued in Kansas City, Missouri, onOctober 23, 2000.Marvin R. Nuss,Acting Manager, Small Airplane Directorate,Aircraft Certification Service.[FR Doc. 00–27755 Filed 10–27–00; 8:45 am]BILLING CODE 4910–13–U



14 CFR Part 71

Proposed Revisions of the MinneapolisClass B Airspace Area, MN; PublicMeetings

AGENCY: Federal AviationAdministration (FAA), DOT.ACTION: Notice of Public Meeting.

SUMMARY: This notice announces twofact-finding informal airspace meetings

to solicit information from airspaceusers, and others, concerning a proposalto revise the Class B airspace atMinneapolis, MN. The purpose of thesemeetings is to provide interested partiesthe opportunity to present views,recommendations, and comments onthis proposal. All comments receivedduring the meetings will be consideredprior to issuance of a notice of proposedrulemaking.TIMES AND DATES: The informal airspacemeetings will be held on Tuesday,January 9, 2001, starting at 6:30 p.m.until 10 p.m., and on Saturday, January13, 2001, starting at 9 a.m. until 1 p.m.Comments must be received on orbefore March 13, 2001. Send or delivercomments on the proposal in triplicateto: Manager, Air Traffic Division, AGL–500, Federal Aviation Administration,Great Lakes Region Headquarters,O’Hare Lake Office Center, 2300 EastDevon Avenue, Des Plaines, IL 60018.ADDRESSES: On January 9, 2001, themeeting will be at St. Paul DowntownAirport, Army Aviation SupportFacility, 206 Airport Road, St. Paul, MN.On January 13, 2001, the meeting willbe at Hennepin Technical College,Flying Cloud Campus, 9200 FlyingCloud Drive, Eden Prairie, MN.FOR FURTHER INFORMATION CONTACT:Arthur Hill, Air Traffic Division, AGL–



520, FAA, Great Lakes Regional Office,telephone (874) 294–7261.SUPPLEMENTARY INFORMATION:

Meeting Procedures

The following procedures will beused to facilitate the meetings:

(a) The meeting will be informal innature and will be conducted by arepresentative of the FAA Great LakesRegion. Representative from the FAAwill present a formal briefing on theproposed revisions of the Class BAirspace Areas. Each participant will begiven the opportunity to delivercomments or make a presentation.

(b) The meeting will be open to allpersons on a space available basis.There will be no admission fee or othercharge to attend and participate.

(c) Any person wishing to make apresentation of the FAA panel will beasked to sign in and estimate theamount of time needed for suchpresentation. This will permit the panelto allocate an appropriate amount oftime for each presenter.

(d) The meeting will not be adjourneduntil everyone on the list has had anopportunity to address the panel.

(e) Position papers or other handoutmaterial relating to the substance of themeeting will be accepted. Participantswishing to submit handout materialshould present three copies to thepresiding officer. There should beadditional copies of each handoutavailable for other attendees.

(f) The meeting will not be formallyrecorded. However, a summary of thecomments made at the meetings will befiled in the docket.

Agenda for the Meetings

Opening remarks and Discussion ofMeeting Procedure.

Briefing on Background for proposal.Public Presentations.Closing Comments.

Christopher Blum,Manager, Air Traffic Division.[FR Doc. 00–27753 Filed 10–27–00; 8:45 am]BILLING CODE 4910–13–M

DEPARTMENT OF THE INTERIOR

Bureau of Indian Affairs

25 CFR Part 70

RIN 1076–AD98

Certificate of Degree of Indian orAlaska Native Blood

AGENCY: Bureau of Indian Affairs,Interior.

ACTION: Proposed rule; Reopening ofcomment period and additional publicmeetings.

SUMMARY: This notice reopens thecomment period for the proposed rulepublished at 65 FR 38228 (June 20,2000), to establish documentationrequirements and standards for filing,processing, and issuing a Certificate ofDegree of Indian or Alaska Native Blood(CDIB) by the Bureau of Indian Affairs;and announces two additional publicmeetings to discuss the proposed rule.DATES: The comment period is extendedfrom August 16, 2000, to the close ofbusiness, on December 20, 2000, CentralStandard Time. The public meetingswill be held on November 7, 2000 andNovember 8, 2000, 9 a.m. to 4 p.m.,local time.ADDRESSES: You may mail yourcomments to Karen Ketcher, Branch ofTribal Operations, Eastern OklahomaRegion, Bureau of Indian Affairs, 101North 5th Street, Muskogee, OK 74401.FOR FURTHER INFORMATION CONTACT:Karen Ketcher, Branch of TribalOperations, Eastern Oklahoma Region,Department of the Interior, Bureau ofIndian Affairs, 101 North 5th Street,Muskogee, OK 74401. You may alsohand-deliver comments to us at Room426, at the same address. Forinformation about filing commentelectronically, see the SUPPLEMENTARYINFORMATION section in the April 18,2000, Federal Register notice.SUPPLEMENTARY INFORMATION: OnTuesday, June 20, 2000, the Bureau ofIndian Affairs published a proposedrule; notice of meeting and extension ofcomment period, 65 FR 38228, toestablish documentation requirementsand standards for filing, processing, andissuing a Certificate of Degree of Indianor Alaska Native Blood (CDIB). Thedeadline for receipt of comments wasJuly 17, 2000, which was extended toAugust 16, 2000. We are nowscheduling several additional publicmeetings for representatives of theCalifornia Indian tribes. The publicmeetings will be held as follows:Tuesday November 7, 2000, inSacramento, California, at the Bureau ofIndian Affairs Pacific Regional Office at2800 Cottage Way, Sacramento,California 95825, telephone number(916) 978–6063 and Wednesday,November 8, 2000, at the OntarioConvention Center, 2000 ConventionCenter Way, Ontario, California 91764,telephone number (909) 937–3000.Persons who wish to testify at anyfuture sessions scheduled wherecomments are recorded for the recordare requested to observe the following

rules: In order to assist the transcriberand to ensure an accurate record, werequest that you give the transcriber acopy of your prepared testimony. Inorder to assist us in preparingappropriate responses or answers toyour questions, we also ask that if youplan to testify, please submit an advancecopy of your testimony to us at theaddress specified in the ADDRESSESsection.

Dated: October 24, 2000.Kevin Gover,Assistant Secretary—Indian Affairs.[FR Doc. 00–27783 Filed 10–27–00; 8:45 am]BILLING CODE 4310–02–P

POSTAL SERVICE

39 CFR Part 111

Sack Preparation Changes forPeriodicals Nonletter-Size Mailing JobsThat Include Automation Flat Rate andPresorted Rate Mailings

AGENCY: Postal Service.ACTION: Proposed rule.

SUMMARY: This proposed rule wouldrevise the standards for preparation ofPeriodicals nonletter-size mailing jobsthat include both an automation flatsmailing and a Presorted flats mailing torequire use of the co-sackingpreparation method in Domestic MailManual (DMM) M910.DATES: Comments must be received onor before November 30, 2000.ADDRESSES: Send written comments tothe Manager, Mail Preparation andStandards, U.S. Postal Service, 1735 N.Lynn St, Room 3025, Arlington, VA22209–6038. Copies of all writtencomments will be available forinspection and photocopying between 9a.m. and 4 p.m., Monday throughFriday, at the Postal Service Library, 475L’Enfant Plaza SW, Room 11–N,Washington DC.FOR FURTHER INFORMATION CONTACT:Lynn M. Martin, 703–292–3645.SUPPLEMENTARY INFORMATION: The PostalService and the Periodicals industry areconcerned over recent upward trends inthe costs associated with processingPeriodicals mail and have been studyingways to reverse these trends. Severalideas have come out of mutualdiscussions involving representativesfrom the Postal Service and thePeriodicals industry. Cost modelssuggest that we can reduce handlingcosts for Periodicals by requiring sackednonletter-size mail to be prepared in amanner that will reduce the number ofsacks prepared and handled, and



concurrently increase the number ofmore finely presorted sacks in themanner set forth as a presort option inDomestic Mail Manual (DMM) M910, togo into effect December 15, 2000. Thispresort option allows mailers ofnonletter-size Periodicals (as well asflat-size First-Class Mail and StandardMail (A)) to combine packages ofautomation rate mail and packages ofPresorted rate mail in the same sack or,for First-Class Mail, in the same tray.

In order to reduce processing costs forthe handling of Periodicals mail, thePostal Service is proposing thatPeriodicals mailers be required toprepare sacked mailing jobs ofnonletter-size mail that include both anautomation flats rate mailing and aPresorted rate mailing using the co-sacking preparation requirements inDMM M910.

The proposed effective date of thischange is the date of implementation ofthe rates resulting from the R2000–1 ratecase. It is anticipated that thisimplementation date will be in January2001.

To help mailers identify therequirements for a Presorted ratemailing, this proposal also reorganizesDomestic Mail Manual E200 and M200to separate the eligibility and presortrequirements for Periodicals Presortedrate mailings from those of carrier routemailings. DMM E200 will now containsection E220 that pertains only toPresorted rate mailings and section E230that pertains only to carrier routemailings. (The information published inproposed DMM E220 in the FederalRegister proposed rule of August 29,2000 (65 FR 52480), ‘‘Proposed Changesto the Domestic Mail Manual toImplement Docket No. R2000–1,’’ willbe redesignated as DMM E217 when afinal rule regarding that proposal ispublished.) DMM M200 will nowcontain section M210 that pertains onlyto Presorted rate mailings and sectionM220 that pertains only to carrier routemailings. Under current standards,Presorted and carrier route are twoseparate mailings with separateeligibility requirements and separatepackaging and sacking requirements.This reorganization does not changecurrent requirements, but reflects theseparate mailing status of these twotypes of mailings. It also makes theDMM numbering for Periodicalsconsistent with the numbering systemused for Standard Mail (A).

As information, the DMM language inthis proposed rule incorporatesrevisions to the DMM from threepreviously published Federal Registerfinal rules that also will take effect onthe date of implementation of the rates

resulting from the R2000–1 rate case.These final rules are:

1. ‘‘Sack Preparation Changes forPeriodicals Nonletter-Size Pieces andPeriodicals Prepared on Pallets’’published on July 28, 2000 (65 FR46361).

2. ‘‘Line-of-Travel Sequencing forBasic Carrier Route Periodicals’’published on July 28, 2000 (65 FR46363).

3. ‘‘Domestic Mail Manual Changesfor Sacking and Palletizing PeriodicalsNonletters and Standard Mail (A) Flats,for Traying First-Class Flats, and forLabeling Pallets’’ published on August16, 2000 (65 FR 50054).

Accordingly, the numbering and thelanguage of the DMM sections in thisproposed rule have been synchronizedwith these final rules and may notmatch the numbering and language incurrent DMM Issue 55.

Although exempt from the notice andcomment requirements of theAdministrative Procedure Act (5 U.S.C.410(a)), the Postal Service invitescomments on the following proposedrevisions to the Domestic Mail Manual,incorporated by reference in the Code ofFederal Regulations. See 39 CFR part111.


Administrative practice andprocedure, Postal Service.



Authority: 5 U. S. C. 552(a); 39 U. S. C.101, 401, 403, 404, 414, 3001–3011, 3201–3219, 3403–3406, 3621, 3626, 5001.

2. Revise the following sections of theDomestic Mail Manual (DMM) as setforth below:

Domestic Mail Manual (DMM)

E Eligibility

* * * * *

E200 Periodicals

* * * * *[Add heading E220 to read as

follows:]

E220 Presorted Rates

[Add new summary to read asfollows:]

Summary. E220 describes theeligibility standards for mailingPresorted rate mailings (5-digit, 3-digit,and basic rates). It also describescombining multiple publications oreditions.

[Add new 1.0 that copies informationfrom E230 and deletes information

pertaining to carrier route mail to readas follows:]

1.0 BASIC INFORMATION

1.1 StandardsThe standards for Presorted rates are

in addition to the basic standards forPeriodicals in E210, the standards forother rates or discounts claimed, andthe applicable preparation standards inM045, M200, M910, M920, M930, orM940. Not all combinations of presortlevel, automation, and destination entrydiscounts are permitted.

[Copy E230.1.2 as new E220.1.2 andamend to include references to newpalletization options to read as follows:]

1.2 Palletized MailA correctly prepared package is the

equivalent of a sack when palletizedunder M045, M920, M930, or M940.Individual pieces qualify for the presortlevel rate appropriate for the palletizedpackages in which they are placed,regardless of the destination of thepallet. Eligibility for destination entry orother zoned rates depends on the pointof entry.

[Redesignate E230.1.3 as E220.1.3.]

1.4 Barcodes[Copy E230.1.4 as E220.1.4 and

amend by changing ‘‘nonautomation’’ to‘‘Presorted’’ to read as follows:]

Any POSTNET barcode on amailpiece in a Presorted Periodicalsmailing must be correct for the deliveryaddress and meet the standards in C840and A950.

1.5 Documentation[Copy E230.1.5 to E220.1.5, amend by

adding information on postagestatements to read as follows:]

A complete, signed postage statement,using the correct USPS form or anapproved facsimile, must accompanyeach mailing, supported bystandardized documentation meetingthe basic standards in P012.Documentation of postage is notrequired if each piece in the mailing isof identical weight and the pieces areseparated when presented foracceptance by rate, by zone (includingseparation by In-County and Outside-County rates), and by entry discount(e.g., DDU and DSCF).

[Add new heading 2.0 to read asfollows:]

2.0 Rates[Redesignate E230.3.0 through

E230.5.0 as E220.2.1, 2.2, and 2.3,respectively.]

[Copy E230.7.0 as E220.3.0.][Revise the heading of E230 to read as

follows:]



E230 Carrier Route Rates

[Amend the summary to exclude non-carrier route rates to read as follows:]

Summary. E230 describes theeligibility standards for mailing atcarrier route rates. It also describescombining multiple publications oreditions.

1.0 BASIC INFORMATION

1.1 Standards

[Amend 1.1 to delete information onPresorted rate mail to read as follows:]

The standards for carrier route ratesare in addition to the basic standards forPeriodicals in E210, the standards forother rates or discounts claimed, andthe applicable preparation standards inM045, M200, M910, M920, M930, orM940. Not all combinations of presortlevel, automation, and destination entrydiscounts are permitted.

[Amend 1.2 to include references tonew palletization options to read asfollows:]

1.2 Palletized Mail

A correctly prepared package is theequivalent of a sack when palletizedunder M045, M920, M930, or M940.Individual pieces qualify for the presortlevel rate appropriate for the palletizedpackages in which they are placed,regardless of the destination of thepallet. Eligibility for destination entry orother zoned rates depends on the pointof entry.

[Redesignate the heading 2.1 as 1.3and amend to read as follows:]

1.3 Carrier Route Code Accuracy

[Redesignate the text of 2.1 as 1.3 andamend to add references to thesequencing requirements to read asfollows:]

Except for mailings prepared with asimplified address under A040, carrierroute codes must be applied to mailingsusing CASS-certified software and thecurrent USPS Carrier Route InformationSystem (CRIS) scheme, hard copy CRISfiles, or another AIS product containingcarrier route information, subject toA930 and A950. Carrier routeinformation must be updated within 90days before the mailing date. Theapplicable sequencing requirements in2.2, 3.0, and M050 must also be met.* * * * *

1.5 Documentation

[Amend 1.5 to add information onpostage statement standards and to adda cross-reference to the documentationrequirements in M050 for sequencing toread as follows:]

A complete, signed postage statement,using the correct USPS form or an

approved facsimile, must accompanyeach mailing, supported bystandardized documentation meetingthe basic standards in P012.Documentation of postage is notrequired if each piece in the mailing isof identical weight and the pieces areseparated when presented foracceptance by rate, by zone (includingseparation by In-County and Outside-County rates), and by entry discount(e.g., DDU and DSCF). Documentation ofsequencing and of density standardsunder M050 must be submitted witheach mailing.

[Revise the heading of 2.0 (as set forthin the final rule published in 65 FR50054, August 16, 2000), and add newheading 2.1 to read as follows:]

2.0 Sortation and Sequencing

2.1 Sortation

[Redesignate the contents of 2.2a (asset forth in the final rule published in65 FR 50054, August 16, 2000) as 2.1aand b to separate letter mail standardsfrom nonletter mail standards to read asfollows:]

Preparation to qualify eligible piecesfor carrier route rates is optional and issubject to M045, M200, or (nonletter-size mail only) M920, M930, or M940.Carrier route sort need not be done forall carrier routes in a 5-digit area.Specific rate eligibility is subject tothese standards:

a. The carrier route rates for letter-sizemail apply to copies that are preparedin carrier route packages of six or morepieces each that are sorted to carrierroute, 5-digit carrier routes, or 3-digitcarrier routes trays.

b. The carrier route rates for nonletter-size mail apply to copies of flat-size orirregular parcel-size pieces prepared incarrier route packages of six or morepieces each, and that are sorted topallets under M045 or M920, M930, orM940, or sacked in carrier route, 5-digitscheme carrier routes, or 5-digit carrierroutes sacks, and, if prepared underM920, merged 5-digit scheme sacks ormerged 5-digit sacks. Preparation of 5-digit scheme carrier routes sacks orpallets is required and must be done forall 5-digit scheme destinations.Preparation of merged 5-digit sacks andmerged 5-digit scheme sacks is optionalbut if performed must be done for all 5-digit ZIP Codes for which there is an‘‘A’’ or ‘‘C’’ indicator in the City StateProduct that permits co-containerizationof carrier route and 5-digit packages.Preparation of merged 5-digit palletsand merged 5-digit scheme pallets isoptional but if performed must be donefor all 5-digit ZIP Codes or 5-digitschemes for which those pallet levels

are possible (under M920 if there is an‘‘A’’ or ‘‘C’’ indicator in the City StateProduct, under M930 if the 5%threshold standard is met, and underM940 if ZIP Codes have an ‘‘A’’ or ‘‘C’’indicator in the City State Product andif ZIP Codes with a ‘‘B’’ or ‘‘D’’ indicatorin the City State Product meet the 5%threshold standards). For merged 5-digitscheme sacks or pallets, preparationalso must be done for all 5-digit schemedestinations. The applicable sequencingrequirements in M050 and in 2.2a or2.2b also must be met.

[Amend the heading of 2.2 andredesignate 2.2b and c (as set forth inthe final rule published in 65 FR 50054,August 16, 2000) as 2.2a and b, to readas follows:]

2.2 Sequencing Requirements

Carrier route mail must be prepared indelivery sequence as follows:

a. Basic carrier route rate mail must beprepared either in carrier walk sequenceor in line-of-travel (LOT) sequenceaccording to LOT schemes as prescribedby the USPS (M050).

b. The high density and saturationrates apply to pieces that are eligible forcarrier route rates under 2.1, areprepared in carrier walk sequence, andmeet the applicable density standards in3.0 for the rate claimed.

[Redesignate 6.0 (as set forth in thefinal rule published in 65 FR 50054,August 16, 2000) as 3.0; amendredesignated 3.1 by changing thereference ‘‘2.2’’ to ‘‘1.0 and 2.0’’ and bychanging the reference ‘‘6.4’’ to ‘‘3.4’’,amend redesignated 3.4 by changing allreferences to ‘‘6.4’’ to ‘‘3.4.’’]

[Redesignate 7.0 as 4.0.]* * * * *

M200 Periodicals (Nonautomation)

[Add new heading M210 to read asfollows:]

M210 Presorted Rate Periodicals

[Redesignate the summary of M200 asthe summary of M210 and amend todelete references to carrier route mail toread as follows:]

Summary. M200 describes the basicstandards for Periodicals Presorted ratemailings including package and traypreparation for letters, and package andsack preparation for flats and irregularparcels. Additional requirements forpreparing mail on pallets are in M041and M045, or M041 and M920, M930, orM940. For standards on automation ratePeriodicals mailings see E240 and M810(letters) or M820 (flats), as applicable.For standards on carrier route mailingssee E230 and M220.

[Redesignate M200.1.0 as M210.1.0.]



1.0 BASIC STANDARDS

[Revise heading and text ofredesignated M210.1.1 for clarity and toexclude Presorted rate sacked nonletter-size mailings that contain an automationrate mailing to read as follows:]

1.1 Basic Standards

For all letter-size mailings, for sackedmailing jobs of nonletter-size mail thatdo not contain an automation ratemailing or a carrier route mailing, andfor all palletized mailing jobs thefollowing standards must be met for thePresorted rate mailing:

a. All pieces in each Presorted ratePeriodicals mailing must be in the sameprocessing category.

b. Letter-size pieces must be packagedunder 2.0 and prepared in trays under3.0. Trays prepared under this sectionmay subsequently be palletized underM041 and M045.

c. Nonletter-size pieces must bepackaged under 2.0. Packages placed onpallets must meet additional packagingcriteria under M045.

d. Packages of nonletter-size piecesmust be sacked or palletized as follows:

(1) sacked under 4.0, except that aPresorted rate mailing that is part of amailing job that also contains anautomation flats mailing must be sackedunder M910 or M920 as described in1.2; or

(2) palletized under M041 and M045,M920, M930, or M940.

e. Sacks prepared under 4.0 maysubsequently be prepared on palletsunder M041 and M045.

f. All pieces must be sorted togetherto the finest extent required under theapplicable sortation standards describedabove.

g. Postmasters may authorizepreparation of small mailings in non-postal containers if they consistprimarily of packages for local ZIPCodes, do not exceed 20 pounds, and donot require postal transportation forprocessing.

[Redesignate 1.2 as 1.3 and add new1.2 to read as follows:]

1.2 Additional Standards forNonletter Sacked Mailing JobsContaining More Than One Mailing

The following standards apply:a. Flats and irregular parcel mailings

prepared in sacks that are part of amailing job that contains a carrier routerate mailing, an automation flat ratemailing, and a Presorted rate mailingmust be prepared under one of thefollowing options: (1) the carrier routemailing must be prepared under E230and M220 and the automation rate andPresorted rate mailings must be

prepared under M910; or (2) all threemailings in the mailing job must beprepared under M920.

b. Flats and irregular parcel mailingsprepared in sacks that are part of amailing job that contain only anautomation flats mailing under E240and a Presorted rate mailing under E220must be presorted under the co-sackingstandards in M910.

c. Sacked mailing jobs that containonly a carrier route mailing and aPresorted rate mailing may be separatelysacked under M210 and M220, or maybe prepared using the merged sackingoption under M920.* * * * *

1.5 Low-Volume Packages and Sacks[Amend redesignated 1.5 to change

internal references and to correct thenames of applicable pallet levels to readas follows:]

As a general exception to 2.2a through2.2c and 4.0a through 4.0d, nonletter-size Periodicals may be prepared in 5-digit and 3-digit packages containingfewer than six pieces when thepublisher determines that suchpreparation improves service, providedthose packages are placed in 5-digit, 3-digit, and SCF sacks. These low-volumepackages may be placed on 5-digitscheme, 5-digit, 3-digit, and SCF palletsunder M045, or on merged 5-digitscheme, 5-digit scheme carrier routes, 5-digit scheme, merged 5-digit, 5-digit, 3-digit, or SCF pallets under M920, M930,and M940.

[Delete 1.6.][Redesignate 1.7 as 1.6 and amend by

deleting ‘‘or pallets’’ from the end of thefirst sentence, by deleting ‘‘sacks or’’from the end of the second sentence, bychanging the section number references,and by adding a new last sentence toread as follows:]

1.6 Merged Palletization of Nonletter-Size Carrier Route, Automation Rate,and Presorted Rate Mail

Under the standards in M920,nonletter-size firm and 5-digit packagesthat are prepared under 1.0 and under2.2a and 2.2b may be co-sacked withnonletter-size firm and carrier routepackages prepared under M220 andwith nonletter-size 5-digit packages atautomation rates prepared under M820in merged 5-digit sacks and in merged5-digit scheme sacks. Under thestandards in M920, M930, or M940,nonletter-size firm and 5-digit packagesthat are prepared under 1.0, 2.2a, and2.2b may be copalletized with nonletter-size firm and carrier route packagesprepared under M220 and withnonletter-size 5-digit packages atautomation rates prepared under M820

on merged 5-digit pallets and on merged5-digit scheme pallets. See 1.2a forinformation on when preparation underM920 may be required.

2.0 PACKAGE PREPARATION

2.1 General

Package preparation is subject toM020 and the specific standards below.

[Delete 2.2 and 2.3; redesignate 2.4 as2.2 and amend to delete information oncarrier route packages to read asfollows:]

2.2 Package Preparation

Package size, preparation sequence,and labeling:

a. Firm: optional (two-pieceminimum); blue Label F or optionalendorsement line (OEL).

b. 5-digit: required (six-pieceminimum, fewer not permitted exceptunder 1.5); red Label D or OEL; labelingoptional for mail placed in full 5-digittrays.

c. 3-digit: required (six-pieceminimum, fewer not permitted exceptunder 1.5); green Label 3 or OEL.

d. ADC: required (six-piece minimum,fewer not permitted); pink Label A orOEL.

e. Mixed ADC: required (nominimum); tan Label MXD or OEL.

[Redesignate 3.0 as 4.0 andredesignate 4.0 as 3.0, amendredesignated 3.0 and 4.0, respectively,by consolidating former subsections intoa single section for trays and a singlesection for sacks to read as follows:]

3.0 TRAY PREPARATION (LETTER-SIZE PIECES)

Tray size, preparation sequence, andlabeling (Line 1 and 2):

a. 5-digit: required at 24 pieces,optional with one six-piece packageminimum.

(1) Line 1: use 5-digit ZIP Codedestination of packages, preceded formilitary mail by the prefixes underM031.

(2) Line 2: ‘‘LTRS 5D NON BC.’’b. 3-digit: required at 24 pieces (no

minimum for required origin/optionalentry 3-digit(s)), optional with one six-piece package minimum.

(1) Line 1: use L002, Column A.(2) Line 2: ‘‘LTRS 3D NON BC.’’c. ADC: required at 24 pieces,

optional with one six-piece packageminimum.

(1) Line 1: use L004.(2)+ Line 2: ‘‘LTRS ADC NON BC.’’d. Mixed ADC: required (no

minimum).(1) Line 1: use ‘‘MXD’’ followed by

the city/state/ZIP of the ADC serving the3-digit ZIP Code of the entry post office,as shown in L004.



(2) Line 2: ‘‘LTRS NON BC WKG.’’

4.0 SACK PREPARATION (FLAT-SIZEPIECES AND IRREGULAR PARCELS)

For mailing jobs that also contain anautomation rate mailing see 1.2 andM910 or M920. For other mailing jobs,the following are the sack size,preparation sequence, and lines 1 and 2labeling:

a. 5-digit: required at 24 pieces,optional with one six-piece packageminimum except under 1.5.


(2) Line 2: ‘‘PER’’ or NEWS,’’ asapplicable, followed by ‘‘FLTS’’ or‘‘IRREG,’’ as applicable, and ‘‘5D NONBC.’’

b. 3-digit: required at 24 pieces,optional with one six-piece packageminimum except under 1.5.

(1) Line 1: use L002, Column A.(2) ‘‘PER’’ or ‘‘NEWS,’’ as applicable,

followed by ‘‘FLTS’’ or ‘‘IRREG,’’ asapplicable, and ‘‘5D NON BC.’’

c. SCF: required at 24 pieces, optionalwith one six-piece package minimumexcept under 1.5.

(1) Line 1: use L002, Column C.(2) Line 2: ‘‘PER’’ or ‘‘NEWS,’’ as

applicable, followed by ‘‘FLTS’’ or‘‘IRREG,’’ as applicable, and ‘‘SCF NONBC.’’

d. Origin/entry SCF: required for theSCF of the origin (verification) office,optional for the SCF of an entry officeother than the origin office, (nominimum); for Line 1 use L002, ColumnC.

(1) Line 1: use L002, Column C.(2) Line 2: ‘‘PER’’ or ‘‘NEWS,’’ as

applicable, followed by ‘‘FLTS’’ or‘‘IRREG,’’ as applicable, and ‘‘SCF NONBC.’’

e. ADC: required at 24 pieces,optional with one six-piece packageminimum.

(1) Line 1: use L004.(2) Line 2: ‘‘PER’’ or ‘‘NEWS,’’ as

applicable, followed by ‘‘FLTS’’ or‘‘IRREG,’’ as applicable, and ‘‘ADC NONBC.’’

f. Mixed ADC: required (nominimum).

(1) Line 1: use ‘‘MXD’’ followed bythe city/state/ZIP of the ADC serving the3-digit ZIP Code of the entry post office,as shown in L004.

(2) Line 2: ‘‘PER’’ or ‘‘NEWS,’’ asapplicable, followed by ‘‘FLTS’’ or‘‘IRREG,’’ as applicable, and ‘‘NON BCWKG.’’* * * * *

[Add new M220 to read as follows:]

M220 Carrier Route Periodicals Mail

Summary. M220 describes the basicstandards for Periodicals carrier routemailings including package and traypreparation for letters, and package andsack preparation for flats and irregularparcels. Additional requirements forpreparing mail on pallets are in M041and M045, or M041 and M920, M930, orM940. For standards on automation ratePeriodicals mailings see E240 and M810(letters) or M820 (flats), as applicable.For standards on Presorted rate mailingssee E220 and M210.

1.0 BASIC STANDARDS

1.1 General Preparation Standards

The following standards must be metfor carrier route mailings:

a. All pieces in each carrier routePeriodicals mailing must be in the sameprocessing category.

b. Letter-size pieces must be packagedunder 2.0 and prepared in trays under3.0. Trays prepared under this sectionmay subsequently be palletized underM041 and M045.

c. Nonletter-size pieces must bepackaged under 2.0. Packages placed onpallets must meet additional packagingstandards under M045.

d. Packages of nonletter-size piecesmust be sacked or palletized as follows:

(1) sacked under 4.0 or, if eligible,under M920; or

(2) palletized under M041 and M045,M920, M930, or M940.

e. Sacks prepared under 4.0 maysubsequently be prepared on palletsunder M041 and M045.

d. All pieces must be sorted togetherto the finest extent required under theapplicable sortation standards describedabove.

e. Postmasters may authorizepreparation of small mailings in non-postal containers if they consistprimarily of packages for local ZIPCodes, do not exceed 20 pounds, and donot require postal transportation forprocessing.

[Copy former M200.1.2 as M210.1.2and add the following as the lastsentence:]

1.2 Documentation

* * * Documentation of sequencingand of density standards under M050must be submitted with each mailing.

[Change the title of redesignated 1.3from ‘‘Basic Carrier Route and WalkSequence’’ to ‘‘Sequencing Standards.’’]

[Copy former M200.1.4 as M220.1.4.]

1.5 Low-Volume Packages and Sacks

As a general exception to 2.4b and4.0b and 4.0c, nonletter-size Periodicalsmay be prepared in carrier route

packages containing fewer than sixpieces when the publisher determinesthat such preparation improves service,provided those packages are placed in 5-digit scheme carrier routes, or 5-digitcarrier routes sacks. Low-volume carrierroute packages prepared under DMMM920 may also be placed in merged 5-digit scheme, 5-digit scheme carrierroutes, merged 5-digit, and 5-digitcarrier routes sacks. These low-volumepackages also may be placed on 5-digitscheme carrier routes, 5-digit scheme, 5-digit carrier routes, 5-digit, 3-digit, andSCF pallets under M045, or on merged5-digit scheme, 5-digit scheme carrierroutes, 5-digit scheme, merged 5-digit,5-digit carrier routes, 5-digit, 3-digit andSCF pallets under M041 and M920,M930, or M940.

[Copy current M200.1.7 as M220.1.6and amend by deleting ‘‘or pallets’’ fromthe end of the first sentence, by addinga new second sentence, by deleting‘‘sacks or’’ from the end of the thirdsentence, and by changing the sectionnumber references, to read as follows:]

1.6 Merged Containerization ofNonletter-Size Carrier Route,Automation Rate, and Presorted RateMail

Under the standards in M920,nonletter-size firm and carrier routepackages that are prepared under 1.0and 2.4 may be co-sacked withnonletter-size 5-digit packages preparedunder M210 and with nonletter-size 5-digit packages at automation ratesprepared under M820 in merged 5-digitsacks and in merged 5-digit schemesacks or pallets. For sacked mailing jobsof nonletters that contain an automationand a Presorted rate mailing as well asa carrier route mailing, preparationunder M920 is required unless mailerselect to prepare the automation andPresorted rate mailings under M910 (seeM210.1.2a) and prepare the carrier routemailing under M220. Under thestandards in M920, M930, or M940,nonletter-size firm and carrier routepackages that are prepared under 1.0and 2.4 may be copalletized withnonletter-size 5-digit packages preparedunder M210 and with nonletter-size 5-digit packages at automation ratesprepared under M820 on merged 5-digitpallets and on merged 5-digit schemepallets.

2.0 PACKAGE PREPARATION

2.1 General

Package preparation is subject toM020 and the specific standards below.



2.2 Optional Higher Package MinimumsA mailer may choose to prepare

carrier route packages at a higher levelof route saturation (for example, only ifthere are at least 15 pieces per route).Under this option, smaller groups of sixor more pieces per carrier route notprepared in carrier route packages forcarrier route rates must be prepared forand paid at another applicable rate.

2.3 Walk-Sequence IdentificationIn addition to the package label

showing carrier route type and numberunder 2.4, each package of Periodicalswalk-sequence mail must show that themail is walk sequenced and the level ofsequencing. A facing slip with thephrase ‘‘HIGH DENSITY WALK-SEQUENCED CARRIER ROUTE MAIL’’or ‘‘SATURATION WALK-SEQUENCEDCARRIER ROUTE MAIL’’ (as applicable)may be placed on the top of eachpackage of walk-sequence mail. It maybe an address label with the requiredinformation placed on a samplemailpiece that is the top piece in thepackage, or a slip of paper affixed to thetop of the package. If packages areprepared without facing slips, anoptional endorsement line or carrierroute information line must be placedon each piece in the package to providethe equivalent information.

2.4 Package PreparationPackage size, preparation sequence,

and labeling:a. Firm: optional (two-piece

minimum); blue Label F or optionalendorsement line (OEL).

b. Carrier route: optional but requiredfor rate eligibility (six-piece minimum,fewer not permitted except under 1.5);labeling required except for packagesplaced in a direct carrier route tray orsack (facing slip, OEL, or CRinformation line).

3.0 TRAY PREPARATION (LETTER–SIZE PIECES)

Tray size, preparation sequence, andLine 1 and 2 labeling:

a. Carrier route: required for rateeligibility at 24 pieces, optional withone six-piece package minimum.


(2) Line 2: ‘‘PER’’ or ‘‘NEWS,’’ asapplicable, followed by ‘‘LTRS,’’followed by ‘‘WSS’’ for saturation ratemail, or ‘‘WSH’’ for high density ratemail, or ‘‘CR’’ for basic rate mail, andfollowed by the route type and number.

b. 5-digit carrier routes: required forrate eligibility if full tray, optional withminimum one six-piece package.


(2) Line 2: ‘‘PER’’ or ‘‘NEWS,’’ asapplicable, followed by ‘‘LTRS CR–RTS.’’

c. 3-digit carrier routes: optional withminimum one six-piece package foreach of two or more 5-digit areas.

(1) Line 1: use the city/state/ZIPshown in L002, Column A thatcorresponds to the 3-digit ZIP Codeprefix of packages.

(2) Line 2: ‘‘PER’’ or ‘‘NEWS,’’ asapplicable, followed by ‘‘LTRS 3D CR–RTS.’’

4.0 SACK PREPARATION (FLAT-SIZEPIECES AND IRREGULAR PARCELS)

Sack size, preparation sequence, andLine 1 and 2 labeling:

a. Carrier route: required for rateeligibility at 24 pieces, fewer pieces notpermitted.


(2) Line 2: ‘‘PER’’ or ‘‘NEWS’’ asapplicable, followed by ‘‘FLTS’’ or‘‘IRREG’’ as applicable, followed by‘‘WSS’’ for saturation rate mail, or‘‘WSH’’ for high density rate mail, or‘‘CR’’ for basic rate mail, and followedby the route type and number.

b. 5-digit scheme carrier routes:required for rate eligibility (nominimum).

(1) Line 1: use L001, Column B.(2) Line 2: ‘‘PER’’ or ‘‘NEWS’’ as

applicable, followed by ‘‘FLTS’’ or‘‘IRREG’’ as applicable, followed by‘‘CR–RTS SCH.’’

c. 5-digit carrier routes: required forrate eligibility (no minimum).


(2) Line 2: ‘‘PER’’ or ‘‘NEWS’’ asapplicable, followed by ‘‘FLTS’’ or‘‘IRREG’’ as applicable, followed by‘‘CR–RTS.’’

[Copy current M200.5.0 and add asM220.5.0.]

[Copy current M200.6.0 and add asM220.6.0.]* * * * *

M800 All Automation Mail

M820 Flat-Size Mail

1.0 Basic Standards

* * * * *

1.8 Exception—Periodicals Preparation[Amend 1.8 by replacing the last

sentence with the following:]

These low-volume packages may beplaced on 5-digit scheme carrier routes,5-digit scheme, 5-digit carrier routes, 5-digit, 3-digit, and SCF pallets underM041 and M045, or on merged 5-digitscheme, 5-digit scheme carrier routes, 5-digit scheme, merged 5-digit, 5-digitcarrier routes, 5-digit, 3-digit, and SCFpallets under M041 and either M920,M930, or M940.

1.9 Co-Traying, Co-Sacking, orCopalletizing with Presorted Rate Mail

Packages of First-Class and StandardMail (A) prepared under 1.0 and either2.1 or 4.1, as applicable, may be co-trayed or co-sacked with Presorted ratemail that is part of the same mailing joband mail class at all levels of tray orsack under the provisions of M910. Forsacked mailings of Periodicalsnonletters, packages of Periodicalsautomation flats mail prepared under1.0 and 3.1 that are part of the samemailing job as a Presorted rate mailingof nonletters must be co-sacked underM910, unless the mailing job alsocontains a carrier route mailing and iseligible for and prepared under M920.See M210.* * * * *

3.0 Periodicals

* * * * *

3.2 Sack Preparation

[Revise the first sentence of 3.2 toread as follows:]

For mailing jobs that also contain aPresorted rate mailing see 1.9 and M910.For other mailing jobs, the following arethe sack size, preparation sequence andline 1 labeling: * * ** * * * *

An appropriate amendment to 39 CFRto reflect these changes will bepublished if the proposal is adopted.

Stanley F. Mires,Chief Counsel, Legislative.[FR Doc. 00–27706 Filed 10–27–00; 8:45 am]BILLING CODE 7710–12–U



[FRL–6892–1]

RIN 2060–AJ03

Amendments to Vehicle InspectionMaintenance Program RequirementsIncorporating the Onboard DiagnosticCheck; Reopening of Comment Period

AGENCY: Environmental ProtectionAgency.



ACTION: Reopening of comment period.

SUMMARY: This document reopens thepublic comment period for above-named notice of proposed rulemaking,published Wednesday, September 20,2000, at 65 FR 56844–56856. Thedeadline for public comments is beingreopened from the original deadline forpublic comments of October 20, 2000, toNovember 13, 2000. This reopening is inresponse to a request received prior tothe close of the original commentperiod.

DATES: Written comments must bereceived no later than November 13,2000.

ADDRESSES: Interested parties maysubmit written comments (in duplicateif possible) to Public Docket No. A–2000–16. It is requested that a duplicatecopy be submitted to David Sosnowskiat the address in the FOR FURTHERINFORMATION CONTACT section below.The docket is located at the Air Docket,Room M–1500 (6102), Waterside MallS.W., Washington, DC 20460. Thedocket may be inspected between 8:30a.m. and 12 noon and between 1:30 p.m.until 3:30 p.m. on weekdays. Areasonable fee may be charged forcopying docket material.

FOR FURTHER INFORMATION CONTACT:David Sosnowski, Office of MobileSources, Regional and State ProgramsDivision, 2000 Traverwood, Ann Arbor,Michigan, 48105. Telephone (734) 214–4823.

List of Subjects

40 CFR Part 51

Environmental protection,Administrative practice and procedure,Air pollution control, Carbon monoxide,Intergovernmental relations, Lead,Nitrogen dioxide, Ozone, Particulatematter, Reporting and recordkeepingrequirements, Sulfur oxides, Volatileorganic compounds.

40 CFR Part 85

Environmental protection,Confidential business information,Imports, Labeling, Motor vehiclepollution, Reporting and recordkeepingrequirements, Research, Warranties.


Robert D. Brenner,Acting Assistant Administrator for Air andRadiation.[FR Doc. 00–27404 Filed 10–27–00; 8:45 am]



Fish and Wildlife Service

50 CFR Part 17

RIN 1018–AG09

Endangered and Threatened Wildlifeand Plants; Reopening of CommentPeriod on the Proposed EndangeredStatus for Three Plants From theMariana Islands and Guam

AGENCY: Fish and Wildlife Service,Interior.ACTION: Proposed rule; reopening ofcomment period and notice of publichearing.

SUMMARY: The U.S. Fish and WildlifeService (Service) gives notice of a publichearing on the proposed endangeredstatus for three plants, Nesogenesrotensis, Osmoxylon marianense, andTabernaemontana rotensis from theMariana Islands and Guam. In addition,the comment period which originallyclosed on July 17, 2000, will bereopened. The new comment period andhearing will allow all interested partiesto submit oral or written comments onthe proposal. We are seeking commentsor suggestions from the public, otherconcerned governmental agencies, thescientific community, industry, or anyother interested parties concerning theproposed rule. Comments alreadysubmitted on the proposed rule neednot be resubmitted as they will be fullyconsidered in the final determination.DATES: The comment period for thisproposal now closes on November 29,2000. Any comments received by theclosing date will be considered in thefinal decision on this proposal. Thepublic hearing will be held from 6 p.m.to 8 p.m. on Thursday, November 16,2000, on the island of Rota (Luta),Commonwealth of the Northern MarianaIslands. Prior to the public hearing, theService will be available from 5 to 6p.m. to provide information and toanswer questions.ADDRESSES: The public hearing will beheld at the Rota Resort and CountryClub, Rota, CNMI. Comments andmaterials concerning this proposalshould be sent to the Field Supervisor,U.S. Fish and Wildlife Service, PacificIslands Ecoregion Office, 300 Ala MoanaBoulevard, room 3–122, P.O. Box 50088,Honolulu, Hawaii 96850. Commentsand materials received will be availablefor public inspection, by appointment,during normal business hours at theabove address.FOR FURTHER INFORMATION CONTACT: PaulHenson, at the above address, phone808–541–3441, facsimile 808–541–3470.


Background

On June 1, 2000, the Servicepublished a proposed rule to list threeplants from the Mariana Islands andGuam as endangered species, pursuantto the Endangered Species Act of 1973,as amended (Act) in the FederalRegister (65 FR 35025). The originalcomment period closed on July 17,2000. The comment period now closeson November 29, 2000. Writtencomments should be submitted to theService (see ADDRESSES section).

Nesogenes rotensis and Osmoxylonmarianense are found only on the islandof Rota, Commonwealth of the NorthernMariana Islands (CNMI).Tabernaemontana rotensis occurs onboth Rota and the United StatesTerritory of Guam. The three plantspecies and their habitats have beenaffected or are now threatened by fire,development/road work, typhoons/storms, nonnative plants, andcollecting/trampling by humans. Thisproposal, if made final, wouldimplement the Federal protection andrecovery provisions of the Act.

Section 4(b)(5)(E) of the Act (16 U.S.C.1531 et seq.), requires that a publichearing be held if it is requested within45 days of the publication of a proposedrule. In response to a request from agovernment agency of the CNMI, theService will hold a public hearing onthe date and at the address described inthe DATES and ADDRESSES sectionsabove.

Anyone wishing to make an oralstatement for the record is encouragedto provide a written copy of theirstatement and present it to the Serviceat the hearing. In the event there is alarge attendance, the time allotted fororal statements may be limited. Oral andwritten statements receive equalconsideration. There are no limits to thelength of written comments presented atthe hearing or mailed to the Service.Legal notices announcing the date, time,and location of the hearing will bepublished in newspapers concurrentlywith the Federal Register notice.

Comments from the public regardingthe accuracy of this proposed rule aresought, especially regarding:

(1) Biological, commercial trade, orother relevant data concerning anythreat (or lack thereof) to these species;

(2) The location of any additionalpopulations of these species and reasonswhy any habitat should or should not bedesignated as critical habitat;

(3) Additional information on therange, distribution, and population sizeof these species; and



(4) Current or planned activities in thesubject area and their possible impactson these species.

Reopening of the comment periodwill enable the Service to respond to therequest for a public hearing on theproposed action. The comment periodon this proposal now closes onNovember 29, 2000. Written commentsshould be submitted to the Serviceoffice listed in the ADDRESSES section.

Author:

The primary authors of this noticeBenton Pang and Christa Russell (seeADDRESSES section).

Authority: The authority for this action isthe Endangered Species Act of 1973 (16U.S.C. 1531 et seq.).

Dated: September 22, 2000.Rowan W. Gould,Acting Regional Director, Region 1, Fish andWildlife Service.[FR Doc. 00–25907 Filed 10–27–00; 8:45 am]BILLING CODE 4310–55–P


Fish and Wildlife Service

50 CFR Part 20

RIN: 1018–AH64

Migratory Bird Hunting; Approval ofTungsten-Nickel-Iron Shot as Nontoxicfor Hunting Waterfowl and Coots

AGENCY: Fish and Wildlife Service,Interior.ACTION: Proposed rule.

SUMMARY: We propose to approve shotformulated of tungsten, nickel, and ironas nontoxic for hunting waterfowl andcoots. We assessed possible effects ofthe tungsten-nickel-iron (t-n-i) shot, andhave made a preliminary determinationthat it is not a significant threat towildlife or their habitats and that furthertesting of t-n-i shot is not necessary. Inaddition, approval of t-n-i shot mayinduce more waterfowl hunters toswitch away from lead shot, reducinglead risks to species and habitats.DATES: Comments on the proposed rulemust be received no later thanNovember 29, 2000.ADDRESSES: You may send commentsabout this proposal to the Chief,Division of Migratory Bird Management,U.S. Fish and Wildlife Service, 4401North Fairfax Drive, Room 634,Arlington, Virginia 22203–1610. Youmay inspect comments during normalbusiness hours at the same address.FOR FURTHER INFORMATION CONTACT: JonAndrew, Chief, or Dr. George T. Allen,

Division of Migratory Bird Management,703–358–1714.

SUPPLEMENTARY INFORMATION: TheMigratory Bird Treaty Act of 1918 (Act)(16 U.S.C. 703–712 and 16 U.S.C. 742 a–j) implements migratory bird treatiesbetween the United States and GreatBritain for Canada (1916 and 1996 asamended), Mexico (1936 and 1972 asamended), Japan (1972 and 1974 asamended), and Russia (then the SovietUnion, 1978). These treaties protectcertain migratory birds from take, exceptas permitted under the Act. The Actauthorizes the Secretary of the Interiorto regulate take of migratory birds in theUnited States. Under this authority, theFish and Wildlife Service controls thehunting of migratory game birds throughregulations in 50 CFR part 20.

Since the mid-1970s, we have soughtto identify shot that does not pose asignificant toxicity hazard to migratorybirds or other wildlife. Compliance withthe use of nontoxic shot has increasedover the last few years (Anderson et al.2000). We believe that it will continueto increase with the approval andavailability of other nontoxic shot types.Currently, steel, bismuth-tin, tungsten-iron, tungsten-polymer, and tungsten-matrix shot are approved as nontoxic.On September 25, 2000 (65 FR 57586–57588), we published a proposed rule togrant temporary approval to tin shot.The purpose of this proposed rule is toapprove the use of t-n-i shot in thetested formulation (50% tungsten, 35%nickel, and 15% iron by weight) forwaterfowl and coot hunting. Wepropose to amend 50 CFR 20.21 (j),which describes prohibited types of shotfor waterfowl and coot hunting.

On April 9, 1999 (64 FR 17308–17309), we announced receipt of anapplication from Standard ResourcesCorporation (Standard) of Cherry Hill,New Jersey for nontoxic approval ofHEVI–METAL shot in the 50% tungsten,35% nickel, 15% iron formulation. Thedensity of the shot in that formulationis 11.0 grams/cm3. The manufacturerbelieves that the shot does not need acoating because it is sufficientlynoncorrosive under neutral pH. It is notchemically or physically altered byfiring from a shotgun.

On April 19, 1999 (64 FR 19191), weannounced that Standard’s applicationdid not provide sufficient informationfor us to conclude that the candidateshot is not a significant danger tomigratory birds. We advised Standard toproceed with additional testing of thecandidate shot. Subsequently,development of HEVI–METAL wastransferred to ENVIRON-Metal, Inc., of

Albany, Oregon (Environ-metal), andthe shot was re-named HEVI–SHOTTM.

On August 10, 2000, Environ-metalsubmitted an application for permanentapproval of the t-n-i shot as nontoxic forhunting waterfowl and coots. Theapplication included a description ofthe shot, results and a toxicologicalreport of a preliminary 30-day dosingstudy of the toxicity of the shot in game-farm mallards (Ecological Planning andToxicology, Inc. [EPT] 1999), and resultsof a more comprehensive 30-day acutetoxicity study (Brewer and Fairbrother2000).

Toxicity Information. Tungsten maybe substituted for molybdenum inenzymes in mammals. Ingested tungstensalts reduce growth, and can causediarrhea, coma, and death in mammals(e.g. Bursian et al. 1996, Cohen et al.1973, Karantassis 1924, Kinard and Vande Erve 1941, National ResearchCouncil 1980, Pham-Huu-Chanh 1965),but elemental tungsten is virtuallyinsoluble and therefore essentiallynontoxic. In rats, a dietary concentrationof 94 parts-per-million (ppm) did notreduce weight gain in growing rats (Weiet al. 1987). Lifetime exposure to 5 ppmtungsten as sodium tungstate indrinking water produced no discernibleadverse effects in rats (Schroeder andMitchener 1975). At 100 ppm tungstenas sodium tungstate in drinking water,rats had decreased enzyme activity after21 days (Cohen et al. 1973). Thesestudies indicate that tungsten salts arevery toxic to mammals.

Chickens given a complete dietshowed no adverse effects of 250 ppmsodium tungstate administered for 10days in the diet. However, 500 ppm inthe diet had detrimental effects on day-old chicks (Teekell and Watts 1959).Adult hens had reduced egg productionand egg weight on a diet containing1,000 ppm tungsten (Nell et al. 1981a).EPT (1999) concluded that 250 ppm inthe diet would produce no observableadverse effects. Kelly et al. (1998)demonstrated no adverse effects onmallards dosed with tungsten-iron ortungsten-polymer shot according tonontoxic shot test protocols.

Most toxicity tests reviewed werebased on soluble tungsten compoundsrather than elemental tungsten. As wefound in our reviews of other tungstenshot types, we believe that there is nobasis for concern about the toxicity ofthe tungsten in t-n-i shot to fish,mammals, or birds.

Nickel is a dietary requirement ofmammals, with necessary consumptionset at 50 to 80 parts per billion for therat and chick (Nielsen and Sandstead1974). Though it is necessary for someenzymes, nickel can compete with



calcium, magnesium, and zinc forbinding sites on many enzymes. Water-soluble nickel salts are poorly absorbedif ingested by rats (Nieboer et al. 1988).Nickel carbonate caused no treatmenteffects in rats fed 1,000 ppm for 3 to 4months (Phatak and Patwardhan 1952).Rats fed 1,000 ppm nickel sulfate for 2years showed reduced body and liverweights, an increase in the number ofstillborn pups, and decrease in weanlingweights through three generations(Ambrose et al. 1976). Nickel chloridewas even more toxic; 1,000 ppm fed toyoung rats caused weight loss in 13 days(Schnegg and Kirchgessner 1976).

Soluble nickel salts can be classifiedas very toxic to mammals, with an oralLD50 of 136 mg/kg in mice, and 350 mg/kg in rats (Fairchild et al. 1977). Nickelcatalyst (finely divided nickel invegetable oil) fed to young rats at 250ppm for 16 months, however, producedno detrimental effects (Phatak andPatwardhan 1952).

In chicks from hatching to 4 weeks ofage, 300 ppm nickel as nickel carbonateor nickel acetate in the diet produced noobserved adverse effects. However,concentrations of 500 ppm or morereduced growth (Weber and Reid 1968).A diet containing 200 ppm nickel asnickel sulfate had no observed effects onmallard ducklings from 1 to 90 days ofage. Diets of 800 ppm or more causedsignificant changes in physicalcondition of the ducklings (Cain andPafford 1981). Eastin and O’Shea (1981)observed no apparent significantchanges in pairs of breeding mallardsfed diets containing up to 800 ppmnickel as nickel sulfate for 90 days.

Iron is an essential nutrient, soreported iron toxicosis in mammals isprimarily a phenomenon of overdosingof livestock. Maximum recommendeddietary levels of iron range from 500ppm for sheep to 3,000 ppm for pigs(National Research Council [NRC]1980). Chickens require at least 55 ppmiron in the diet (Morck and Austic1981). Chickens fed 1,600 ppm iron inan adequate diet displayed no ill effects(McGhee et al. 1965). Turkey poults fed440 ppm in the diet suffered no adverseeffects. The tests in which eight #4tungsten-iron shot were administered toeach mallard in a toxicity studyindicated that the 45% iron content ofthe shot had no adverse effects on thetest animals (Kelly et al. 1998).

Environmental Fate: Elementaltungsten and iron are virtually insolublein water and do not weather anddegrade in the environment. Tungsten isstable in acids and does not easily formcompounds with other substances.Preferential uptake by plants in acidicsoil suggests uptake of tungsten when it

has formed compounds with othersubstances rather than when it is in itselemental form (Kabata-Pendias andPendias 1984).

Nickel is common in fresh waters,though usually at concentrations of lessthan 1 part per billion in locationsunaffected by human activities. Purenickel is not soluble in water. Freenickel may be part of chemicalreactions, such as sorption,precipitation, and complexation.Reactions of nickel with anions areunlikely. Complexation with organicagents is poorly understood (U.S.Environmental Protection Agency [EPA]1980). Water hardness is the dominantfactor governing nickel effects on biota(Stokes 1988).

Environmental Concentrations:Calculation of the estimatedenvironmental concentration (EEC) of acandidate shot in a terrestrial ecosystemis based on 69,000 shot per hectare(Bellrose 1959, 50 CFR 20.134).Assuming complete dissolution of theshot, the EEC for tungsten in soil is 19.3mg/kg. The EECs for nickel and ironwould be 7.7 and 3.3 mg/kg,respectively. The EEC for nickel (theonly one of the three elements with anapplication limit) is substantially belowthe U.S. Environmental ProtectionAgency (EPA) biosolid application limit.The 3.3 mg/kg EEC for nickel also is farbelow the 16 to 35 mg/kg concentrationssuggested as minimum sedimentconcentrations at which effects of themetal are likely to occur (EPA 1997,Ingersoll et al. 1996, Long and Morgan1991; MacDonald et al. 2000, Smith etal. 1996). The EEC for tungsten from t-n-i shot is below that for the already-approved tungsten-matrix shot. The EECfor iron is less than 0.01% of the typicalbackground concentration, and the ironis in an insoluble form.

Calculation of the EEC in an aquaticecosystem assumes complete erosion ofthe 69,000 shot/hectare in water 1 footdeep. The EECs for the elements in t-n-i shot in water are 2,348 µg/L fortungsten, 1,643 µg/L for nickel, and 704µg/L for iron. We concluded that atungsten concentration of 10,500 µg/Lposed no threat to aquatic biota (62 FR4877–4879). The EEC for nickel, if theshot were completely dissolved, wouldexceed the EPA acute water qualitycriterion of 1,400 µg/L in fresh water,and would greatly exceed the 75 µg/Lcriterion for salt water. However, testsshowed that corrosion of t-n-i shot isnegligible in neutral pH fresh water.Actual tests in water with a pH of 2showed that the EEC for nickel wouldbe 83.98 µg/L, and in salt water it wouldbe 7.92 µg/L; both are far below the EPA

criterion of 160 µg/L for chronicexposure.

Effects on Birds. Kraabel et al. (1996)surgically embedded tungsten-bismuth-tin (t-b-t) shot in the pectoralis musclesof ducks to simulate wounding bygunfire and to test for toxic effects of theshot. The authors found that t-b-t shotneither produced toxic effects norinduced adverse systemic effects in theducks during the 8-week period of theirstudy.

Nell et al. (1981a) fed laying hens(Gallus domesticus) 0.4 or 1.0 g/kgtungsten in a commercial mash for fivemonths to assess reproductiveperformance. Weekly egg productionwas normal, and hatchability of fertileeggs was not affected. Exposure ofchickens to large doses of tungsteneither through injection or by feedingresulted in an increased tissueconcentration of tungsten and adecreased concentration ofmolybdenum (Nell et al. 1981b). Theloss of tungsten from the liver occurredin an exponential manner, with a half-life of 27 hours. The alterations inmolybdenum metabolism seemed to beassociated with tungsten intake ratherthan molybdenum deficiency. Deathdue to tungsten occurred when tissueconcentrations increased to 25 ppm inthe liver. At that concentration,xanthine dehydrogenase activity waszero.

Toxicity Studies. Ringelman et al.(1993) conducted a 32-day acute toxicitystudy that involved dosing game-farmmallards with a shot alloy which was39%, 44.5%, and 16.5% by weight,respectively. No dosed birds diedduring the trial, and behavior wasnormal. Post-euthanization examinationof tissues revealed no toxicity or damagerelated to shot exposure. Blood calciumdifferences between dosed and undosedbirds were judged to be unrelated toshot exposure. That study indicated thattungsten presented little hazard towaterfowl.

Initial analyses of corrosion of t-n-imetal in 0.1N HCl and in seawaterindicated that t-n-i shot is morecorrosion resistant than copper-platedtungsten-iron shot and steel shot, andthat it will release tungsten into theenvironment more slowly than doestungsten-iron shot. In addition, only aportion of the tungsten is soluble, andnot all of that is absorbed. Therefore,EPT (1999) suggested that ingested t-n-i shot should pose minimal risks tomigratory birds that might ingest it.

EPT conducted a preliminary 30-dayoral toxicity study of t-n-i shot thatfollowed the general approach outlinedfor a short-term acute toxicity test (50CFR 20.134). Eight #4 t-n-i shot pellets



were administered to each of threehealthy adult male and three healthyadult female mallards by placing themin a gelatin capsule and placing thecapsule in the bird’s gizzard. All of thebirds retained seven or eight of thepellets for the 30-day test period. Duringthat time the birds behaved normally,and none of them exhibited signs ofmetal intoxication. Body weights of thebirds did not change significantlyduring the test period.

Upon postmortem examination, allbody organs looked normal.Histopathology showed that one of thefemales had a fatty liver, and also hadelevated liver enzymes. Liverabnormalities due to fatty changes(accumulation of glycogen or fat) wereconsidered the likely cause of theproblem.

Brewer and Fairbrother (2000)reported on the outcome of moreextensive corrosion/erosion testing of t-n-i shot, and steel and lead shot. Eight#4 t-n-i shot pellets were administeredto each of 20 male mallards and 20female mallards by placing the shot ina gelatin capsule and placing thecapsule in the bird’s gizzard. The sameprocedure was followed for dosing 20male mallards and 20 female mallardswith 8 #4 steel shot, and for dosing 5males and 5 females with 8 #4 lead shot.The birds had been fasting prior toplacement of the gelatin capsules tofacilitate movement of the capsule to thegizzard. During the 30-day test period,the researchers monitored loss of shotthrough the digestive system, and theydetermined retention of shot in thegizzard upon necropsy. They alsocarefully monitored food consumptionof the test birds and their health.

No mortality occurred in birds treatedwith t-n-i shot or steel shot. Nine of theten birds dosed with lead died duringthe test period. Therefore, mostmeasures of health and measures of shoterosion were not valid for the lead-dosed group. No significant differencesin body weight changes emergedbetween the steel shot group and the t-n-i shot group during the test period.

The evaluation focused on corrosion/erosion of the steel shot and the t-n-ishot, and associated changes in organsand blood chemistry. A total of 134 ofthe t-n-i shot pellets and 138 of the steelshot were recovered from the gizzards ofthe test birds after 30 days. T-n-i shotpellets recovered from gizzards at theend of the test retained an average of88.6% of their initial weight; steelpellets retained an average of 49.7% oftheir weight.

Histopathological examination ofkidney tissues from the 41 ducks aliveat the end of the test period revealed no

significant lesions. Livers also appearedto have been unaffected by steel pelletsor t-n-i shot. Hemoglobin, white bloodcell counts, hematocrits, and bloodserum chemistry results did not differbetween the steel shot test group andthe t-n-i shot test group, with theexception that the mean for plasmaprotein was significantly higher in the t-n-i shot-treated ducks.

Analytical chemistry of liver, kidney,and blood samples showed somedifferences between the steel shot and t-n-i shot test groups. Mean tungstenconcentrations in blood, liver, andkidney tissues were 0.24 ppm in theblood, 0.64 ppm in kidney tissue, and1.65 ppm in liver tissue. No tungstenwas detected in tissues of mallardsdosed with steel shot. Mean nickelconcentrations in blood (0.03 ppm),liver (0.09 ppm), and kidney (0.44 ppm)tissues were significantly higher inducks dosed with t-n-i shot than inthose dosed with steel shot. Mean nickelconcentrations in blood, liver, andkidney tissues of mallards treated with800 ppm in the diet for 90 days were0.139, 0.52, and 1.94 ppm, respectively(Eastin and O’Shea 1991). Those duckssuffered no apparent ill effects fromtheir treatment. Mean ironconcentrations in the blood and liverwere higher for the ducks dosed withsteel shot, but kidney concentrationsdid not differ.

EPT (1999) calculated that themallards studied by Eastin and O’Shea(1981) consumed approximately 102 mgof nickel each day during the study.Under the Tier 2 protocol, each testmallard is dosed with 8 #4 shot at 0, 30,60, and 90 days, which in the case of t-n-i shot would contain a total of 32 shot,and 2.3 g of nickel per bird. At pH 2,with continual grinding of ingestedshot, eight #4 pellets would lose 0.176mg of nickel per day. The maximumexposure for a mallard under suchconditions would be 0.704 mg/day,substantially less than the estimatedconsumption by mallards in the Eastinand O’Shea study (EPT 1999). Webelieve, therefore, that consumption ofnickel from t-n-i shot is unlikely to havedetrimental effects on waterfowl.

Ingestion by Fish, Amphibians,Reptiles, or Mammals. Based on theavailable information and past reviewsof tungsten-based shot, we expect nodetrimental effects due to tungsten oriron on animals that might ingest t-n-ishot. However, we know of no studiesof ingestion of nickel by herpetofauna.In the worst case, assuming completeerosion of a #4 t-n-i shot pellet equal tothat found in a mallard gizzard,exposure to a vertebrate would beapproximately 0.022 mg of nickel per

day if the shot were retained in theanimal. The exposure actually would besubstantially less because a shot pelletlikely would not be retained in mostanimals that might consume one.

Nontoxic Shot Approval

The first condition for nontoxic shotapproval is toxicity testing. Based on theresults of the toxicological reports andthe toxicity tests, we preliminarilyconclude that t-n-i shot does not pose asignificant danger to migratory birds,other wildlife, or their habitats.

The second condition for approval istesting for residual lead levels. Any shotwith a lead level of 1% or more will beillegal. We determined that themaximum environmentally acceptablelevel of lead in shot is 1%, andincorporated this requirement in thenontoxic shot approval process wepublished in December 1997 (62 FR63608–63615). ENVIRON-Metal, Inc.has documented that t-n-i shot meetsthis requirement.

The third condition for approvalinvolves enforcement. In 1995 (60 FR43314), we stated that approval of anynontoxic shot would be contingent uponthe development and availability of anoninvasive field testing device. Thisrequirement was incorporated in thenontoxic shot approval process. T-n-ishotshells can be drawn to a magnet asa simple field detection method.

For these reasons, and in accordancewith 50 CFR 20.134, we intend toapprove t-n-i shot as nontoxic formigratory bird hunting, and propose toamend 50 CFR 20.21(j) accordingly. It isbased on the toxicological reports, acutetoxicity studies, and assessment of theenvironmental effects of the shot. Thoseresults indicate no deleterious effects oft-n-i shot to ecosystems or wheningested by waterfowl. Because thetesting of t-n-i shot and earlier testing ofshot types containing tungsten and ironindicated no environmental problems,we do not believe Tier 3 testing of t-n-i shot is necessary.

Public Comments Solicited

Our past experience with nontoxicshot approvals has been that 30 days issufficient time for those interested inthese actions to comment. Also,tungsten and iron already have beenreviewed extensively for use in nontoxicshot. Therefore, we will acceptcomments on this proposal for a 30-dayperiod.

References

Anderson, W. L., S. P. Havera, and B. W.Zercher. 2000. Ingestion of lead andnontoxic shotgun pellets by ducks in the



Mississippi flyway. Journal of WildlifeManagement 64:848–857.

Ambrose, P., P. S. Larson, J. F. Borzelleca,and G. R. Hennigar, Jr. 1976. Long termtoxicologic assessment of nickel in rats anddogs. Journal of Food Science andTechnology 13:181–187.

Bellrose, F. C. 1959. Lead poisoning as amortality factor in waterfowl populations.Illinois Natural History Survey Bulletin27(3): 235–288.

Brewer, L. and A. Fairbrother. 2000.Corrosion/erosion of Hevi-shot nontoxicshot in mallard duck gizzards. EBA, Inc.,Snow Camp, North Carolina. 152 pages.

Bursian, S. J., M. E. Kelly, R. J. Aulerich, D.C. Powell, and S. Fitzgerald. 1996. Thirty-day dosing test to assess the toxicity oftungsten-polymer shot in game-farmmallards. Report to Federal CartridgeCompany. 71 pages.

Cain, B. W. and E. A. Pafford. 1981. Effectsof dietary nickel on survival and growth ofmallard ducklings. Archives ofEnvironmental Contamination andToxicology 10:737–745.

Cohen, H. J., R. T. Drew, J. L. Johnson, andK. V. Rajagopalan. 1973. Molecular basis ofthe biological function of molybdenum: therelationship between sulfite oxidase andthe acute toxicity of bisulfate and SO2.Proceedings of the National Academy ofSciences 70:3655–3659.

Eastin, W. C., Jr. and T. J. O’Shea. 1981.Effects of dietary nickel on mallards.Journal of Toxicology and EnvironmentalHealth 7:883–892.

Ecological Planning and Toxicology, Inc.1999. Application for approval of t-n-imetalTM nontoxic shot: Tier 1 report.Cherry Hill, New Jersey. 28 pages plusappendixes.

Fairchild, E. J., R. J. Lewis, and R. L. Tatken(editors). 1977. Registry of toxic effects ofchemical substances, Volume II. Pages590–592. U.S. Department of Health,Education, and Welfare Publication(NIOSH) 78–104B. 227 pages.

Ingersoll, C. G., P. S. Haverland, E. L.Brunson, T.J. Canfield, F. J. Dwyer, C. E.Henke, N. E. Kemble, and D. R. Mount.1996. Calculation and evaluation ofsediment effect concentrations for theamphipod Hyalella azteca and the midgeChironomus riparius. EPA 905–R96–008,Great Lakes National Program Office,Region V, Chicago, Illinois. Mixedpagination.

Kabata-Pendias, A. and H. Pendias. 1984.Trace elements in soils and plants. CRCPress, Inc. Boca Raton, FL. 315 pages.

Karantassis, T. 1924. On the toxicity ofcompounds of tungsten and molybdenum.Annals of Medicine 28:1541–1543.

Kelly, M. E., S. D. Fitzgerald, R. J. Aulerich,R. J. Balander, D. C. Powell, R. L. Stickle.W. Stevens, C. Cray, R. J. Tempelman, andS. J. Bursian. 1998. Acute effects of lead,steel, tungsten-iron and tungsten-polymershot administered to game-farm mallards.Journal of Wildlife Diseases 34:673–687.

Kinard, F. W. and J. Van de Erve. 1941. Thetoxicity of orally-ingested tungstencompounds in the rat. Journal ofPharmacology and ExperimentalTherapeutics 72:196–201.

Kraabel, F. W., M. W. Miller, D. M. Getzy,and J. K. Ringelman. 1996. Effects ofembedded tungsten-bismuth-tin shot andsteel shot on mallards. Journal of WildlifeDiseases 38:1–8.

Long, E. R. and L. G. Morgan. 1991. Thepotential for biological effects of sediment-sorbed contaminants tested in the NationalStatus and Trends Program. NOAATechnical Memorandum NOS OMA 52,National Oceanic and AtmosphericAdministration, Seattle, Washington. 175pages + appendices.

MacDonald, D. D., C. G. Ingersoll, and T. A.Berger. 2000. Development and evaluationof consensus-based sediment qualityguidelines for freshwater ecosystems.Archives of Environmental Contaminationand Toxicology 39:20–31.

McGhee, F., C. R. Creger, and J. R. Couch.1965. Copper and iron toxicity. PoultryScience 44:310–312.

Morck, T. A. and R. E. Austic. 1981. Ironrequirements of white leghorn hens.Poultry Science 60:1497–1503.

National Research Council. 1980. Mineraltolerance of domestic animals. NationalResearch Council, National Academy ofSciences, Washington, D.C. 577 pages.

Nell, J. A., W. L. Bryden, G. S. Heard, andD. Balnave. 1981a. Reproductiveperformance of laying hens fed tungsten.Poultry Science 60:257–258.

Nell, J. A., E. F. Annison, and D. Balnave.1981. The influence of tungsten on themolybdenum status of poultry. BritishPoultry Science 21:193–202.

Nieboer, E., R. T. Tom, and W. E. Sanford.1988. Nickel metabolism in man andanimals. Pages 91–122 in Metal ions inbiological systems, volume 23: nickel andits role in biology. H. Sigel and A. Sigel,editors. Marcel Dekker, New York.

Nielsen, F. H. and H. H. Sandstead. 1974. Arenickel, vanadium, silicon, fluoride, and tinessential for man? American Journal ofClinical Nutrition 27:515–520.

Pham-Huu-Chanh. 1965. The comparativetoxicity of sodium chromate, molybdate,tungstate, and metavanadate. ArchivesInternationales de Pharmacodynamie et deTherapie 154:243–249.

Phatak, S. S. and V. N. Patwardhan. 1950.Toxicity of nickel. Journal of Science andIndustrial Research 9B:70–76.

Ringelman, J. K., M. W. Miller, and W. F.Andelt. 1993. Effects of ingested tungsten-bismuth-tin shot on captive mallards.Journal of Wildlife Management 57:725–732.

Schnegg, S. and M. Kirchgessner. 1976.[Toxicity of dietary nickel]. Landwirtsch.Forsch. 29:177. Cited in ChemicalAbstracts 86:101655y (1977).

Schroeder, H. A. and M. Mitchener. 1975.Life-term studies in rats: effects ofaluminum, barium, beryllium, andtungsten. Journal of Nutrition 105:421.

Smith, S. L., D. D. MacDonald, K. A.Keenleyside, C. G. Ingersoll, and J. Field.1996. A preliminary evaluation ofsediment quality assessment values forfreshwater ecosystems. Journal of GreatLakes Research 22:624–638.

Stokes, P. 1988. Nickel in aquatic systems.Pages 31–46 in Metal ions in biological

systems, volume 23: nickel and its role inbiology. H. Sigel and A. Sigel, editors.Marcel Dekker, New York.

Teekel, R. A. and A. B. Watts. 1959. Tungstensupplementation of breeder hens. PoultryScience 38:791–794.

U.S. Environmental Protection Agency. 1980.Ambient water quality criteria for nickel.U.S. Environmental Protection Agency,Washington, D.C. 207 pages.

U.S. Environmental Protection Agency. 1997.The incidence and severity of sedimentcontamination in surface waters of theUnited States: National sediment qualitysurvey, Volume 1. EPA 823–R–97–006.Office of Science and Technology,Washington, D.C. 182 pages plusappendices.

U.S. Fish and Wildlife Service. 1986a.Environmental Assessment: copper/nickelplating on nontoxic shot. U.S. Fish andWildlife Service, Washington, D.C. 3 pages.

U.S. Fish and Wildlife Service. 1986b.Finding of no significant impact: copper/nickel plating on nontoxic shot. U.S. Fishand Wildlife Service, Washington, D.C. 1page.

Weber, C. W. and B. L. Reid. 1968. Nickeltoxicity in growing chicks. Journal ofNutrition 95:612–616.

Wei, H. J., X-M. Luo, and X-P. Yand. 1987.Effects of molybdenum and tungsten onmammary carcinogenesis in Sprague-Dawley (SD) rats. Chung Hua Chung LiuTsa Chih 9:204–7. English abstract.

NEPA Consideration

In compliance with the requirementsof section 102(2)(C) of the NationalEnvironmental Policy Act of 1969 (42U.S.C. 4332(C)), and the Council onEnvironmental Quality’s regulation forimplementing NEPA (40 CFR parts1500–1508), we prepared a draftEnvironmental Assessment (EA) forapproval of t-n-i shot in September2000. The draft EA is available to thepublic at the location indicated in theADDRESSES section.

Endangered Species Act Considerations

Section 7 of the Endangered SpeciesAct (ESA) of 1972, as amended (16U.S.C. 1531 et seq.), provides thatFederal agencies shall ‘‘insure that anyaction authorized, funded or carried out* * * is not likely to jeopardize thecontinued existence of any endangeredspecies or threatened species or result inthe destruction or adverse modificationof (critical) habitat * * *’’ We arecompleting a Section 7 consultationunder the ESA for this proposed rule.The result of our consultation underSection 7 of the ESA will be availableto the public at the location indicated inthe ADDRESSES section.


The Regulatory Flexibility Act of 1980(5 U.S.C. 601 et seq.) requires thepreparation of flexibility analyses for



rules that will have a significant effecton a substantial number of smallentities, which includes smallbusinesses, organizations, orgovernmental jurisdictions. This ruleproposes to approve an additional typeof nontoxic shot that may be sold andused to hunt migratory birds; thisproposed rule would provide one shottype in addition to the existing four thatare approved. We have determined,however, that this proposed rule willhave no effect on small entities since theapproved shot merely will supplementnontoxic shot already in commerce andavailable throughout the retail andwholesale distribution systems. Weanticipate no dislocation or other localeffects, with regard to hunters andothers. This rule was not subject toOffice of Management and Budget(OMB) review under Executive Order12866.


This proposed rule is not a significantregulatory action subject to Office ofManagement and Budget (OMB) reviewunder Executive Order 12866. OMBmakes the final determination underE.O. 12866. We invite comments onhow to make this rule easier tounderstand, including answers toquestions such as the following: (1) Arethe requirements in the rule clearlystated? (2) Does the rule containtechnical language or jargon thatinterferes with its clarity? (3) Does theformat of the rule (grouping and orderof sections, use of headings,paragraphing, etc.) aid or reduce itsclarity? (4) Would the rule be easier tounderstand if it were divided into more(but shorter) sections? (5) Is thedescription of the rule in theSUPPLEMENTARY INFORMATION section ofthe preamble helpful in understandingthe rule? What else could we do to makethe rule easier to understand?

Paperwork Reduction Act

An agency may not conduct orsponsor, and a person is not required torespond to, a collection of informationunless it displays a currently valid OMBcontrol number. We have examined thisregulation under the PaperworkReduction Act of 1995 (44 U.S.C. 3501)and found it to contain no informationcollection requirements. We havesubmitted a request for renewal of OMBapproval of collection of informationshot manufacturers are required toprovide to us for the nontoxic shotapproval process. For furtherinformation see 50 CFR 20.134.

Unfunded Mandates Reform

We have determined and certifypursuant to the Unfunded MandatesReform Act, 2 U.S.C. 1502, et seq., thatthis proposed rulemaking will notimpose a cost of $100 million or morein any given year on local or Stategovernment or private entities.

Civil Justice Reform—Executive Order12988

We, in promulgating this proposedrule, have determined that theseregulations meet the applicablestandards provided in Sections 3(a) and3(b)(2) of Executive Order 12988.

Takings Implication Assessment

In accordance with Executive Order12630, this proposed rule, authorized bythe Migratory Bird Treaty Act, does nothave significant takings implicationsand does not affect any constitutionallyprotected property rights. This proposedrule will not result in the physicaloccupancy of property, the physicalinvasion of property, or the regulatorytaking of any property. In fact, thisproposed rule will allow hunters toexercise privileges that would beotherwise unavailable; and, therefore,reduces restrictions on the use of privateand public property.

Federalism Effects

Due to the migratory nature of certainspecies of birds, the FederalGovernment has been givenresponsibility over these species by theMigratory Bird Treaty Act. Thisproposed rule does not have asubstantial direct effect on fiscalcapacity, change the roles orresponsibilities of Federal or Stategovernments, or intrude on State policyor administration. Therefore, inaccordance with Executive Order 13132,this proposed regulation does not havesignificant federalism effects and doesnot have sufficient federalismimplications to warrant the preparationof a Federalism Assessment.

Government-to-GovernmentRelationship With Tribes

In accordance with the President’smemorandum of April 29, 1994,‘‘Government-to-Government Relationswith Native American TribalGovernments’’ (59 FR 22951) and 512DM 2, we have determined that thisproposed rule has no effects onFederally recognized Indian tribes.


Exports, Hunting, Imports, Reportingand recordkeeping requirements,Transportation, Wildlife.

For the reasons discussed in thepreamble, we propose to amend part 20,subchapter B, chapter I of Title 50 of theCode of Federal Regulations as follows:

PART 20—[AMENDED]


Authority: 16 U.S.C. 703–712 and 16U.S.C. 742 a–j.

2. Section 20.21 is amended byrevising paragraph (j) to read as follows:

§ 20.21 What hunting methods are illegal?

* * * * *(j) While possessing loose shot for

muzzle loading or shotshells containingother than the previously approved shottypes of steel, bismuth-tin (97 partsbismuth: 3 parts tin), tungsten-iron (40parts tungsten: 60 parts iron), tungsten-polymer (95.5 parts tungsten: 4.5 partsNylon 6 or 11), tungsten-matrix (95.9parts tungsten: 4.1 parts polymer), andtungsten-nickel-iron (55% tungsten:35% nickel: 15% iron), all of whichmust contain less than 1% residual lead(see § 20.134). This restriction applies tothe taking of ducks, geese (includingbrant), swans, coots (Fulica americana),and any other species that make upaggregate bag limits with them duringconcurrent seasons in areas described in§ 20.108 as nontoxic shot zones.* * * * *

Dated: October 24, 2000.Kenneth L. Smith,Acting Assistant Secretary for Fish andWildlife and Parks.[FR Doc. 00–27842 Filed 10–27–00; 8:45 am]BILLING CODE 4310–55–P



50 CFR Part 648

[I.D. 102300A]

New England Fishery ManagementCouncil; Public Meeting

AGENCY: National Marine FisheriesService (NMFS), National Oceanic andAtmospheric Administration (NOAA),Commerce.ACTION: Public meeting.

SUMMARY: The New England FisheryManagement Council (Council) willhold a 3-day public meeting onNovember 14, 15, and 16, 2000, toconsider actions affecting New Englandfisheries in the exclusive economic zone(EEZ).



DATES: The meeting will be held onTuesday, November 14, 2000, beginningat 9:30 a.m., and Wednesday andThursday, November 15 and 16, at 8:30a.m.ADDRESSES: The meeting will be held atthe Sheraton Colonial Hotel, OneAudubon Road, Wakefield, MA, 01880;telephone (781) 245-9300. Requests forspecial accommodations should beaddressed to the New England FisheryManagement Council, 50 Water Street,Mill 2, Newburyport, MA 01950;telephone (978) 465-0492.FOR FURTHER INFORMATION CONTACT: PaulJ. Howard, Executive Director, NewEngland Fishery Management Council(978) 465-0492.SUPPLEMENTARY INFORMATION:

Tuesday, November 14, 2000After introductions, the meeting will

begin with a report from the Sea ScallopCommittee. It will ask the Council toconsider a number of issues related toaction on Framework Adjustment 14 tothe Fishery Management Plan (FMP) forAtlantic Sea Scallops. These issuesinclude staff recommendations forGeneral Category permit vesselparticipation in the Hudson Canyon andVirginia Beach Closed Area accessprogram and additional ScallopCommittee recommendations forinclusion in Framework 14 that relate toconditions for access. The Council’sSocial Sciences Advisory Panel willpresent its comments on the DraftSupplemental Environmental ImpactStatement (DSEIS) for FrameworkAdjustment 14. The Council also willallow time for public comment on theNotice of Intent to prepare an SEIS.Subsequent to these agenda items, theCouncil intends to adopt the DSEIS. TheCouncil is scheduled to take final actionon Framework Adjustment 14 at itsJanuary 23-25, 2001, Council meeting.The Council also may request thatNMFS take Interim Action to postponethe scheduled opening of the HudsonCanyon and Virginia Beach ClosedAreas on March 1, 2001. Thepostponement, to be initiated toaccommodate the preparation of theSEIS for Framework 14, would continueuntil the framework measures areimplemented or for 180 days, whicheveris earlier. In other actions under thescallop agenda item, the Council willcomment on NMFS possibly allowingcompensation trips to be taken byscallop vessels in the groundfish closedareas after the close of this scallopfishing year (February 28, 2001) to payfor scallop research associated with theFramework Adjustment 13 TotalAllowable Catch research set-aside.

Following this agenda item, theCouncil’s Research Steering Committeewill ask the Council to approve researchpriorities for 2001 and review thecommittee’s actions to date to developa program to address the next round ofCongressional funds appropriated forcollaborative research in New England.

Wednesday, November 15, 2000The meeting will begin with a

presentation of the 2000 MultispeciesMonitoring Committee (MSMC) report,including its recommendations forrevisions to management measures forthe 2001 fishing year. Under theGroundfish Committee Report to follow,the Council will discuss theserecommendations and identifyalternatives for an annual frameworkadjustment to the NortheastMultispecies FMP that may be necessaryto meet the goals and objectives of theplan. If an annual adjustment isnecessary, this will be the initialmeeting for Framework Adjustment 36to the Northeast Multispecies FMP.Prior to a committee update on thedevelopment of Amendment 13 to theFMP, the Groundfish OverfishingDefinition Review Panel Committee willpresent its report to the Council. TheGroundfish Committee will then discussrebuilding schedules and reviewcommittee progress to developmanagement alternatives, includingpossible refinements to the existingthree broad alternatives underconsideration for inclusion in theamendment (modifications based on thestatus quo, sector allocation alternativeand area management alternative).There also will be discussion of aprocess for considering industryproposals and a new timeline forcompletion of Amendment 13 tasks.Additionally, under the GroundfishCommittee Report agenda item, therewill be a presentation of the NationalResearch Council’s Report on SummerFlounder and Improving the Collection,Management and Use of Fisheries Data.

Thursday, November 16, 2000The third day of the meeting will

begin with reports on recent activitiesfrom the Council Chairman, ExecutiveDirector, the NMFS RegionalAdministrator, Northeast FisheriesScience Center and Mid-AtlanticFishery Management Council liaisons,and representatives of the Coast Guard,NMFS Enforcement and the AtlanticStates Marine Fisheries Commission.The Council’s Executive Director willask for approval of a schedule ofmanagement priorities for 2001. TheHabitat Committee will ask for approvalof a letter to the Environmental

Protection Agency concerning its powerplant permitting process. Under theMonkfish Committee Report, there willbe a presentation of the StockAssessment and Fishery Evaluation(SAFE) Report for the 1999 fishing year,which will include the annual MonkfishMonitoring Committee Report. Thecommittee will ask for Council approvalof initial action on the annualframework adjustment to the MonkfishFMP. The only measure underconsideration to date concerns thenecessary exemptions for vessels fishingfor monkfish in the Northwest AtlanticFisheries Organization Regulated Area.The Council may identify othermeasures to be analyzed and consideredin the framework adjustment process.The Council meeting will adjourn afteraddressing any other outstandingbusiness.

Although other non-emergency issuesnot contained in this agenda may comebefore this Council for discussion, thoseissues may not be the subject of formalaction during this meeting. Councilaction will be restricted to those issuesspecifically listed in this notice and anyissues arising after publication of thisnotice that require emergency actionunder section 305(c) of the Magnuson-Stevens Act, provided the public hasbeen notified of the Council’s intent totake final action to address theemergency.

The New England Council willconsider public comments at aminimum of two Council meetingsbefore making recommendations to theNational Marine Fisheries ServiceRegional Administrator on anyframework adjustment to a fisherymanagement plan. If she concurs withthe adjustment proposed by the Council,the Regional Administrator has thediscretion to publish the action either asproposed or final regulations in theFederal Register. Documents pertainingto framework adjustments are availablefor public review 7 days prior to a finalvote by the Council.

Special Accommodations

This meeting is physically accessibleto people with disabilities. Requests forsign language interpretation or otherauxiliary aids should be directed to PaulJ. Howard (see ADDRESSES) at least 5days prior to the meeting date.


Richard W. Surdi,Acting Director, Office of SustainableFisheries, National Marine Fisheries Service.[FR Doc. 00–27817 File 10–27–00; 8:45 am]



This section of the FEDERAL REGISTERcontains documents other than rules orproposed rules that are applicable to thepublic. Notices of hearings and investigations,committee meetings, agency decisions andrulings, delegations of authority, filing ofpetitions and applications and agencystatements of organization and functions areexamples of documents appearing in thissection.

Notices Federal Register

64656

Vol. 65, No. 210



Agricultural Marketing Service

[Docket No. PY–01–001]

Notice of Request for Extension of aCurrently Approved InformationCollection

AGENCY: Agricultural Marketing Service,USDA.ACTION: Notice and request forcomments.

SUMMARY: In accordance with thePaperwork Reduction Act of 1995 (44U.S.C. Chapter 35), this noticeannounces the Agricultural MarketingService’s (AMS) intention to request anextension for and revision to a currentlyapproved information collection forPoultry Market News Programs.DATES: Comments on this notice must bereceived by December 29, 2000.ADDITIONAL INFORMATION OR COMMENTS:Contact Grover T. Hunter, Market NewsBranch, Poultry Programs, AgriculturalMarketing Service, U.S. Department ofAgriculture, STOP 0262, 1400Independence Avenue, SW,Washington, D.C. 20090–6456, (202)720–6911 and FAX (202) 720–2403.SUPPLEMENTARY INFORMATION:

Title: Poultry Market News Reports.OMB Number: 0581–0033.Expiration Date of Approval: July 31,

2001.Type of Request: Extension of a

currently approved informationcollection.

Abstract: Under the AgriculturalMarketing Act of 1946, as amended, (7U.S.C. 1621 et seq.) the Poultry MarketNews Branch provides nationwidecoverage of broiler/fryers, turkeys, andeggs through field offices. Reporters inthe Federal-State field offices makecontact with trade members. Themission of Market News is to providecurrent unbiased, factual information toall members of the Nation’s agricultural

industry, from farm to retailer, depictingcurrent conditions on supply, demand,price trend, movement, and otherpertinent information affecting the tradein poultry and eggs, and their respectiveproducts. In order to accomplish thismission, Market News observes, records,interprets, and reports trading levels ofpoultry and egg markets. Market reportsassist producer-processors in theirproduction planning, and help promoteorderly marketing by placing producer-processors and others in the industry ona more equal bargaining basis.

Estimate of Burden: Public reportingburden for this collection of informationis estimated to average 0.83 hours perresponse

Respondents: Producers, processors,brokers, distributors, and retailers.

Estimated Number of Respondents:1720.

Estimated Number of Responses perRespondent: 123.69.

Estimated Total Annual Burden onRespondents: 17,657.

Comments are invited on: (1) Whetherthe proposed collection of informationis necessary for the proper performanceof the functions of the agency, includingwhether the information will havepractical utility; (2) the accuracy of theagency’s estimate of the burden of theproposed collection of informationincluding the validity of themethodology and assumptions used; (3)ways to enhance the quality, utility, andclarity of the information to becollected; and (4) ways to minimize theburden of the collection of informationon those who are to respond, includingthe use of appropriate automated,electronic, mechanical, or othertechnological collection techniques orother forms of information technology.Comments may be sent to Grover T.Hunter, Market News Branch, PoultryPrograms, Agricultural MarketingService, U.S. Department of Agriculture,STOP 0262, 1400 Independence AvenueSW, Washington, D.C. 20090–6456. Allcomments received will be available forpublic inspection during regularbusiness hours at the same address.

All responses to this notice will besummarized and included in the requestfor OMB approval. All comments willbecome a matter of public record.

Dated: October 24, 2000.Howard M. Magwire,Acting Deputy Administrator, PoultryPrograms.[FR Doc. 00–27786 Filed 10–27–00– 8:45 am]BILLING CODE 3410–02–P



[Docket No. FV00–902–1NC]

Notice of Request for Revision of aCurrently Approved InformationCollection

AGENCY: Agricultural Marketing Service,USDA.ACTION: Notice and request forcomments.

SUMMARY: In accordance with thePaperwork Reduction Act of 1995 (44U.S.C. Chapter 35), this noticeannounces the Agricultural MarketingService’s (AMS) intention to requestrevision to a currently approvedinformation collection that will mergeseveral individual marketing orderinformation collections into the genericinformation collection.DATES: Comments on this notice must bereceived by December 29, 2000.ADDITIONAL INFORMATION OR COMMENTS:Contact Valerie L. Emmer-Scott,Marketing Specialist, Marketing OrderAdministration Branch, Fruit andVegetable Programs, AMS, USDA, room2525–S., P.O. Box 96456, Washington,DC 20090–6456; Tel: (202) 205–2829,Fax: (202) 720–5698, or E-mail:[email protected].

Small businesses may requestinformation on this notice by contactingJay Guerber, Regulatory FairnessRepresentative, Marketing OrderAdministration Branch, Fruit andVegetable Programs, AMS, USDA, room2525–S, P.O. Box 96456, Washington,D.C., 20090–6456; telephone (202) 720–2491, Fax: (202) 720–5698, or E-mail:[email protected].

SUPPLEMENTARY INFORMATION:Title: Marketing Orders for Fruit

Crops.OMB Number: 0581–0189.Expiration Date of Approval: April 30,

2003.Type of Request: Revision of a

currently approved informationcollection.

VerDate 11<MAY>2000 11:57 Oct 27, 2000 Jkt 190000 PO 00000 Frm 00001 Fmt 4703 Sfmt 4703 E:\FR\FM\30OCN1.SGM pfrm02 PsN: 30OCN1

64657Federal Register / Vol. 65, No. 210 / Monday, October 30, 2000 / Notices

Abstract: Marketing order programsprovide an opportunity for producers offresh fruits, vegetables and specialtycrops, in specified production areas, towork together to solve marketingproblems that cannot be solvedindividually. Order regulations helpensure adequate supplies of high qualityproduct and adequate returns toproducers. Under the AgriculturalMarketing Agreement Act of 1937(AMAA), as amended (7 U.S.C. 601–674) industries enter into marketingorder programs. The Secretary ofAgriculture is authorized to oversee theorder operations and issue regulationsrecommended by a committee ofrepresentatives from each commodityindustry.

The information collectionrequirements in this request areessential to carry out the intent of theAMAA, to provide the respondents thetype of service they request, and toadminister the marketing orderprograms. Under the Act, orders mayauthorize the following: production andmarketing research, including paidadvertising, volume regulations,reserves, including pools and producerallotments, container regulations, andquality control. Production andmarketing research activities are paidfor by assessments levied on handlersregulated under the marketing orders.

Under the marketing orders,producers and handlers are nominatedby their respective peers. Thesenominees then serve as representativeson their respective committees/boardsand must file nomination forms with theSecretary.

The respective committees/boardshave developed forms as a means forpersons to file required informationwith the committees/boards relating tosupplies, shipments, and dispositions oftheir respective commodities, and otherinformation needed to effectively carryout the purpose of the AMAA and theirrespective orders, and these forms areutilized accordingly.

Formal rulemaking amendments tothe orders must be approved inreferenda conducted by the Secretary.Also, the Secretary may conduct acontinuance referendum to determineindustry support for continuation ofthese marketing order programs.Handlers are asked to sign an agreementto indicate their willingness to abide bythe provisions of the respective orderswhenever an order is amended.

This information collection willmerge: OMB #0581–0094, Oranges,grapefruit, tangerines, and tangelosgrown in Florida, Marketing Order No.905; OMB #0581–0080, Fresh pears andpeaches grown in California, Marketing

Order No. 917; OMB #0581–0095,Apricots grown in designated countiesin Washington, Marketing Order No.922; OMB #0581–0089, Winter pearsgrown in Oregon and Washington,Marketing Order No. 927; OMB #0581–0103, Cranberries grown in the States ofMassachusetts, Rhode Island,Connecticut, New Jersey, Wisconsin,Michigan, Minnesota, Oregon,Washington, and Long Island in theState of New York, Marketing Order No.929; and OMB #0581–0092, FreshBartlett pears grown in Oregon andWashington, Marketing Order No. 931.

The forms covered under thisinformation collection will continue torequire the minimum informationnecessary to effectively carry out therequirements of the orders, and their useis necessary to fulfill the intent of theAMAA as expressed in the orders.

The information collected is usedonly by authorized employees of thecommittees and authorizedrepresentatives of the USDA, includingAMS, Fruit and Vegetable Programs’regional and headquarter’s staff.Authorized committee employees arethe primary users of the information andAMS is the secondary user.

Estimate of Burden: Public reportingburden for this collection of informationis estimated to average .40824 hours perresponse.

Respondents: Producers, handlers andprocessors.

Estimated Number of Respondents:16,971.

Estimated Number of Responses perRespondent: 1.283.

Estimated Total Annual Burden onRespondents: 8,889 hours.

Comments: Comments are invited on:(1) Whether the proposed collection ofthe information is necessary for theproper performance of the functions ofthe agency, including whether theinformation will have practical utility;(2) the accuracy of the agency’s estimateof the burden of the proposed collectionof information including the validity ofthe methodology and assumptions used;(3) ways to enhance the quality, utilityand clarity of the information to becollected; and (4) ways to minimize theburden of the collection of informationon those who are to respond, includingthrough the use of appropriateautomated, electronic, mechanical, orother technological collectiontechniques or other forms of informationtechnology.

Comments should reference thisdocket number and the appropriatemarketing order, and be mailed to theDocket Clerk, Fruit and VegetablePrograms, AMS, USDA, P.O. Box 96456,Room 2525-S, Washington, DC 20090–

6456; Fax (202) 720–5698; or E-mail:[email protected]. Commentsshould reference the docket number andthe date and page number of this issueof the Federal Register. All commentsreceived will be available for publicinspection in the Office of the DocketClerk during regular USDA businesshours at 14th and Independence Ave.,S.W., Washington, D.C., room 2525–S,or can be viewed at: http://www.ams.usda.gov/fv/moab.html.

All responses to this notice will besummarized and included in the requestfor OMB approval. All comments willalso become a matter of public record.

Dated: October 24, 2000.Robert C. Keeney,Deputy Administrator, Fruit and VegetablePrograms.[FR Doc. 00–27787 Filed 10–27–00; 8:45 am]BILLING CODE 3410–02–P



[TM–00–10]

Notice of Meeting of the NationalOrganic Standards Board

AGENCY: Agricultural Marketing Service,USDA.ACTION: Notice.

SUMMARY: In accordance with theFederal Advisory Committee Act, asamended, the Agricultural MarketingService (AMS) announces a forthcomingmeeting of the National OrganicStandards Board (NOSB).DATES: November 15, 2000, from 2:00p.m. to 4.30 p.m.; November 16, 2000,9:00 a.m. to 5:30 p.m.; and November17, 2000, 8:30 a.m. to 3:00 p.m. (EasternDaylight Time each day).PLACE: The Department of Agriculture,Economic Research Service, 1800 MStreet, NW, Waugh Auditorium, 3rdFloor Room, Washington, DC.Telephone: (202) 694–5103.FOR FURTHER INFORMATION CONTACT:Keith Jones, Program Manager, NationalOrganic Program, USDA–AMS–TMP–NOP, Room 2945–So., Ag Stop 0268,P.O. Box 96456, Washington, D.C.20090–6456, Telephone: (202) 720–3252.SUPPLEMENTARY INFORMATION: Section2119 (7 U.S.C. 6518) of the OrganicFoods Production Act of 1990 (OFPA),as amended (7 U.S.C. Section 6501 etseq.) requires the establishment of theNOSB. The purpose of the NOSB is tomake recommendations about whether asubstance should be allowed orprohibited in organic production or


64658 Federal Register / Vol. 65, No. 210 / Monday, October 30, 2000 / Notices

handling, to assist in the developmentof standards for substances to be used inorganic production and to advise theSecretary on any other aspects of theimplementation of OFPA. The NOSBmet for the first time in Washington,D.C., in March 1992 and currently hasfive committees working on variousaspects of the program. The committeesare: Accreditation, Crops, Livestock,Materials, and Processing.

In August of 1994, the NOSBprovided its initial recommendations forthe National Organic Program (NOP) tothe Secretary of Agriculture. Since thattime the NOSB has submitted 30addenda to its recommendations andreviewed more than 170 substances forinclusion on the National List ofAllowed and Prohibited Substances.The last meeting of the NOSB was heldon June 6–8, 2000, in Washington, DC.

The Department of Agriculture(USDA) published its re-proposedNational Organic Program regulation inthe Federal Register on March 13, 2000(65 FR 13512). Comments were accepteduntil June 12, 2000. Forty thousandseven hundred and seventy four(40,774) comments were receivedduring the comment period.

Purpose and AgendaThe principal purposes of this

meeting are to provide an opportunityfor the NOSB to: receive committeereports; receive an update from theAquatic Task Force Working Group;receive an update from the USDA/NOP;and review materials for possibleinclusion on, or removal from, theNational List of Approved andProhibited Substances. Materials to bereviewed at the meeting are periaceticacid, calcium borogluconate, animalenzymes, leather meal and sodiumchlorate. For further information seehttp://www.ams.usda.gov/nop. Copiesof the NOSB meeting agenda can berequested from Mrs. Toni Strother,USDA–AMS–TMP–NOP, Room 2510–So., Ag Stop 0268, P.O. Box 96456,Washington, D.C. 20090–6456; by phoneat (202) 720–3252; or by accessing theNOP website at http://www.ams.usda.gov/nop.

Type of MeetingThis meeting is open to the public.

The NOSB has scheduled time forpublic input on Wednesday, November15, 2000, from 2:00 p.m. until 4:30 p.m.at the USDA Economic ResearchService, 1800 M Street, NW, SouthTower, Waugh Auditorium, 3rd Floor,Washington, D.C. 20036. Telephone:(202) 694–5103. Individuals andorganizations wishing to make an oralpresentation at the meeting should

forward their request to Mrs. ToniStrother at the above address or by FAXto (202) 205–7808 by close of businessNovember 13, 2000. While personswishing to make a presentation maysign up at the door, advance registrationwill ensure an opportunity to speakduring the allotted time period and willhelp the NOSB to better manage themeeting and accomplish its agenda.Individuals or organizations will begiven approximately 5 minutes topresent their views. All persons makingan oral presentation are requested toprovide their comments in writing, ifpossible. Written submissions maycontain information other thanpresented at the oral presentation.Written comments may be submitted tothe NOSB at the meeting or to Mrs.Strother after the meeting at the aboveaddress.

Dated: October 26, 2000.James A. Caron,Acting Deputy Administrator, Transportationand Marketing.[FR Doc. 00–27896 Filed 10–27–00; 12:31am]BILLING CODE 3410–02–P


Forest Service

Phase 1—Fuels Treatment forCommunity Protection EnvironmentalImpact Statement, Six Rivers NationalForest, Lower Trinity Ranger District,Humboldt County, California

AGENCY: Forest Service, USDA.ACTION: Notice of intent to prepare anEnvironmental Impact Statement.

SUMMARY: The Six Rivers NationalForest will prepare an EnvironmentalImpact Statement (EIS) on a proposal toreduce fuels in high severity burnedstands within strategically located fuelbreaks and associated fuel treatmentareas within the Waterman Ridge, LonePine Ridge and Mill Creek areas. Fuelsreduction treatments are proposed onapproximately 931 acres ofmerchantable and 187 acres of non-merchantable stands. Fuel reductionwas identified as a need in the Forest-wide Late-Successional ReserveAssessment (April 1999) and furtherdeveloped in the Horse Linto, Mill andTish Tang Watershed Assessment(March 2000). It is the first phase of theMegram Fire Recovery Strategydesigned to protect communities fromwildlife and extended exposure tosmoke and to restore affectedwatersheds. The entire project is infederal land ownership.

Treatment within merchantablestands involves the removal of fire andinsect killed commercial wood materialand treatment of the remaining fuels.Merchantable stands have the size,quality and condition suitable formarket under current economicconditions. Treatment of remainingfuels would use a combination ofmethods including: Lop and scatter,masticating (chipping) of treatmentunits or strips along roads and skidtrails, excavator piling, hand piling,burning of piles and concentration offuels (jackpot burning), yardingunmerchantable material to landingsand burning it, felling unmerchantablematerial and burning, and broadcastburning.

Non-merchantable stands would betreated to reduce fuels by cutting deadvegetation and hand piling and burning.

Planting of nursery stock would occuron understocked acres upon completionof fuel treatments. Stand tendingtreatments include release for coniferestablishment and growth, coniferthinning and pruning.DATES: Comments concerning the scopeof this project should be received inwriting by December 1, 2000.ADDRESSES: Please send writtencomments to S.E. ‘‘Lou’’ Woltering,Forest Supervisor, Six Rivers NationalForest, 1330 Bayshore Way, Eureka,California 95501.FOR FURTHER INFORMATION CONTACT:John Larson, Lower Trinity District

Ranger, Six Rivers National Forest,(530) 625–2118; or

Dave Webb, EIS Team Leader, SixRivers National Forest, P.O. Box 228,Gasquet, CA 95543, (707) 457–3131,extension 120.

SUPPLEMENTARY INFORMATION: During thesummer and fall of 1999, the MegramFire burned approximately 49,400 acreswithin the Horse Linto, Mill Creek andTish Tang Creek (HLMTT) watersheds.Subsequent to the Fire, the HLMTTWatershed Assessment (WA) wascompleted in March 2000.

The Megram Recovery Strategy wasprepared in June of 2000, which setpriorities for implementation of therecommendations made in the WA. TheWatershed Analysis emphasizes theneed to restore watershed functions,protect remaining mature and oldgrowth stands from catastrophic loss,accelerate development of late-successional habitat, reduce fuel levelsin strategic locations and create standconditions that would lower thepotential for future catastrophic fireand, at the same time, provide forcommunity protection from futurewildfires and extended exposure to



smoke. It also points out that restoringnatural fire regimes to the area is anideal way of realizing these goals. Basedon resource needs and public input, theForest Strategic Leadership Teamdetermined that watershed and soilrestoration, along with providing forcommunity protection for futurewildfires, were the primary focus at thistime.

The proposal is also consistent withthe National Fire Plan that wasdeveloped from the report by theSecretaries of Agriculture and Interior tothe President in response to thewildfires of 2000 (‘‘Managing the Impactof Wildfires on Communities and theEnvironment’’, September 8, 2000). Thisproposal is consistent with two of thefive key points of the Plan: Reducing therisk of fire through hazardous fuelsreduction and working directly withcommunities to ensure adequateprotection. Successful implementationof the Plan will, in the long term, reducethe number of small fires that becomelarge; restore natural ecological systemsto minimize uncharacteristically intensefires; and reduce the threat to life andproperty from catastrophic wildfire. Akey element in the Plan focuses oncollaboration with communities,interest groups, State and Federalagencies and tribal governments.

The Megram Fire created extensiveareas of dead and dying trees and shrubsdispersed across a landscape thatalready had high historic vegetationdensities and high fuel loading. Inaddition, a tremendous number of snagswere created and will continue to becreated within the severely burned areasas trees are killed by insects and burn-related stress. This extensive snagcomponent, in combination with therelatively high lightning occurrence inthe area and a hazardous fuel situation,increases the probability of futurelightning ignitions and potentially largestand-replacing wildfires. The extentand distribution of this fire hazard andrisk present a substantial threat to localcommunities, both from wildfires andhigh levels of smoke. Fears andconcerns of long-term public healthissues are significant to the localcommunities, as is preventing a similarfuture fire from occurring. Wildlifeprotection of local communities andTribal Trust responsibilities for theHoopa Valley Indian Reservation arecritical components of this proposal.

Active management would beinstrumental in reducing this risk. Onesuch management strategy, a system offuel breaks with associated fueltreatment areas, was identified in theForest-Wide Late-Successional ReserveAssessment and further developed

within the HLMTT WA. Proposedactivities within fuel breaks andassociated fuel treatment areas includetreatments necessary to modify areaswith high concentrations of standingdead and down trees or brush to a moreopen fuel type. Fuel breaks and fueltreatment areas would be locatedstrategically on ridges or natural landfeatures, on the upper 1⁄3 of slopes oralong a road. Most of the areas proposedfor treatment are located on south andwest facing slopes because these slopesare generally drier and would burnhotter than north and east facing slopes.In addition, the location of these areasis related to suppression capability andavailability of resources.

Phase 1 would reduce fuels in bothmerchantable and non-merchantablestands in the Horse Linto and Mill Creekwatersheds within the Waterman Ridge,Lone Pine Ridge and Mill Creek areas.Fuels reduction would only occur inthose stands that have vegetationmortality of 60 percent or greater, thatare not suitable survey and managespecies habitat, and are located withinthe areas identified for communityprotection. There are other areas withmortality greater than 60 percentcontaining merchantable and non-merchantable stands that will not betreated because these areas do notprovide for strategic communityprotection. Fuels reduction would notoccur in the Tish Tang watershed,which is within the Orleans Mountain‘‘C’’ Roadless Area.

Water quality parameters areimportant to the analysis area, whichinclude temperature, sediment andturbidity. These parameters are the mostcritical water quality parameters forbeneficial uses within the analysis areasince they can be modified by landmanagement activities. Future wildfiresin these areas would tend to burn withhigh severity again, which wouldincrease the likelihood of futureaccelerated surface erosion and possiblymass-wasting, delivering sediment tofish-bearing streams.

Treatment of merchantable standswould include the removal of fire andinsect killed commercial wood material,treatment of remaining fuels,reforestation and stand tending. Standtending treatments would includerelease for conifer establishment andgrowth, conifer thinning and pruning.Live trees would be retained, as well assufficient numbers of large, dead treeswithin each stand to meet Foreststandards and guidelines for snagretention. However, for units within fuelbreaks, lower densities of snags wouldbe left on ridge tops for firefighter safetyand to facilitate fire suppression.

Treatment of remaining fuels would usea combination of methods including:lop and scatter, masticating (chipping)of treatment units or strips along roadsand skid trails, excavator piling, handpiling, burning of piles andconcentration of fuels (jackpot burning),yarding unmerchantable material tolandings and burning, fellingunmerchantable material and burning,and broadcast burning. Reforestationwould be accomplished throughretention of pockets of naturalregeneration and/or by hand planting ofnursery stock. Stand tending would belong term and directed towards creatingstands with non-continuous fuel laddersthat are less conducive to high intensitycrown fires.

Three merchantable stands (six acres)would be treated within WatermanRidge. For all three, commercialmaterial would be removed by tractor,with approximately 0.2 miles oftemporary roads constructed to accessone merchantable stand.

Twenty-eight merchantable stands(267 acres) would be treated within theMill Creek area. Merchantable materialwould re removed by helicopter from 22stands (228 acres) and by tractor fromsix stands (39 acres). Approximately0.35 miles of existing roads and 0.45miles of existing temporary roads wouldbe reopened to access three stands.

Fifty-eight merchantable stands (658acres) would be treated within the LonePine Ridge area. Merchantable materialwould be removed by helicopter from17 stands (256 acres), by tractor from 28stands (173 acres) and by cable from 13stands (229 acres). Approximately 0.1miles of new temporary road would beconstructed to access one stand andapproximately 1.05 miles of existingroads and 0.75 miles of existingtemporary roads would be reopened toaccess seven stands.

One non-merchantable plantation (17acres) would be treated withinWaterman Ridge to reduce fuel loading.This plantation was heavily stockedwith hardwoods before the MegramFire. Fire-killed vegetation would beremoved using commercial and/orpersonal use firewood permits. Thetemporary road used to access anadjoining merchantable stand would beextended approximately 0.1 mile alongWaterman Ridge. Slash resulting fromthis treatment would be piled andburned. The stand would be reforestedusing nursery stock, with stand tendingoccurring over the long term.

Two non-merchantable stands wouldbe treated within the Mill Creek Area toreduce fuel loading. In one stand, aplantation (45 acres) of fire-killedvegetation would be cut, live trees



would be pruned and cut vegetationwould be hand piled and burned. Aportion of this stand would needreforestation. In the other stand, anatural stand (56 acres), merchantabletrees would be retained and non-merchantable trees and brush would becut, hand piled and burned.Reforestation would be accomplishedthrough retention of pockets of naturalregeneration and by hand planting ofnursery stock. Stand tending wouldoccur over the long term.

Five non-merchantable stands (69acres), all plantations, would be treatedwithin the Lone Pine Ridge area toreduce fuel loading. In two plantations(16 acres), fire killed vegetation wouldbe cut, live trees would be pruned andcut vegetation would be hand piled andburned. In three plantations (53 acres),dead trees would be felled, live treeswould be thinned and pruned. In allfive plantations, no reforestation wouldoccur.

This proposal is Phase 1 in the overallstrategy to protect communities fromwildfires and extended exposure tosmoke and to restore affectedwatersheds. Phase II would continue thework that is proposed in Phase I, byreducing fuels in unburned andmoderately burned areas within thestrategic fuelbreaks. Connecting the highseverity and less severely burned fueltreatment areas would create a morecontinuous and effective fuelbreak. Theunburned and moderately burned areasare suitable habitat for survey andmanage species. Surveys for thesespecies will be initiated during the fallof 2000 and spring of 2001. Results ofthese surveys would be utilized in thedevelopment of Phase II proposedactions, which would be analyzed underseparate environmental analysis. Thepotential foreseeable future actionsunder Phase II would be considered inthe cumulative effects analysiscompleted for Phase I.

Public participation will be anintegral component of the analysisprocess and will be especially importantat several points during the analysis.During the scoping process, the ForestService will seek information,comments and assistance from Federal,State, County and local agencies, tribes,individuals and organizations that maybe interested in or affected by theproposed activities. The scoping processwill determine the scope of the issues tobe addressed, determine the significantissues related to the proposed action,identify and eliminate other issues,assign tasks and determine disciplines,determine the existence of relatedenvironmental documents and identifyschedules for analysis and decision

making. Written scoping comments willbe solicited through a scoping packagethat will be sent to the project mailinglist and the local newspaper. Publicopen houses to present the proposedaction and answer questions will beheld from 7 PM to 9 PM, PST at thefollowing locations:

• November 8, 2000 at the TrinityValley Elementary School, Highway 96,Willow Creek, CA, 95513

• November 9, 2000 at RedwoodAcres Turf Club, 3750 Harris Street,Eureka, CA 95501

For the Forest Service to best use thescoping input, comments should bereceived by December 1, 2000. Thescoping package is available bycontacting Dave Webb at the address orphone number listed above. Tentativeissues that may be analyzed in the EISinclude the potential effects to waterquality and downstream cumulativewatershed impacts to beneficial uses; toair quality; to threatened, endangeredand sensitive wildlife, plant and fishspecies and associated habitat; and tosoil productivity.

Based on the results of scoping andthe resource conditions within theproject area, alternatives (including ano-action alternative) will be developedfor the draft EIS. The draft EIS isprojected to be filed with theEnvironmental Protection Agency (EPA)in February 2001. The final EIS isanticipated in April 2001.

The comment period on the draftEnvironmental Impact Statement will be45 days from the date theEnvironmental Protection Agencypublishes the notice of availability inthe Federal Register.

To assist the Forest Service inidentifying and considering issues andconcerns on the proposed action,comments should be as specific aspossible. The Forest Service believes, atthis early stage, it is important to givereviewers notice of several court rulingsrelated to public participation in theenvironmental review process. First,reviewers of draft environmental impactstatements must structure theirparticipation in the environmentalreview of the proposal so that it ismeaningful and alerts the agency to thereviewer’s position and contentions.Vermont Yankee Nuclear Power Corp. v.NRDC, 435 U.S. 519, 553 (1978). Also,environmental objections that could beraised at the draft environmental impactstatement stage but that are not raiseduntil after completion of the finalenvironmental impact statement may bewaived or dismissed by the courts. Cityof Angoon v. Hodel, 803 F.2d 1016,1022 (9th Cir. 1986) and WisconsinHeritages, Inc. v. Harris, 490 F. Supp.

1334, 1338 (E.D. Wis. 1980). Because ofthese court rulings, it is very importantthat those interested in this proposedaction participate by the close of thedesignated comment period so thatsubstantive comments and objectionsare made available to the Forest Serviceat a time when it can meaningfullyconsider them and respond to them inthe final Environmental ImpactStatement.

No Permits or special authorizationswould be required. The Six RiversNational Forest is the lead agency forpreparation of this document. There areno cooperating agencies on this project.Consultation will occur with localtribes, National Marine FisheriesService and the U.S. Fish and WildlifeService. S.E. ‘‘Lou’’ Woltering, ForestSupervisor, Six Ribers National Forest,is the responsible official. In making thedecision, the Responsible Official willconsider the comments; responses;disclosure of environmentalconsequences; and applicable laws,regulations and policies. TheResponsible Official will state therationale for the chosen alternative inthe Record of Decision.

Dated: October 23, 2000.S.E. ‘‘Lou’’ Woltering,Forest Supervisor.[FR Doc. 00–27728 Filed 10–27–00; 8:45 am]BILLING CODE 3410–11–M


Natural Resources ConservationService

Notice of Proposed Change to SectionIV of the Virginia Field Office TechnicalGuide

AGENCY: Natural ResourcesConservation Service (NRCS), U.S.Department of Agriculture.

ACTION: Notice of Availability ofproposed changes in the Virginia NRCSField Office Technical Guide for reviewand comment.

SUMMARY: It has been determined by theNRCS State Conservationist for Virginiathat changes must be made in the NRCSField Office Technical Guidespecifically in practice standards:#7021, Agrichemical Handling Facility;#314, Brush Management; #327,Conservation Cover; #328, ConservationCrop Rotation; #330, Contour Farming;#329B, Residue Management, MulchTill; and #329C, Residue Management,Ridge Till to account for improvedtechnology. These practices will be usedto plan and install conservation



practices on cropland, pastureland,woodland, and wildlife land.DATES: Comments will be received on orbefore November 29, 2000.FOR FURTHER INFORMATION CONTACT:Inquire in writing to M. Denise Doetzer,State Conservationist, Natural ResourcesConservation Service (NRCS), 1606Santa Rosa Road, Suite 209, Richmond,Virginia 23229–5014; Telephonenumber (804) 287–1665; Fax number(804) 287–1738. Copies of the practicestandards will be made available uponwritten request to the address shownabove or on the Virginia NRCS web site.http://www.va.nrcs.gov/Data Tech Refs/Standards&Specs/EDITStds/EditStandards.htm.

SUPPLEMENTARY INFORMATION: Section343 of the Federal AgricultureImprovement and Reform Act of 1996states that revisions made afterenactment of the law to NRCS FieldOffice technical guides used to carry outhighly erodible land and wetlandprovisions of the law shall be madeavailable for public review andcomment. For the next 30 days, theNRCS in Virginia will receive commentsrelative to the proposed changes.Following that period, a determinationwill be made by the NRCS in Virginiaregarding disposition of those commentsand a final determination of change willbe made to the subject standards.

Dated: October 19, 2000.M. Denise Doetzer,State Conservationist, Natural ResourcesConservation Service, Richmond, Virginia.[FR Doc. 00–27558 Filed 10–27–00; 8:45 am]BILLING CODE 3410–16–M

CHEMICAL SAFETY AND HAZARDINVESTIGATION BOARD

Sunshine Act Meeting

The United States Chemical Safetyand Hazard Investigation Boardannounces that it will convene a PublicMeeting beginning at 9:30 a.m. localtime on November 8, 2000, at 2175 KStreet, Second floor (Conference roomsof the Medical Society of the District ofColumbia) Washington, DC.

Topics will include:1. Presentation of recommendations

for the CSB investigation into the March4, 1998, incident at a Sonat Incorporatedcrude oil and natural gas productionand separation facility near Pitkin,Louisiana.

2. Update on the recommendationsresulting from the Board investigation

into an incident at the MortonInternational, Inc. Plant in Paterson,New Jersey on April 8, 1998.

3. Update on the CSB investigationinto the February 23, 1999, fire thatoccurred at the fractionator tower in the50 crude oil processing unit at the Tosco‘‘Avon’’ refinery in Martinez, California.

4. Update on review of openinvestigation files (IndependentFireworks, Sonat II, Equilon, ConceptSciences, and Condea Vista).

5. Update on the CSB Hiring PlanInitiative.

6. Board Initiatives with other Federalagencies;

7. Discussion of Board documents(Sonat Investigation Report, CSB five-year Strategic Plan, Memoranda ofUnderstanding with the Agency forToxic Substances and Disease Registry,and GAO Report—Coordinationbetween various Federal Agencies).

8. CSB budget for FY 2001.9. CSB Notation memorandums.10. Update on Board Member

activities.11. Tentative date for next Board

meeting.The meeting will be open to the

public. For more information, pleasecontact the Chemical Safety and HazardInvestigation Board’s Office of ExternalRelations, (202) 261–7600, or visit ourwebsite at: www.csb.gov.

Christopher W. Warner,General Counsel.[FR Doc. 00–27847 Filed 10–25–00; 4:28 pm]BILLING CODE 6350–01–U


Bureau of Export Administration

Information Systems TechnicalAdvisory Committee; Notice ofPartially Closed Meeting

The Information Systems TechnicalAdvisory Committee (ISTAC) will meeton November 15 & 16, 2000, 9 a.m., inthe Herbert C. Hoover Building, Room3884, 14th Street between PennsylvaniaAvenue and Constitution Avenue NW.,Washington, DC. The ISTAC advises theOffice of the Assistant Secretary forExport Administration on technicalquestions that affect the level of exportcontrols applicable to informationsystems equipment and technology.

November 15

Public Session1. Update on low-power

microprocessors and industry trends

2. Discussion on Bureau of ExportAdministration initiatives

3. Committee planning for 2001

4. Comments or presentations fromthe public

November 15 & 16

Closed Session

5. Discussion of matters properlyclassified under Executive Order 12958,dealing with U.S. export controlprograms and strategic criteria relatedthereto.

A limited number of seats will beavailable for the public session.Reservations are not accepted. To theextent time permits, members of thepublic may present oral statements tothe ISTAC. The public may submitwritten statements at any time before orafter the meeting. However, to facilitatedistribution of public presentationmaterials to Committee members, theISTAC suggests that public presentationmaterials or comments be forwardedbefore the meeting to the address listedbelow: Ms. Lee Ann Carpenter, OSIES/EA/BXA MS: 3876, U.S. Department ofCommerce, 14th St. & Constitution Ave.,NW., Washington, DC 20230.

The Assistant Secretary forAdministration, with the concurrence ofthe delegate of the General Counsel,formally determined on September 10,1999, pursuant to section 10(d) of theFederal Advisory Committee Act, asamended, that the series of meetings orportions of meetings of this Committeeand of any Subcommittees thereofdealing with the classified materialslisted in 5 U.S.C. 552(c)(1) shall beexempt from the provisions relating topublic meetings found in section10(a)(1) and (a)(3), of the FederalAdvisory Committee Act. The remainingseries of meetings or portions thereofwill be open to the public.

A copy of the Notice of Determinationto close meetings or portions ofmeetings of this Committee is availablefor public inspection and copying in theCentral Reference and RecordsInspection Facility, Room 6020, U.S.Department of Commerce, Washington,DC. For more information or copies ofthe minutes call Lee Ann Carpenter,202–484–2583.


Lee Ann Carpenter,

Committee Liaison Officer.[FR Doc. 00–27707 Filed 10–27–00; 8:45 am]

BILLING CODE 3510–JT–M




International Trade Administration

Initiation of Antidumping andCountervailing Duty AdministrativeReviews, Requests for Revocation inPart and Deferral of AdministrativeReviews

AGENCY: Import Administration,International Trade Administration,Department of Commerce.ACTION: Notice of Initiation ofAntidumping and Countervailing DutyAdministrative Reviews, Requests forRevocation in Part and Deferral ofAdministrative Review.

SUMMARY: The Department of Commerce(the Department) has received requeststo conduct administrative reviews ofvarious antidumping and countervailingduty orders and findings withSeptember anniversary dates. Inaccordance with the Department’sregulations, we are initiating thoseadministrative reviews. The Departmentalso received requests to revoke twoantidumping duty orders in part and todefer the initiation of an administrativereview for one antidumping duty order.

EFFECTIVE DATE: October 30, 2000.FOR FURTHER INFORMATION CONTACT:Holly A. Kuga, Office of AD/CVDEnforcement, Import Administration,International Trade Administration,U.S. Department of Commerce, 14thStreet and Constitution Avenue, N.W.,Washington, D.C. 20230, telephone:(202) 482–4737.SUPPLEMENTARY INFORMATION:

Background

The Department has received timelyrequests, in accordance with 19 CFR351.213(b)(2000), for administrativereviews of various antidumping andcountervailing duty orders and findingswith September anniversary dates. TheDepartment also received timelyrequests to revoke in part theantidumping duty orders on CertainCorrosion-Resistant Carbon Steel FlatProducts from Canada and LargeNewspaper Printing Presses andComponents Thereof from Japan. Therequest for revocation in part withrespect to Certain Corrosion-ResistantCarbon Steel Flat Products from Canadawas inadvertently omitted from theprevious initiation notice (65 FR 58733,October 2, 2000). In addition, the

Department received a request to deferfor one year the initiation of theSeptember 1, 1999 through August 31,2000 administrative review of theantidumping duty order on LargeNewspaper Printing Presses andComponents Thereof, WhetherAssembled or Unassembled fromGermany with respect to one exporter inaccordance with 19 CFR 351.213(c). TheDepartment received no objection to thisrequest from any party cited in 19 CFR351.213(c)(1)(ii).

Initiation of Reviews

In accordance with sections 19 CFR351.221(c)(1)(i), we are initiatingadministrative reviews of the followingantidumping and countervailing dutyorders and findings. We intend to issuethe final results of these reviews notlater than September 30, 2001. Also, inaccordance with 19 CFR 351.213(c), weare deferring for one year the initiationof the September 1, 1999 throughAugust 31, 2000 administrative reviewof the antidumping duty order on LargeNewspaper Printing Pressess andComponents Thereof, WhetherAssembled or Unassembled, fromGermany with respect to one exporter.

Period to bereviewed

Antidumping Duty ProceedingsGermany: Large Newspaper Printing Presses and Components Thereof, Whether Assembled or Unassembled, A–428–821 9/1/99–8/31/00

MAN Roland Druckmaschinen AG.Italy: Stainless Steel Sheet and Strip in Coils A–475–824 1 1/4/99–6/30/00

Acciai Speciali Terni S.p.A.Japan: Large Newspaper Printing Pressess and Components Thereof, Whether Assembled or Unassembled, A–588–837 9/1/99–8/31/00

Mitsubishi Heavy Industries, Ltd.Tokyo Kikai Seisakusho, Ltd.

Taiwan: Stainless Steel Wire Rod, A–583–828 9/1/99–8/31/00Walsin Lihwa Corporation.

The People’s Republic of China: Freshwater Crawfish Tail Meat,* A–570–848 9/1/99–8/31/00Anhui Chaohu Daxin Meat Poultry Co., Ltd.Anhui Cereals, Oils & Foodstuffs.Anhui Provincial Aquatic Co.Baoluu Waterstuff Co., Ltd.Baoying Freezing Plant.Baoying County Freezing Plant.Beijing Farenco.China Kingdom Import & Export Co., Ltd., aka China Kingdoma Import & Export Co., Ltd., aka Zhongda Import & Ex-

port Co., Ltd.Ever Concord.Feidong Freezing Plant.Fubao Aquatic Foodstuff Co., Ltd.Fujian Hualong Aquatic Trade Development Co. Lianjian Seafood Processing Plant.Fujian Pelagic Fishery Group Co.Fujian Hualong Aquatic Trade Development.Funing County Frozen Food.Guangzhou Xinye Plastic Products.Hengji Trading Co., Ltd.Hexing Foodstuff Co., Ltd.Hongze County Laoshan Danxian Freeszing Factory.Hongze Lake Green Food Co., Ltd.Hongze County Aquatic Freezing Factory.Hua Yin.Huai Yin.Huaiyin County Freezing Factory.Huaiyin Foreign Economic Relations and Trade Committee.




Huaiyin Foreign Trade Corp. Shunda Branch.Huaiyin Foreign Trade Corporation.Huaiyin Foreign Trade Corporation (1).Huaiyin Foreign Trade Corporation (3).Huaiyin Foreign Trade Corporation (5).Huaiyin Foreign Trade Corporation (30).Huaiyin Foreign Trading.Huaiyin Luky Trade Corp.Huaiyin Shunda Economic and Technology Trading Co.JAS Forwarding.Jiangsu Zhenfeng Group Foodstuff.Jiangsu Zhenfeng Group.Jiangsu Lukang Foodstuffs.Jin Hu Foreign Trading.Jinghu Aquatic Foodstuff Processing Plant.Jinpeng Agriculture and By-Product Development Co.Laoshan Brother Freezing Plant.Mr. Edward Lee.Lianyungang Haiwang Aquatic Products Co., Ltd.Liaoning Limeng Exports & Imports.Mr. Lin Zhong Nan.Mr. Ma Guo Zhong.Nantong Shengfa Frozen Food Co., Ltd.Nantong Delu Aquatic Food Co., Ltd.Neptune International.Ningbo Nanlian Frozen Foods Company, Ltd.Pacific Coast Fisheries Corp.Panwin Logistics.Qidong Baoluu Aquatic Food Co., Ltd.Qingdao Rirong Foodstuff Co., Ltd., aka Qingdao Rirong Foodstuffs.Qingdao Shun Hang Forwarding.Qingdao Zhengri Seafood Co., Ltd., aka Qingdao Zhengri Seafoods.Qingshan Foodstuff Co., Ltd.Rich Shipping.Seatrade International, aka Seatrade Enter.Shanghai Guangxun Trading.Shanghai Zhongjian International Trading.Shantou SEZ Yangfeng Marine Products Co.Suqian Foreign Trade Corp., aka Suqian Foreign Trading.Suyang Shuangyu Food Co., Ltd.Toyo Warehouse, aka TKK Toyo.Mr. Wei Wei, aka Philip Wei.Mr. Wei Zhang.Weishan Fukang Foodstuffs Co., Ltd.Weishan Jinmuan Foodstuff.Weishan Hongfa Lake Foodstuff Co., Ltd. aka Weishan Fongfa Lake Foodstuff.Y & Z International, aka Y & Z International Trading.Yancheng Baolong Biochemical Products Co., Ltd.Yancheng Foreign Trade Corp., aka.Yancheng Foreign Trading, aka Yang Chen Foreign Trading.Yancheng Fubao Aquatic Food Co., Ltd.Yancheng Haibao Foods.Yancheng Haiteng Aquatic Products & Foods Co., Ltd.Yancheng Yaou Seafoods.Mr. Yang Yi Xiang.Yangzhou Foreign Trading.Yangzhou Lakebest Foods Co., Ltd.Yiaxian No. 2 Freezing Processing Factory.Yundong Aquatic Products Processing Factory.Yundong Waterstuff Processing Plant.Zegao Daxin Foodstuff Freezing Plant.Zegao Foodstuff Freezing Plant.Mr. Zhang Wei.Zhenfeng Foodstuff Co.Zhenfeng Group Food Co.* If one of the above named companies does not qualify for a separate rate, all other exporters of freshwater crawfish

tail meat from the People’s Republic of China who have not qualified for a separate rate are deemed to be coveredby this review as part of the single PRC entity of which the named exporters are a part.

Countervailing Duty ProceedingsBelgium: Stainless Steel Plate in Coils, C–423–809 9/4/98–12/31/99

ALZ, N.V.2.




Suspension AgreementsNone.

Deferral of Initiation of Administrative ReviewGermany: Large Newspaper Printing Pressess and Components Thereof, Whether Assembled or Unassembled, A–428–821 9/1/99–8/31/00

Koenig & Bauer-Albert AG.

1 In the initiation notice published on October 2, 2000, (65 FR 58733), the review period for Acciai was incorrect. The period listed above is thecorrect period of review for that firm.

2 In the initiation notice published on July 7, 2000, (65 FR 41942), the review period for this case was incorrect. The period of review was cor-rected in the initiation notice published on October 2, 2000, (65 FR 58733); however, in that notice the company name was incorrectly reportedas ‘‘Acciai Speciali Terni S.p.A.’’ The correct company name is ‘‘ALZ, N.V.’’

During any administrative reviewcovering all or part of a period fallingbetween the first and second or thirdand fourth anniversary of thepublication of an antidumping dutyorder under section 351.211 or adetermination under section351.218(f)(4) to continue an order orsuspended investigation (after sunsetreview), the Secretary, if requested by adomestic interested party within 30days of the date of publication of thenotice of initiation of the review, willdetermine whether antidumping dutieshave been absorbed by an exporter orproducer subject to the review if thesubject merchandise is sold in theUnited States through an importer thatis affiliated with such exporter orproducer. The request must include thename(s) of the exporter or producer forwhich the inquiry is requested.

Interested parties must submitapplications for disclosure underadministrative protective orders inaccordance with 19 CFR 351.305.

These initiations and this notice arein accordance with section 751(a) of theTariff Act of 1930, as amended (19U.S.C. 1675(a)) and 19 CFR351.221(c)(1)(i).

Dated: October 24, 2000.Holly A. Kuga,Acting Deputy Assistant Secretary, Group IIfor Import Administration.[FR Doc. 00–27815 Filed 10–27–00; 8:45 am]BILLING CODE 3510–DS–P



[A–570–846]

Brake Rotors From the People’sRepublic of China: Final Results ofThird New Shipper Review and FinalResults and Partial Rescission ofSecond Antidumping DutyAdministrative Review

AGENCY: Import Administration,International Trade Administration,Department of Commerce.

ACTION: Notice of final results of thirdnew shipper review and final resultsand partial rescission of secondantidumping duty administrativereview.

SUMMARY: On December 29, 1999, theDepartment of Commerce published thepreliminary results of the third newshipper review and the preliminaryresults and partial rescission of thesecond antidumping dutyadministrative review of theantidumping duty order on brake rotorsfrom the People’s Republic of China.See Preliminary Results of Third NewShipper Review and Preliminary Resultsand Partial Rescission of SecondAntidumping Duty AdministrativeReview: Brake Rotors from the People’sRepublic of China, 64 FR 73007(December 29, 1999) (PreliminaryResults). The products covered by thisorder are brake rotors from the People’sRepublic of China. These reviews covernine exporters (see ‘‘Background’’section below for further discussion).The period of review is April 1, 1998,through March 31, 1999.

Based on the additional publiclyavailable information used in these finalresults and the comments received fromthe interested parties, we have madechanges in the margin calculations forall nine exporters. The final weighted-average dumping margins for thereviewed firms are listed below in thesection entitled ‘‘Final Results ofReviews.’’EFFECTIVE DATE: October 30, 2000.FOR FURTHER INFORMATION CONTACT:Brian Smith or Terre Keaton, ImportAdministration, International TradeAdministration, U.S. Department ofCommerce, Washington, DC 20230;telephone: (202) 482–1766 or (202) 482–1280.SUPPLEMENTARY INFORMATION:

The Applicable StatuteUnless otherwise indicated, all

citations to the Tariff Act of 1930, asamended (‘‘the Act’’), are references tothe provisions effective January 1, 1995,

the effective date of the amendmentsmade to the Act by the Uruguay RoundAgreements Act (‘‘URAA’’). In addition,unless otherwise indicated, all citationsto the Department of Commerce’s (‘‘theDepartment’s’’) regulations are to 19CFR Part 351 (2000).

BackgroundThese reviews cover the following

nine exporters: (1) Jilin ProvincialMachinery & Equipment Import &Export Corporation (‘‘Jilin’’); (2) LaizhouAuto Brake Equipments Factory(‘‘LABEF’’); (3) Laizhou Hongda AutoReplacement Parts Co., Ltd. (‘‘LaizhouHongda’’); (4) Longkou HaimengMachinery Co. (‘‘Haimeng’’); (5)Qingdao (Gren) Co. (‘‘GREN’’); (6)Yantai Import & Export Corporation(‘‘Yantai’’); (7) Yantai Winhere Auto-Part Manufacturing Co. (‘‘Winhere’’); (8)Yenhere Corporation (‘‘Yenhere’’); and(9) Zibo Botai Machinery ManufacturingCo. (‘‘Zibo’’). The period of review(POR) is April 1, 1998, through March31, 1999.

On December 29, 1999, theDepartment published in the FederalRegister the preliminary results of thethird new shipper review andpreliminary results and partialrescission of second antidumping dutyadministrative review of theantidumping duty order on brake rotorsfrom the People’s Republic of China(‘‘PRC’’) (64 FR 73007). On March 10,2000, the respondents and the petitionersubmitted publicly availableinformation (‘‘PAI’’) at the Department’srequest. The interested partiessubmitted their case briefs on March 24,2000. Only the petitioner submitted arebuttal brief on March 29, 2000. OnMarch 29, 2000, the Department notifiedthe petitioner and respondents that itintended to conduct verification of theresponses submitted by Jilin, LaizhouHongda, Winhere, and Yenhere.Therefore, in order to accomodate theseverifications, the Department publishedin the Federal Register a notice whichpostponed the final results in thesereviews until October 24, 2000. See



Postponement of Final Results ofAntidumping Duty AdministrativeReview: Brake Rotors from the People’sRepublic of China, 65 FR 19359 (April11, 2000). In June 2000, we conductedverification of the responses submittedby the above-mentioned fourrespondents. In July 2000, we placedadditional PAI on the record andprovided the parties with theopportunity to comment. In July andAugust 2000, we issued the verificationreports.

As a result of our decision to conductverification of the responses submittedby certain companies and postpone thefinal results, we provided the interestedparties with another opportunity tosubmit PAI. The petitioner submittedPAI on August 15, 2000. On August 20,2000, we requested that the petitionerprovide additional import values for sixmaterial inputs for the time periodAugust–December 1998 from the Indiangovernment publication MonthlyStatistics of the Foreign Trade of India(‘‘Monthly Statistics’’). On August 23,2000, we provided the respondents withthe same opportunity. On August 25,2000, the respondents submitted PAIfrom Monthly Statistics for the sixinputs at issue, but the time period ofthe data differed from our request. OnSeptember 1, 2000, we returned the PAIsubmitted by the respondents on August25, 2000. The petitioner submitted itscase brief on September 5, 2000. Therespondents submitted their rebuttalbrief on September 13, 2000.

On October 2, 2000, we placed on therecord additional PAI for electricity andmarine insurance for consideration inthe final results and provided theparties with an opportunity forcomment. Neither party submittedcomments on this additionalinformation.

The Department has conducted thesereviews in accordance with section 751of the Act.

Scope of ReviewsThe products covered by these

reviews are brake rotors made of graycast iron, whether finished,semifinished, or unfinished, ranging indiameter from 8 to 16 inches (20.32 to40.64 centimeters) and in weight from 8to 45 pounds (3.63 to 20.41 kilograms).The size parameters (weight anddimension) of the brake rotors limittheir use to the following types of motorvehicles: Automobiles, all-terrainvehicles, vans and recreational vehiclesunder ‘‘one ton and a half,’’ and lighttrucks designated as ‘‘one ton and ahalf.’’

Finished brake rotors are those thatare ready for sale and installation

without any further operations. Semi-finished rotors are those on which thesurface is not entirely smooth, and haveundergone some drilling. Unfinishedrotors are those which have undergonesome grinding or turning.

These brake rotors are for motorvehicles, and do not contain in thecasting a logo of an original equipmentmanufacturer (‘‘OEM’’) which producesvehicles sold in the United States (e.g.,General Motors, Ford, Chrysler, Honda,Toyota, Volvo). Brake rotors covered inthese reviews are not certified by OEMproducers of vehicles sold in the UnitedStates. The scope also includescomposite brake rotors that are made ofgray cast iron, which contain a steelplate, but otherwise meet the abovecriteria. Excluded from the scope ofthese reviews are brake rotors made ofgray cast iron, whether finished,semifinished, or unfinished, with adiameter less than 8 inches or greaterthan 16 inches (less than 20.32centimeters or greater than 40.64centimeters) and a weight less than 8pounds or greater than 45 pounds (lessthan 3.63 kilograms or greater than20.41 kilograms).

Brake rotors are classifiable undersubheading 8708.39.5010 of theHarmonized Tariff Schedule of theUnited States (‘‘HTSUS’’). Although theHTSUS subheading is provided forconvenience and customs purposes, ourwritten description of the scope of thesereviews is dispositive.

RescissionWe have rescinded the administrative

review with respect to Longjing WalkingTractor Works Foreign Trade Import &Export Corporation (‘‘Longjing’’), ZiboLuzhou Automobile Parts Co. (‘‘ZLAP’’),and Yantai Chen Fu Machinery Co., Ltd.(‘‘Chen Fu’’) because they withdrewtheir requests for review and no otherinterested party requested a review ofthese companies. See PreliminaryResults, 64 FR at 73009.

Analysis of Comments ReceivedAll issues raised in the case briefs are

addressed in the ‘‘Issues and DecisionMemorandum’’ (‘‘Decision Memo’’)from Richard W. Moreland, DeputyAssistant Secretary for ImportAdministration, to Troy Cribb, AssistantSecretary for Import Administration,dated October 24, 2000, which is herebyadopted by this notice. A list of theissues raised, all of which are in theDecision Memo, is attached to thisnotice as an Appendix. Parties can finda complete discussion of all issuesraised in the briefs and thecorresponding recommendations in thispublic memorandum which is on file in

the Central Records Unit, room B–099 ofthe main Department building. Inaddition, a complete version of theDecision Memo can be accessed directlyon the Web at http://ia.ita.doc.gov. Thepaper copy and electronic version of theDecision Memo are identical in content.

Changes Since the Preliminary Results

Based on the use of additional PAIand the comments received from theinterested parties, we have madechanges in the margin calculations forall nine exporters. For a discussion ofthese changes, see the ‘‘MarginCalculations’’ section of the DecisionMemo.

Final Results of Reviews

We determine that the followingweighted-average margin percentagesexist for the period April 1, 1998,through March 31, 1999:

Exporter Margin(percent)

Jilin Provincial Machinery &Equipment Import & ExportCorp ...................................... 0.00

Laizhou Auto Brake Equip-ments Factory ....................... 0.00

Laizhou Hongda Auto Replace-ment Parts Co., Ltd ............... 0.00

Longkou Haimeng MachineryCo .......................................... 1 0.10

Qingdao (Gren) Co ................... 0.69Yantai Import & Export Corp .... 1 0.06Yantai Winhere Auto-Part Man-

ufacturing Co ......................... 0.00Yenhere Corp ........................... 0.00Zibo Botai Machinery Manufac-

turing Co ............................... 0.00

1 De minimis.

Assessment Rates

The Department shall determine, andCustoms shall assess, antidumpingduties on all appropriate entries. Inaccordance with 19 CFR 351.106(c)(2),we will instruct the Customs Service toliquidate without regard to antidumpingduties all entries of subject merchandiseduring the POR from the PRC exportersfor which the import-specificassessment rate is zero or de minimis(i.e., less than 0.50 percent). Inaccordance with 19 CFR 351.212(b), wehave calculated importer-specific advalorem duty assessment rates. We willdirect Customs to assess the resultingpercentage margin against the enteredCustoms values for the subjectmerchandise on each of that importer’sentries under the relevant order duringthe review period. For entries from thePRC non-market economy (‘‘NME’’)entity companies (i.e., PRC exporterswhich are not entitled separate rates),the Customs Service shall assess ad



valorem duties at the PRC-wide rate.Because the PRC-wide entity was notreviewed during this POR, the PRC-wide rate remains that established in theless-than-fair-value investigation. Forentries made by PRC companies forwhich the Department has rescinded theadministrative review (i.e., Chen Fu,Longjing and ZLAP), Customs shallassess ad valorem duties at the ratesapplicable at the time of entry.

Cash Deposit Requirements

The following deposit rates shall berequired for merchandise subject to theorder entered, or withdrawn fromwarehouse, for consumption on or afterthe publication date of these finalresults of administrative and newshipper reviews, as provided by section751(a)(1) of the Act: (1) The cash depositrate for each reviewed company will bethe rate indicated above; (2) the cashdeposit rate for PRC exporters whoreceived a separate rate in a priorsegment of the proceeding but for whomthe Department has rescinded thereview (i.e., Longjing and ZLAP) or ofwhom the review was not requested forthis POR will continue to be the rateassigned in that segment of theproceeding; (3) the cash deposit rate forthe PRC NME entity (i.e., all otherexporters, including Chen Fu, whichhave not been reviewed) will continueto be 43.32 percent; and (4) the cashdeposit rate for non-PRC exporters ofsubject merchandise from the PRC willbe the rate applicable to the PRCsupplier of that exporter. These depositrequirements shall remain in effect untilpublication of the final results of thenext administrative review.

This notice also serves as a finalreminder to importers of theirresponsibility under 19 CFR351.402(f)(2) to file a certificateregarding the reimbursement ofantidumping duties prior to liquidationof the relevant entries during thisreview period. Failure to comply withthis requirement could result in theSecretary’s presumption thatreimbursement of antidumping dutiesoccurred and the subsequent assessmentof doubled antidumping duties.

This notice also serves as the onlyreminder to parties subject toadministrative protective orders (APO)of their responsibility concerning thereturn or destruction of proprietaryinformation disclosed under APO inaccordance with 19 CFR 351.305.Timely written notification of thereturn/destruction of APO materials orconversion to judicial protective order ishereby requested. Failure to complywith the regulations and terms of an

APO is a violation which is subject tosanction.

We are issuing and publishing thisdetermination and notice in accordancewith sections section 751(a)(1) and777(i) of the Act and 19 CFR 351.213.

Dated: October 24, 2000.Troy H. Cribb,Acting Assistant Secretary for ImportAdministration.

Appendix—Issues in Decision Memo

Comments

1. Data from Another Segment of theProceeding

2. Request for Verification3. Applying the Separate Rates Test to

Laizhou Hongda4. Treatment of Laizhou Hongda’s U.S. Sales5. Factor Allocation Methodology Used by

Respondents Which Also Produce Non-Subject Merchandise

6. Considering the Use of SubmittedSurrogate Values

7. Surrogate Value Selection for Plastic Bags8. Calculation of the Surrogate Profit Ratio9. Surrogate Value Selection for Firewood10. Surrogate Value Selection for Labor11. Surrogate Value Selection for Foreign

Inland Freight

[FR Doc. 00–27813 Filed 10–27–00; 8:45 am]BILLING CODE 3510–DS–U



[A–570–848]

Notice of Extension of Time Limit forPreliminary Results of New-ShipperAntidumping Review: FreshwaterCrawfish Tail Meat From the People’sRepublic of China

AGENCY: Import Administration,International Trade Administration,Department of Commerce.EFFECTIVE DATE: October 30, 2000.FOR FURTHER INFORMATION CONTACT:Christian Hughes or Maureen Flannery,Import Administration, InternationalTrade Administration, U.S. Departmentof Commerce, 14th Street andConstitution Avenue, NW., Washington,D.C. 20230; telephone: (202) 482–4106and (202) 482–3020, respectively.

The Applicable Statute

Unless otherwise indicated, allcitations to the Tariff Act of 1930, asamended (the Act) are to the provisionseffective January 1, 1995, the effectivedate of the amendments made to the Actby the Uruguay Round Agreements Act.In addition, unless otherwise indicated,all citations to the Department’sregulations are to 19 CFR part 351(1999).

BackgroundOn June 1, 2000, the Department

published a notice of initiation of newshipper administrative reviews of theantidumping duty order on FreshwaterCrawfish Tail Meat from the People’sRepublic of China, covering the periodSeptember 1, 1999 through February 29,2000 (65 FR 35046). The preliminaryresults are currently due no later thanNovember 21, 2000.

Extension of Time Limit for PreliminaryResults

Because of the complexitiesenumerated in the Memorandum fromBarbara E. Tillman to Joseph A.Spetrini, Extension of Time Limit forthe Preliminary Results of New ShipperReview of Freshwater Crawfish TailMeat from the People’s Republic ofChina, dated October 24, 2000, we findthis case is extraordinarily complicatedand thus are unable to complete thisreview by the scheduled deadline.Therefore, in accordance with section351.214(i)(2) of the Department’sregulations, the Department is extendingthe time period for issuing thepreliminary results of review by 120days (i.e., until March 21, 2001).

Dated: October 24, 2000.Edward C. Yang,Acting Deputy Assistant Secretary, AD/CVDEnforcement Group III.[FR Doc. 00–27811 Filed 10–27–00; 8:45 am]BILLING CODE 3510–DS–P



[A–588–810]

Mechanical Transfer Presses FromJapan: Extension of Time Limit forPreliminary Results of AntidumpingAdministrative Review

AGENCY: Import Administration,International Trade Administration,Department of Commerce.ACTION: Notice of extension of time limitfor preliminary results of administrativereview.

EFFECTIVE DATE: October 30, 2000.FOR FURTHER INFORMATION CONTACT:Mark Hoadley, AD/CVD Enforcement,Import Administration, InternationalTrade Administration, U.S. Departmentof Commerce, 14th Street andConstitution Avenue, NW., WashingtonDC 20230; telephone: (202)482–0666.

The Applicable Statute

Unless otherwise indicated, allcitations to the statute are references to



1 See August 22, 2000, Memoranda for Jeffrey A.May, Re: Oil Country Tubular Goods (‘‘OCTG’’)from Mexico; Adequacy of Respondent InterestedParties’ Response to the Notice of Initiation.

the provisions effective January 1, 1995,the effective date of the amendmentsmade to the Tariff Act of 1930 (the Act)by the Uruguay Round Agreements Act.In addition, unless otherwise indicated,all citations to the Department’sregulations are to the currentregulations, codified at 19 CFR part 351(1999).

BackgroundOn February 29, 2000, the Department

of Commerce (the Department) receiveda request from Komatsu, Ltd. (Komatsu)for an administrative review of theantidumping duty order on mechanicaltransfer presses from Japan. On March30, 2000, the Department published anotice of initiation of this administrativereview covering the period of February1, 1999 through January 31, 2000 (65 FR16875).

Extension of Time Limits forPreliminary Results

Because of the complexitiesenumerated in the Memorandum fromBarbara E. Tillman to Joseph A.Spetrini, Extension of Time Limit for theAdministrative Review of MechanicalTransfer Presses from Japan, datedOctober 24, 2000, it is not practicable tocomplete this review within the timelimits mandated by section 751(a)(3)(A)of the Act.

Therefore, in accordance with section751(a)(3)(A), the Department isextending the time limits for thepreliminary results to February 28,2001. The final results continue to bedue 120 days after the publication of thepreliminary results.

Dated: October 24, 2000.Edward C. Yang,Acting Deputy Assistant Secretary, AD/CVDEnforcement Group III.[FR Doc. 00–27814 Filed 10–27–00; 8:45 am]BILLING CODE 3510–DS–P



[A–201–817]

Oil Country Tubular Goods (‘‘OCTG’’)From Mexico; Preliminary Results ofSunset Review of Antidumping DutyOrder

AGENCY: Import Administration,International Trade Administration,Department of Commerce.ACTION: Notice of Preliminary Results ofFull Sunset Review: Oil CountryTubular Goods (‘‘OCTG’’) from Mexico.

SUMMARY: On July 3, 2000, theDepartment of Commerce (‘‘the

Department’’) initiated a sunset reviewof the antidumping duty order on oilcountry tubular goods (‘‘OCTG’’) fromMexico (65 FR 41053) pursuant tosection 751(c) of the Tariff Act of 1930,as amended (‘‘the Act’’). On the basis ofsubstantive responses filed by domesticand respondent interested parties, theDepartment determined to conduct afull review. As a result of this review,the Department preliminarily finds thatrevocation of the antidumping dutyorder would likely lead to continuationor recurrence of dumping at the levelsindicated in the Preliminary Results ofReview section of this notice.EFFECTIVE DATE: October 30, 2000.FOR FURTHER INFORMATION CONTACT: JohnP. Maloney, Jr. or James P. Maeder,Office of Policy for ImportAdministration, International TradeAdministration, U.S. Department ofCommerce, 14th Street and ConstitutionAvenue, NW., Washington, DC 20230;telephone: (202) 482–1503 or (202) 482–3330, respectively.SUPPLEMENTARY INFORMATION:

Statute and Regulations

Unless otherwise indicated, allcitations to the Act are references to theprovisions effective January 1, 1995, theeffective date of the amendments madeto the Act by the Uruguay RoundAgreements Act (‘‘URAA’’). In addition,unless otherwise indicated, all citationsto the Department regulations are to 19CFR Part 351 (2000). Guidance onmethodological or analytical issuesrelevant to the Department’s conduct ofsunset reviews is set forth in theDepartment’s Policy Bulletin 98.3—Policies Regarding the Conduct of Five-Year (‘‘Sunset’’) Reviews ofAntidumping and Countervailing DutyOrders; Policy Bulletin, 63 FR 18871(April 16, 1998) (‘‘Sunset PolicyBulletin’’).

Background

On July 3, 2000, the Departmentinitiated a sunset review of theantidumping duty order on OCTG fromMexico (65 FR 41053), pursuant tosection 751(c) of the Act. TheDepartment received a notice of intentto participate on behalf of U.S. SteelGroup, a unit of USX Corporation, NorthStar Steel Ohio, IPSCO Tubulars, Inc.,Lone Star Steel Company, MaverickTube Corporation, Newport Steel andKoppel Steel Divisions of NS Group,and Grant-Prideco (‘‘domestic interestedparties’’), within the applicable deadline(July 18, 2000) specified in section351.218(d)(1)(i) of the SunsetRegulations. On August 2, 2000,respondent interested parties Tubos de

Acero de Mexico, S.A. (‘‘TAMSA’’) andHylsa, S.A. de C.V. (‘‘Hylsa’’) notifiedthe Department of their intent toparticipate in this review. Domesticinterested parties claimed interested-party status under section 771(9)(C) ofthe Act, as the U.S. producers of adomestic like product; TAMSA andHylsa are interested parties pursuant tosection 771(9)(A) of the Act as foreignproducers and exporters of subjectmerchandise.

On August 2, 2000, we receivedcomplete substantive responses fromdomestic interested parties, within the30-day deadline specified in the SunsetRegulations under section351.218(d)(3)(i). On August 2, 2000, wereceived complete substantive responsesfrom TAMSA and Hylsa. TheDepartment received rebuttal commentsfrom domestic interested parties onAugust 7, 2000. On August 22, 2000,pursuant to 19 CFR 351.218 (e)(2), theDepartment determined to conduct afull (240-day) sunset review of thisorder.1

Scope of Review

Imports covered by this review are oilcountry tubular goods, hollow steelproducts of circular cross-section,including oil well casing, tubing, anddrill pipe, of iron (other than cast iron)or steel (both carbon and alloy), whetherseamless or welded, whether or notconforming to American PetroleumInstitute (API) or non-APIspecifications, whether finished orunfinished (including green tubes andlimited service OCTG products). Thisscope does not cover casing, tubing, ordrill pipe containing 10.5 percent ormore of chromium. The OCTG subject tothis review are currently classified inthe Harmonized Tariff Schedule of theUnited States (HTSUS) under itemnumbers: 7304.21.30.00, 7403.21.60.00,7304.29.10.10, 7304.29.10.20,7304.29.10.30, 7304.29.10.40,7304.29.10.50, 7304.29.10.60,7304.29.10.80, 7304.29.20.10,7304.29.20.20, 7304.29.20.30,7304.29.20.40, 7304.29.20.50,7304.29.20.60, 7304.29.20.80,7304.29.30.10, 7304.29.30.20,7304.29.30.30, 7304.29.30.40,7304.29.30.50, 7304.29.30.60,7304.29.30.80, 7304.29.40.10,7304.29.40.20, 7304.29.40.30,7304.29.40.40, 7304.29.40.50,7304.29.40.60, 7304.29.40.80,7304.29.50.15, 7304.29.50.30,7304.29.50.45, 7304.29.50.60,



7304.29.50.75, 7304.29.60.15,7304.29.60.30, 7304.29.60.45,7304.29.60.60, 7304.29.60.75,7305.20.20.00, 7305.20.40.00,7305.20.60.00, 7305.20.80.00,7306.20.10.30, 7306.20.10.90,7306.20.20.00, 7306.20.30.00,7306.20.40.00, 7306.20.60.10,7306.20.60.50, 7306.20.80.10, and7306.20.80.50.

Although the HTSUS subheadings areprovided for convenience and customspurposes, our written description of thescope of this proceeding is dispositive.The Department has determined thatcouplings, and coupling stock, are notwithin the scope of the antidumpingorder on OCTG from Mexico. See Letterto Interested Parties; Final AffirmativeScope Decision, August 27, 1998.

Analysis of Comments ReceivedAll issues raised in the substantive

responses and rebuttal briefs by partiesto this sunset review are addressed inthe ‘‘Issues and Decision Memorandum’’(‘‘Decision Memo’’) from Jeffrey A. May,Director, Office of Policy, ImportAdministration, to Troy H. Cribb, ActingAssistant Secretary for ImportAdministration, dated October 23, 2000,which is hereby adopted andincorporated by reference into thisnotice. The issues discussed in theattached Decision Memo include thelikelihood of continuation or recurrenceof dumping and the magnitude of themargin likely to prevail were the orderrevoked. Parties can find a completediscussion of all issues raised in thisreview and the correspondingrecommendations in this publicmemorandum which is on file in theCentral Records Unit, room B–099, ofthe main Commerce building.

In addition, a complete version of theDecision Memo can be accessed directlyon the Web at www.ita.doc.gov. Thepaper copy and electronic version of theDecision Memo are identical in content.

Preliminary Results of ReviewWe preliminarily determine that

revocation of the antidumping dutyorder on OCTG from Mexico would belikely to lead to continuation orrecurrence of dumping at the followingpercentage weighted-average margins:

Manufacturers/exporters Margin(percent)

TAMSA ..................................... 21.70Hylsa ......................................... 21.70All Others .................................. 21.70

Any interested party may request ahearing within 30 days of publication ofthis notice in accordance with 19 CFR351.310(c). Any hearing, if requested,

will be held on December 18, 2000, inaccordance with 19 CFR 351.310(d).Interested parties may submit case briefsno later than December 11, 2000, inaccordance with 19 CFR351.309(c)(1)(i). Rebuttal briefs, whichmust be limited to issues raised in thecase briefs, may be filed not later thanDecember 15, 2000. The Departmentwill issue a notice of final results of thissunset review, which will include theresults of its analysis of issues raised inany such briefs, no later than February28, 2001.

This five-year (‘‘sunset’’) review andnotice are in accordance with sections751(c), 752, and 777(i)(1) of the Act.

Dated: October 23, 2000.Troy H. Cribb,Acting Assistant Secretary for ImportAdministration.[FR Doc. 00–27810 Filed 10–27–00; 8:45 am]BILLING CODE 3510–DS–P



[C–475–817]

Oil Country Tubular Goods From Italy;Preliminary Results of Sunset Reviewof Countervailing Duty Order

AGENCY: Import Administration,International Trade Administration,Department of Commerce.ACTION: Notice of preliminary results offull Sunset Review: oil country tubulargoods from Italy.

SUMMARY: On July 3, 2000, theDepartment of Commerce (‘‘theDepartment’’) initiated a sunset reviewof the countervailing duty order on oilcountry tubular goods (‘‘OCTG’’) fromItaly (65 FR 41053) pursuant to section751(c) of the Tariff Act of 1930, asamended (‘‘the Act’’). On the basis ofsubstantive responses filed by domesticand respondent interested parties, theDepartment determined to conduct afull review. As a result of this review,the Department preliminarily finds thatrevocation of the countervailing dutyorder would likely lead to continuationor recurrence of subsidies at the levelsindicated in the Preliminary Results ofReview section of this notice.EFFECTIVE DATE: October 30, 2000.FOR FURTHER INFORMATION CONTACT: JohnP. Maloney, Jr. or James Maeder, Officeof Policy for Import Administration,International Trade Administration,U.S. Department of Commerce, 14thStreet and Constitution Avenue, NW.,Washington, DC 20230; telephone: (202)

482–1503 or (202) 482–3330,respectively.


Statute and Regulations

This review is being conductedpursuant to sections 751(c) and 752 ofthe Act. The Department’s proceduresfor the conduct of sunset reviews are setforth in Procedures for Conducting Five-Year (‘‘Sunset’’) Reviews ofAntidumping and Countervailing DutyOrders, 63 FR 13516 (March 20, 1998)(‘‘Sunset Regulations’’) and in 19 CFRpart 351 (2000) in general. Guidance onmethodological or analytical issuesrelevant to the Department’s conduct ofsunset reviews is set forth in theDepartment’s Policy Bulletin 98.3—Policies Regarding the Conduct of Five-Year (‘‘Sunset’’) Reviews ofAntidumping and Countervailing DutyOrders; Policy Bulletin, 63 FR 18871(April 16, 1998) (‘‘Sunset PolicyBulletin’’).

Background

On July 3, 2000, the Departmentinitiated a sunset review of thecountervailing duty order on oil countrytubular goods from Italy (65 FR 41053),pursuant to section 751(c) of the TariffAct of 1930, as amended, (‘‘the Act’’).The Department received a notice ofintent to participate on behalf of U.S.Steel Group, a unit of USX Corporation,IPSCO Tubulars, Inc., Lone Star SteelCompany, Maverick Tube Corporation,Newport Steel and Koppel SteelDivisions of NS Group, Grant-Prideco,and North Star Steel Ohio (collectively,‘‘domestic interested parties’’), withinthe applicable deadline (July 18, 2000)specified in section 351.218(d)(1)(i) ofthe Sunset Regulations. Domesticinterested parties claimed interested-party status under section 771(9)(C) ofthe Act, as U.S. manufacturers of thedomestic like product. U.S. Steel Group,IPSCO Steel, Inc., Maverick TubeCorporation, Koppel Steel Corporation,and North Star Steel Ohio werepetitioners in the investigation and havebeen involved in this proceeding sinceits inception.

On August 1, 2000, we received aresponse from the European UnionDelegation of the European Commission(‘‘EC’’) expressing its willingness toparticipate in this review as theauthority responsible for defending theinterest of the Member States of theEuropean Union (‘‘EU’’) (see August 1,2000, Response of the EC at 3). OnAugust 1, 2000, we received a responsefrom the Government of Italy (‘‘GOI’’)expressing its willingness to participatein this review as the authority



1 See August 22, 2000, Memorandum for JeffreyA. May, Re: Oil Country Tubular Goods from Italy;Adequacy of Respondent Interested Parties’Response to the Notice of Initiation.

responsible for defending the interestsof the Italian steel industry. The GOIand EC note that they have in the pastparticipated in this proceeding (seeAugust 1, 2000, Response of the EC at3, and the August 1, 2000, Response ofthe GOI at 2).

On August 2, 2000, we receivedcomplete substantive responses fromdomestic interested parties, within the30-day deadline specified in the SunsetRegulations under section351.218(d)(3)(i), and a completesubstantive response from DalmineS.p.A. (‘‘Dalmine’’), a foreign producerand exporter of the subject merchandise,and a respondent interested party undersection 771(9)(A) of the Act.

We received rebuttal comments fromdomestic interested parties andDalmine, on August 7, 2000. Pursuant to19 CFR 351.218 (e)(2)(i), the Departmentdetermined to conduct a full (240-day)sunset review of this order.1

Scope of Review

The merchandise covered by thisreview is OCTG, hollow steel productsof circular cross-section, including onlyoil well casing and tubing pipe, of iron(other than cast iron) or steel (bothcarbon and alloy), whether seamless orwelded, whether or not conforming toAmerican Petroleum Institute (API) ornon-API specifications, whetherfinished or unfinished (including greentubes and limited service OCTGproducts). This scope does not covercasing or tubing pipe containing 10.5percent or more of chromium, or drillpipe. The OCTG subject to this order arecurrently classified in the HarmonizedTariff Schedule of the United States(HTSUS) under item numbers:7304.20.10.10, 7304.20.10.20,7304.20.10.30, 7304.20.10.40,7304.20.10.50, 7304.20.10.60,7304.20.10.80, 7304.20.20.10,7304.20.20.20, 7304.20.20.30,7304.20.20.40, 7304.20.20.50,7304.20.20.60, 7304.20.20.80,7304.20.30.10, 7304.20.30.20,7304.20.30.30, 7304.20.30.40,7304.20.30.50, 7304.20.30.60,7304.20.30.80, 7304.20.40.10,7304.20.40.20, 7304.20.40.30,7304.20.40.40, 7304.20.40.50,7304.20.40.60, 7304.20.40.80,7304.20.50.15, 7304.20.50.30,7304.20.50.45, 7304.20.50.60,7304.20.50.75, 7304.20.60.15,7304.20.60.30, 7304.20.60.45,7304.20.60.60, 7304.20.60.75,7305.20.20.00, 7305.20.40.00,

7305.20.60.00, 7305.20.80.00,7306.20.10.30, 7306.20.10.90,7306.20.20.00, 7306.20.30.00,7306.20.40.00, 7306.20.60.10,7306.20.60.50, 7306.20.80.10, and7306.20.80.50. Although the HTSUSsubheadings are provided forconvenience and customs purposes, ourwritten description of the scope of thisproceeding is dispositive.

Analysis of Comments ReceivedAll issues raised in the substantive

responses and rebuttals by parties tothis sunset review are addressed in the‘‘Issues and Decision Memorandum’’(‘‘Decision Memo’’) from Jeffrey A. May,Director, Office of Policy, ImportAdministration, to Troy H. Cribb, ActingAssistant Secretary for ImportAdministration, dated October 23, 2000,which is hereby adopted by this notice.The issues discussed in the attachedDecision Memo include the likelihoodof continuation or recurrence ofcountervailable subsidies and the netsubsidy likely to prevail were the orderrevoked. Parties can find a completediscussion of all issues raised in thisreview and the correspondingrecommendations in this publicmemorandum which is on file in theCentral Records Unit, room B–099, ofthe main Commerce building.

In addition, a complete version of theDecision Memo can be accessed directlyon the Web at www.ia.ita.doc.gov/frn,under the heading ‘‘Italy.’’ The papercopy and electronic version of theDecision Memo are identical in content.

Preliminary Results of ReviewWe preliminarily determine that

revocation of the countervailing dutyorder on oil country tubular goods fromItaly would be likely to lead tocontinuation or recurrence ofcountervailable subsidies at the ratelisted below:

Producers/exporters

Netcountervailable

subsidy(percent)

All Producers/exporters fromItaly ................................... 1.47

Any interested party may request ahearing within 30 days of publication ofthis notice in accordance with 19 CFR351.310(c). Any hearing, if requested,will be held on December 18, 2000, inaccordance with 19 CFR 351.310(d).Interested parties may submit case briefsno later than December 11, 2000, inaccordance with 19 CFR351.309(c)(1)(i). Rebuttal briefs, whichmust be limited to issues raised in thecase briefs, may be filed not later than

December 15, 2000. The Departmentwill issue a notice of final results of thissunset review, which will include theresults of its analysis of issues raised inany such briefs, no later than February28, 2001.

This five-year (‘‘sunset’’) review andnotice are in accordance with sections751(c), 752, and 777(i)(1) of the Act.

Dated: October 23, 2000.Troy H. Cribb,Acting Assistant Secretary for ImportAdministration.[FR Doc. 00–27809 Filed 10–27–00; 8:45 am]BILLING CODE 3510–DS–P



Closed Meeting of the U.S. AutomotiveParts Advisory Committee (APAC)

AGENCY: International TradeAdministration, Commerce.ACTION: Notice.

SUMMARY: The APAC will have a closedmeeting on November 13, 2000, at theU.S. Department of Commerce todiscuss U.S.-made automotive partssales in Japanese and other Asianmarkets.

DATES: November 13, 2000.FOR FURTHER INFORMATION CONTACT: Dr.Robert Reck, U.S. Department ofCommerce, Room 4036, Washington, DC20230, telephone: 202–482–1418.SUPPLEMENTARY INFORMATION: The U.S.Automotive Parts Advisory Committee(the ‘‘Committee’’) advises U.S.Government officials on matters relatingto the implementation of the Fair Tradein Automotive Parts Act of 1998 (PublicLaw 105–261).

The Committee: (1) Reports to theSecretary of Commerce on barriers tosales of U.S.-made automotive parts andaccessories in Japanese and other Asianmarkets; (2) reviews and considers datacollected on sales of U.S.-made autoparts and accessories in Japanese andother Asian markets; (3) advises theSecretary of Commerce duringconsultations with other Governmentson issues concerning sales of U.S.-madeautomotive parts in Japanese and otherAsian markets; (4) assists in establishingpriorities for the initiative to increasesales of U.S.-made auto parts andaccessories to Japanese markets, andotherwise provide assistance anddirection to the Secretary of Commercein carrying out the intent of that section;and (5) assists the Secretary ofCommerce in reporting to Congress bysubmitting an annual written report to



the Secretary on the sale of U.S.-madeautomotive parts in Japanese and otherAsian markets, as well as any otherissues with respect to which theCommittee provides advice pursuant toits authorizing legislation.

At the meeting, committee memberswill discuss specific trade and salesexpansion programs related toautomotive parts trade policy betweenthe United States and Japan and otherAsian markets.

The Assistant Secretary forAdministration, with the concurrence ofthe General Counsel formallydetermined on October 23, 2000,pursuant to section 10(d) of the FederalAdvisory Committee Act, as amended,that the November 13 meeting of theCommittee and of any subcommitteethereof, dealing with privileged orconfidential commercial informationmay be exempt from the provisions ofthe Act relating to open meeting andpublic participation therein becausethese items are concerned with mattersthat are within the purview of 5 U.S.C.552b(c)(4) and (9)(B). A copy of theNotice of Determination is available forpublic inspection and copying in theDepartment of Commerce RecordsInspection Facility, Room 6020, MainCommerce.

Dated: October 25, 2000.Robert O. Reck,Acting Director, Office of Automotive Affairs.[FR Doc. 00–27806 Filed 10–27–00; 8:45 am]BILLING CODE 3510–DR–P



[I.D. 050500F]

Taking of Threatened or EndangeredMarine Mammals Incidental toCommercial Fishing Operations;Issuance of Permit

AGENCY: National Marine FisheriesService (NMFS), National Oceanic andAtmospheric Administration (NOAA),Commerce.ACTION: Notice of issuance of permit.

SUMMARY: NMFS hereby issues a permitfor a period of 3 years, to authorize theincidental, but not intentional, taking offour stocks of threatened or endangeredmarine mammals by the California/Oregon (CA/OR) drift gillnet fishery.The four stocks are: fin whale,California/Oregon/Washington stock;humpback whale, California/Oregon/Washington-Mexico stock; Steller sealion, eastern stock; and sperm whale,

California/Oregon/Washington stock.This authorization is based on adetermination that this incidental takewill have a negligible impact on theaffected marine mammal stocks.DATES: This permit is was issued onOctober 24, 2000, and is effectivethrough October 24, 2003.ADDRESSES: Copies of the referencematerials and EnvironmentalAssessment (EA) may be obtained fromProtected Resources Division, NationalMarine Fisheries Service, SouthwestRegion, 501 West Ocean Blvd., Suite4200, Long Beach, CA 90802-4213.Attention: Tim Price.FOR FURTHER INFORMATION CONTACT: TimPrice, NMFS, Southwest Region,Protected Resources Division, (562) 980-4029.SUPPLEMENTARY INFORMATION: Section101(a)(5)(E) of the Marine MammalProtection Act (MMPA) (16 U.S.C.1371(a)(5)(E)) requires the authorizationof the incidental taking of individualsfrom marine mammal stocks listed asthreatened or endangered under theEndangered Species Act (ESA) in thecourse of commercial fishing operationsif NMFS determines that (1) theincidental mortality and serious injurywill have a negligible impact on theaffected species or stock; (2) a recoveryplan has been developed or is beingdeveloped for such species or stockunder the ESA; and (3) where requiredunder section 118 of the MMPA, amonitoring program has beenestablished, vessels engaged in suchfisheries are registered in accordancewith section 118 of the MMPA, and atake reduction plan has been developedor is being developed for such speciesor stock.

On June 6, 2000 (65 FR 35904), NMFSproposed the issuance of a permit, for aperiod of 3 years, to authorize theincidental, but not intentional, taking offour stocks of threatened or endangeredmarine mammals by the CA/OR driftgillnet fishery under section 101(a)(5)(E)of the MMPA.

Four letters of comment were receivedconcerning the proposal for issuance ofa permit. All of these letters were inopposition to the issuance of a permit.

Comment 1: Two commentersrequested that the comment period beextended to provide additional time toprepare a detailed response.

Response: NMFS believes that a 45-day comment period was sufficient timefor public comment and is consistentwith the process established at 50 CFR229.20 for issuance of a permit toauthorize the incidental take ofthreatened or endangered marine

mammals species under section101(a)(5)(E) of the MMPA.

Comment 2: One commenter felt thata permit should not be issued if thepermit would allow the incidentaltaking of threatened or endangeredspecies under the ESA.

Response: Under section 101(a)(5)(E)of the MMPA, the Secretary ofCommerce (Secretary) must allow theincidental, but not intentional, taking ofmarine mammals from a species or stockdesignated as depleted because of itslisting as an endangered or threatenedspecies under the ESA if the Secretarydetermines that the incidental mortalityand serious injury from commercialfisheries will have a negligible impacton such species or stock, that a recoveryplan has been developed or is beingdeveloped, and that the provisions ofsection 118 are being met. The Secretarycannot refuse to issue a permit undersection 101(a)(5)(E) if the conditions setforth in the MMPA have been met.

Comment 3: One commenter statedthat NMFS should not issue a101(a)(5)(E) permit to the CA/OR driftgillnet fishery because there isincidental take of sperm whales, marlin,skipjack tuna, and blue sharks.

Response: The potential biologicalremoval (PBR) level for the California/Oregon/Washington sperm whale stockis 2.0 whales per year. The CA/OR driftgillnet fishery is the only fishery likelyto incidentally take a sperm whale fromthis stock. Using a 3-year average (1997-1999), the mean annual mortality andserious injury rate from the CA/OR driftgillnet fishery is estimated to be 1.7sperm whales. In 1998, one spermwhale was observed killed in a net thatwas not in compliance with the PacificOffshore Cetacean Take Reduction Plan(Plan) developed for the CA/OR driftgillnet fishery. The Pacific OffshoreCetacean Take Reduction Team (Team)recommended no further strategies toreduce sperm whale entanglements beimplemented until the effectiveness ofpingers is better understood. Theestimated annual mortality using a 3-year average is less than PBR and wouldcause no more than a 10-percentincrease in the time needed to achieverecovery. NMFS has determined that anactivity that slows the rate of recoveryof depleted marine mammals to pre-exploitation levels by no more than 10-percent delay is considered a‘‘negligible impact’’ for purposes ofissuing a permit under section101(a)(5)(E) of the MMPA. Theincidental taking of marlin, skipjacktunas, and blue shark is not relevant tothe determination about issuing apermit under section 101(a)(5)(E) of the



MMPA, which addresses only marinemammals listed under the ESA.

Comment 4: One commenterindicated that NMFS is abandoning itscurrent formula for determining the‘‘negligible impact’’ threshold in favorof a calculation that substantiallydecreases protection and increases risksfor listed species.

Response: The new approach fordetermining negligible impact isconsistent with the guidelines preparedby the Marine Mammal Commission(Commission), and submitted to NMFSin 1990 to be used in its developmentof a regime to govern the mortality andserious injury of marine mammalsincidental to commercial fishingoperations. In the guidelines, theCommission stated that a negligibleimpact would cause no more than a 10-percent delay in a severely depletedstock’s recovery. This commentercorrectly notes that the criterion thedetermination used as an initialestimate of the negligible impactthreshold is different than that used in1995 when permits under MMPAsection 101(a)(5)(E) were issued for thefirst time. While this new approach maybe slightly less conservative than theapproach used in 1995, the approachdoes not significantly affect the recoveryrate of the stock.

Comment 5: By allowing fisheriesrelated mortality up to 100 percent ofthe PBR level, the proposal essentiallyrenders the margin of safety created bythe recovery factor meaningless and,thereby, reduces protection for listedspecies.

Response: The approach used in thisnegligible impact determination couldauthorize the mortality and seriousinjury to equal the PBR level of somestocks of marine mammals (i.e., thosestocks with a recovery factor of 0.1 inthe PBR equation) and does reduceprotection as compared to the extremelyconservative approach previously used.The protection, although reduced fromthe former approach (10 percent ofPBR), is appropriate for the stocksinvolved and is consistent with theCommission’s recommendation toNMFS for a quantitative estimate fornegligible impact. The legislativeproposal that NMFS submitted toCongress in 1992 adopted theCommission’s recommendation of 10percent delay in recovery in a statementthat 90 percent of an endangered marinemammal stock’s annual productionshould be reserved for recovery and thatonly 10 percent should be authorizedfor removal incidental to humanactivity. Intensive simulation modelingof marine mammal populations showedno more than a 10-percent delay in

recovery would result when human-caused mortality was below a thresholddefined by one-tenth of the product ofthe stock’s minimum populationestimate (Nmin) and one-half of itsmaximum net productivity rate (1/2Rmax) (i.e., 0.1 * Nmin * 1/2 Rmax).Such a threshold is the equivalent of astock’s PBR when calculated with arecovery factor of 0.1. When applyingthe former criterion (10 percent of PBR)to a stock with a recovery factor of 0.1in the PBR equation, the result could bean order of magnitude more restrictivethan is necessary to achieve the statedgoal of negligible impact. As in thedeterminations for the 1995 permit,NMFS uses this threshold as a startingpoint in the determination, rather thana mechanical application of a generalformula, to ensure that the incidentalmortality and serious injury wouldcause no more than a negligible impact.

Comment 6: One commentersuggested that it was inappropriate andscientifically unsound to issue permitsfor increased takings of federally listedmarine mammal species based on sucha small sample size and limited amountof monitoring data (low observercoverage) obtained sinceimplementation of the Plan.

Response: NMFS disagrees. Theissuance of a permit to allow for thetaking of marine mammal species listedunder the ESA does not authorize anincrease in taking. The issuance of apermit authorizes the fishery to lawfullytake species listed under the ESAprovided the incidental taking isnegligible. Observer coverage for 1997(the effective date of the Plan wasOctober 30, 1997), 1998, and 1999, hasaveraged 20 percent. Twenty-percentobserver coverage is consideredadequate for estimating protectedspecies interactions in the CA/OR driftgillnet fishery. During this time, therewas only one sperm whale observedtaken, and this take was in a net thatwas not equipped with ‘‘pingers’’(acoustic deterrent devices) and thuswas not deployed in compliance withthe Plan. More importantly, overallcetacean mortality has decreased for setsin which pingers are used.

Comment 7: One commenterindicated that a permit should not beissued because the sperm whale takesfrom the Mexican drift gillnet fisherywere not considered.

Response: NMFS disagrees. The CA/OR drift gillnet fishery takes spermwhales from the California/Oregon/Washington stock. For managementpurposes, this stock does not includeanimals of the Mexican sperm whalepopulation. Although large populationsof sperm whales exist in waters south of

the California/Oregon/Washingtonregion, there is no evidence of spermwhale movements into this region.Moreover, NMFS understands thatMexican fishermen have converted theirdrift gillnet fleet along Baja California tolongline vessels.

Comment 8: One commenter notedthat the 1999 Stock Assessment Report(SAR) for sperm whales calculated anincidental mortality by the fishery of 4.6animals per year, using a 5-year average,and the draft 2000 SAR calculated amean annual take of 2.5 whales, using1997 and 1998 data, which is greaterthan the calculated PBR level. Thecommenter also stated that the use ofonly 2 years of data is problematic,given the small sample size and the lowlevel of observer coverage.

Response: NMFS disagrees. To moreaccurately reflect entanglement ratesafter the implementation of the Plan(minimum 6-fathom extenders, skippereducation workshops, and the use ofpingers), the Scientific Review Group(SRG), which consists of independent(non-Federal) individuals with expertisein population dynamics and modeling,recommended that mortality averagingshould use data from 1997 (the year thePlan was implemented) and beyond (upto 5 years). The data presented in the1999 SARs were collected before thePlan was implemented. Therefore, forall marine mammal species incidentallytaken in the fishery, mean annualmortality estimates in the SARs will usedata collected since the implementationof the Plan. At the time that the draft2000 SARs were prepared, NMFS hadonly 2 years of observer data availableto estimate mean annual mortalitysubsequent to the implementation of thePlan. By including the 1999 observerdata to calculate the mean annualmortality for the fishery, NMFS is usingthe best scientific information availableto estimate mortality under the Plan.NMFS agrees that 5 years of datacollected under the Plan will provide agreater precision for the mortalityestimate. In addition, NMFS believesthat a 20-percent observer coverage issufficient to provide an appropriatelevel of accuracy for calculating overallmortality estimates.

Comment 9: One commenterindicated that, because the use ofpingers is one of the primary measuresfor reducing take under the Plan, NMFSshould include the observed spermwhale that was entangled in 1996,before the implementation of the Plan,because pingers were attached to the netduring the set.

Response: NMFS disagrees. Althoughthe sperm whale was taken in a set inwhich pingers were attached, the pinger



configuration did not comply with thePlan. Under the Plan, a net 1,000fathoms long is required to have 41pingers attached alternating between thefloatline and the leadline, spaced 300feet (50 fathoms) apart. The spermwhale observed taken in 1996 was in aset in which the net had only 33 pingersattached. Moreover, the SRGrecommended that using 1997 and 1998data would be most appropriate becausethe data would most accurately reflectentanglement rates after the changes inthe fishery imposed by the Plan, eventhough the data are inconclusive aboutwhether pingers affect sperm whaleentanglement rates. The group agreedthe same 2-year mortality averagingshould be applied consistently inestimating mean annual mortality for allspecies incidentally taken in the CA/ORdrift gillnet fishery when preparing the2000 Marine Mammal SAR.

Comment 10: One commenter felt thatbecause calendar year 1996 had 12.4-percent observer coverage, the estimatedincidental take of sperm whales in 1996should be 8. Using this assumption, thecommenter calculated the mean annualtake level for calendar years 1997, 1998,and 1999, to be 3.25, which is greaterthan the PBR level of two animals peryear in the 2000 draft U.S. PacificMarine Mammal SAR.

Response: NMFS disagrees. Duringthe last 5 months (August throughDecember) of 1996, NMFS’s observerprogram conducted a pingerexperiment. As part of the experiment,sets were randomly selected to havepingers attached to the floatline andleadline of the net. Because only vesselsthat carried an observer participated inthe experiment, mortality estimation forthe fleet was based on the number ofobserved sets that did not have pingersattached to the net. The number ofobserved sets without pingers attachedto the net used for estimation was 275,which represents overall fleet observercoverage of 8.5 percent. Mortalityobserved for sets using pingers wastreated as a constant and added toestimates of mortality for sets not usingpingers. Estimates were determined inthis way because preliminary resultsindicated use of pingers may decreasecetacean entanglement. If a species wastaken in sets deployed with pingers, butnot in sets without pingers, the resultantmortality was a constant without anassociated standard error such as thesingle sperm whale entanglement. Forthis reason, the sperm whale estimatedmortality in 1996 was one, rather thaneight, as suggested by the commenter.

Comment 11: One commenterquestioned whether a permit could beissued under section 101(a)(5)(E) of the

MMPA because there is insufficientevidence to support NMFS’determination that the California/Oregon/Washington sperm whale stockis stable because of the uncertainty ofthe data.

Response: NMFS disagrees. Althoughthe draft 2000 U.S. Pacific MarineMammal SAR does not explicitly statethat the population is stable orincreasing, the report indicates that theCalifornia/Oregon/Washington spermwhale population has been variablepossibly because sperm whaledistribution in these waters may varyannually. This variability does not meanthat the population is decreasing, butrather the trend is not obvious. Inaddition, there is evidence thatindicates the sperm whale populationabundance estimate is an underestimateof true abundance because recentstudies suggest sperm whale group sizesmay have been underestimated on pastline-transect surveys. Furthermore,because a recovery factor of 0.1 is usedfor the California/Oregon/Washingtonsperm whale stock, a proportion of theexpected net production is allocatedtowards population growth andcompensates for uncertainties thatmight prevent population recovery,such as biases in the estimation of theminimum population size andmaximum growth rates, or errors in thedetermination of stock structure.Therefore, the uncertainty in theabundance estimate is considered whencalculating the PBR value.

Comment 12: One commenterquestioned whether a permit could beissued before a sperm whale recoveryplan has been circulated for publicreview.

Response: Section 101(a)(5)(E) of theMMPA requires that ‘‘a recovery planhas been developed or is beingdeveloped.’’ There currently is arecovery plan being developed for thesperm whale although the draft has notbeen finalized yet or circulated forpublic review.

Comment 13: One commenterquestioned the incidental takecalculations derived for the humpbackwhale because the calculations do notinclude take estimates for the Californiasalmon troll fishery or for the Mexicanfisheries.

Response: Under section 101(a)(5)(E),NMFS is required to determine whetherthe incidental mortality and seriousinjury by commercial fisheries will havea negligible impact on a species or stocklisted as threatened or endangeredunder the ESA. In analyzing the impactof commercial fisheries on humpbackwhales, NMFS did not include thehumpback whale snagged by a central

California salmon troller because theinteraction was classified as an injury,rather than a serious injury or mortality.In addition, because the California/Oregon/Washington - Mexico humpbackwhale stock spends approximately halfof its time outside the U.S. EEZ(Mexican waters), the PBR for U.S.waters is only half of the overall PBR forthe stock, which is intended to accountfor the amount of time the stock spendsoutside the U.S. exclusive economiczone (EEZ). For management purposes,NMFS calculates PBR values andmortality estimates for trans-boundarystocks based on the fraction of time inU.S. waters and the mortality estimatebased on the calculated estimate of thestock residing in U.S. waters.

Comment 14: One commenterquestioned whether a permit should beissued for fin whales because theestimated mean annual mortality isgreater than the PBR value reported inthe 1996 U.S. Pacific Marine MammalSAR.

Response: NMFS did not use the PBRvalue reported in the 1996 U.S. PacificMarine Mammal SAR because the mostrecent PBR information is in the draft2000 U.S. Pacific Marine Mammal SAR.Using a 3-year average (1997, 1998,1999), the mean annual estimatedmortality for fin whales (1.7) is less thanthe PBR level (2.1) in the draft 2000 U.S.Pacific Marine Mammal SAR.

Comment 15: One commenterquestioned whether a permit should beissued if the mean annual take (1997-1999) of the fin whales may be greaterthan the PBR value reported in the 2000U.S. Pacific Marine Mammal SAR.

Response: Although the estimatedmortality level in the SAR is near thePBR level for the fin whale stock, NMFShad determined that the history ofmortality of fin whales incidental to thedriftnet fishery has had a negligibleimpact on the fishery. The otherconditions regarding the issuance of thepermit have been satisfied; therefore,NMFS must issue the permit.

The negligible impact determinationwas based upon the 10-year history ofthe observer program in the fishery. Thetake observed in 1999 was the onlyobserved mortality during that period.Consequently, NMFS determined thatthe fishery had a remote likelihood oftaking fin whales on an annual basis,which would result in a negligibleimpact.

The mortality estimate in the SARwas based upon 3 years of data, whichis the period that the fishery has beenunder a take reduction plan. There is noreason to believe that the conservationmeasures included in the plan (loweredhead rope and pinger-equipped nets)



would make the nets more likely to takea fin whale. Therefore, using the 10-yearhistory of observer data in the fisherywas appropriate for use in the negligibleimpact determination.

Comment 16: One commenter statedthat a permit should not be issued to theCA/OR drift gillnet fishery for the takingof fin whales because mortality from theMexican drift gillnet fishery was notconsidered when calculating theestimated mortality from all commercialfisheries.

Response: NMFS disagrees. The finwhale that was taken by the CA/OR driftgillnet fishery was from the California/Oregon/Washington fin whale stock. Formanagement purposes, this stock doesnot include animals of the Mexican finwhale stock because there is insufficientinformation at this time to conclude thatthe fin whale population that increasesseasonally in winter and spring in theGulf of California is part of theCalifornia/Oregon/Washington finwhale stock.

Comment 17: One commenter statedthat a permit should not be issued to theCA/OR drift gillnet fishery for the takeof fin whales because mortality fromship strikes was not considered whencalculating the estimated mortality fromall commercial fisheries.

Response: NMFS disagrees. Undersection 101(a)(5)(E) of the MMPA,NMFS must determine whether theincidental mortality and serious injuryfrom commercial fisheries will have anegligible impact on such species orstock. For purposes of issuing a permit,NMFS is not required to considermortality caused by ship strikes.

Comment 18: One commenter statedthat a permit may not be issued unlessa full and proper NationalEnvironmental Policy Act (NEPA)analysis is completed.

Response: NMFS agrees. An EA wasprepared for this permit.

Comment 19: One commenterrequested that NMFS significantlyincrease observer coverage levels for theCA/OR drift gillnet fishery as acondition of any future federalauthorizations because the incidentaltake analysis is highly speculative.

Response: NMFS believes that 20-percent observer coverage is sufficientto calculate reliable mortality estimatesfor species listed under the MMPA andthe ESA even though entanglementevents are rare. For this reason, NMFSdoes not intend to require additionalobserver coverage as a condition ofissuing a permit under section101(a)(5)(E) of the MMPA.

Summary of Findings

NMFS has evaluated the bestavailable information for the four stockslisted as threatened or endangeredunder the ESA addressed by this permitand has determined, on a stock-by-stockbasis, whether the mortality and seriousinjury (using 3-year averages 1997,1998, 1999) incidental to the CA/ORdrift gillnet fishery is having a negligibleimpact on such stocks (NMFS, 2000).Based on this assessment, NMFSconcludes that the estimated mortalityand serious injury caused by the CA/ORdrift gillnet fishery would cause nomore than a 10-percent increase in thetime to recovery for each of the fourstocks of marine mammals addressed bythis permit and is, therefore, negligible.

These stocks were then reviewed toconfirm that: (1) a recovery plan hasbeen developed or is being developed,and (2) where required under section118 of the MMPA, a monitoring programhas been established, vessels engaged insuch fisheries are registered, and a takereduction plan has been, or is being,developed.

For the following stocks withdocumented evidence of fishery-relatedinteractions, NMFS has determined thatthe mortality and serious injuryincidental to the CA/OR drift gillnetfishery will have a negligible impactand issues a permit for incidental takesof:

(1) Fin whale, California/Oregon/Washington stock;

(2) Humpback whale, California/Oregon/Washington-Mexico stock;

(3) Steller sea lion, eastern stock; and(4) Sperm whale, California/Oregon/

Washington stock.A stock-by-stock summary of the

negligible impact determination follows.Fin whale, California/Oregon/

Washington stock: The PBR for thisstock is 2.1 whales per year. After the1997 implementation of the Plan,overall cetacean entanglement rates inthe CA/OR drift gillnet fishery droppedconsiderably. Using a 3-year (1997-1999) average, the annual meanmortality and serious injury rate fromthe CA/OR drift gillnet fishery isestimated to be 1.7. In addition, duringthe past 10 years, only one fin whale hasbeen observed taken in this fishery,indicating a remote likelihood of a finwhale take in the CA/OR drift gillnetfishery.

Humpback whale, California/Oregon/Washington-Mexico stock: The PBRlevel for this stock is 1.7 whales peryear. Using a 3-year average (1997-1999), the mean annual mortality andserious injury rate from the CA/OR driftgillnet fishery is estimated to be 0.0

humpback whales. One observedhumpback whale entanglement in 1999was released alive without any trailinggear and was not considered a seriousinjury or mortality. Since the beginningof the observer program in 1990, therehave been no reported mortalities orserious injuries of humpback whales.

Steller sea lion, eastern stock: ThePBR level for this stock is 1,368 animalsper year. Fishery observers monitoredthe CA/OR drift gillnet fishery between1990 and 1999. In both 1992 and 1994,one Steller sea lion mortality wasobserved incidental to this fishery.Using a 3-year average (1997-1999), themean annual mortality and seriousinjury rate from the CA/OR drift gillnetfishery is estimated to be 0.0 animals forthe CA/OR drift gillnet fishery.

Sperm whale, California/Oregon/Washington stock: The PBR level forthis stock is 2.0 whales per year. In1998, one sperm whale was observedkilled in a net that was not incompliance with the Plan. Using a 3-year average (1997-1999), the meanannual mortality and serious injury ratefrom the CA/OR drift gillnet fishery isestimated to be 1.7 sperm whales. TheTeam recommended no furtherstrategies to reduce sperm whaleentanglement be taken until theeffectiveness of pingers is betterunderstood. At the recommendation ofthe Team, NMFS conducted workshopsto educate vessel operators on the needto use the full complement of pingersrequired by the Plan. NMFSenforcement also trained the U.S. CoastGuard about the requirements of thePlan and requested their assistance withat-sea enforcement.

NMFS prepared an EA on the finalrule to implement the Plan (62 FR51805, October 3, 1997). That EA hasbeen reissued and modified to includethe effects of: (1) issuance of this permit,(2) additional species of sea turtles andmarine mammals, (3) minor changes tothe Plan.

Issuance of PermitsBased on requirements of section

101(a)(5)(E) of the MMPA, NMFS isissuing a permit to allow the incidental,but not intentional, taking of four stocksof endangered or threatened marinemammals to the CA/OR drift gillnetfishery: (1) fin whale, California/Oregon/Washington stock; (2)humpback whale, California/Oregon/Washington-Mexico stock; (3) Steller sealion, eastern stock; and (4) sperm whale,California/Oregon/Washington stock.These permits may be suspended orrevoked if the level of take is likely toresult in an impact that is more thannegligible.



References

Barlow, J., S. Swartz, T. Eagle, and P.Wade. 1995. U.S. Marine Mammal StockAssessments: Guidelines forPreparation, Background, and aSummary of the 1995 Assessments. U.S.Department of Commerce, NOAATechnical Memorandum NMFS-SWFSC-219. 162 p.

Cameron, G.A., and K.A. Forney.2000. Preliminary Estimates of CetaceanMortality in California/Oregon GillnetFisheries for 1999. Intl. Whal. Comm.Working paper. SC/52/024.

National Marine Fisheries Service.2000. Assessment for Issuing a PermitUnder Section 101(a)(5)(E) of the MarineMammal Protection Act to theCalifornia/Oregon Drift Gillnet Fishery.Southwest Region, Protected ResourcesDivision.

Dated: October 24, 2000.Donald R. Knowles,Director, Office of Protected Resources,National Marine Fisheries Service.[FR Doc. 00–27822 Filed 10–27–00; 8:45 am]BILLING CODE 3510–22–S



[Docket No. 000927276-0276-01; I.D. No.101000CH]

RIN 0648-ZA94

Coastal Services Center Broad AreaAnnouncement

AGENCY: National Ocean Service (NOS),National Oceanic and AtmosphericAdministration (NOAA), Commerce.ACTION: Notice of availability of Federalassistance.

SUMMARY: The NOAA Coastal ServicesCenter announces the availability ofFederal assistance for Fiscal Year (FY)2001 in the following areas: LandscapeCharacterization and Restoration,Integration and Development, andSpecial Projects. This announcementprovides guidelines for these programareas and includes details for thetechnical program, evaluation criteria,and selection procedures of eachprogram. Selected recipients will enterinto either a cooperative agreement withthe Center or receive a grant dependingupon the amount of the Center’sinvolvement in the project-- substantialinvolvement means a cooperativeagreement, while independent workrequires a grant.DATES: Each program area has specificdates for application and proposal

deadlines. Refer directly to that programarea description under SUPPLEMENTARYINFORMATION. Applicants are required toprepare separate packages for eachproposal submitted.ADDRESSES: Send all proposals to:NOAA Coastal Services Center, 2234South Hobson Avenue, Charleston, SC29405-2413. Landscape Characterizationand Restoration proposals should besent to the attention of Pace Wilber.Integration and Development proposalsshould be sent to the attention of CindyFowler. Special Project proposalsshould be sent to the attention of JanKucklick. Upon receipt of proposals, theCenter’s Program Managers must ensureproposals are time stamped.FOR FURTHER INFORMATION CONTACT:Administrative questions should bedirected to Violet Legette, (843)-740-1222 or Violet. [email protected] point of contact forLandscape Characterization andRestoration is Pace Wilber, (843)-740-1235 or [email protected] point of contact forIntegration and Development is CindyFowler,(843)-740-1249 [email protected]. Technicalpoint of contact for Special Projects,Special Projectsf or the Pacific Islands,and Technical Assistantship for thePacific Islands is Jan Kucklick, (843)-740-1279 or [email protected] INFORMATION:

Authority

Statutory authority for these programsis provided under 16 U.S.C. 1456c(Technical Assistance); 15 U.S.C. 1540(Cooperative Agreements); 33 U.S.C.1442 (research program respectingpossible long-range effects of pollution,over fishing, and man-induced changesof ocean ecosystems); 33 U.S.C. 883a(surveys and other activities); 33 U.S.C.883b (dissemination of data); 33 U.S.C.883c (geomagnetic data collection,correlation, and dissemination); and 33U.S.C. 883d (improvement of methods,instruments, and equipments;investigations and research).

Compliance

The recipients must comply withExecutive Order 12906 regarding anyand all geospatial data collected orproduced under grants or cooperativeagreements. This includes documentingall geospatial data in accordance withthe Federal Geographic Data CommitteeContent Standard for digital geospatialdata.

Electronic Access

All applicants are required to submita NOAA grants application package and

project proposal. The standard NOAAgrants application package (whichincludes forms SF-424, SF-424A, SF-424B, SF-424C, SF-424D, CD-511, CD-512, and SF-LLL) can be obtained fromthe NOAA grants Website at http://www.rdc.noaa.gov/grants/pdf/. Fundingwill be subject to the availability ofFederal appropriations.

Minority Serving InstitutionsPursuant to Executive Orders 12876,

12900, and 13021, the Department ofCommerce, National Oceanic andAtmospheric Administration (DOC/NOAA) is strongly committed tobroadening the participation ofHistorically Black Colleges andUniversities, Hispanic ServingInstitutions, and Tribal Colleges andUniversities in its educational andresearch programs. The DOC/NOAAvision, mission, and goals are to achievefull participation by Minority ServingInstitutions in order to advance thedevelopment of human potential, tostrengthen the nation’s capacity toprovide high-quality education, and toincrease opportunities for MSIs toparticipate in and benefit from FederalFinancial Assistance programs. DOC/NOAA encourages all applicants toinclude meaningful participation ofMSIs.

Catalog of Federal Domestic AssistanceThe NOAA Coastal Services Center

Program is listed in the Catalog ofFederal Domestic Assistance underNumber 11.473.

General BackgroundGuiding the conservation and

management of coastal resources is aprimary function of NOAA. NOAAaccomplishes this goal through a varietyof mechanisms, including collaborationwith the coastal resource managementprograms of the nation’s states andterritories. The mission of the NOAACoastal Services Center (Center) is tofoster and sustain the environmentaland economic well-being of the coast bylinking people, information, andtechnology. The goal of the Center is tobuild capabilities throughout the nationto address pressing issues of coastalhealth and change by promoting coastalresource conservation and efficient andsustainable commercial and residentialdevelopment. LandscapeCharacterization And Restoration -Information Resource For A West CoastUnited States Watershed

Project DescriptionNOAA’s Coastal Services Center seeks

proposals from tribal, regional, state, orlocal government agencies; academic



institutions; or nonprofit organizationsfor a 2-year cooperative agreementunder which a cooperator and theCenter will jointly develop a digitalinformation resource for an estuarinewatershed, group of watersheds, ormanagement area within the states ofCalifornia, Oregon, Washington, orAlaska. Cooperators can choose anyestuarine watershed or coastalmanagement area within these states.The information resource must focus onone or more resource managementneeds of the chosen watershed ormanagement area and emphasizeexaminations of ecosystem functionthrough the integration of physical,ecological, and socioeconomic analyses.The cooperator will choose themanagement needs that will be focusedon, for example a regional habitatrestoration plan, non-point sourcepollution management plan, long-termdredged material management plan,species recovery plan, or detailedenvironmental description. Theinformation resource must clearly helpcoastal managers make resourcemanagement, regulatory, or land-useplanning decisions. Total anticipatedfunding is $270,000 over two years andis subject to the availability of FY 2001and FY 2002 appropriations. Only oneaward is anticipated from thisannouncement.

BackgroundThis announcement is a call for

proposals for work under the Center’sLandscape Characterization andRestoration (LCR) Program. The goal ofthe program is to help Federal, state,and local coastal managers includeecosystem processes in their resourcemanagement, regulatory, and land-useplanning decisions. The program andprogram partners will work towards thisgoal by examining interrelationshipsamong ecological, land use, humandemographic, and socioeconomic trendsin coastal watersheds and by developingtools needed to integrate thoserelationships into managementpractices.

The program’s principal products areenvironmental characterizations ofwatersheds that integrate the ecologicaland socioeconomic information neededto address management issues identifiedby cooperators. Final products are in adigital format and distributed via CD-ROM and the Internet and include aspatial database, a customizedGeographic Information Systeminterface, and a narrative that providesa detailed overview of the focalmanagement issues, how theaccompanying information was used toexamine potential solutions, and how

the overall product can be used infuture examinations. The program andits cooperators are currently working on,or have completed, characterizations ofOtter Island (South Carolina), the ACEBasin (South Carolina), Kachemak Bay(Alaska), and Rookery Bay/Belle Meade(Florida), and coastal Rhode Island.Overviews of the program and theseprojects are available through theInternet at http://www.csc.noaa.gov/lcr/.

Roles and ResponsibilitiesBy working in a cooperative

partnership, the unique skills,capabilities, and experiences of theCenter and the cooperator will becombined and offer an opportunity foreach organization to further its goals. Intheir proposals, potential cooperatorsshall explicitly propose the respectiveroles and responsibilities of the Centerand the cooperator. General areas ofresponsibilities that the Center has hadin past projects include: development ofspatial models, analyses, and data toaddress the identified managementissues; design of GIS and HTMLarchitectures; and compilation of finalproducts onto a CD-ROM and Internetsite. Any questions about appropriateroles for the Center can be directed [email protected].

General areas of responsibility thatcooperators have included thefollowing: identifying the managementissues that guide development of theinformation resource; identifying theinformation needed to address theissues; developing partnerships withother members of the coastalmanagement community; developingand collecting the information (text,tables, graphics, charts, and maps) andtools (organizational structure andmodels) needed to address themanagement issues; developingmetadata; and determining how theproducts should be organized tomaximize usefulness within the coastalmanagement community.

Project ProposalsThe Center must receive one original

and two copies of the proposals by 5 pm(Eastern time) on January 12, 2001.Proposals postmarked January 12, 2001,but not received until after January 12,2001, will not be accepted. In additionto providing the following information,the cooperator must submit a completeNOAA grants package (with signedoriginals). No e-mail or fax copies willbe accepted. All project proposals musttotal no more than 10 pages (doublespaced, 12-point font, and exclusive ofappendices). Appendices should belimited to materials that directly

support the main body of the proposal;e.g., support letters, resumes, lists ofdata sources, maps. All appendixmaterial must be unbound.

All proposals must include thesections listed here:

Goal, Objective(s), and GeographicArea. Identify the specific geographicarea that will be examined. Identify thespecific management objective(s) of theproject, including description of currentmanagement goals that are not beingachieved, how products from thiscooperative agreement will significantlyaddress that deficiency, and the benefitsthat will result to the cooperators,partners, public, and coastalmanagement community.

Background/Introduction. Providesufficient background information forreviewers to independently assess thelocal significance and regionalimportance of the managementobjectives that will be addressed by theproject. Summarize the status of anyexisting efforts by the cooperator andpartners to address these objectives.

Audience. Identify potential users ofthe product, how those users willincorporate the product in theirmanagement of coastal resources, andidentify any training that will be neededfor users to make full use of theinformation resource.

Project Description/Methodology.Provide a general work plan that dividesthe project into discrete steps, identifiescritical decision points, and discussesany obstacles to completing the projectthat may require special planning, andexplicitly outlines the respective rolesof the cooperator, partners, and Center.One of the initial tasks of thecooperative agreement will be for theCenter and the cooperator to prepare adetailed task plan that explains how theresources of all parties will be leveragedto produce the products. The work planrequested for this part of the proposalshould demonstrate that the cooperatorand partners have sufficient localknowledge of the management problemsto lead a innovative effort directedtowards developing appropriatesolutions.

Project Partners and Support. Identifyproject partners and describe theirrespective roles. Include a letter frompartners acknowledging theirparticipation in the project. Describe theresources the cooperators and partnershave for conducting the project,including personnel qualifications(education, experience, and timeavailable to work on the project),facilities, equipment, and, to the extentpracticable, the information and toolsalready available. Describe how widelythe project is supported within the



coastal management community andoffer evidence of that support.

Milestone Schedule. List targetmilestones, time lines, and describehow each milestone addresses projectobjectives.

Project Budget. Provide a detailedbudget description that follows thecategories and formats in the NOAAgrants package and a brief narrativejustification of the budget.

Evaluation Criteria (with Weights) andSelection Process

Review panels will be establishedusing two NOAA and at least two non-NOAA reviewers to assist in theevaluation of the proposals. Allproposals received will be rankedaccording to score and the selectingofficial (Center Director) will use thosescores to aid in making the finaldecision. The selecting official may alsoconsider program policy factors in thefinal decision to ensure that Centerprojects are balanced geographically andinstitutionally. Evaluation criteria are:

Significance (20 points). How well theproposal demonstrates the localsignificance and regional importance ofthe issues(s) or management objective(s)that will guide development of theinformation resource. At a minimum,the proposal must identify managementgoals that currently are not beingachieved, describe how products fromthis cooperative agreement willsignificantly address that deficiency,and state the benefits that will result tothe public and coastal managementcommunity.

Technical Approach (25 points). Howwell the proposal divides the projectinto discrete tasks that make effectiveuse of the technical capabilities of thecooperator, partner(s), and Center. Thisfactor also includes the technical meritof the process that the cooperator hasoutlined for developing the informationresource.

Innovation (25 points). How well theproposed work will integratetechnology; socioeconomic, physical,and ecological information; and publicparticipation to accomplish projectgoals and objectives.

Outcomes (10 points). How well theapplicant demonstrates that the projectoutcomes will significantly address themanagement issue(s) targeted by theproject and that the collective resourcesof the applicant and partners willensure projected outcomes are met.

Partnerships (10 points). How wellthe proposal demonstrates that theproject is broadly supported by thecoastal management community, that abroad group of coastal managers andconstituent will benefit from

contributing to design and assembly ofproduct(s); that a broad group of coastalmanagers will use the product(s).

Cost Efficiency (10 points). How wellthe applicant demonstrates that thebudget is commensurate with projectneeds and that the partnershipsemployed will improve the overall costeffectiveness of the project and value ofthe products.

Selection ScheduleProposals will be reviewed once

during the year. The following schedulelists the dates for the project selectionand award process for grants and/orcooperative agreements:

Proposal Deadline (with completedgrant package) - January 12, 2001.

Earliest Approximate Grant start date- August 1, 2001. Note: All deadlines arefor receipt by close of business (5 p.m.Eastern time) on the dates identified.Receipt of proposal and grant package(with original signatures) will be timestamped. E-mail or fax copies will notbe accepted. One original and twocopies of the proposal and grantpaperwork are required.

Funding AvailabilitySpecific funding available for awards

will be finalized after NOAA funds forFY 2001 are appropriated. Total fundingavailable for this cooperative agreementwith the LCR program is anticipated tobe $270,000 over 2 years. One award isanticipated from this announcement.Publication of this document does notobligate NOAA toward any specificgrant or cooperative agreement or toobligate all or any parts of the availablefunds.

Cost Sharing

There is no requirement for costsharing in response to these guidelines,however, proposals that include costsharing will likely score highly underevaluation criteria that examines costefficiency.

Eligibility Criteria

Eligible applicants are institutions ofhigher educations, hospitals, other non-profits, commercial organizations,foreign governments, organizationsunder the jurisdiction of foreigngovernments, internationalorganizations, and state, local andIndian tribal governments. Federalagencies or institutions are not eligibleto receive Federal assistance under thisannouncement, but may be projectpartners. Note: Federal agencies orinstitutions who are project partnersmust demonstrate that they have legalauthority to receive funds from anotherFederal agency in excess of their

appropriation. Because thisannouncement is not proposing toprocure goods or services fromapplicants, the Economy Act (31 U.S.C.1535) is not an appropriate legal basis.

AuthorityStatutory authority for these programs

is provided under 16 U.S.C. 1456c(Technical Assistance); 15 U.S.C. 1540(Cooperative Agreements); and 33U.S.C. 1442 (research programrespecting possible long-range effects ofpollution, overfishing, and man-inducedchanges of ocean ecosystems).

Integration And Development -Bathymetric Data Collection ProjectDescription

The NOAA Coastal Services Centerseeks proposals from state, local orregional resource management agencies,port authorities, and academicinstitutions for projects that conductnew acquisition and supportingdocumentation of bathymetric data.Private companies and agencies inpartnership with the previouslymentioned collaborators are also invitedto submit proposals. The intent of thisprogram is to support high qualityhydrographic digital data collectionefforts for public resource managementneeds and can be used to supplementcurrent NOAA NOS nautical chart datacollection programs. It is expected thatthis funding will supplement agencieswho are already consideringhydrographic surveys for beachrenourishment projects, sand andsediment transport studies, fisheriesmanagement, benthic habitatevaluations, dredging, dredge disposalsiting projects, and other relatedprojects.

A major objective of this program isto rescue, document, and make availablebathymetric data for marineapplications. The geographic extent ofdesired data is from the area (on-shore)of tidal influence out to the ExclusiveEconomic Zone. Maximum anticipatedfunding for FY 2001 is $200,000 and itis intended that this funding will bedistributed amongst multiple projects.The award level is contingent onmethodology, the level of detail, and thegeographic scope of the project. Seeevaluation criteria for cost sharingrequirements.

BackgroundUnder the NOAA, NOS strategic

efforts to support safe navigation,hydrographic surveys are conducted toproduce nautical charts. For safetyreasons, these surveys are conductedusing strict hydrographic surveyprocedures (refer to the following



Uniform Resource Locator (ULR) formore information about theseprocedures): http://chartmaker.ncd.noaa.gov/ocs/text/prodserv.htm .

In addition to its intended chartingpurpose, hydrographic survey data isvery useful to the coastal and oceanresource management community in theproduction of bathymetry. Moreover,hydrographic survey requirements forresource management need not be asrigorous as navigation surveys thatprotect life and limb. Supporting thiscommunity is an additional mandate ofNOS under its coastal stewardshipstrategic goal. Due to financialconstraints, NOS has only been able tocommit to new surveys in majorcommercial shipping areas. Near shoreand estuarine areas not generallydeemed a navigational hazard arecurrently not routinely surveyed. Manyof these areas are of interest to thecoastal resource managers for projectsrelated to dredging, dredge disposal,habitat studies, sediment transport, andbeach renourishment projects.

NOAA is interested in supplementingits current hydrographic survey datacollection with data from non-NOAAsources to meet strategic goals. Inaddition, NOAA is interested in helpingnon-NOAA sources acquire data usingstandards and documentation that willincrease the usability and longevity ofthe data. NOAA is committed to helpingthird-party data creators document andmake these data available to the marinecommunity using standards andprotocols outlined by the FederalGeographic Data Committee (FGDC).Specifically, NOAA is interested inhelping foster the development of highquality accurate digital bathymetric datafor use in desktop GIS for coastal andocean resource management andupdating nautical charts.


and two copies of the proposals by 5p.m. (Eastern time) on January 12, 2001.Proposals postmarked January 12, 2001,but not received until after January 12,2001, will not be accepted. In additionto providing the following information,the cooperator must submit a completeNOAA grants package (with signedoriginals). No e-mail or fax copies willbe accepted. All project proposals musttotal no more than 10 pages (doublespaced, 12-point font, and exclusive ofappendices). Appendices should belimited to materials that directlysupport the main body of the proposal;e.g., support letters, resumes, lists ofdata sources, maps. All appendixmaterial must be unbound. All projects

proposals must include the sectionslisted here:

Project Description/Methodology.This section should address the generalwork plan and deliverables.Methodology should address specificmethods of data collection anddocumentation that as a minimuminclude the methods of sounding,methods of correcting for motion of thesurvey platform, methods of horizontalpositioning, and methods of correctionsfor tide. In addition, proposal shouldinclude limits of survey area anddensity of line spacing and soundinginterval. Proposal should include asection of chart that outlines the surveyarea and orientation to the depthcontour. Database format must beadequately described and include asupplemental descriptor file or metadatathat contains the information necessaryfor completing an FGDC-compliantmetadata record for the survey.

Project Partners and Subcontractors.Proposal should identify projectpartners and describe their respectiveroles. Include a letter from partners andsubcontractors acknowledging theirparticipation and area of responsibility.All projects must have a state, local, orregional coastal resource managementagency as a primary participant.

Milestone Schedule. Proposal shouldlist target milestones and theirrespective time lines.

Project Budget. Proposal shouldprovide a detailed budget breakdownthat follows the categories and formatsin the NOAA grants package and a briefnarrative that justifies each item.

Evaluation Criteria (With Weights) andSelection Process

Review panels will be establishedusing two NOAA and two non-NOAAexperts in the field of hydrographicsurvey methodology, tidal correction,and spatial data acquisition. Allproposals received will be rankedaccording to score and the selectingofficial (Center Director) will use thosescores to aid in making the finaldecision. The selecting official may alsoconsider program policy factors in thefinal decision to ensure Center projectsare balanced geographically andinstitutionally. Evaluation criteria are:

Technical Merit (65 points). Theproposal will be judged on themethodology used to collect the data.This includes the corrections for vesselmotion (heave, roll and pitch),equipment used, and method ofsounding, and corrections for tide. It isexpected that differential GlobalPositioning System (GPS) will be usedas the method of horizontal positioning,but this should be specifically

addressed. Though not required, anycorrections for sound velocity (inshallow water) or settlement and squatcould positively influence thisweighting.

Data Density, Geographic Scope, andOrientation (10 points). This weightingwill be based on the level of detail of thesurvey. Project description shouldinclude a map or graphic that outlinesthe intended spatial extent of thesurvey, the density of the line spacingor number of soundings, and theorientation of the survey platform to thedepth contour.

Data Delivery Mechanism andDocumentation (10 points). Project willbe judged on the database schema anddocumentation of the delivered data.Points will be awarded or deleted forthe inclusion or absence of a coherentmetadata strategy.

Theme (10 points). The purpose ortheme of the survey will be part of theweighting criteria. As stated earlier, oneof the objectives of the Center is to fosterimproved bathymetric data access forthe coastal and ocean resourcecommunity. Projects deemed to fallwithin this scope will be givenadditional weight. Additional weightwill be given for the project’sdemonstrated applicability to coastal orocean resource management.

Cost-Sharing (5 points). There is norequirement for cost sharing; however,additional points will be awarded inproportion to the amount of cost sharingproposed. Applicant will have to costshare at least 10 percent to receive 1point, 20 percent to receive 2 points, 30percent to receive 3 points, 40 percentto receive 4 points, and 50 percent toreceive 5 points.



Proposal Deadline (with completedgrant package) - January 12, 2001.

Earliest Approximate Grant Start Date- August 1, 2001.

Note: All deadlines are for receipt byclose of business (5 p.m. Eastern time)on the dates identified. Receipt ofproposal and grant package (withoriginal signatures) will be timestamped. E-mail or fax copies will notbe accepted. One original and twocopies of the proposal and grantpaperwork are required.

Funding AvailableSpecific funding available for awards

will be finalized after NOAA funds forFY 2001 are appropriated. Total funding



available for this grant or cooperativeagreement with the Integration andDevelopment program is anticipated tobe no more than $200,000 and fundingwill be distributed over multipleprojects. Publication of this notice doesnot obligate NOAA toward any specificgrant or cooperative agreement or toobligate all or any parts of the availablefunds.

Cost SharingThere is no requirement for cost

sharing in response to these guidelines;however, proposals that include costsharing will likely score highly underthe cost sharing criteria noted here.

Eligibility CriteriaEligible applicants are institutions of

higher educations, hospitals, other non-profits, foreign governments,organizations under the jurisdiction offoreign governments, internationalorganizations, and state, local andIndian tribal governments. Commercialorganizations that have a formalcollaborative partnership with a state orlocal resource coastal managementoffice are encouraged to apply. Federalagencies or institutions are not eligibleto receive Federal assistance under thisnotice, but may be project partners.

Note: Federal agencies or institutionswho are project partners mustdemonstrate that they have legalauthority to receive funds from anotherfederal agency in excess of theirappropriation. Because thisannouncement is not proposing toprocure goods or services fromapplicants, the Economy Act (31 U.S.C.1535) is not an appropriate legal basis.

AuthorityStatutory authority for these programs

is 33 U.S.C. 883a (surveys and otheractivities) and 33 U.S.C. 883c(geomagnetic data; collection,correlation, and dissemination).

Special ProjectsThe NOAA Coastal Services Center is

seeking proposals for special technical,management, or planning projects thatrelate to growth management in coastalareas or human use of coastal resources.Project proposals are due January 12,2001, (with earliest start date of August1, 2001). See Selection Schedulefollowing. Anticipated funding in FY2001 will be between $50,000 and$150,000. Two to six projects will befunded in the $20,000 to $25,000 rangefor 1 year with the potential for optionyears (depending on the availability offunds through the federal appropriationprocess). Projects above $25,000 will notbe considered.

BackgroundThe Center conducts a variety of

projects that directly apply to the stateand local coastal managementcommunity. The goal of Special Projectsis to provide assistance to the localcoastal management community fortechnical or management issues onspecific topics relating directly togrowth management in coastal areas orhuman use of coastal resources.

In FY 2001, the Center expects toaward grants and cooperativeagreements (for those projects withsubstantial Center involvement) toorganizations across the United Stateswith proven abilities to implementpractical solutions at a state and locallevel. Proposed study topics must relateto growth management in coastal areasor to human use of coastal resources. Allproject proposals received that meet thetopic criteria will be reviewed fortechnical merit and managementrelevance.


and two copies of the proposals by 5p.m. (Eastern time) on January 12, 2001.Proposals postmarked January 12, 2001,but not received until after January 12,2001, will not be accepted. In additionto providing the following information,the cooperator must submit a completeNOAA grants package (with signedoriginals). No e-mail or fax copies willbe accepted. All project proposals musttotal no more than 10 pages (doublespaced, 12-point font, and exclusive ofappendices). Appendices should belimited to materials that directlysupport the main body of the proposal;e.g., support letters, resumes, lists ofdata sources, maps. All appendixmaterial must be unbound. All projectsproposals must include the sectionslisted here:

Goals and Objectives. Identify broadproject goals and quantifiable objectives.

Background/Introduction. State theproblem and summarize existing effortsat all levels.

Audience. Describe specifics of howthe project will contribute to improvingor resolving an issue with the primarytarget audience. The target audiencemust be explicitly stated.

Project Description/Methodology.Describe the specifics of the projects (3page maximum).

Project Partners. Identify projectpartners and their respective roles.

Milestones and Outcomes. List targetmilestones, Time lines, and desiredoutcomes in terms of products andservices.

Project Budget. Proposal shouldprovide a detailed budget breakdown

that follows the categories and formatsin the NOAA grant package and a briefnarrative that justifies each item.


Review panels will be establishedusing two NOAA and at least two non-NOAA reviewers to assist in theevaluation of the proposals. Allproposals received will be rankedaccording to score and the selectingofficial (Center Director) will use thosescores to aid in making the finaldecision. The selecting official also mayconsider program policy factors in thefinal decision to ensure Center projectsare balanced geographically andinstitutionally. Evaluation criteria are:

Management Relevance (30 points)Does the proposed project (directly or

indirectly) address a critical national,regional, state, or local managementneed relating directly to growthmanagement of coastal areas or humanuse of coastal resources?

Does the project involve partnershipswith the state coastal managementagency, National Estuarine ResearchReserve, and/or National MarineSanctuary?

Does the proposed project have aclearly defined management audienceand do the products have clearlydefined users?

Technical Merit (35 points)Is the approach technically sound?Does the proposed project build on

existing knowledge?Are the project goals and objectives

clear and concise?Does the proposed project provide for

long-term maintenance or sustainabilityof products and services?

Is the approach innovative?

Applicability and Effectiveness ofProducts and their Delivery (25 points)

Will the proposed project produceuseful (and easily used) products,services, or an understanding for thetarget audience and users?

Is project time line and project designlikely to be flexible and responsive topublic and user input?

Is an evaluation process built into theproject? Is it appropriate?

Efficiency and Overall Qualifications(10 points)

Is the budget commensurate with theproject needs?

Are the proposers capable ofconducting a project of the scope andscale proposed? (i.e., Are there adequateprofessional, facility, and administrativecapabilities?)



Selection Schedule

Proposals will be reviewed onceduring the year. The following schedulelists the dates for the project selectionand award process for grants and/orcooperative agreements:

Proposal Deadline (with completedgrant package) January 12, 2001.

Earliest Appropriate Grant Start Date- August 1, 2001


Funding Availability

Specific funding available for theaward will be finalized after NOAAfunds for FY 2001 are appropriated.Publication of this document does notobligate NOAA toward any specificgrant or cooperative agreement or toobligate all or any parts of the availablefunds.

Cost Sharing

There is no requirement for costsharing in response to this programannouncement and no additional weightwill be given to proposals with costsharing.


Eligible applicants are institutions ofhigher educations, hospitals, other non-profits, commercial organizations,foreign governments, organizationsunder the jurisdiction of foreigngovernments, internationalorganizations, and state, local andIndian tribal governments. Federalagencies or institutions are not eligibleto receive Federal assistance under thisannouncement, but may be projectpartners.

Note: Federal agencies or institutionswho are project partners mustdemonstrate that they have legalauthority to receive funds from anotherFederal agency in excess of theirappropriation. Because thisannouncement is not proposing toprocure goods or services fromapplicants, the Economy Act (31 U.S.C.1535) is not an appropriate legal basis.

Authority

Statutory Authority for theseprograms is provided under 16 U.S.C.1456C (Technical Assistance).

Special Projects for the Pacific Islands

Project DescriptionNOAA’s Coastal Services Center is

seeking proposals for special technical,management, or planning projects thatdirectly apply to the goals of the PacificIsland coastal management community.Projects topics should relate to one ormore of the four themes of the CoastalServices Center: Habitat, Hazards,Coastal Communities, or NationalSpatial Data Infrastructure (NSDI).Project proposals are due January 12,2001, (with earliest start date August 1,2001). See ‘‘Selection Schedule’’following. Anticipated funding in FY2001 will be between $50,000 and$500,000. Projects will be funded in the$25,000 to $75,000 range for 1 year withthe potential for options years(depending on the availability of fundsthrough the Federal appropriationprocess).

BackgroundThe Coastal Services Center conducts

a variety of projects that directly applyto the state and local coastalmanagement community. The goal ofthis program is to provide assistance tothe Pacific Island coastal managementcommunity for technical or managementissues on a very broad range of topicsrelated to coastal resources and theirwise management.

In FY 2001, the Center expects toaward grants and cooperativeagreements (for those projects withsubstantial Center involvement) toorganizations with proven abilities toimplement practical solutions in thePacific Islands at a state and local level.Proposed study topics must relate to oneor more of the Center’s themes: Habitat,Hazards, Coastal Communities, or NSDI.

Project ProposalThe Center must receive one original

and two copies of the proposals by 5p.m. (Eastern time) on January 12, 2001.Proposals postmarked January 12, 2001,but not received until after January 12,2001, will not be accepted. In additionto providing the following information,the cooperator must submit a completeNOAA grants package (with signedoriginals). No e-mail or fax copies willbe accepted. All project proposals musttotal no more than 10 pages (doublespaced, 12-point font, and exclusive ofappendices). Appendices should belimited to materials that directlysupport the main body of the proposal;e.g., support letters, resumes, lists ofdata sources, and maps. All appendixmaterials must be unbound. All projectsproposals must include the sectionslisted here:




Project Description/Methodology.Describe the specifics of the projects (3page maximum).


Milestones and Outcomes. List targetmilestones, time lines, and desiredoutcomes in terms of products andservices.

Project Budget. Proposal shouldprovide a detailed budget breakd ownthat follows the categories and formatsin the NOAA grant package and a briefnarrative that justifies each item.


Review panels will be establishedusing two NOAA and at least two non-NOAA reviewers to assist in theevaluation of the proposals. Allproposals received will be rankedaccording to score and the selectingofficial (Center Director will use thosescores to aid in making the finaldecision. The selection official also mayconsider program policy factors in thefinal decision to ensure Center projectsare balanced geographically andinstitutionally.

Evaluation criteria are: ManagementRelevance (30 points)

Does the proposed project (directly orindirectly) address a critical national,regional, state, or local managementneed relating directly to growthmanagement of coastal areas or humanuse of coastal resources?


Does the proposed project have aclearly defined management audienceand do the products have clearlydefined users?

Technical Merit (35 points)

Is the approach technically sound?Does the proposed project build on

existing knowledge?Are the project goals and objectives

clear and concise?Does the proposed project provide for

long-term maintenance or sustainabilityof products and services?

Is the approach innovative?



Applicability and Effectiveness ofProducts and their Delivery (25 points)

Will the proposed project produceuseful (and easily used) products,services, or an understanding for thetarget audience and users?

Is project time line and project designlikely to be flexible and responsive topublic and user input?


Efficiency and Overall Qualifications(10 points)

Is the budget commensurate with theproject needs?

Are the proposers capable ofconducting a project of the scope andscale proposed (i.e., Are there adequateprofessional, facility, and administrativecapabilities?)



Proposal Deadline (with completedgrant package) - January 12, 2001

Earliest Approximate Grant Start Date- August 1, 2001


Funding AvailableSpecific funding available for awards

will be finalized after NOAA funds forFY 2001 are appropriated. Publicationof this notice does not obligate NOAAtoward any specific grant or cooperativeagreement or to obligate all or any partsof the available funds.

Cost Sharing

There are no requirements for costsharing in response to this programannouncement and no additional weightwill be given to proposals with costsharing.


Eligible applicants are institutions ofhigher educations, hospitals, other non-profits, commercial organizations,foreign governments, organizationsunder the jurisdiction of foreigngovernments, internationalorganizations, and state, local andIndian tribal governments. Federalagencies or institutions are not eligibleto receive Federal assistance under this

notice, but may be project partners.Note: Federal agencies or institutionswho are project partners mustdemonstrate that they have legalauthority to receive funds from anotherFederal agency in excess of theirappropriation. Because thisannouncement is not proposing toprocure goods or services fromapplicants, the Economy Act (31 U.S.C1535) is not an appropriate legal basis.

Authority

Statutory Authority for theseprograms is provided under 16 U.S.C.1456C (Technical Assistance).

Technical Assistantship For The PacificIslands

Project Description

The NOAA Coastal Services Center isseeking proposals for the developmentand administration of 2-year grants tosupport post-graduate students workingfor the Pacific Island coastal zonemanagement programs. This includesthose programs in Hawaii, Guam,American Samoa, and theCommonwealth of the NorthernMarianas. Project proposals are dueJanuary 12, 2001 (with earliest start dateAugust 1, 2001). See Selection Schedulefollowing. Total anticipated funding inFY 2001 will be between $75,000 and$300,000. Each assistantship will befunded in the $75,000 to $100,000 rangeto cover both years of one student. It isanticipated that one to four studentswill be placed in FY 2001. There mustbe a balance in location of studentplacement so that over any given severalyear period, all four Pacific coastal zonemanagement programs will receive astudent.

All project proposals must define howstudents will be selected and placed,must provide a mechanism fordetermining where students are placed,and must include a mechanism toensure that the skills and expertise ofthe selected students match the needsand requirements of the selected PacificIsland coastal zone managementprogram.

This would be a cooperativeagreement between the Center and thecooperator for 2 years with the option toextend for 4 years (depending on theavailability of funds through the Federalappropriations process).

Background

The goal of this program is to provideassistance to the Pacific Island coastalzone management agencies on technicaland management issues that directlyrelate to the agencies’ needs andrequirements. This program is

administratively and programmaticallydistinct from the NOAA CoastalManagement Fellowship program. In FY2001, the Center expects to award oneto two cooperative agreements to design,implement, and administer thisprogram.

Roles and ResponsibilitiesThese projects are intended to be

cooperative in nature. The followingitems identify the minimum projectparticipation expected by the Centerand the project applicant. Additionalroles and responsibilities should beidentified by the applicant.

Coastal Services Center shall haveprimary responsibility for ensuring thatthe needs and requirements of theselected Pacific Island coastal zonemanagement agency are being metthrough this assistantship program. Tothis end, the Center will:

Provide information to the applicanton the needs of the Pacific Island coastalzone management agency prior to therecruiting of the assistants, and

Serve as a reviewer on all studentapplications to help ensure that theselected students’ expertise match withthe needs of the Pacific Island coastalzone management programs. Theapplicant shall have primaryresponsibility for the followingactivities associated with this program:

Design process for recruitment andselection.

Select Pacific Island coastal zonemanagement programs(s) for studentplacement.

Announce and select assistants.Support and administer assistants -

This shall include all activities relatedto the financial support andadministration of the assistants. Theseactivities include arranging for andsupporting medical insurance, worker’scompensation insurance, state andfederal income tax withholdings, andFICA withholdings; coordinating andproviding reimbursement for movingexpenses, salary disbursement to theassistants; and coordinating andsupporting and travel for the assistants.The Coastal Services Center and theApplicant shall share jointresponsibility for the followingactivities associated with this program:

Publicize the program. This shallinclude general announcement andpublicity measures to provide generalinformation about the program, specificannouncements of the selectionprocesses, and specific announcementsof the results of the selection processes.Newsletters, facts sheets, Web sites, andconference poster sessions should all beconsidered potential publicitymechanisms.



Solicit other partners. To ensure thecontinued success and furtherdevelopment of the program, bothorganizations should consider recruitingother partners to provide financialsupport and opportunities for futureassistants.


and two copies of the proposals by 5p.m. (Eastern time) on January 12, 2001.Proposals postmarked January 12, 2001,but not received until after January 12,2001, will not be accepted. In additionto providing the following information,the cooperator must submit a completeNOAA grants package (with signedoriginals). No e-mail or fax copies willbe accepted. All project proposals musttotal no more than 10 pages (double-spaced, 12-point font, and exclusive ofappendices). Appendices should belimited to materials that directlysupport the main body of the proposal;e.g., support letters, resumes, lists ofdata sources, maps. All appendixmaterial must be unbound. All projectsproposals must include the sectionslisted here:




Project Description/Methodology.Describe the specifics of the process fordevelopment and administration (4pages maximum).


Milestones and Outcomes. List targetmilestones, time lines, and desiredoutcomes in terms of products andservices.

Project Budget. Proposal shouldprovide a detailed budget breakdownthat follows the categories and formatsin the NOAA grant package and a briefnarrative that justifies each item. Salary,per diem, travel, and benefits of selectedstudents must be included in thebudget.


Review panels will be establishedusing two NOAA and at least two non-NOAA reviewers to assist in theevaluation of the proposals. Allproposals received will be rankedaccording to score and the selectingofficial (Center Director) will use thosescores to aid in making the final

decision. The selecting official also mayconsider program policy factors in thefinal decision to ensure Center projectsare balanced geographically andinstitutionally. Evaluation criteria are:

Technical Relevance (70 points)

Does the approach identify aneffective mechanism for defining howstudents will be selected and placed?

Does the approach identify aneffective mechanism for determiningwhere students are placed?

Does the approach identify aneffective mechanism for ensuring thatthe skills and expertise of the selectedstudents match the needs andrequirements of the selected PacificIsland coastal zone managementprogram?



Efficiency and Overall (30 points)

Is the budget commensurate with theproject needs? on existing knowledge?

Are the proposers capable ofconducting a project of the scope andscale proposed? (i.e., Are there adequateprofessional, facility, and administrativecapabilities?)

Selection Schedule

Special projects will be reviewed onceduring the year. The following schedulelists the dates for the project selectionand award process for grants and/orcooperative agreements:

Proposal Deadline (with completegrant package) January 12, 2001. EarliestApproximate Grant start date August 1,2001.


Funding Available

Specific funding available for awardswill be finalized after NOAA funds forFY 2001 are appropriated. Publicationof this announcement does not obligateNOAA toward any specific grant orcooperative agreement or to obligate allor any parts of the available funds.

Cost Sharing

There is no requirement for costsharing in response to this program

announcement and no additional weightwill be given to proposals with costsharing.


Eligible applicants are institutions ofhigher educations, hospitals, other non-profits, commercial organizations,foreign governments, organizationsunder the jurisdiction of foreigngovernments, internationalorganizations, and state, local andIndian tribal governments. Federalagencies or institutions are not eligibleto receive federal assistance under thisnotice, but may be project partners.Note: Federal agencies or institutionswho are project partners mustdemonstrate that they have legalauthority to receive funds from anotherFederal agency in excess of theirappropriation. Because thisannouncement is not proposing toprocure goods or services fromapplicants, the Economy Act (31 U.S.C.1535) is not an appropriate legal basis.

Authority

Statutory Authority for theseprograms is provided under 16 U.S.C.1456c (Technical Assistance).

General Information For All Programs

Indirect Costs

The total dollar amount of the indirectcosts proposed in an application underany of these programs must not exceedthe current indirect cost rate negotiatedand approved by the applicant’scognizant federal agency, prior to theproposed effective date of the award or100 percent of the total proposed directcosts dollar amount in the application,whichever is less. If a rate has not beenestablished, one will be negotiated bythe Department of Commerce (DOC)Office of Inspector General.

Federal Policies and Procedures

Recipients and sub-recipients aresubject to all Federal laws and Federaland DOC policies, regulations, andprocedures applicable to Federalassistance awards.

Name Check Review

All non-profit and for-profitapplicants are subject to a name checkreview process. Name checks areintended to reveal if any key individualsassociated with the recipient have beenconvicted of, or are presently facing,criminal charges such as fraud, theft,perjury, or other matters thatsignificantly reflect on the recipient’smanagement, honesty, or financialintegrity.



Past Performance

Unsatisfactory performance underprior federal awards may result in anapplication not being considered forfunding.

Pre-Award Activities

If applicants incur any costs prior toan award being made, they do so solelyat their own risk of not beingreimbursed by the government.Notwithstanding any verbal or writtenassurance that may have been received,there is no obligation on the part of DOCto cover pre-award costs should anaward not be made or funded at a levelless than requested.

No Obligation for Future Funding

If the application is selected forfunding, DOC has no obligation toprovide any additional future funding inconnection with that award. Renewal ofan award to increase funding or extendthe period of performance is at the totaldiscretion of DOC.

Delinquent Federal Debts

No award of Federal funds shall bemade to an applicant who has anoutstanding delinquent Federal debtuntil either:

(i) The delinquent account is paid infull,

(ii) A negotiated repayment scheduleis established and at least one paymentis received, or

(iii) Other arrangements satisfactory toDOC are made.

Primary Applicant Certifications

All organizations or individualspreparing grant applications mustsubmit a completed Form CD-511‘‘Certifications Regarding Debarment,Suspension, and Other ResponsibilityMatters; Drug-Free WorkplaceRequirements and Lobbying,’’ andexplanations are hereby provided:

Non-Procurement Debarment andSuspension

Prospective participants (as defined at15 CFR 26.105) are subject to 15 CFRpart 26, ‘‘Nonprocurement Debarmentand Suspension’’ and the related sectionof the certification form prescribedabove applies.

Drug-Free Workplace

Grantees (as defined at 15 CFR26.605) are subject to 15 CFR part 26,subpart F, ‘‘Government-wideRequirements for Drug-Free Workplace(Grants)’’ and the related section of thecertification form prescribed hereapplies.

Anti-Lobbying

Persons (as defined at 15 CFR 28.105)are subject to the lobbying provisions of31 U.S.C. 1352, ‘‘Limitation on use ofappropriated funds to influence certainFederal contracting and financialtransactions,’’ and the lobbying sectionof the certification form prescribedabove applies to application/bids forgrants, cooperative agreements, andcontracts for more than $100,000, andloans and loan guarantees for more than$150,000.

Anti-Lobbying Disclosures

Any applicant that has paid or willpay for lobbying using any funds mustsubmit an SF-LLL form, ‘‘Disclosure ofLobbying Activities,’’ as required under15 CFR part 28, Appendix B.

Lower-Tier Certifications

Recipients shall require applicants/bidders for sub-grants, contracts,subcontracts, or other lower-tier-coveredtransactions at any tier under the awardto submit, if applicable, a completedForm CD-512, ‘‘Certifications RegardingDebarment, Suspension, Ineligibilityand Voluntary Exclusion-Lower TierCovered Transactions and Lobbying’’and disclosure form, SF-LLL,‘‘Disclosure of Lobbying Activities.’’Form CD-512 is intended for the use ofrecipients and should not be transmittedto DOC. SF-LLL submitted by any tierrecipient or sub-recipient should besubmitted to DOC in accordance withthe instructions contained in the awaredocument.

False Statements

A false statement on an application isgrounds for denial or termination offunds and grounds for possiblepunishment by a fine or imprisonmentas provided in 18 U.S.C. 1001.

Intergovernmental Review

Applications under this program aresubject to Executive Order12372,‘‘Intergovernmental Review ofFederal Programs.’’

Buy American-made Equipment orProducts

Applicants are hereby notified thatthey will be encouraged, to the greatestextent practicable, to purchaseAmerican-made equipment andproducts with funding provided underthis program in accordance withCongressional intent.

Classification

This action has been determined to benot significant for purposes of ExecutiveOrder 12866.

Prior notice and an opportunity forpublic comment are not required by theAdministrative Procedure Act or anyother law for this notice concerninggrants, cooperative agreements, benefits,and contracts. Therefore, a regulatoryflexibility analysis is not required forpurposes of the Regulatory FlexibilityAct.

Notwithstanding any other provisionof law, no person is required to respondto, nor shall a person be subject to, apenalty for failure to comply with acollection of information subject to therequirements of the PaperworkReduction Act (PRA) unless thatcollection of information displays acurrently valid OMB control number.This notice contains a collection-of-information requirements subject to thePRA. The collection-of-information hasbeen approved by OMB, OMB ControlNumbers 0348-0041, 0348-0042, 0348-0043, 0348-0044, 0348-0040, 0348-0046,and 0605-0001.

Dated: October 23, 2000.Margaret A. Davidson,Acting Assistant Administrator for OceanServices and Coastal Zone Management.[FR Doc. 00–27816 Filed 10–27–00; 8:45 am]BILLING CODE: 3510–22–S



[I.D. 102400A]

Development of a Code of Conduct forResponsible Aquaculture in the UnitedStates Exclusive Economic Zone;Additional Public Workshops

AGENCY: National Marine FisheriesService (NMFS), National Oceanic andAtmospheric Administration (NOAA),Commerce.ACTION: Notice of public workshops.

SUMMARY: NMFS publishes informationregarding stakeholder input to thedevelopment of a Code of Conduct forResponsible Aquaculture in the U.S.Exclusive Economic Zone (Code ofConduct). It is the purpose of such aCode of Conduct to provide generalguidance for siting and operatingaquaculture facilities in the ExclusiveEconomic Zone (EEZ) seaward of coastalstate boundaries and authorities. NMFSheld stakeholder workshops in Seattle,WA, Danvers, MA and Galveston, TX inSeptember, 2000 to gather informationfor use in developing a draft Code ofConduct. Based on stakeholder interestin other geographic regions, NMFS isconducting three additional workshops.The workshops are open to the public.



DATES: The meeting dates are:1. Honolulu, HI, November 14, 2000,

10 a.m. - 3 p.m.2. Miami, FL, November 16, 2000, 10

a.m. - 3 p.m.3. Silver Spring, MD; November 20,

2000, 9 a.m. - 12:30 p.m.ADDRESSES: The workshop locations are:

1. Honolulu: University of Hawaii,Hawaii Imin International ConferenceCenter, Jefferson Hall, Pacific Room,East West Center Road, Honolulu, HI96822.

2. Miami: Rosenstiel SchoolAuditorium, 4600 RickenbackerCauseway, Miami, FL 33149.

3. Silver Spring: NOAA Auditorium,1301 East West Highway, Silver Spring,MD. 20910.FOR FURTHER INFORMATION CONTACT:Edwin Rhodes at (301) 713-2334 orColin Nash at (360) 871 8309. Forspecific workshop information contact:Honolulu, HI, Wende Goo (808) 9835303; Miami, FL, Daniel Benetti (305)361 4889 or Kim Newlin (305) 361 4464;Silver Spring, MD, Edwin Rhodes, (301)713 2334.SUPPLEMENTARY INFORMATION:

Background

NMFS has Federal responsibility forthe living marine resources of theUnited States. Under authorities of theMagnuson-Stevens FisheryConservation and Management Act,NMFS has responsibility for federallymanaged species and for theconservation and enhancement ofessential fish habitat in the zoneseaward of coastal state boundaries tothe 200 nautical mile limit of the EEZ.NMFS has additional responsibilities forthreatened and endangered species andfor marine mammals under authoritiesof the Endangered Species Act and theMarine Mammal Protection Act. NMFSanticipates increasing aquacultureactivity in the EEZ. In order to provideguidance to potential users of the U.S.EEZ for aquaculture, NMFS, with broadstakeholder input, will produce a Codeof Conduct for Responsible Aquaculturein the United States Exclusive EconomicZone. It is the purpose of such a Codeof Conduct to provide general guidanceto the aquaculture industry for sitingand operating aquaculture facilities inthis zone, and to provide NMFS with aframework that can be used to ensure amore consistent review of aquacultureprojects that require agency actions.NMFS may also use the Code ofConduct as a starting point for thedevelopment of regulatory standards inthe future.

The United States was an activeparticipant in the 1993-1995

consultations that led to the adoption bythe Food and Agriculture Organizationof the United Nations (FAO) of the Codeof Conduct for Responsible Fisheries(FAO Code). While the FAO Code is avoluntary and non-binding instrument,the United States has consistentlysupported its usefulness as aninternationally agreed upon statement ofprinciples that should govern thepolicies of FAO members in all sectorsof the fishing industry, includingaquaculture, which is addressed inArticle 9 of the FAO Code. Although theCode of Conduct being developed forthe U.S. EEZ does not have to follow theFAO model, the FAO Code is animportant reference instrument. A copyof the aquaculture section (Article 9) ofthe FAO Code can be obtained from thecontact persons listed here, and can befound on the internet at http://www.fao.org/fi/agreem/codecond/ficonde.asp

NMFS will develop the Code ofConduct in steps. The first step is to getstakeholder input through workshops toassist in Code of Conduct development.NMFS, in consultation with otherFederal agencies with authorities inFederal waters, will consider thisstakeholder input in producing a draftCode of Conduct, which will be madeavailable for public comment through aFederal Register notice early in 2001.Public comments will be addressed informulating a final Code of Conduct,which will be published in the FederalRegister before January, 2002.

Regional Workshops

NMFS held three workshops inSeptember, 2000, and will hold threemore regional workshops to receiveadditional stakeholder input fordevelopment of the Code of Conduct.NMFS seeks input on the scope,content, specificity and use of a Code ofConduct that can be used to help guideaquaculture development in the EEZ.Areas for discussion include, but are notlimited to, species choices, siting,transboundary considerations, designand construction of facilities, diseaseprevention and control, feeds andfeeding protocols, effluents andpollution,interactions with wild speciesand protected resources, generaloperations, stock enhancement, useconflict resolution, and on-shoreimpacts. The workshops are open to allinterested persons.


The workshops will be physicallyaccessible to people with disabilities.Requests for sign languageinterpretation or other auxiliary aids

should be directed to Edwin Rhodes atleast 5 days prior to the meeting date.

Dated: October 24, 2000.Clarence G. Pautzke,Director, Office of Sustainable Fisheries,National Marine Fisheries Service.FR Doc. 00–27824 File 10–27–00; 8:45 am]BILLING CODE 3510–22–S



[I.D. 102400D]

Gulf of Mexico Fishery ManagementCouncil; Public Meetings

AGENCY: National Marine FisheriesService (NMFS), National Oceanic andAtmospheric Administration (NOAA),Commerce.ACTION: Notice of public meeting.

SUMMARY: The Gulf of Mexico FisheryManagement Council (Council) willconvene public meetings.DATES: The meetings will be held onNovember 13-16, 2000.ADDRESSES: These meetings will be heldat the Isle of Capri Casino Hotel, 151Beach Boulevard, Biloxi, MS; telephone:228-435-5400.

Council address: Gulf of MexicoFishery Management Council, 3018 U.S.Highway 301 North, Suite 1000, Tampa,FL 33619.FOR FURTHER INFORMATION CONTACT:Wayne E. Swingle, Executive Director,Gulf of Mexico Fishery ManagementCouncil; telephone: (813) 228-2815.SUPPLEMENTARY INFORMATION:

Council

November 15

8:30 a.m.—Convene.9 a.m. - 12 noon—Receive public

testimony on a proposed amendment tothe Stone Crab Fishery ManagementPlan (FMP), a proposed amendment tothe Shrimp FMP, and a proposedDolphin/Wahoo FMP. Persons who willtestify must turn in a registration cardbefore the start of the testimony periodon Wednesday.

1:30 p.m. - 4 p.m.-Continue publictestimony if needed.

4 p.m. - 5 p.m.—Receive a report ofthe Shrimp Management Committee.

5 p.m. - 5:30 p.m.—Receive apresentation on the Invasion ofAustralian Spotted Jellyfish.

4:30 p.m. - 4:45 p.m.—Receive areport of the Stone Crab ManagementCommittee.



November 16

8:30 a.m. - 9:30 a.m.—Receive abriefing on new travel procedures forCouncil members.

9:30 a.m. - 11:30 a.m.—Receive areport of the Reef Fish ManagementCommittee.

11:30 a.m. - 12 noon—Receive areport of the Mackerel ManagementCommittee.

1:30 p.m. - 2:30 p.m.—Receive areport of the Joint Reef Fish andMackerel Management Committees.

2:30 p.m. - 3 p.m.—Receive a reportof the Habitat Protection Committee.

3 p.m. - 3:15 p.m.—Receive a reportof the Administrative Policy Committee.

3:15 p.m. - 3:30 p.m.—Receive areport of the Stone Crab ManagementCommittee.

3:30 p.m. - 3:45 p.m.—Receive theSouth Atlantic Fishery ManagementCouncil Liaison report.

3:45 p.m. - 4 p.m.—Receive theInternational Commission for theConservation of Atlantic TunasAdvisory Committee Report.

4 p.m. - 4:15 p.m.—Receiveenforcement reports.

4:15 p.m. - 4:30 p.m.—Receive theNMFS Regional Administrator’s Report.

4:30 p.m. - 4:45 p.m.—ReceiveDirector’s Reports.

4:45 p.m. - 5 p.m.—Other Business.

November 13

1 p.m. - 3:30 p.m.—Convene theShrimp Management Committee todiscuss the proposed ShrimpAmendment 11 and developrecommendations for final action by thefull Council on Wednesday afternoon.Shrimp Amendment 11 containsalternatives for requiring shrimp vesselpermits, shrimp vessel registration,operator permits, and prohibiting trapgear in the royal red shrimp fishery ofthe exclusive economic zone.

3 :30 p.m. - 4 p.m.—Convene theStone Crab Management Committee todiscuss the proposed Stone CrabAmendment 7 and will developrecommendations for final action by thefull Council on Thursday afternoon.Stone Crab Amendment 7 proposes tocreate a Federal trap certificate programfor the commercial stone crab fishery inFederal waters off Florida. This programwill be similar to the trap certificateprogram adopted by the state of Florida.

4 p.m. - 5:30 p.m.—Convene theMackerel Management Committee todiscuss the proposed Dolphin/WahooFMP and develop recommendations forfinal action by the full Council onWednesday afternoon. They will alsohear scientific presentations on cobia.The Dolphin/Wahoo FMP has been

prepared by the South Atlantic, Gulf,and Caribbean fishery managementcouncils. The first 10 actions, withoptions, of the Dolphin/Wahoo FMPcontain measures that are applicable tothe dolphin and wahoo stocks in thejurisdictions of all 3 councils. Theseinclude measures to: define themanagement units; address dealer,vessel, and operator permits; considerdata reporting requirements; identifyestimates of maximum sustainableyield, optimum yield, and overfishing/overfished criteria; and, frameworkoptions to enable seasonal adjustmentsto the management structure. Otheractions, with options, are separatelyapplicable to each Council’s area ofjurisdiction, and include actions thatmay be implemented through theframework procedures, e.g. minimumsize limits, bag limits, trip limits, andallocations, among others.

November 148:30 a.m. - 12:30 a.m.—Convene the

Reef Fish Management Committee toreceive the Reef Fish Stock AssessmentPanel’s and the Socioeconomic Panel’srecommendations on grouper complexrebuilding scenarios, and to receive areport from NMFS on red snapperrestoration scenarios. This discussionwill include management strategies,estimates of trawl bycatch, alternativeassessment scenarios, and themanagement implications.

1:30 p.m. - 2 p.m.—Convene the JointReef Fish and Mackerel ManagementCommittees to consider further Councilaction on a Draft Amendment forCharter Vessel Permit Moratorium forpublic hearings. The draft amendmentproposes to put a moratorium on theissuance of additional permits forcharter vessels to fish for reef fish orcoastal migratory pelagics in federalwaters of the Gulf of Mexico. Theamendment will make the charter vesselpermits transferable.

2 p.m. - 4 p.m.—Convene the HabitatProtection Committee to hear a reviewof the Turkey Creek DevelopmentProject, a review of floating productionstorage and offloading systems, anupdate on an Essential Fish Habitatlawsuit, receive recommendations fromthe Texas Habitat Protection AdvisoryPanel meeting, and discuss draft councilwetland and submerged aquaticvegetation policies.

4 p.m. - 5:30 p.m.—Convene theAdministrative Policy Committee todiscuss amendments to the Magnuson-Stevens Fishery Conservation andManagement Act (Magnuson Act) andamendments to the Council’sAdministrative Handbook. They willdevelop recommendations for

comments to be heard by full Councilon Thursday afternoon.

Although non-emergency issues notcontained in the agenda may comebefore the Council for discussion, inaccordance with the Magnuson Act,those issues may not be the subject offormal Council action during thismeeting. Council action will berestricted to those issues specificallyidentified in this notice and any issuesarising after publication of this noticethat require emergency action undersection 305 (c) of the Magnuson Act,provided the public has been notified ofthe Council’s intent to take final actionto address the emergency. A copy of theCommittee schedule and agenda can beobtained by calling (813) 228-2815.


These meetings are physicallyaccessible to people with disabilities.Requests for sign languageinterpretation or other auxiliary aidsshould be directed to Anne Alford at theCouncil (see ADDRESSES) by November6, 2000.

Dated: October 25, 2000.Richard W. Surdi,Acting Director, Office of SustainableFisheries, National Marine Fisheries Service.[FR Doc. 00–27818 Filed 10–27–00; 8:45 am]BILLING CODE 3510–22–S



[I.D. 102400F]

New England Fishery ManagementCouncil; Public Meetings

AGENCY: National Marine FisheriesService (NMFS), National Oceanic andAtmospheric Administration (NOAA),Commerce.ACTION: Notice of public meetings.

SUMMARY: The New England FisheryManagement Council (Council) isscheduling a public meeting of itsResearch Steering Committee and SocialScience Advisory Committee (SSAC) inNovember, 2000 to consider actionsaffecting New England fisheries in theexclusive economic zone (EEZ).Recommendations from these groupswill be brought to the full Council forformal consideration and action, ifappropriate.

DATES: The meetings will be held onMonday, November 13, 2000. SeeSUPPLEMENTARY INFORMATION for specificdates and times.



ADDRESSES: The meetings will be heldin Boston, MA and Wakefield, MA. SeeSUPPLEMENTARY INFORMATION for specificlocations.FURTHER INFORMATION CONTACT: Paul J.Howard, Executive Director, NewEngland Fishery Management Council;(978)465–0492. Requests for specialaccommodations should be addressed tothe New England Fishery ManagementCouncil, 50 Water Street, Mill 2,Newburyport, MA 01950; telephone:(978) 465–0492.SUPPLEMENTARY INFORMATION:

Meeting Dates and Agendas

Monday, November 13, 2000, 9:30a.m.—Research Steering CommitteeMeeting

Location: Sheraton Colonial Hotel,One Audubon Road, Wakefield, MA01880; telephone: (781) 245–9300.

Continued work on the developmentof a collaborative research program toaddress the next round of fundsappropriated by Congress for 2001.

Monday, November 13, 2000 at 10:00a.m.—Social Sciences AdvisoryCommittee (SSAC) Meeting

Location: Coast Guard Building, 427Commercial Street, Boston, MA 02210;telephone: (617) 223–3187.

The SSAC will finalize comments onthe Scallop Stock Assessment andFishery Evaluation Report, discuss itspriorities for the next year and developplans for a social sciences peer reviewworkshop.

Although non-emergency issues notcontained in this agenda may comebefore this Council for discussion, thoseissues may not be the subject of formalCouncil action during this meeting.Council action will be restricted to thoseissues specifically listed in this noticeand any issues arising after publicationof this notice that require emergencyaction under section 305(c) of theMagnuson-Stevens Act, provided thepublic has been notified of the Council’sintent to take final action to address theemergency.


These meetings are physicallyaccessible to people with disabilities.Requests for sign languageinterpretation or other auxiliary aidsshould be directed to Paul J. Howard(see ADDRESSES) at least 5 days prior tothe meeting dates.

Dated: October 25, 2000.Richard W. Surdi,Acting Director, Office of SustainableFisheries, National Marine Fisheries Service.[FR Doc. 00–27821 Filed 10–27–00; 8:45 am]BILLING CODE: 3510–22–S



[I.D. 102000B]

Endangered Species; Permits

AGENCY: National Marine FisheriesService (NMFS), National Oceanic andAtmospheric Administration (NOAA),Commerce.ACTION: Receipt of an application for aenhancement permit 1251; Issuance ofscientific research/enhancement permit1128, scientific research permit 1149;Issuance of modified permits 1011 and1144; Issuance of amended permit 1133.

SUMMARY: Notice is hereby given of thefollowing actions regarding permits fortakes of endangered and threatenedspecies for the purposes of scientificresearch and/or enhancement: NMFShas received a enhancement permitapplication from Mr. Steven Fields, ofMagnolia Springs State Park - GADNR(1251); NMFS has issued a scientificresearch/enhancement permit to theOregon Department of Fish and Wildlifeat La Grande, OR (ODFW) (1128); NMFShas issued a permit to the ColumbiaRiver Inter-Tribal Fish Commission atPortland, OR (CRITFC) (1149) andpermit modifications to the OregonDepartment of Fish and Wildlife atPortland, OR (ODFW) (1011) and BruceD. Peery, Michael J. Bresette andJonathan C. Gorham (1144); NMFS hasissued an amended permit 1133 to Dr.Andre M. Landry, Jr., of the Departmentof Marine Biology, Texas A&MUniversity at Galveston (TAMUG)(1133).

DATES: Comments or requests for apublic hearing on any of the newapplications or modification requestsmust be received at the appropriateaddress or fax number no later than 5p.m. eastern standard time on November29, 2000.ADDRESSES: Written comments on any ofthe new applications or modificationrequests should be sent to theappropriate office as indicated below.Comments may also be sent via fax tothe number indicated for the applicationor modification request. Comments willnot be accepted if submitted via e-mailor the Internet. The applications andrelated documents are available forreview in the indicated office, byappointment:

For application 1251; permits 1133and 1144: Endangered Species Division,Office of Protected Resources, NMFS,1315 East-West Highway, Silver Spring,MD, 20910 301-713-1401.

For permits 1128, 1149, 1011:Protected Resources Division, F/NWO3,525 NE Oregon Street, Suite 500,Portland, OR 97232-2737 (ph: 503-230-5400, fax: 503-230-5435).

Documents may also be reviewed byappointment in the Office of ProtectedResources, F/PR3, NMFS, 1315 East-West Highway, Silver Spring, MD20910-3226 (301-713-1401).FOR FURTHER INFORMATION CONTACT: Forapplication 1251, permits 1133 and1144: Terri Jordan, Silver Spring, MD(ph: 301-713-1401, fax: 301-713-0376, e-mail: [email protected]).

For permits 1128, 1149, 1011: RobertKoch, Portland, OR (ph: 503-230-5424,fax: 503-230-5435, e-mail:[email protected]).SUPPLEMENTARY INFORMATION:

AuthorityIssuance of permits and permit

modifications, as required by theEndangered Species Act of 1973 (16U.S.C. 1531-1543) (ESA), is based on afinding that such permits/modifications:(1) are applied for in good faith; (2)would not operate to the disadvantageof the listed species which are thesubject of the permits; and (3) areconsistent with the purposes andpolicies set forth in section 2 of theESA. Authority to take listed species issubject to conditions set forth in thepermits. Permits and modifications areissued in accordance with and aresubject to the ESA and NMFSregulations governing listed fish andwildlife permits (50 CFR parts 222-226).

Those individuals requesting ahearing on an application listed in thisnotice should set out the specificreasons why a hearing on thatapplication would be appropriate (seeADDRESSES). The holding of suchhearing is at the discretion of theAssistant Administrator for Fisheries,NOAA. All statements and opinionscontained in the permit actionsummaries are those of the applicantand do not necessarily reflect the viewsof NMFS.

Species Covered in This NoticeThe following species and

evolutionarily significant units (ESU’s)are covered in this notice:

FishSockeye salmon (Oncorhynchus

nerka): endangered Snake River (SnR).Chinook salmon (O. tshawytscha):

threatened SnR spring/summer,threatened SnR fall.

Steelhead (O. mykiss): threatenedSnR.

Shortnose sturgeon (Acipenserbrevirostrum).



Turtles

Endangered Green turtle (Cheloniamydas)

Endangered Hawksbill turtle(Eretmochelys imbricata)

Endangered Kemp’s ridley turtle(Lepidochelys kempii)

Threatened Loggerhead turtle (Carettacaretta)

New Applications Received

Application 1251: The applicantrequests a 5-year permit to continue tomaintain two (2) adult shortnosesturgeon in captivity for enhancementpurposes. The applicant currentlypossesses two adult shortnose sturgeonreceived from the U.S. Fish and WildlifeService hatchery at Warm Springs,Georgia in November 1996 underscientific research permit 986. Permit986 will expire on December 31, 2000,and the permit holder does not wish torenew the enhancement aspects of thepermit. As a direct result, MagnoliaSprings State Park - GADNR is applyingfor an individual permit to continuemaintenance of these fish.

Permits, Modifications andAmendments Issued

Permit 1128: Notice was published onMarch 24, 1998, (63 FR 14069) thatODFW applied for a scientific research/enhancement permit. Permit 1128 wasissued to ODFW on May 22, 2000, anda subsequent permit amendment wasissued on September 21, 2000. Permit1128 authorizes ODFW annual takes ofadult and juvenile, threatened, naturallyproduced and artificially propagated,SnR spring/summer chinook salmonassociated with a supplementationprogram at the Imnaha River andLookingglass Creek Hatcheries. Theobjectives of ODFW’s program are to: (1)Restore natural populations of chinooksalmon in the basin to ESA delistinglevels, (2) reestablish traditional tribaland recreational fisheries for chinooksalmon, (3) maintain the genetic and lifehistory characteristics of the endemicwild population while pursuingmitigation goals and managementobjectives, and (4) operate the hatcheryprogram to ensure that the genetic andlife history characteristics of thehatchery fish mimic the wild fish.ODFW will retain a percentage of theESA-listed adult salmon that return tothe Imnaha River weir each year forhatchery broodstock and release all ofthe ESA-listed adult salmon notretained for broodstock above the weirto spawn naturally. In a given year, ifmore hatchery-origin adult salmon areavailable than are needed to releaseabove the weir or to keep for

broodstock, ODFW will transport theexcess hatchery-origin adults to BigSheep and/or Lick Creeks and outplantthem for natural spawning. ESA-listedadult salmon retained for broodstockwill be transported to the hatcheries andspawned. The resulting progeny will bereared in the hatcheries, tagged withcoded-wires and passive integratedtransponders, and released when readyto outmigrate to the ocean. Annualincidental takes of endangered SnRsockeye salmon, threatened SnR fallchinook salmon, and threatened SnRsteelhead associated with ODFW’shatchery operations and juvenile fishreleases from ODFW’s hatcherysupplementation program are alsoauthorized. The purpose of theSeptember 21, 2000, amendment ofpermit 1128 was to correct someinadvertent clerical errors. Permit 1128expires on December 31, 2003.

Permit 1149: Notice was published onApril 23, 1998 (63 FR 20169), thatCRITFC applied for a scientificresearch/enhancement permit (1149).Permit 1149 was issued to CRITFC onOctober 13, 2000. Permit 1149authorizes the Nez Perce Tribe (NPT), amember tribe of CRITFC, annual takes ofadult and juvenile, threatened, naturallyproduced and artificially propagated,SnR spring/summer chinook salmonassociated with its contribution to ahatchery supplementation program forthe Lostine River population of chinooksalmon. The supplementation programis a component of a coordinatedenhancement effort initiated by ODFWin 1995 with a captive broodstockprogram for three Grande Ronde RiverBasin populations: Catherine Creek,upper Grande Ronde River, and LostineRiver. NPT’s objectives are to: (1) collectadult chinook salmon from the LostineRiver to be used as broodstock toproduce smolts through conventionalhatchery production for acclimatedreleases back into the Lostine River; (2)provide monitoring and evaluation ofreturning adults from captive brood,conventional, and natural production;and (3) provide acclimation releasefacilities for captive brood smoltsproduced under the authority ofODFW’s permit 1011 (see below). ESA-listed adult salmon that return to theLostine River each year will be capturedby NPT at a weir, tagged and/or marked,and sampled for tissues and scales. NPTwill retain a percentage of the ESA-listed adult salmon from naturalproduction or conventional hatcheryproduction that return to the weir eachyear for hatchery broodstock. The ESA-listed adult salmon not retained forbroodstock, including all adult salmon

from captive brood production, will bereleased above the weir to spawnnaturally. ESA-listed adult salmonretained for broodstock will betransported to ODFW’s LookingglassHatchery and spawned under theauthority of ODFW’s permit 1011. Theresulting progeny will be reared in thehatchery, tagged with coded-wires andpassive integrated transponders, andtransferred to NPT for release when theyare ready to outmigrate to the ocean.Annual incidental takes of SnR sockeyesalmon, SnR fall chinook salmon, andSnR steelhead associated with NPT’sjuvenile fish releases in the LostineRiver are also authorized. Permit 1149expires on December 31, 2002.

Permit 1011: Notice was published onApril 23, 1998 (63 FR 20169), thatODFW applied for modification 2 toscientific research/enhancement permit1011. Modification 2 to permit 1011 wasissued to ODFW on October 13, 2000.Permit 1011 authorizes ODFW annualtakes of adult and juvenile, threatened,naturally produced and artificiallypropagated, SnR spring/summerchinook salmon associated with acaptive broodstock program for theCatherine Creek, upper Grande RondeRiver, and Lostine River populations ofchinook salmon. For modification 2,ODFW is authorized to use adult weirsto capture returning adults fromCatherine Creek and the upper GrandeRonde River for broodstock to continuethe hatchery supplementation programthat was initiated by ODFW in 1997.NPT is a cooperator with ODFW’senhancement efforts and will beprimarily responsible for operatingadult trapping and smolt acclimationfacilities at the Lostine River under theauthority of permit 1149 (see above).The ESA-listed adult salmon notretained for broodstock, including alladult salmon from captive broodproduction, will be tagged and/ormarked, sampled for tissues and scales,and released above the weirs to spawnnaturally. ESA-listed adult salmonretained for broodstock will betransported to ODFW’s LookingglassHatchery where they will be spawned,the resulting eggs incubated, and thejuveniles reared. The resulting smoltswill be transported and released in theirrespective stream of origin when theyare ready to outmigrate to the ocean.Annual incidental takes of SnR sockeyesalmon, SnR fall chinook salmon, andSnR steelhead associated with ODFW’shatchery operations and juvenile fishreleases are authorized. TheConfederated Tribes of the UmatillaIndian Reservation, a member ofCRITFC, is authorized to act as an agent



of ODFW under permit 1011. Permit1011, which was due to expire onDecember 31, 2000, has been extendedfor 2 years and is now due to expire onDecember 31, 2002. Modification 2 isvalid for the duration of the permit.

Permit 1133: Andre M. Landrycurrently possesses a 5-year scientificresearch permit to take listed sea turtlesfor the purpose of conducting studies onpopulation status and recoverypotential, habitat preference, movementand migration, foraging patterns, andimpact of man’s activities such ascommercial and recreational fishing,dredging and habitat alteration/pollution. Dr. Landry is currentlyauthorized to take listed sea turtlesannually from locations within theWestern Gulf of Mexico, through the useof entanglement nets.

Due to a recent net mortality, NMFShas amended permit 1133 to add specialconditions to reduce the likelihood ofadditional mortalities associated withresearch activities in the Gulf of Mexico.The amendment also clarifies take levelsfrom the original permit and updatesregulatory citations. Amendment 1 toPermit 1133 was issued on October 19,2000, authorizing the continued take oflisted species. Permit 1133 expiresJanuary 31, 2003.

Permit 1144: Notice was published onJune 21, 2000 (65 FR 38509), that BruceD. Peery, Michael J. Bresette andJonathan C. Gorham applied for amodification to 1144. The applicantspossess a 2-year scientific researchpermit to take up to 100 green (Cheloniamydas), five Kemp’s ridley(Lepidochelys kempii) and 25loggerhead (Caretta caretta) turtlesannually in large mesh tangle nets forthe purposes of stock assessment tocharacterize the sea turtles that utilizethe southern Indian River LagoonSystem, Florida. Captured turtles will beweighed, photographed, measured,tagged, and released. Modification #2extends the expiration date of permit#1144 to July 31, 2003.


Margaret C. Lorenz,Acting Chief, Endangered Species Division,Office of Protected Resources, NationalMarine Fisheries Service.[FR Doc. 00–27823 Filed 10–27–00; 8:45 am]



National Telecommunications andInformation Administration

Public Meeting on Third GenerationWireless Systems Deployment in theUnited States

AGENCY: National Telecommunicationsand Information Administration,Commerce.ACTION: Notice of public meeting.

SUMMARY: The NationalTelecommunications and InformationAdministration (NTIA) will host a seriesof public meetings to discuss thedeployment of third generation (3G)wireless systems in the United States.The topic of the first meeting will be theplan to select spectrum for thirdgeneration wireless systems released bySecretary of Commerce Norman Y.Mineta in accordance with theExecutive Memorandum signed byPresident Clinton on October 13, 2000.DATES: The first meeting will be heldfrom 2 p.m. to 4 p.m., Thursday,November 2, 2000.ADDRESSES: The first meeting with beheld at the U.S. Department ofCommerce, Room 4830, 1401Constitution Avenue, NW., Washington,DC. The meeting will be open to thepublic. For updates on this meeting orfuture meetings, please see NTIA’shomepage at <http://www.ntia.doc.gov>.

FOR FURTHER INFORMATION: For furtherinformation, please contact DerrickOwens, Office of the Assistant Secretaryfor Communications and Information,NTIA, telephone: (202) 482–1920; orelectronic mail:<[email protected]>.

Media enquiries should be directed tothe Office of Public Affairs, NTIA, at(202) 482–7002.SUPPLEMENTARY INFORMATION: OnOctober 13, 2000, President Clintonsigned an Executive Memorandumdirecting federal agencies to work withthe Federal CommunicationsCommission (FCC) and the privatesector to identify radio spectrum neededfor the next generation or so-called‘‘third generation’’ of wirelesscommunications technology. To meetthis goal, the President directed theSecretary of Commerce, among otherthings, to develop a plan by October 20,2000, in cooperation with the FCC, theDepartment of Defense, and otherFederal agencies, setting forth thenecessary steps that will result inlicensing of third generation wirelesssystems by September 30, 2002. The

President also directed the Secretary ofCommerce to work cooperatively withthe FCC to lead a government-industryeffort, through a series of regular publicmeetings and workshops, to developrecommendations and plans foridentifying spectrum for thirdgeneration wireless systems consistentwith the basic principles adopted at theWorld Radio Conference 2000.

On October 20, 2000, Secretary ofCommerce Norman Y. Mineta releasedthe required plan (3G Plan) andannounced that he had asked theAssistant Secretary for Communicationand Information, Gregory L. Rohde, tohost along with the FCC, a publicmeeting of key Federal agencies andinterested industry representatives todiscuss the plan. The Secretary alsoannounced that NTIA will arrangefurther meetings to brief and discuss theplanned interim and final reports,industry plans for third generationwireless services, and other issuessurrounding the selection of spectrum.The President’s ExecutiveMemorandum, the Secretary’sStatement, and the 3G Plan are availableon NTIA’s homepage at <http://www.ntia.doc.gov>.

Public Participation

The meeting will be open to thepublic and is physically accessible topeople with disabilities. To facilitateentry into the Department of Commercebuilding, please have a photoidentification and/or a U.S. Governmentbuilding pass, if applicable. Anymember of the public wishing to attendand requiring special services, such assign language interpretation or otherancillary aids, should contact DerrickOwens at least three (3) days prior to themeeting at telephone: (202) 482–1920,or electronic mail:<[email protected]>.

Kathy D. Smith,Chief Counsel.[FR Doc. 00–27825 Filed 10–27–00; 8:45 am]BILLING CODE 3510–60–P

COMMODITY FUTURES TRADINGCOMMISSION

Sunshine Meeting Act

‘‘FEDERAL REGISTER’’ CITATION OFPREVIOUS ANNOUNCEMENT: 65 FR 65843.PREVIOUSLY ANNOUNCED TIME AND DATE OFMEETING: 1 p.m., Monday, October 30,2000.CHANGES IN THE MEETING: The openmeeting previously scheduled for 1p.m., Monday, October 30, 2000 has



been postponed until 1 p.m.,Wednesday, November 1, 2000.CONTACT PERSON FOR MORE INFORMATION:Jean A. Webb, 418–5100.

Jean A. Webb,Secretary of the Commission.[FR Doc. 00–27965 Filed 10–26–00; 3:58 pm]BILLING CODE 6351–01–M


Office of the Secretary

Proposed Collection; CommentRequest

AGENCY: Office of the Under Secretary ofDefense (Personnel and Readiness),DOD.ACTION: Notice.

In compliance with section3506(c)(2)(A) of the PaperworkReduction Act of 1995, the Office of theUnder Secretary of Defense (Personneland Readiness) announces the followingproposed reinstatement of a publicinformation collection and seeks publiccomment on the provisions thereof.Comments are invited on: (a) Whetherthe proposed collection of informationis necessary for the proper performanceof the functions of the agency, includingwhether the information shall havepractical utility; (b) the accuracy of theagency’s estimate of burden of theproposed information collection; (c)ways to enhance the quality, utility, andclarity of the information to becollected; and (d) ways to minimize theburden of the information collection onrespondents, including through the useof automated collection techniques orother forms of information technology.DATES: Consideration will be given to allcomments received by December 29,2000.

ADDRESSES: Written comments andrecommendations on the proposedinformation collection should be sent tothe Office of the Under Secretary ofDefense (Personnel and Readiness),ODUSD(PI)/Defense Human ResourcesActivity, ATTN: Ms. Sheila Ford, 4040Fairfax Boulevard, Suite 200, Arlington,VA 22203.FOR FURTHER INFORMATION CONTACT: Torequest more information on thisproposed information collection or toobtain a copy of the proposal andassociated collection instruments,please write to the above address or callat (703) 696–0404.

Title, Associated Form, and OMBControl Number: Application forDepartment of Defense Common Access

Card—DEERS Enrollment, DD Form1172–2, OMB Number 0704–0415.

Needs and Uses: This informationcollection is needed to obtain thenecessary data to establish eligibility forthe DoD Common Access Card for thoseindividuals not pre-enrolled in theDEERS, and to maintain a centralizeddatabase of eligible individuals. Thisinformation is used to establisheligibility for the DoD Common AccessCard for individuals either employed byor associated with the Department ofDefense; is used to control access toDoD facilities and systems; and itprovides a source of data fordemographic reports and mobilizationdependent support.

Affected Public: Individuals.Annual Burden Hours: 100,000.Number of Respondents: 300,000.Responses per Respondent: 1.Average Burden per Response: 20

minutes.Frequency: On occasion.


Summary of Information CollectionThe DD Form 1172–2, Application for

Department of Defense Common AccessCard—DEERS Enrollment, the formassociated with this informationcollection, issued to collect relevantdata (e.g. name, identifying information,employment status, citizenship) fromthe respondent. The data collectedestablished eligibility for theappropriate DoD Common Access Cardfor those individuals not pre-enrolled inthe Defense Enrollment EligibilityReporting System (DEERS), and enablestheir enrollment in the centralizeddatabase of eligible individuals.

The Department is in the process oftaking all requisite measures to enhancephysical and information security andapply prudent countermeasures for allpotential vulnerabilities focusingsecurity actions to address the changesin today’s threat environment. TheDeputy Secretary of Defense August 12,2000 memorandum, Subject:Department of Defense (DoD) Public KeyInfrastructure (PKI), directs use of andcommon, integrated, interoperable DoDPKI to enable security services atmultiple levels of assurance. PKI is akey and certificate managementinfrastructure designed to supportconfidentiality, integrity, availability,authorization, and access control incomputer networks. This data collectionis a step in that direction by prohibitingaccess to the Department’s systems tothose not authorized. Public Law 106–65, Section 373 directs the Departmentto develop and implement a Smart Cardprogram for the Department of Defense.The Deputy Secretary of Defense

November 10, 1999 memorandum,Subject: Smart Card Adoption andImplementation, directs the Departmentto implement smart card technology asa Department-wide Common AccessCard (CAC) that shall be the standard IDcard for active duty military personnel(to include the Selected Reserve), DoDcivilian employees and eligiblecontractor personnel, be the principalcard used to enable physical access tobuildings and controlled spaces, andwill be sued to gain access to theDepartment’s computer networks andsystems. The Deputy Secretary directsthe CAC shall be issued and maintainedusing the infrastructure provided by theDefense Enrollment Eligibility ReportingSystem and the Realtime AutomatedPersonnel Identification System andthat the initial implementation of theCAC is to be at multiple locations nolater than December 30, 2000.

Individuals included in thisinformation collection are: eligiblecontractor employees (e.g., contractoremployees who need access to DoDsystems, or facilities on a daily orregular basis as determined by the localcommand) and eligible foreign nationals(e.g., foreign nationals who need accessto DoD systems or facilities on a regularbasis as determined by the localcommand), as well as other eligibleindividuals outside DoD.

Dated: October 24, 2000.Patricia L. Toppings,Alternate OSD Federal Register LiaisonOfficer, Department of Defense.[FR Doc. 00–27757 Filed 10–27–00; 8:45 am]BILLING CODE 5001–01–M



Submission for OMB Review;Comment Request

ACTION: Notice.

The Department of Defense hassubmitted to OMB for clearance, thefollowing proposal for collection ofinformation under the provisions of thePaperwork Reduction Act (44 U.S.C.Chapter 35).

Title, Form, and OMB Number:Personal Check Cashing Agreement; DDForm 2761; OMB Number 0730–0005.

Type of Request: Revision.Number of Respondents: 386,000.Responses Per Respondent: 1.Annual Responses: 386,000.Average Burden Per Response: 30

minutes.Annual Burden Hours: 193,000.Needs and Uses: The information

collection requirement is necessary to



meet the Department of Defense’s (DoD)requirement for cashing personal checksoverseas and afloat by DoD disbursingactivities, as provided in 31 U.S.C. 3342.The DoD Financial ManagementRegulation, Volume 5, providesguidance to DoD Disbursing Officers inthe performance of this informationcollection. This allows the DoDdisbursing officer or authorized agentthe authority to offset the pay withoutprior notification, in cases where thisform has been signed subject toconditions specified within theapproved procedures. The front of theform will be completed and signed bythe authorized individual requestingcheck cashing privileges. By signing theform, the individual is freely andvoluntarily consenting to the immediatecollection from their current pay,without prior notice. In the event thecheck is dishonored, the disbursingofficer will complete and certify thereverse side of the form and forward theform to the applicable payroll office forcollection from the individual’s currentpay.

Affected Public: Individuals orHouseholds.

Frequency: On Occasion.Respondent’s Obligation: Required to

Obtain or Retain Benefits.OMB Desk Officer: Mr. Edward C.

Springer.Written comments and

recommendations on the proposedinformation collection should be sent toMr. Springer at the Office ofManagement and Budget, Desk Officerfor DoD, Room 10236, New ExecutiveOffice Building, Washington, DC 20503.

DOD Clearance Officer: Mr. RobertCushing.

Written requests for copies of theinformation collection proposal shouldbe sent to Mr. Cushing, WHS/DIOR,1215 Jefferson Davis Highway, Suite1204, Arlington, VA 22202–4302.





ACTION: Notice.

The Department of Defense hassubmitted to OMB for clearance, thefollowing proposal for collection of

information under the provisions of thePaperwork Reduction Act (44 U.S.C.Chapter 35).

Title and OMB Number: TRICARERetiree Dental Program EnrollmentApplication; OMB Number 0720–0015.

Type of Request: RevisionNumber of Respondents: 50,000Responses per Respondent: 1Annual Responses: 50,000Average Burden per Response: 15

minutesAnnual Burden Hours: 12,500Needs and Uses: This information

collection is completed by UniformedServices members entitled to retired payand their eligible family members whoare seeking enrollment in the TRICARERetiree Dental Program (TRDP). Theinformation is necessary to enable theDoD-contracted third partyadministrator of the program to identifythe program’s applicants, determinetheir eligibility for TRDP enrollment,establish the premium payment amount,and to verity by the applicant’ssignature that the applicant understandsthe benefits and rules of the program.

Affected Public: Individuals orHouseholds.

Frequency: On Occasion.Respondents Obligation: Required to

Obtain or Retain Benefits.OMB Dest Officer: Ms. Allison Eydt.Written comments and

recommendations on the proposedinformation collection should be sent toMs. Eydt at the Office of Managementand Budget, Desk Officer for DoD HealthAffairs, Room 10235, New ExecutiveOffice Building, Washington, DC 20503.

DOD Clearance Officer: Mr. RobertCushing.

Written requests for copies of theinformation collection proposal shouldbe sent to Mr. Cushing, WHS/DIOR,1215 Jefferson Davis Highway, Suite1204, Arlington, VA 22202–4302.




Proposed Collection CommentRequest

AGENCY: Office of the AssistantSecretary of Defense for Health Affairs,DOD.ACTION: Notice.

In accordance with section3506(c)(2)(A) of the Paperwork

Reduction Act of 1995, the Office of theAssistant Secretary of Defense forHealth Affairs announces the proposedextension of a public informationcollection and seeks public comment onthe provisions thereof. Comments areinvited on: (a) Whether the proposedextension of collection of information isnecessary for the proper performance ofthe functions of the agency, includingwhether the information shall havepractical utility; (b) the accuracy of theagency’s estimate of the burden of theinformation collection; (c) ways toenhance the quality, utility, and clarityof the information to be collected; and(d) ways to minimize the burden of theinformation collection on respondents,including through the use of automatedcollection techniques or other forms ofinformation technology.DATES: Consideration will be given to allcomments received December 29, 2000.ADDRESSES: Written comments andrecommendations on the informationcollection should be sent to TRICAREManagement Activity—Aurora, Office ofProgram Requirement, 16401, E.Centretech Parkway, ATTN: GrahamKolb, Aurora, CO 80011– 9043.FOR FURTHER INFORMATION CONTACT: Torequest more information on thisproposed information collection, pleasewrite to the above address or callTRICARE Management Activity, Officeof Program Requirements at (303) 676–3580.

Title Associated with Form, and OMBNumber: Health Insurance Claim Form,UB 92, OMB Number 0720–0013.

Needs and Uses: This informationcollection requirement is necessary for amedical institution to claim benefitsunder the Defense Health Program,TRICARE, which includes the CivilianHealth and Medical Program for theUniform Services (CHAMPUS). Theinformation collected will be used byTRICARE/CHAMPUS to determinebeneficiary eligibility, other healthinsurance liability, certification that thebeneficiary received the care, and thatthe provider is authorized to receiveTRICARE/CHAMPUS payments. Theform will we used by TRICARE/CHAMPUS and it’s contractors todetermine the amount of benefits to bepaid to TRICARE/CHAMPUSinstitutional providers.

Affected Public: Business or other for-profit; not-for profit institutions.

Annual Burden Hours: 525,000.Number of Respondents: 2,100,000

annually.Responses per Respondent: 1.Average Burden per Response: 15

minutes.Frequency: On occasion.




Summary of Information Collection

This collection instrument is for us bymedical institutions filing forreimbursement with the Defense HealthProgram, TRICARE, which includes theCivilian Health and Medical Program ofthe Uniformed Services (TRICARE/CHAMPUS). TRICARE/CHAMPUS is ahealth benefits entitlement program forthe dependent of active duty membersof the Uniformed Service, and deceasedsponsors, retirees and their dependents,dependents of department oftransportation (Cost Guard) sponsors,and certain North Atlantic TreatyOrganization, National Oceanic andAtmospheric Administration, andPublic Health Service eligiblebeneficiaries. Use of the UB–92 (alsoknown as the HCFA 1450) continuesTRICARE/CHAMPUS commitments touse the national standard claim form forreimbursement of medical services/supplies provided by institutionalproviders.

Dated: October 24, 2000.Patricia L. Topplings,Alternate OSD Federal Register LiaisonOfficer, Department of Defense.[FR Doc. 00–27758 Filed 10–27–00; 8:45 am]BILLING CODE 5001–10–M

DEPARTMENT OF EDUCATION

Notice of Proposed InformationCollection Requests

AGENCY: Department of Education.ACTION: Notice of Proposed InformationCollection Requests.

SUMMARY: The Leader, RegulatoryInformation Management, Office of theChief Information Officer, invitescomments on the proposed informationcollection requests as required by thePaperwork Reduction Act of 1995.DATES: An emergency review has beenrequested in accordance with the Act(44 U.S.C. Chapter 3507 (j)), sincepublic harm is reasonably likely toresult if normal clearance proceduresare followed. Approval by the Office ofManagement and Budget (OMB) hasbeen requested by November 6, 2000.ADDRESSES: Written commentsregarding the emergency review shouldbe addressed to the Office ofInformation and Regulatory Affairs,Attention: Lauren Wittenberg, ActingDesk Officer: Department of Education,Office of Management and Budget; 72517th Street, NW., Room 10235, NewExecutive Office Building, Washington,DC 20503.

SUPPLEMENTARY INFORMATION: Section3506 of the Paperwork Reduction Act of1995 (44 U.S.C. Chapter 35) requiresthat the Director of OMB provideinterested Federal agencies and thepublic an early opportunity to commenton information collection requests. TheOffice of Management and Budget(OMB) may amend or waive therequirement for public consultation tothe extent that public participation inthe approval process would defeat thepurpose of the information collection,violate State or Federal law, orsubstantially interfere with any agency’sability to perform its statutoryobligations. The Leader, RegulatoryInformation Management, Office of theChief Information Officer, publishes thisnotice containing proposed informationcollection requests at the beginning ofthe Departmental review of theinformation collection. Each proposedinformation collection, grouped byoffice, contains the following: (1) Typeof review requested, e.g., new, revision,extension, existing or reinstatement; (2)Title; (3) Summary of the collection; (4)Description of the need for, andproposed use of, the information; (5)Respondents and frequency ofcollection; and (6) Reporting and/orRecordkeeping burden. ED invitespublic comment.

The Department of Education isespecially interested in public commentaddressing the following issues: (1) Isthis collection necessary to the properfunctions of the Department; (2) Willthis information be processed and usedin a timely manner; (3) Is the estimateof burden accurate; (4) How might theDepartment enhance the quality, utility,and clarity of the information to becollected; and (5) How might theDepartment minimize the burden of thiscollection on respondents, includingthrough the use of informationtechnology.

Dated: October 24, 2000.John Tressler,Leader, Regulatory Information Management,Office of the Chief Information Officer.

Office of Elementary and SecondaryEducation

Type of Review: Revision.Title: Consolidated State Performance

Report and State Self-Review.Abstract: This information collection

package contains two related parts: theConsolidated State Performance Report(CSPR) and the State Self-Review (SSR).The Elementary and SecondaryEducation Act (ESEA), in general, andits provision for submission ofconsolidated plans, in particular(section 14301 of the ESEA), emphasize

the importance of cross-programcoordination and integration of federalprograms into educational activitiescarried out with State and local funds.States would use both instruments forreporting on activities that occur duringthe 1999–2000 school year and, if theESEA, when aurthorized, does notbecome effective for the 2000–2001school year, for that year as well. Theproposed CSPR requests essentially thesame information as in 1999–2000, in amore concise and accessible format. Theproposed SSR replaces informal datacollections performed by each programreview team in advance of site visits tostates (approximately 14 each year),now conducted as integrated programreviews of all ESEA and Goals 2000programs. This document and theassociated visits promote theDepartment’s interests in (1) gatheringessential information on how Stateshave implemented their approvalconsolidated State plans and (2)identifying federal assistance to Stateson how to use federal funds mosteffectively. The State responses to theSSR will complement their responses tothe CSPR by providing specificinformation on program implementionthat is needed for an effective integratedreview. When the ESEA is reauthorizedthe Department intends to work activelywith the public to revise the content ofthese documents and develop anintegrated information collection systemthat responds to the new law, uses newtechnologies, and better reflects howfederal programs help to promote Stateand local reform efforts.

Additional Information: TheDepartment of Education is requestingan emergency review of theConsolidated State Performance Report(CSPR) and the State Self-Review (SSR)by November 6, 2000. Emergencyclearance is requested due to anunanticipated event. Statutory changesof Title VI resulted in a new eligiblecategory. In addition, the Departmenthas made improvements to theirelectronic collection. If normalclearance procedures were to befollowed, ED would not meet itseffective date of November 20, 2000, thedate this collection will be available tostates via Web-based electroniccollection.

Frequency: Annually.Affected Public: State, Local, or Tribal

Gov’t, SEAs or LEAs.Reporting and Recordkeeping Hour

Burden: Responses: 53.Burden Hours: 137,086.

Requests for copies of the proposedinformation collection request should beaddressed to Vivian Reese, Department



of Education, 400 Maryland Avenue,SW., Room 4050, Regional OfficeBuilding 3, Washington, DC 20202–4651, or should be electronically mailedto the internet [email protected], or should befaxed to 202–708–9346.

Comments regarding burden and/orthe collection activity requirements,contact Kathy Axt at her internetaddress [email protected]. Individualswho use a telecommunications devicefor the deaf (TDD) may call the FederalInformation Relay Service (FIRS) at 1–800–877–8339.

[FR Doc. 00–27720 Filed 10–27–00; 8:45 am]BILLING CODE 4000–01–U

DEPARTMENT OF ENERGY

Environmental Management Site-Specific Advisory Board, Los Alamos

AGENCY: Department of Energy.ACTION: Notice of open meeting.

SUMMARY: This notice announces ameeting of the EnvironmentalManagement Site-Specific AdvisoryBoard (EM SSAB), Los Alamos. TheFederal Advisory Committee Act (Pub.L. 92–463, 86 Stat. 770) requires thatpublic notice of these meetings beannounced in the Federal Register.DATES: Wednesday, November 15, 2000,6:00 p.m.–9:00 p.m.ADDRESSES: San Ildefonso Pueblo, Route502.FOR FURTHER INFORMATION CONTACT: AnnDuBois, Northern New Mexico Citizens’Advisory Board, 1640 Old Pecos Trail,Suite H, Santa Fe, NM 87505. Phone(505) 989–1662; fax (505) 989–1752 or e-mail: [email protected] INFORMATION: Purpose ofthe Board: The purpose of the Board isto make recommendations to DOE andits regulators in the areas ofenvironmental restoration, wastemanagement, and related activities.

Tentative AgendaOpening Activities—6:00–6:30 p.m.—

Video ‘‘Closing the Circle’’Public Comments 6:30–7:00 p.m.ReportsCommittee Reports:Waste ManagementEnvironmental RestorationMonitoring and SurveillanceCommunity OutreachBudgetOther Board business will be conducted

as necessaryThis agenda is subject to change at

least one day in advance of the meeting.Public Participation: The meeting is

open to the public. Written statements

may be filed with the Committee eitherbefore or after the meeting. Individualswho wish to make oral statementspertaining to agenda items shouldcontact Ann DuBois at the address ortelephone number listed above.Requests must be received five daysprior to the meeting and reasonableprovision will be made to include thepresentation in the agenda. The DeputyDesignated Federal Officer isempowered to conduct the meeting in afashion that will facilitate the orderlyconduct of business. Each individualwishing to make public comment willbe provided a maximum of five minutesto present their comments at thebeginning of the meeting.

Minutes: Minutes of this meeting willbe available for public review andcopying at the Freedom of InformationPublic Reading Room, 1E–190, ForrestalBuilding, 1000 Independence Avenue,SW., Washington, DC 20585 between 9a.m. and 4 p.m., Monday–Friday, exceptFederal holidays. Minutes will also beavailable at the Public Reading Roomlocated at the Board’s office at 1640 OldPecos Trail, Suite H, Santa Fe, NM.Hours of operation for the PublicReading Room are 9:00 a.m.–4:00 p.m.on Monday through Friday. Minuteswill also be made available by writingor calling Ann DuBois at the Board’soffice address or telephone numberlisted above. Minutes and other Boarddocuments are on the Internet at:http:www.nnmcab.org.

Issued at Washington, DC on October 25,2000.Rachel M. Samuel,Deputy Advisory Committee ManagementOfficer.[FR Doc. 00–27744 Filed 10–27–00; 8:45 am]BILLING CODE 6450–01–P


Energy Information Administration

Agency Information CollectionActivities: Proposed Collection;Comment Request

AGENCY: Energy InformationAdministration (EIA), Department ofEnergy (DOE).ACTION: Agency information collectionactivities: proposed collection; commentrequest.

SUMMARY: The EIA is solicitingcomments on the proposed new FormEIA–910, ‘‘Monthly Natural GasMarketer Survey.’’DATES: Comments must be filed on orbefore December 29, 2000. If youanticipate difficulty in submitting

comments within that period, contactthe person listed below as soon aspossible.ADDRESSES: Send comments to Roy Kass(EI–44), ATTN: Form EIA–910, ForrestalBuilding, U.S. Department of Energy,Washington, D.C. 20585. Alternatively,Mr. Kass may be reached by telephoneat 202–586–4790, by FAX at 202–586–4420 or by e-mail [email protected] FURTHER INFORMATION CONTACT:Requests for additional information or acopy of the form and instructionsshould be directed to Mr. Kass at theaddress listed above. The proposedforms and instructions are also availableon the Internet at http://www.eia.doe.gov/smg/eia910.pdf.SUPPLEMENTARY INFORMATION:I. BackgroundII. Current ActionsIII. Request for Comments

I. BackgroundThe Federal Energy Administration

Act of 1974 (FEA Act) (Pub. L. 93–275,15 U.S.C. 761 et seq.) and the DOEOrganization Act (Pub. L. 95–91, 42U.S.C. 7101 et seq.) require the EIA tocarry out a centralized, comprehensive,and unified energy informationprogram. This program collects,evaluates, assembles, analyzes, anddisseminates information on energyresource reserves, production, demand,technology, and related economic andstatistical information. To carry out thisprogram, section 13(b) of the FEA Act(15 U.S.C. 772(b)) states that ‘‘Allpersons owning or operating facilities orbusiness premises who are engaged inany phase of energy supply or majorenergy consumption shall makeavailable to the (Administrator) suchinformation and periodic reports,records, documents, and other data,relating to the purposes of this Act,* * *’’

Under the authorities granted, EIAconducts mandatory surveys ofcompanies involved in energy supplyand consumption. EIA’s current surveysof energy suppliers include monthlysurveys of petroleum product resellersand retailers, electric power supply andmarketing companies, and natural gassupply companies. Collectinginformation from all types of energysupply companies provides EIA withinformation used to accurately estimateenergy prices and quantities. Users ofEIA’s information include analysts inFederal, State, and local governments,as well as analysts in energy tradeassociations, energy companies, themedia, consultants, and other privateorganizations.



The EIA, as part of its effort to complywith the Paperwork Reduction Act of1995 (Pub. L. 104–13, 44 U.S.C. Chapter35), provides the general public andother Federal agencies withopportunities to comment on collectionsof energy information conducted by orin conjunction with the EIA. Anycomments received help the EIA toprepare data requests that maximize theutility of the information collected, andto assess the impact of collectionrequirements on the public. Also, theEIA will later seek approval by theOffice of Management and Budget(OMB) of the collections under Section3507(a) of the Paperwork Reduction Actof 1995.

EIA’s coverage of natural gas prices isdeclining in states with active customerchoice programs as customers choose topurchase gas from marketers rather thanlocal distribution companies. There aresignificant variations in energy pricespaid in different states and by differenteconomic sectors within states. Data onthe price of natural gas sold bymarketers to residential and commercialcustomers by state are required to assessthe gas industry’s performance and tomeet the needs of EIA’s data users. (Seehttp://www.eia.doe.gov/oil_gas/natural_gas/ng2/ng2main.html for moreinformation on EIA’s natural gas datarequirements.) The data requirementswere developed with carefulconsideration of the public policy andeconomic issues through a series offocus groups conducted by EIA withrepresentatives from the natural gasindustry, State and Federal governmentrepresentatives, and through cognitiveinterviews with industryrepresentatives. The requirements havealso been reconsidered based oncomments received in response to anearlier Federal Register notice (65 FR44524 issued on July 18, 2000) forproposed Form EIA–905, ‘‘MonthlyNatural Gas Biller Survey.’’

Based upon these activities, EIArevised the scope of the survey to collectinformation necessary for developingaccurate estimates of state-level pricespaid by commercial and residentialconsumers of natural gas. Theserevisions should significantly reducethe reporting requirements andassociated reporting burdens for thesurvey respondents, while at the sametime providing the information neededby EIA and its data users.

Changes from the earlier proposedsurvey are: (1) Revenue and operationaldata will only be required from naturalgas marketers, instead of the earlierproposal requesting billing andoperational data from marketers, localdistribution companies, and their

associated billing agents, and (2)respondent burden for completing thesurvey has been significantly loweredby reducing the amount of data to bereported and by requesting data at thestate level rather by service area withineach state (or jurisdiction).

In the EIA–910 survey, initially datawill only be requested for both theresidential and commercial sectors infive states (Georgia, Maryland, NewYork, Ohio and Pennsylvania). EIAconducted additional research to ensurethat the proposed survey would notduplicate reliable information that EIAcould obtain through other means.Preliminary research conducted ofpublic service/utilities commissions inthe five states indicate that monthlyrevenue data are unavailable, except inGeorgia where marketers report revenuefor the residential sector only. Thus,requesting respondents to complete thisform will not be a duplicate effort inthese five states.

II. Current ActionsThe proposed survey will collect

state-level monthly data for both theresidential and commercial sectors.Specifically, respondents will report thenumber of customers, volumes ofnatural gas sold (in either therms orthousand cubic feet), and revenues. Thedata will be collected in states withactive customer choice programs.Respondents will be provided withoptions for reporting by the submissionof paper forms and electronic reporting.In the first year, data will be collectedonly for Georgia, Maryland, New York,Ohio and Pennsylvania. The survey maybe expanded in later years to requirereporting for additional states asparticipation in customer choiceprograms rises and as EIA identifiesincreasing coverage problems in itsnatural gas price data.

Information collected in the proposedEIA–910 will be treated as confidentialand will not be disclosed to the publicto the extent permitted by law that theinformation satisfies the criteria forexemption in the Freedom ofInformation Act (FOIA), 5 U.S.C. 552,the DOE regulations 10 CFR 1004.11,implementing the FOIA, and the TradeSecrets Act, 18 U.S.C. 1905. This is thesame treatment given to confidentialdata collected in other EIA surveys ofenergy companies.

The data collected from marketerswho sell natural gas to residential andcommercial customers will be compiledand incorporated into EIA’s monthlyand annual natural gas publications.The data will also be used in EIA’smodeling and analytical efforts, and toanswer questions from Federal

policymakers, Congress, and the generalpublic. The data are not intended to becollected for regulatory purposes and norulemaking is involved.

III. Request for CommentsProspective respondents and other

interested parties should comment onthe actions discussed in item II. Thefollowing guidelines are provided toassist in the preparation of comments.

General IssuesA. Is the proposed collection of

information necessary for the properperformance of the functions of theagency and does the information havepractical utility? Practical utility isdefined as the actual usefulness ofinformation to or for an agency, takinginto account its accuracy, adequacy,reliability, timeliness, and the agency’sability to process the information itcollects.

B. What enhancements can be madeto the quality, utility, and clarity of theinformation to be collected?

As a Potential Respondent to theRequest for Information

A. Are the instructions anddefinitions clear and sufficient? If not,which instructions need clarification?

B. Can the information be submittedby the due date?

C. Initially, it is expected thatpotential survey respondents willrequire 40 hours to prepare for this newsurvey. After that, reporting burden isestimated to average 2 hours per monthfor each state for which a marketerreports. This is similar to the burdenestimates for other energy supplymonthly surveys that EIA conducts. EIAexpects that all information needed forreporting should be part of the normalbusiness records of the potentialrespondents. The estimated burdenincludes the total time necessary toprovide the requested information. Inyour opinion, how accurate are theburden estimates?

D. EIA estimates that the only cost toa respondent is for the time it will taketo prepare for and complete the survey.Will a respondent incur any other start-up costs for reporting, or any recurringannual costs for operation, maintenance,and purchase of services associated withthe information collection?

E. What additional actions could betaken to minimize the burden of thiscollection of information? Such actionsmay involve the use of automated,electronic, mechanical, or othertechnological collection techniques orother forms of information technology.

F. Does any other Federal, State, orlocal agency collect similar information



that would be useful for developing theaccurate and independent natural gasdata that would be available from theproposed survey? If so, specify theagency, the data element(s), the methodsof collection, and the name and phonenumber of someone that EIA maycontact for additional information.

As a Potential User of the Informationto be Collected

A. Is the information useful at thelevels of detail to be collected?

B. For what purpose(s) would theinformation be used? Be specific.

C. Are there alternate sources for theinformation and are they useful? If so,please specify the sources and theirweaknesses and/or strengths?

Comments submitted in response tothis notice will be summarized and/orincluded in the request for OMBapproval of the form. The commentsalso will become a matter of publicrecord.

Statutory Authority: Section 3506(c)(2)(A)of the Paperwork Reduction Act of 1995(Pub. L. No. 104–13, 44 U.S.C. Chapter 35).

Issued in Washington, DC, October 23,2000.Stanley R. Freedman,Acting Director, Statistics and MethodsGroup, Energy Information Administration.[FR Doc. 00–27743 Filed 10–27–00; 8:45 am]BILLING CODE 6450–01–P


Federal Energy RegulatoryCommission

[Docket No. ER01–173–000]

Arizona Public Service Company;Notice of Filing

October 25, 2000.Take notice that on October 20, 2000,

Arizona Public Service Company (APS)tendered for filing a revision to its OpenAccess Transmission Tariff (OATT) inorder to include the Protocols Manual ofthe Arizona Independent SchedulingAdministrator Association (AISAA)under Part IV of its OATT.

APS requests an effective date ofNovember 1, 2000.

A copy of this filing has been servedon the Arizona CorporationCommission, AISAA, Salt River ProjectMerchant Group and Pinnacle WestMarketing & Trading. Copies of thefiling can be viewed on APS’ OASISwebsite, www.azpsoasis.com.

Any person desiring to be heard or toprotest such filing should file a motionto intervene or protest with the FederalEnergy Regulatory Commission, 888

First Street, NE., Washington, DC 20426,in accordance with Rules 211 and 214of the Commission’s Rules of Practiceand Procedure (18 CFR 385.211 and385.214). All such motions and protestsshould be filed on or November 8, 2000.Protests will be considered by theCommission to determine theappropriate action to be taken, but willnot serve to make protestants parties tothe proceedings. Any person wishing tobecome a party must file a motion tointervene. Copies of this filing are onfile with the Commission and areavailable for public inspection. Thisfiling may also be viewed on theInternet at http://www.ferc.fed.us/online/rims.htm (call 202–208–2222 forassistance). Beginning November 1,2000, comments and protests may befiled electronically via the internet inlieu of paper. See, 18 CFR385.2001(a)(1)(iii) and the instructionson the Commission’s web site athttp://www.ferc.fed.us/efi/doorbell.htm.

David P. Boergers,Secretary.[FR Doc. 00–27776 Filed 10–27–00; 8:45 am]BILLING CODE 6717–01–M



[Docket No. RT01–35–000]

Avista Corporation, et al.; Notice ofFiling


Avista Corporation, the BonnevillePower Administration, Idaho PowerCompany, The Montana PowerCompany, Nevada Power Company,PacifiCorp, Portland General ElectricCompany, Puget Sound Energy, Inc. andSierra Pacific Power Company(collectively, the filing utilities) filed a‘‘Supplemental Compliance Filing andRequest for Declaratory Order Pursuantto Order 2000’’ at the Federal EnergyRegulatory Commission (Commission)under the Commission’s Order 2000 andin accordance with 18 CFR385.207(a)(2). Among other things, thisfiling describes the filing utilities’proposal to form a regional transmissionorganization (referred to as RTO West)that complies with the requirements ofthe Commission’s Order 2000. The filingalso requests an expedited declaratoryorder from the Commission that certainaspects of the proposal, including theproposed governance documents andthe scope and configuration of RTO

West, are in accordance with applicablerequirements under Order 2000.

Any person desiring to be heard or toprotest such filing should file a motionto intervene or protest with the FederalEnergy Regulatory Commission, 888First Street, N.E., Washington, D.C.20426, in accordance with Rules 211and 214 of the Commission’s Rules ofPractice and Procedure (18 CFR 385.211and 385.214). All such motions andprotests should be filed on or beforeNovember 20, 2000. Protests will beconsidered by the Commission todetermine the appropriate action to betaken, but will not serve to makeprotestants parties to the proceedings.Any person wishing to become a partymust file a motion to intervene. Copiesof this filing are on file with theCommission and are available for publicinspection. This filing may also beviewed on the Internet at http://www.ferc.fed.us/online/rims.htm (call202–208–2222 for assistance).Beginninng November 1, 2000,comments and protests may be filedelectronically via the internet in lieu ofpaper. See, 18 CFR 385.2001(a)(1)(iii)and the instructions on theCommission’s web site at http://www.ferc.fed.us/efi/doorbell.htm.





Central Power and Light Company;Notice of Filing


Central Power and Light Company (CPL)submitted for filing Facility ScheduleNo. 3 to the November 29, 1999Interconnection Agreement betweenCPL and Sharyland Utilities, L.P.(Sharyland), establishing a new point ofinterconnection between the Sharylandand CPL systems.

CPL requests that the amendment tothe Interconnection Agreement beaccepted to become effective as ofAugust 4, 2000. Accordingly, CPLrequests waiver of the Commission’snotice requirements.

CPL states that a copy of the filingwas served on Sharyland and the PublicUtility Commission of Texas.

Any person desiring to be heard or toprotest such filing should file a motion



to intervene or protest with the FederalEnergy Regulatory Commission, 888First Street, N.E., Washington, D.C.20426, in accordance with Rules 211and 214 of the Commission’s Rules ofPractice and Procedure (18 CFR 385.211and 385.214). All such motions andprotests should be filed on or November3, 2000. Protests will be considered bythe Commission to determine theappropriate action to be taken, but willnot serve to make protestants parties tothe proceedings. Any person wishing tobecome a party must file a motion tointervene. Copies of this filing are onfile with the Commission and areavailable for public inspection. Thisfiling may also be viewed on theInternet at http://www.ferc.fed.us/online/rims.htm (call 202–208–2222 forassistance). Beginning November 1,2000, comments and protests may befiled electronically via the internet inlieu of paper. See, 18 CFR385.2001(a)(1)(iii) and the instructionson the Commission’s web site at http://www.ferc.fed.us/efi/doorbell.htm.

Linwood A. Watson, Jr.,Acting Secretary.[FR Doc. 00–27771 Filed 10–27–00; 8:45 am]BILLING CODE 6717–01–M



[Docket No. ER00–3717–001]

Mirabito Gas & Electric, Inc.; Notice ofFiling


Mirabito Gas & Electric, Inc., tenderedfor filing an amendment to its Petitionfor Acceptance of Initial Rate Schedule,Waivers and Blanket Authority filedwith the Commission on September 19,2000, in the above-referenced Docket.

Any person desiring to be heard or toprotest such filing should file a motionto intervene or protest with the FederalEnergy Regulatory Commission, 888First Street, NE, Washington, DC 20426,in accordance with rules 211 and 214 ofthe Commission’s Rules of Practice andProcedure (18 CFR 385.211 and385.214). All such motions and protestsshould be filed on or November 8, 2000.Protests will be considered by theCommission to determine theappropriate action to be taken, but willnot serve to make protestants parties tothe proceedings. Any person wishing to

become a party must file a motion tointervene. Copies of this filing are onfile with the Commission and areavailable for public inspection. Thisfiling may also be viewed on theInternet at http://www.ferc.fed.us/online/rims.htm (call 202–208–2222 forassistance). Beginning November 1,2000, comments and protests may befiled electronically via the internet inlieu of paper. See, 18 CFR385.2001(a)(1)(iii) and the instructionson the Commission’s web site at http://www.ferc.fed.us/efi/doorbell.htm.




[Docket No. CP01–15–000]

Northern Natural Gas Company; Noticeof Request Under BlanketAuthorization


Northern Natural Gas Company(Northern), 1111 South 103rd Street,Omaha, Nebraska 68124–1000, filed inDocket No. CP01–15–000 a requestpursuant to Sections 157.205 and157.211 of the Commission’sRegulations under the Natural Gas Act(18 CFR 157.205 and 157.211) forauthorization to install a new deliverypoint in Cuming County, Nebraska inorder to accommodate interruptiblenatural gas deliveries to West PointDairy Products, Inc. (West Point Dairy)under Northern’s blanket certificateissued in Docket No. CP82–401–000pursuant to Section 7 of the Natural GasAct, all as more fully set forth in therequest which is on file with theCommission and open to publicinspection. This filing may be viewedon the web at http://www.ferc.fed.us/online/rims.htm (call 202–208–2222 forassistance).

Northern states that West Point Dairyis currently served by UtiliCorp UnitedInc. (UCU), a local distributioncompany. Northern states that pursuantto Section 284.106 of the Commission’sRegulations, Northern provided noticeto UCU and the Nebraska Public ServiceCommission by sending a copy of theapplication, via FedX over-nightdelivery, on the same date that the

application was filed with theCommission.

Northern states that the delivery pointwill consist of a side valve and tap inSection 26, Township 22 North, Range6 East in Cuming County, Nebraska.Northern states that the facilities will becapable of delivering up to 200 MMbtuper day to West Point Dairy andestimates total annual deliveries of52,000 MMbtu. Northern estimates thatthe delivery point will cost $7,000 andthat West Point Dairy will reimburseNorthern for the construction costs.

Northern states that the deliveries toWest Point Dairy will be made pursuantto Northern’s currently effectivethroughput service agreement and thatthe deliveries to West Point will notexceed the total volumes authorizedprior to the request. Further, Northernasserts that it has sufficient capacity toaccommodate the West Point Dairyvolume without detriment ordisadvantage to Northern’s othercustomers.

Any questions regarding theapplication should be directed to KeithL. Petersen, Director, Certificates andReporting, Northern Natural GasCompany, P.O. Box 3330, Omaha,Nebraska 68103–0330, at (402) 398–7421, FAX: (402) 398–7592, and e-mail:[email protected].

Any person or the Commission’s staffmay, within 45 day after issuance of theinstant notice by the Commission, filepursuant to Rule 214 of theCommission’s Procedural Rules (18 CFR385.214) a motion to intervene or noticeof intervention and pursuant to Section157.205 of the Regulations under theNatural Gas Act (18 CFR 157.205), aprotest to the request. If no protest isfiled within the time allowed therefor,the proposed activity shall be deemed tobe authorized effective the day after thetime allowed for protest. If a protest isfiled and not withdrawn within 30 daysafter the time allowed for filing aprotest, the instant request shall betreated as an application forauthorization pursuant to Section 7 ofthe Natural Gas Act. BeginningNovember 1, 2000, comments andprotests may be filed electronically viathe internet in lieu of paper. See 18 CFR385.2001(a)(1)(iii) and the instructionson the Commission’s web site at http://www.ferc.fed.us/efi/doorbell.htm.






[Docket Nos. ER00–1534–001, ER00–1535–001]

Ocean State Power and Ocean StatePower II; Notice of Filing


Ocean States Power and Ocean StatePower II, (Ocean State), tendered forfiling its Refund Compliance Report inthe above referenced dockets.

Any person desiring to be heard or toprotest such filing should file a motionto intervene or protest with the FederalEnergy Regulatory Commission, 888First Street, NE., Washington, DC20426,in accordance with Rules 211 and214 of the Commission’s Rules ofPractice and Procedure (18 CFR 385.211and 385.214). All such motions andprotests should be filed on or before

November 6, 2000. Protests will beconsidered by the Commission todetermine the appropriate action to betaken, but will not serve to makeprotestants parties to the proceedings.Any person wishing to become a partymust file a motion to intervene. Copiesof this filing are on file with theCommission and are available for publicinspection. This filing may also beviewed on the Internet at http://www.ferc.fed.us/online/rims.htm (call202–208–2222 for assistance). BeginningNovember 1, 2000, comments andprotests may be filed electronically viathe internet in lieu of paper. See, 18CFR 385.2001(a)(1)(iii) and theinstructions on the Commission’s website at http://www.ferc.fed.us/efi/doorbell.htm.

Linwood A. Watson, Jr.,Acting Secretary.[FR Doc. 00–27773 Filed 10–27–00; 8:45 am]

BILLING CODE 6717–01–M



[Project No. 309–036]

Reliant Energy Mid-Atlantic PowerHoldings, LLC; Notice EstablishingProcedures for Relicensing and aDeadline For Submission Of FinalAmendments

October 24, 2000.

The license for the Piney Project No309, located on the Clarion River inClarion County, Pennsylvania, willexpire on October 12, 2002. On October11, 2000, an application for new licensewas filed. The following is anapproximate schedule and proceduresthat will be followed in processing theapplication:

Date Action

December 31, 2000 ............................................ Commission notifies applicant that its application has been accepted and specifies the needfor additional information and due date.

January 15, 2001 ................................................ Commission issues public notice of the accepted application establishing dates for filing mo-tions to intervene and protests.

March 15, 2001 ................................................... Commission’s deadline for the applicant for filing a final amendment, if any, to its application.June 15, 2001 ..................................................... Commission notifies all parties and agencies that the application is ready for environmental

analysis.

Upon receipt of any additionalinformation and the information filed inresponse to the public notice of theacceptance of the application, theCommission will evaluate theapplication in accordance withapplicable statutory requirements andtake appropriate action on theapplication.

Any questions concerning this noticeshould be directed to William Guey-Leeat (202) 219–2808, or email at:[email protected].




[Docket No. ER98–3382–001]

Rochester Gas and ElectricCorporation; Notice of Filing


Rochester Gas and Electric Corporation

(RG&E), tendered for filing incompliance with the Commission’sorder issued September 12, 1997 in theabove-referenced proceeding, RochesterGas and Electric Corporation, 80 FERC¶ 61,284 (1997), an update to the marketpower study originally submitted insupport of RG&E’s request for market-based rate authority.

Any person desiring to be heard or toprotest such filing should file a motionto intervene or protest with the FederalEnergy Regulatory Commission, 888First Street, NE., Washington, DC 20426,in accordance with Rules 211 and 214of the Commission’s Rules of practiceand Procedure (18 CFR 385.211 and385.214). All such motions and protestsshould be filed on or November 3, 2000.Protests will be considered by theCommission to determine theappropriate action to be taken, but willnot serve to make protestants parties tothe proceedings. Any person wishing tobecome a party must file a motion tointervene. Copies of this filing are onfile with the Commission and areavailable for public inspection. Thisfiling may also be viewed on theInternet at http://www.ferc.fed.us/online/rims.htm (call 202–208–2222 for

assistance). Beginning November 1,2000, comments and protests may befiled electronically via the internet inlieu of paper. See, 18 CFR385.2001(a)(1)(iii) and the instructionson the Commission’s web site at http://www.ferc.fed.us/efi/doorbell.htm.




[Docket No. ER00–3444–001]

Sempra Energy Solutions; Notice ofFiling


Sempra Energy Solutions, tendered forfiling proposed designations for itsrevised FERC Electric Rate Schedule No.1 in its FERC Electric Service Tariffpursuant to Commission Order No. 614.

The proposed designations aretendered pursuant to a letter order



issued September 12, 2000 underauthority delegated to Michael C.McLaughlin, Director, Division ofCorporate Applications.

Copies of the filing were served uponthe official service lists in Docket Nos.ER96–2372–018, ER98–3515–000 andER00–3444–000, and on the CaliforniaPublic Utilities Commission.

Any person desiring to be heard or toprotest such filing should file a motionto intervene or protest with the FederalEnergy Regulatory Commission, 888First Street, Commission’s Rules ofPractice and Procedure (18 CFR 385.211and 385.214). All such motions andprotests should be filed on or November2, 2000. Protests will be considered bythe Commission to determine theappropriate action to be taken, but willnot serve to make protestants parties tothe proceedings. Any person wishing tobecome a party must file a motion tointervene. Copies of this filing are onfile with the Commission and areavailable for public inspection. Thisfiling may also be viewed on theInternet at http://www.ferc.fed.us/online/rims.htm (call 202–208–2222 forassistance). Beginning November 1,2000, comments and protests may befiled electronically via the internet inlieu of paper. See, 18 CFR385.2001(a)(1)(iii) and the instructionson the Commission’s web site at http://www.ferc.fed.us/efi/doorbell.htm.




[Docket No. RT01–34–000]

Southwest Power Pool, Inc.; Notice ofFiling


Southwest Power Pool, Inc. (SPP) fileda corrected version of Exhibit No. SPP–3 which includes a redlined SPP RTOMembership Agreement that highlightsall of the changes to the existingMembership Agreement. SPP alsosubmitted the attached Exhibit List ofall SPP exhibits includes in the October13 filing.

Any person desiring to be heard or toprotest such filing should file a motionto intervene or protest with the FederalEnergy Regulatory Commission, 888First Street, NE, Washington, DC 20426,in accordance with Rules 211 and 214

of the Commission’s Rules of Practiceand Procedure (18 CFR 385.211 and385.214). All such motions and protestsshould be filed on or before November20, 2000. Protests will be considered bythe Commission to determine theappropriate action to be taken, but willnot serve to make protestants parties tothe proceedings. Any person wishing tobecome a party must file a motion tointervene. Copies of this filing are onfile with the Commission and areavailable for public inspection. Thisfiling may also be viewed on theInternet at http://www.ferc.fed.us/online/rims.htm (call 202–208–2222 forassistance). Beginning November 1,2000, comments and protests may befiled electronically via the internet inlieu of paper. See, 18 CFR385.2001(a)(1)(iii) and the instructionson the Commission’s web site at http://www.ferc.fed.us/efi/doorbell.htm.




[Docket Nos. ER00–2962–000 and ER00–2962–003]

West Georgia Generating CompanyL.P.; Notice of Filing


West Georgia Generating Company, L.P.(West Georgia), an Exempt WholesaleGenerator that owns and operates a 640MW electric generation plant inThomastown, Georgia, tendered forfiling a Negotiated Contract for thePurchase of Firm Capacity and Energybetween West Georgia GeneratingCompany L.P., and Gulf PowerCompany (the Agreement). The purposeof the filing was to provide correcteddesignations under Order No. 614, FERCStats. and Regs. ¶ 31,096 (2000), asrequired by the letter order issued inthese dockets on September 21, 2000.

West Georgia requests that theAgreement be permitted to becomeeffective June 1, 2000.

Any person desiring to be heard or toprotest such filing should file a motionto intervene or protest with the FederalEnergy Regulatory Commission, 888First Street, N.E., Washington, D.C.20426, in accordance with Rules 211and 214 of the Commission’s Rules ofPractice and Procedure (18 CFR 385.211and 385.214). All such motions and

protests should be filed on or November8, 2000. Protests will be considered bythe Commission to determine theappropriate action to be taken, but willnot serve to make protestants parties tothe proceedings. Any person wishing tobecome a party must file a motion tointervene. Copies of this filing are onfile with the Commission and areavailable for public inspection. Thisfiling may also be viewed on theInternet at http:///www.ferc.fed.us/online/rims.htm (call 202–208–2222 forassistance). Beginning November 1,2000, comments and protests may befiled electronically via the internet inlieu of paper. See, 18 CFR385.2001(a)(1)(iii) and the instructionson the Commission’s web site at http://www.ferc.fed.us/efi/doorbell.htm.




[Docket Nos. ER00–2964–000 and ER00–2964–003]

West Georgia Generating CompanyL.P.; Notice of Filing


West Georgia Generating Company(West Georgia), an Exempt WholesaleGenerator that owns and operates a 640MW electric generation plant inThomastown, Georgia, tendered forfiling a Power Purchase Agreementbetween West Georgia GeneratingCompany L.P. and Oglethorpe PowerCorporation (the Agreement). Thepurpose of the filing was to providecorrected designations under Order No.614, FERC Stats. and Regs. ¶31,096(2000), as required by the letter orderissued in these dockets on September21, 2000.

West Georgia requests that theAgreement be permitted to becomeeffective June 6, 2000.

Any person desiring to be heard or toprotest such filing should file a motionto intervene or protest with the FederalEnergy Regulatory Commission, 888First Street, N.E., Washington, D.C.20426, in accordance with Rules 211and 214 of the Commission’s Rules ofPractice and Procedure (18 CFR 385.211and 385.214). All such motions andprotests should be filed on or November8, 2000. Protests will be considered bythe Commission to determine the



appropriate action to be taken, but willnot serve to make protestants parties tothe proceedings. Any person wishing tobecome a party must file a motion tointervene. Copies of this filing are onfile with the Commission and areavailable for public inspection. Thisfiling may also be viewed on theInternet at http://www.ferc.fed.us/online/rims.htm (call 202–208–2222 forassistance). Beginning November 1,2000, comments and protests may befiled electronically via the internet inlieu of paper. See, 18 CFR385.2001(a)(1)(iii) and the instructionson the Commission’s web site at http://www.ferc.fed.us/efi/doorbell.htm.




[Docket No. ER01–136–000, et al.]

Dynegy Midwest Generation, Inc., etal.; Electric Rate and CorporateRegulation Filings

October 20, 2000.Take notice that the following filings

have been made with the Commission:

1. Dynegy Midwest Generation, Inc.

[Docket No. ER01–136–000]Take notice that on October 16, 2000,

Dynegy Midwest Generation, Inc.(DMG), tendered for filing a NegotiatedTier 1 Memorandum (NT1M) under thePower Purchase Agreement betweenDMG and Illinois Power Company, filedpursuant to Section 205 of the FederalPower Act and Part 35 of theCommission’s regulations.

DMG requests that the Commissionaccept the NT1M for filing with aneffective date of January 1, 2001.

Comment date: November 6, 2000, inaccordance with Standard Paragraph Eat the end of this notice.

2. Tenaska Alabama II Partners, L.P.


Tenaska Alabama II Partners, L.P., 1044North 115th Street, Suite 400, Omaha,Nebraska 68154 (Tenaska Alabama II),which will own and operate a naturalgas-fired electric generating facility to beconstructed in Autauga County,Alabama, tendered for filing with theFederal Energy Regulatory Commissionits initial FERC Electric Rate ScheduleNo. 1 which will enable Tenaska

Alabama II to engage in the sale ofelectric energy and capacity at market-based rates.


3. Dynegy Danskammer, L.L.C.


Take notice that on October 17, 2000,Dynegy Danskammer, L.L.C.(Danskammer), tendered for filingpursuant to Rule 205, 18 CFR 385.205,a petition for waivers and blanketapprovals under various regulations ofthe Commission and for an orderaccepting its FERC Electric Tariff No. 1to become effective as of the datespecified by the Commission.Danskammer also filed certain long termagreements designated as separateservice agreements under its FERCElectric Tariff No. 1.

Danskammer intends to sell energy,capacity and ancillary services atwholesale at rates, terms, andconditions to be mutually agreed to withthe purchasing party. Danskammer’sFERC Electric Tariff No. 1 provides forthe sale of electric energy, capacity andancillary services at agreed prices.


4. Dynegy Roseton, L.L.C.


Take notice that on October 17, 2000,Dynegy Roseton, L.L.C. (Roseton),tendered for filing pursuant to Rule 205,18 CFR 385.205, a petition for waiversand blanket approvals under variousregulations of the Commission and foran order accepting its FERC ElectricTariff No. 1 to become effective as of thedate specified by the Commission.Roseton also filed certain long termagreements designated as separateservice agreements under its FERCElectric Tariff No. 1.

Roseton intends to sell energy,capacity and ancillary services atwholesale at rates, terms, andconditions to be mutually agreed to withthe purchasing party. Roseton’s FERCElectric Tariff No. 1 provides for the saleof electric energy, capacity and ancillaryservices at agreed prices.


5. Ameren Energy Marketing Company


Take notice that on October 17, 2000,Ameren Energy Marketing Companytendered for filing a Master PowerPurchase and Sale Agreement and

Confirmation Letter between AmerenEnergy Marketing Company and CentralIllinois Light Company. Ameren assertsthat the purpose of the Agreement is topermit Ameren to make sales of capacityand energy at market based rates toCentral Illinois Light Company pursuantto Ameren’s Market Based Rate PowerSales Tariff filed in Docket No. ER00–816–000.


6. Wisconsin Public ServiceCorporation


Wisconsin Public Service Corporation(WPSC), tendered for filing its revisedfull requirements service tariff, RateSchedule W–1A for Full RequirementsService to Wholesale Customers (‘‘RateSchedule W–1A’’). WPSC is revising itscurrently effective tariff, Rate ScheduleW–1, to include unbundled generationservice to accommodate new customerswho desire to purchase fullrequirements service from WPSC.

WPSC requests an effective date ofDecember 17, 2000.

Copies of the filing were served uponWPSC’s Rate Schedule W–1Acustomers, Stratford Water & Electric,the Public Service Commission ofWisconsin and the Michigan PublicService Commission.


7. Madison Gas and Electric Company


Madison Gas and Electric Company(MGE), tendered for filing a serviceagreement under MGE’s Market-BasedPower Sales Tariff with WisconsinElectric Power Company.

MGE requests the agreement beeffective on the date it was filed withthe FERC.


Standard ParagraphsE. Any person desiring to be heard or

to protest such filing should file amotion to intervene or protest with theFederal Energy Regulatory Commission,888 First Street, NE., Washington, DC20426, in accordance with Rules 211and 214 of the Commission’s Rules ofPractice and Procedure (18 CFR 385.211and 385.214). All such motions orprotests should be filed on or before thecomment date. Protests will beconsidered by the Commission in



determining the appropriate action to betaken, but will not serve to makeprotestants parties to the proceeding.Any person wishing to become a partymust file a motion to intervene. Copiesof these filings are on file with theCommission and are available for publicinspection. This filing may also beviewed on the Internet at http://www.ferc.fed.us/online/rims.htm (call202–208–2222 for assistance). BeginningNovember 1, 2000, comments andprotests may be filed electronically viathe internet in lieu of paper. See, 18CFR 385.2001(a)(1)(iii) and theinstructions on the Commission’s website at http://www.ferc.fed.us/efi/doorbell.htm.

David P. Boergers,Secretary.[FR Doc. 00–27762 Filed 10–27–00; 8:45 am]




[Docket No. EC01–5–000, et al.]

Oregon Trail Electric ConsumersCooperative, Inc., et al.; Electric Rateand Corporate Regulation Filings

October 23, 2000.

Take notice that the following filingshave been made with the Commission:

1. Oregon Trail Electric ConsumersCooperative, Inc.

[Docket Nos. EC01–5–000 and ER01–124–000]

Take notice that on October 13, 2000,Oregon Trail Electric ConsumersCooperative, Inc. (Oregon Trail)submitted for filing an applicationseeking an order: (1) AuthorizingOregon Trail to lease the 66-mile-long138-kV Hines-West John Daytransmission line and three step-downtransformers owned by Oregon Trail tothe Bonneville Power Administration(BPA) pursuant to Section 203 of theFederal Power Act (FPA); and (2)accepting and approving, withoutsuspension or hearing, amendments toan existing operation and maintenanceagreement between Oregon Trail andBPA for such transmission facilitiespursuant to Section 205 of the FPA.


2. PG&E Energy Trading Holdings, LLC,PG&E Energy Trading-Power, L.P.

[Docket No. EC01–6–000]Take notice that on October 16, 2000,

PG&E Energy Trading Holdings, LLCand PG&E Energy Trading-Power, L.P.(PGET) tendered for filing anapplication for authorization pursuantto section 203 of the Federal Power Actfor an intra-corporate change in theupstream ownership of PGET.

A copy of this Application was servedupon the California Public UtilitiesCommission.


3. Central Hudson Gas & ElectricCorporation, Consolidated Edison Co.of New York, Inc., Niagara MohawkPower Corporation, Dynegy PowerCorp.

[Docket Nos. EC01–7–000 and and ER01–126–000]

Take notice that on October 16, 2000,Central Hudson Gas & ElectricCorporation (Central Hudson),Consolidated Edison Co. of New York,Inc. (Con Edison), Niagara MohawkPower Corporation (Niagara Mohawk)and Dynegy Power Corp. on behalf ofDynegy Roseton, L.L.C. and DynegyDanskammer, L.L.C. (the DynegyAcquirors) (collectively the Applicants)tendered for filing an application underSection 203 of the Federal Power Act forapproval of the transfer of (a) certainFederal Power Act (FPA) jurisdictionalfacilities associated with the transfer ofcertain generation assets owned byCentral Hudson, Con Edison andNiagara Mohawk to the DynegyAcquirors and (b) of certain limited FPAjurisdictional transmission facilities ofCon Edison and Niagara Mohawk toCentral Hudson. The applicants alsotendered for filing under Section 205 ofthe Federal Power Act a request byCentral Hudson for Commissionapproval of certain interconnectionagreements and transmission facilityconstruction payment obligations.


4. Tenaska Alabama II Partners, L.P.

[Docket No. EG01–6–000]Take notice that on October 16, 2000,

Tenaska Alabama II Partners, L.P., 1044North 115th Street, Suite 400, Omaha,Nebraska 68154 (Tenaska Alabama II),filed with the Federal Energy RegulatoryCommission an application fordetermination of exempt wholesalegenerator status pursuant to Part 365 ofthe Commission’s regulations.

Tenaska Alabama II, a Delawarelimited partnership, will construct,own, and operate a natural gas firedcombined-cycle fuel conversion facility(the Facility) to be constructed andlocated near Billingsley, Alabama, inAutauga County. The Facility willconsist of three ‘‘F’’ Class combustionturbine-generators and one steamturbine-generator, and will use naturalgas as the primary fuel and fuel oil asbackup fuel for the combustion turbines.The Facility will also include naturalgas receipt facilities, fuel oil storagefacilities, fuel oil unloading facilities,and a switchyard. The nominal netelectric output of the facility will beapproximately 900 MW. The Facilitywill include related transmissioninterconnection components necessaryto interconnect the Facility withAlabama Power Company.

The Facility will be used exclusivelyfor the generation of electric energy tobe delivered to an unaffiliated third-party customer.

Comment date: November 13, 2000, inaccordance with Standard Paragraph Eat the end of this notice. TheCommission will limit its considerationof comments to those that concern theadequacy or accuracy of the application.

5. Western Farmers ElectricCooperative

[Docket No. EL01–4–000]

Take notice that on October 16, 2000,Western Farmers Electric Cooperative(Applicant) filed with the FederalEnergy Regulatory Commission apetition for declaratory orderdisclaiming jurisdiction and request forexpedited consideration.

The Applicant owns Hugo GenerationStation, a 475 MV coal-fired electricgenerating facility located in Hugo,Oklahoma, approximately 250 miles of138,000 volt overhead transmission line,five related switch substations, sixrelated taps and eleven relatedsubstations, all located in Oklahoma(the Project). Applicant is seeking adisclaimer of jurisdiction in connectionwith a lease and leaseback financinginvolving the Project.


6. SOWEGA Power LLC

[Docket No. EL01–5–000]

Take notice that on October 16, 2000,SOWEGA Power LLC tendered for filinga request for waiver of the Commission’sopen access transmission tariff andOASIS requirements to the extentrequired in connection with SOWEGAPower LLC’s ownership of



interconnection facilities (generationstep-up transformers and an interest incertain common bus facilities) located atthe plant site where SOWEGA PowerLLC’s two 50 MW summer nominalcapacity generators are located.


7. Pacific Gas and Electric Company v.Sunnyside Cogeneration Partners, L.P.,RW Monterey, Inc., Ridgewood ElectricPower Trust II, Ridgewood Power LLC

[Docket Nos. EL01–7–000 and QF91–50–000]Take notice that on October 18, 2000,

Pacific Gas and Electric Company fileda Petition for Declaratory Order andRevocation of Qualifying Status, Motionfor the Establishment of Just andReasonable Rates, and Motion forRefunds (Petition). The Petitioninvolves a cogeneration facility self-certified as a QF in Docket No. QF91–50–000.


8. California Independent SystemOperator Corporation


the California Independent SystemOperator Corporation (ISO) tendered forfiling a Notice of Implementation,posted on the ISO Home Page and sentto all Market Participants on October 16,2000, which specifies that, effectiveOctober 26, 2000, the ISO will beginimplementation of Adjustment Bids inconjunction with Inter-SchedulingCoordinator Energy Trades (Inter-SCTrade Adjustment Bids).

The ISO states that this filing has beenserved on all parties listed on theofficial service list in the above-captioned docket.


9. Commonwealth Edison Company


Commonwealth Edison Company(ComEd) submitted for filing a revisedfirm Agreement with CommonwealthEdison Company, in its wholesalemerchant function (WMD) under theterms of ComEd’s Open AccessTransmission Tariff (OATT).

ComEd requests an effective date ofOctober 1, 2000 for the Agreement withWMD, and accordingly, seeks waiver ofthe Commission’s notice requirements.


10. New York State Electric & GasCorporation


New York State Electric & GasCorporation (NYSEG) tendered for filingas an initial rate schedule pursuant toPart 35 of the Federal Energy RegulatoryCommission’s regulations, 18 CFR Part35, an Interconnection Agreement (IA)with Boralex Chateaugay, Inc. (Boralex).The IA provides for interconnectionservice to Boralex at the rates, terms,charges, and conditions set forththerein.

NYSEG is requesting that the IAbecome effective as of October 19, 2000.

Copies of this filing have been servedupon the New York State Public ServiceCommission, Boralex and the New YorkIndependent System Operator, Inc.


11. New England Power Pool


the New England Power Pool (NEPOOL)Participants Committee tendered forfiling two Service Agreements for Long-Term Firm Out Service pursuant toSection 205 of the Federal Power Actand 18 CFR 35.12 of the Commission’sregulations.

Acceptance of this Service Agreementwill recognize the provision of Long-Term Firm Out Service to ConstellationPower Source, Inc. and Sithe PowerMarketing, L.P., in accordance with theprovisions of the NEPOOL Open AccessTransmission Tariff, as amended andsupplemented.

In each case, an effective date ofJanuary 1, 2001 for commencement oftransmission service has been requested.

Copies of this filing were sent to allNEPOOL members, the New Englandpublic utility commissioners and allparties to the transaction.


12. Southern Energy Delta, L.L.C.,Southern Energy Potrero, L.L.C.


Southern Energy Delta, L.L.C. (SE Delta)and Southern Energy Potrero, L.L.C. (SEPotrero), tendered for filing revised tariffsheets to the Must-Run ServiceAgreements (RMR Agreements) betweenSE Delta, SE Potrero, and the CaliforniaIndependent System OperatorCorporation (the ISO). If accepted, theserevisions would permit SE Delta and SEPotrero to recover their costs incurred

pursuant to ISO Tariff Amendment No.26.


13. Consumers Energy Company


Take notice that on October 18, 2000,Consumers Energy Company(Consumers) tendered for filingexecuted Firm and Non-Firm Point toPoint Transmission Service Agreementswith Split Rock Energy LLC (Customer)pursuant to the Joint Open AccessTransmission Service Tariff filed onDecember 31, 1996 by Consumers andThe Detroit Edison Company (DetroitEdison).

The agreements have effective dates ofOctober 11, 2000.

Copies of the filed agreement wereserved upon the Michigan PublicService Commission, Detroit Edison,and the Customer.


14. Southwest Power Pool, Inc.


Take notice that on October 18, 2000,Southwest Power Pool, Inc. (SPP)tendered for filing an executed serviceagreement for Firm Point-to-PointTransmission Service with WesternResources Generation Services(Transmission Customer).

SPP seeks an effective date ofNovember 1, 2000 for the serviceagreement.

A copy of this filing was served on theTransmission Customer.


15. Southwest Power Pool, Inc.


Take notice that on October 18, 2000,Southwest Power Pool, Inc. (SPP)tendered for filing two executed serviceagreements for Firm Point-to-PointTransmission Service with UtiliCorpand Western Resources GenerationServices (collectively, TransmissionCustomers)

Copies of this filing were served onthe Transmission customers.




16. Allegheny Power ServiceCorporation, on behalf of MonongahelaPower Company, The Potomac EdisonCompany, and West Penn PowerCompany (Allegheny Power)


Take notice that on October 18, 2000,Allegheny Power Service Corporationon behalf of Monongahela PowerCompany, The Potomac EdisonCompany and West Penn PowerCompany (Allegheny Power), filedService Agreement No. 328 to addAllegheny Energy Supply Company,LLC to Allegheny Power’s Open AccessTransmission Service Tariff which hasbeen accepted for filing by the FederalEnergy Regulatory Commission.

The proposed effective date under theService Agreement is January 1, 2001.

Copies of the filing have beenprovided to the Public UtilitiesCommission of Ohio, the PennsylvaniaPublic Utility Commission, theMaryland Public Service Commission,the Virginia State CorporationCommission, the West Virginia PublicService Commission.














19. Entergy Services, Inc.


Take notice that on October 18, 2000,Entergy Services, Inc. (Entergy), onbehalf of Entergy Gulf States, Inc.,tendered for filing an amended ExhibitA to the Agreement for SpecialRequirements Wholesale ElectricService between Entergy Gulf States,Inc., and Sam Rayburn G&T ElectricCooperative, Inc. Entergy states that theamended Exhibit A reflects changes tocertain points of delivery for SamHouston Electric Cooperative, Inc.


20. Pennsylvania Electric Company


Take notice that on October 18, 2000,Pennsylvania Electric Company (d/b/aGPU Energy) submitted for filing aGeneration Facility TransmissionInterconnection Agreement (Agreement)by and between GPU Energy andHandsome Lake Energy, L.L.C.(Handsome Lake), entered into onOctober 6, 2000.

Copies were served upon HandsomeLake and regulators in the State ofPennsylvania.


21. Sierra Pacific Power Company


Take notice that on October 17, 2000,Sierra Pacific Power Company (Sierra)filed a revision to the General TransferAgreement (GTA) between Sierra andBonneville Power Administration(BPA).

Sierra states that the revision woulddecrease the total monthly facilitiescharge from $131,389 to $130,755 toreflect a change in the percentage ofinitial capital investment used tocalculate the Estimated O&M Charge.

Sierra requests that the decreasedcharge be made effective at 2400 hourson October 31, 2000.

Copies of this filing were served uponthe Public Utilities Commission ofNevada, the Public Utilities Commissionof California, the Nevada Bureau ofConsumer Protection and BonnevillePower Administration.


22. Tenaska Frontier Partners, Ltd.


Take notice that on October 18, 2000,Tenaska Frontier Partners, Ltd., 1044North 115 Street, Suite 400, Omaha,Nebraska 68154 (Tenaska Frontier),tendered for filing with the FederalEnergy Regulatory Commission thePower Purchase Agreement betweenTenaska Frontier and PECO EnergyCompany (PECO) dated as of October29, 1997, and amended as of August 24,1998 (PPA). The filing is made pursuantto Tenaska Frontier’s authority to sellpower at market-based rates under itsMarket-Based Rate Tariff, Rate ScheduleFERC No. 1, Original Volume No. 1,approved by the Commission on March30, 1998, in Docket No. ER98–1767–000.


23. Northern Indiana Public ServiceCompany


Take notice that on October 18, 2000,Northern Indiana Public ServiceCompany (Northern Indiana) filed aService Agreement pursuant to itsWholesale Market-Based Rate Tariffwith Reliant Energy Services, Inc.(Reliant).

Northern Indiana has requested aneffective date of October 1, 2000.

Copies of this filing have been sent toReliant, the Indiana Utility RegulatoryCommission, and the Indiana Office ofUtility Consumer Counselor.




24. LG&E-Westmoreland Hopewell

[Docket Nos. QF88–85–000 and EL01–8–000]

Take notice that on October 16, 2000,LG&E-Westmoreland Hopewell, alimited general partnership with itsprincipal place of business at 12500 FairLakes Circle, Suite 350, Fairfax, Virginia22033 filed in the above-referenceddocket a petition for a limited waiver ofthe Commission’s operating standardpursuant to § 292.205(c) of theCommission’s regulations.


Standard Paragraphs

E. Any person desiring to be heard orto protest such filing should file amotion to intervene or protest with theFederal Energy Regulatory Commission,888 First Street, NE., Washington, DC20426, in accordance with Rules 211and 214 of the Commission’s Rules ofPractice and Procedure (18 CFR 385.211and 385.214). All such motions orprotests should be filed on or before thecomment date. Protests will beconsidered by the Commission indetermining the appropriate action to betaken, but will not serve to makeprotestants parties to the proceeding.Any person wishing to become a partymust file a motion to intervene. Copiesof these filings are on file with theCommission and are available for publicinspection. This filing may also beviewed on the Internet at http://www.ferc.fed.us/online/rims.htm (call202–208–2222 for assistance). BeginningNovember 1, 2000, comments andprotests may be filed electronically viathe internet in lieu of paper. See, 18CFR 385.2001(a)(1)(iii) and theinstructions on the Commission’s website at http://www.ferc.fed.us/efi/doorbell.htm.





[Project No. 11480–001 Alaska]

Haida Corporation Project; Notice ofAvailability Of Final EnvironmentalAssessment

October 24, 2000.

In accordance with the NationalEnvironmental Policy Act of 1969 andthe Federal Energy RegulatoryCommission’s (Commission)regulations, 18 CFR Part 380 (Order No.486, 52 FR 47897), the Office of EnergyProjects has reviewed the applicationfor an original license for HaidaCorporation’s proposed Reynolds CreekHydroelectric Project, and has prepareda Final Environmental Assessment(FEA). The project would be locatedabout 10 miles east of Hydaburg, Alaskaon Prince of Wales Island.

On September 9, 1999, theCommission staff issued a draftenvironmental assessment (DEA) for theproject and requested that comments befiled with the Commission within 45days. Comments on the DEA were filedby the Alaska Power & TelephoneCompany, National Marine FisheriesService, Alaska Department of Fish andGame, Alaska Division of GovernmentalCoordination, Haida Corporation, andNatural Heritage Institute and areaddressed in the FEA.

The FEA contains the staff’s analysisof the potential environmental impactsof the project and concludes thatlicensing the project, with appropriateenvironmental protective measures,would not constitute a major federalaction that would significantly affect thequality of the human environment.

Copies of the FEA are available forreview in the Commission’s PublicReference Room, Room 2A, at 888 FirstStreet, N.E., Washington, D.C. 20426,and on the web at http://www.ferc.fed.us/online/rims.htm[please call (202 208–222 for assistance].

David P. BoergersSecretary.[FR Doc. 00–27769 Filed 10–27–00; 8:45 am]




Notice of Application Tendered forFiling With the Commission

October 24, 2000.

Take notice that the followinghydroelectric application has been filedwith the Commission and is availablefor public inspection:

a. Type of Application: Major NewLicense.

b. Project No.: 309–036.c. Date filed: October 11, 2000.d. Applicant: Reliant Energy Mid-

Atlantic Power Holdings, LLC.e. Name of Project: Piney

Hydroelectric Project.f. Location: Project is located on the

Clarion River in Clarion County,Pennsylvania, and would not utilize anyfederal lands or facilities.

g. Filed Pursuant to: Federal PowerAct 16 U.S.C. §§ 791(a)–825(r).

h. Applicant Contact: Mr. ThomasTeitt, Reliant Energy Mid-AtlanticPower Holdings, LLC, 1001 Broad St.,Johnstown, PA 15907–1050.

i. FERC Contact: Any questions onthis notice should be addressed toWilliam Guey-Lee, E-mail [email protected], ortelephone (202) 219–2808.

j. Status of Environmental Review:This application is not ready forenvironmental analysis at this time.

k. Description of Project: The projectconsists of the following: (1) The 427-foot-long and 139-foot-high concretearch dam with crest elevation at 1,075ft. msl, an 84-foot-long left non-overflowwall, and a 200-foot-long right nonoverflow wall; (2) an 800-acre surfacearea reservoir; (3) an 84-foot-wideintegral intake; (4) three 230-foot-long,14-foot-diameter penstocks; (5) apowerhouse with 3 generating unitstotaling 28,300 kilowatts; (6) a 250-foot-long tailrace; (7) 700-foot-long and 900-foot-long transmission lines; and (8)appurtenant facilities.

l. Locations of the application: A copyof the application is available forinspection and reproduction at theCommission’s Public Reference Room,located at 888 First Street, NE, Room2A, Washington, D.C. 20426, or bycalling (202) 208–1371. The applicationmay be viewed on the web atwww.ferc.fed.us. Call (202) 208–2222for assistance. A copy is also available



for inspection and reproduction at theaddress in item h above.




[Docket No. RP00–260–000]

Texas Gas Transmission Corporation;Notice of Settlement Conference

October 24, 2000.Take notice that an informal

settlement conference will be convenedin this proceeding on Wednesday,November 1 and possibly continuing toNovember 2, 2000 at 10 a.m., at theoffices of the Federal Energy RegulatoryCommission, 888 First Street, N.E.,Washington, D.C. 20426, for the purposeof discussing the possible settlement ofissues in the proceeding.

Any party, as defined by 18 CFR385.102(c), or any participant as definedby 18 CFR 385.102(b), is invited toattend. Persons wishing to become aparty must move to intervene andreceive intervenor status pursuant to theCommission’s regulations (18 CFR385.214).

For additional information, contactWilliam J. Collins at (202) 208–0248.

David P. Boergers,Secretary.[FR Doc. 00–27768 Filed 10–27–00; 8:45 am]BILLING CODE 6717–01–M195



[Docket No. RP98–52–000]

Williams Gas Pipelines Central, Inc.;Notice of Informal SettlementConference

October 24, 2000.An informal settlement conference in

the above docket will be held onMonday, October 30, 2000, in theWyandot Room, Hilton Kansas CityAirport, 8801 NW 112th Street, KansasCity, Missouri 64153. The informalsettlement conference will begin at 9:30a.m.

All interested parties in the abovedocket are requested to attend theinformal settlement conference. If aparty has any questions regarding theconference, please call Richard Miles,

the Director of the Dispute ResolutionService. His telephone number is 1 877FERC ADR (337–2237) or 202/208–0702and his e-mail address [email protected]. If you plan onattending the conference, pleaseR.S.V.P. to Jamie Capps at Williams bye-mail at [email protected], byfax at 918/573–4195 or by phone at 918/573–4218 so that appropriateaccommodations may be made.Williams would also like to extend to allparties the option of attending inbusiness casual attire.





Notice

October 25, 2000.

The following notice of meeting ispublished pursuant to Section 3(a) ofthe Government in the Sunshine Act(Pub. L. No. 94–409), 5 U.S.C. 552b:

AGENCY HOLDING MEETING: FederalEnergy Regulatory Commission.

DATE AND TIME: November 1, 2000, 9 am

PLACE: Room 2C, 888 First Street, NE.,Washington, DC 20426.

STATUS: Open.

MATTERS TO BE CONSIDERED: Docket No.EL00–95–000, San Diego Gas & ElectricCompany, v. Sellers of Energy andAncillary Services Into MarketsOperated by the California IndependentSystem Operator and the CaliforniaPower Exchange; Docket No. EL00–98–000, Investigation of Practices of theCalifornia Independent System Operatorand the California Power Exchange;Docket No. EL00–107–000, PublicMeeting in San Diego, California; DocketNo. ER00–3461–000, California PowerExchange Corporation; Docket No.ER00–3673–000, California IndependentSystem Operator Corporation.

CONTACT PERSON FOR MORE INFORMATION:David P. Boergers, Secretary, Telephone(202) 208–0400.

David P. Boergers,Secretary.[FR Doc. 00–27865 Filed 10–26–00; 10:51am]



[FRL–6893–4]

Reference Dose for Methylmercury

AGENCY: Environmental ProtectionAgency.ACTION: Notice of peer-review workshopand public comment period.

SUMMARY: The U.S. EnvironmentalProtection Agency (EPA) is announcingthat Versar, Inc., an EPA contractor forexternal scientific peer review, willconvene a panel of experts and organizeand conduct an external peer-reviewworkshop to review the draft documenttitled, Reference Dose forMethylmercury (NCEA–S–0930). TheEPA is also announcing a 30-day publiccomment period for the draft document.The document was prepared by theEPA’s National Center forEnvironmental Assessment-WashingtonOffice (NCEA–W) within the Office ofResearch and Development. NCEA willconsider the peer-review advice andpublic comment submissions in revisingthe document.DATES: The peer-review workshop willbegin on Wednesday, November 15,2000, at 9 a.m. and end at 5 p.m.Members of the public may attend asobservers, and there will be a limitedtime for comments from the public inthe afternoon. The 30-day publiccomment period begins October 30,2000, and ends November 29, 2000.ADDRESSES: The external peer-reviewpanel workshop will be held at theMarriott Crystal Gateway Hotel, 1700Jefferson Davis Highway, Arlington,Virginia 22202, (703) 920–3230. Versar,Inc., an EPA contractor, is organizing,convening, and conducting the peer-review workshop. To attend theworkshop, register by November 6,2000, by calling Versar, Inc. (Ms. MaritEspevik) at (703) 750–3000, ext. 460, orsend a facsimile to (703) 642–6954. Youalso can register via e-mail [email protected]. Space is limited,and reservations will be accepted on afirst-come, first-served basis. There willbe a limited time for comments from thepublic during the afternoon of theworkshop. Please let Versar, Inc. knowif you wish to make comments.

The external review draft is availableprimarily via the Internet on theNational Center for EnvironmentalAssessment’s home page at http://www.epa.gov/ncea under the What’sNew and Publications menus. A limitednumber of paper copies are availablefrom NCEA’s Technical InformationStaff; telephone: (202) 564–3261;facsimile: (202) 565–0050. If you are



requesting a paper copy, please provideyour name, mailing address, and thedocument title, Reference Dose forMethylmercury (NCEA–S–0930). Copiesare not available from Versar, Inc.

Comments may be mailed to theTechnical Information Staff (8623D),NCEA–W, U.S. EnvironmentalProtection Agency, 1200 PennsylvaniaAvenue, NW., Washington, DC 20460,or delivered to the TechnicalInformation Staff at 808 17th Street,NW., 5th Floor, Washington, DC 20006;telephone: (202) 564–3261; facsimile:(202) 565–0050. Comments should be inwriting and must be postmarked byNovember 29, 2000. Please submit oneunbound original with pages numberedconsecutively, and three copies of thecomments. For attachments, provide anindex, number pages consecutively withthe comments, and submit an unboundoriginal and three copies. Electroniccomments may be e-mailed to: [email protected].

Please note that all technicalcomments received in response to thisnotice will be placed in a public record.For that reason, commentors should notsubmit personal information (such asmedical data or home address),Confidential Business Information, orinformation protected by copyright. Dueto limited resources, acknowledgmentswill not be sent.FOR FURTHER INFORMATION CONTACT: Forworkshop information, registration, andlogistics, contact Versar Inc., (Ms. MaritEspevik, telephone: (703) 750–3000, ext.460; facsimile: (703) 642–6954).

For information about the draftdocument, contact the TechnicalInformation Staff, NCEA-WashingtonOffice; telephone: (202) 564–3261;facsimile: (202) 565–0050; or e-mail:[email protected] INFORMATION: In 1997,U.S. EPA issued the Mercury StudyReport to Congress (MSRC). Among theassessments in the MSRC was a state-of-the-science evaluation of the healtheffects of methylmercury. There hasbeen considerable discussion within thescientific community regarding the levelof exposure to methylmercury that islikely to be without appreciable risk ofadverse health effects. Congress directedEPA through the House AppropriationsReport for FY99 to contract with theNational Research Council to evaluatethe body of data on the health effects ofmethylmercury, with particularemphasis on new data since the 1997Mercury Study Report to Congress, andprovide recommendations regardingissues relevant to the derivation of anappropriate RfD for methylmercury.EPA has thoroughly reviewed this

document, and concurs with the NRCfindings and recommendations. TheNRC document is used as the basis forthe current EPA derivation of the RfDfor methylmercury.

Methylmercury is a highly toxicsubstance; there are a number of adversehealth effects associated withmethylmercury exposure. Mostextensive are the data for neurotoxicity,particularly in developing organisms.Therefore the brain is considered to bethe most sensitive target organ for whichthere are data suitable for derivation ofan RfD. The NRC considered threeepidemiological longitudinaldevelopmental studies suitable forquantitative risk assessment: theSeychelles Islands, the Faroe Islands,and New Zealand. The Seychelles studyhas yielded no evidence of impairmentrelated to methylmercury exposure,while both the other studies have founddose-related adverse effects on a numberof neuropsychological endpoints. TheFaroe Islands study, the larger of thelatter two studies, has been extensivelypeer-reviewed and is used for thederivation of the RfD. The NRC’s majorfinding is that the results of the FaroeIslands study provide a scientificallycredible basis on which to base EPA’sRfD.

The RfD derived in this assessment is0.1 ug/kg per day. This is the same asthe RfD derived by EPA in 1995 basedon an earlier study of a poisoningepisode in Iraq, in which data onadverse neurological effects in infantswas used as the point of departure forderivation of the RfD.

Dated: October 24, 2000.William H. Farland,Director, National Center for EnvironmentalAssessment.[FR Doc. 00–27781 Filed 10–27–00; 8:45 am]BILLING CODE 6560–50–U

EXPORT-IMPORT BANK OF THEUNITED STATES

Notice of Open Special Meeting of theSub-Saharan Africa AdvisoryCommittee of the Export-Import Bankof the United States (Export-ImportBank)

SUMMARY: The Sub-Saharan AfricaAdvisory Committee was established byPub. L. 105–121, November 26, 1997, toadvise the Board of Directors on thedevelopment and implementation ofpolicies and programs designed tosupport the expansion of the Bank’sfinancial commitments in Sub-SaharanAfrica under the loan, guarantee andinsurance programs of the Bank.

Further, the committee shall makerecommendations on how the Bank canfacilitate greater support by U.S.commercial banks for trade with Sub-Saharan Africa.TIME AND PLACE: Wednesday, November15, 2000, at 9:30 a.m. to 12:30 p.m. Themeeting will be held at the Export-Import Bank in Room 1143, 811Vermont Avenue, NW, Washington, DC20571.AGENDA: This meeting will include areview of Export-Import Bank activitiesin sub-Sahara Africa.PUBLIC PARTICIPATION: The meeting willbe open to public participation, and thelast 10 minutes will be set aside for oralquestions or comments. Members of thepublic may also file written statement(s)before or after the meeting. If any personwishes auxiliary aids (such as a signlanguage interpreter) or other specialaccommodations, please contact, priorto November 10, 2000, Teri Stumpf,Room 1215, Vermont Avenue, NW,Washington, DC 20571, Voice: (202)565–3502 or TDD (202) 565–3377.FOR FURTHER INFORMATION CONTACT: Forfurther information, contact TeriStumpf, Room 1215, 811 Vermont Ave.,NW, Washington, DC 20571, (202) 565–3502.

John M. Niehuss,General Counsel.[FR Doc. 00–27761 Filed 10–27–00; 8:45 am]BILLING CODE 6690–01–M

FEDERAL COMMUNICATIONSCOMMISSION

[Report No. 2448]

Petitions for Reconsideration andClarification of Action in RulemakingProceedings

October 23, 2000.Petitions for Reconsideration and

Clarification have been filed in theCommission’s rulemaking proceedingslisted in this Public Notice andpublished pursuant to 47 CFR Section1.429(e). The full text of this documentis available for viewing and copyingRoom CY–A257, 445 12th Street, S.W.,Washington, D.C. or may be purchasedfrom the Commission’s copy contractor,ITS, Inc. (202) 857–3800. Oppositions tothese petitions must be filed byNovember 14, 2000. See § 1.4(b)(1) ofthe Commission’s rules (47 CFR1.4(b)(1)). Replies to an opposition mustbe filed within 10 days after the time foroppositions have expired.

Subject: Implementation of 911 Act;Use of N11 Codes and OtherAbbreviated Dialing Arrangements (CC



Docket No. 92–105, WT Docket No. 00–110).

Number of Petitions Filed: 1.Subject: Amendment of the

Commission’s Rules RegardingInstallment Payment Financing forPersonal Communications Services(PCS) Licensees (WT Docket No. 97–82).

Number of Petitions Filed: 5.Federal Communications Commission.Magalie Roman Salas,Secretary.[FR Doc. 00–27746 Filed 10–27–00; 8:45 am]BILLING CODE 6712–01–M

FEDERAL MARITIME COMMISSION

[Petition P2–00]

Petition of China National ForeignTrade Transportation (Group) Corp.(SINOTRANS) for Exemption FromSection 9(c) of the Shipping Act of1984; Notice of Filing

Notice is hereby given that ChinaNational Foreign Trade Transportation(Group) Corp. (SINOTRANS)(‘‘Petitioner’’) has petitioned, pursuantto Section 16 of the Shipping Act of1984, 46 U.S.C. app. Section 1715, fora limited exemption from the tariffpublishing requirements of Section 9 ofthe 1984 Act, 46 U.S.C. app Section1708(c). Petitioner seeks an exemptionso that it can lawfully reduce rates tomeet or exceed the published rates ofcompeting ocean common carriers onone day’s notice.

In order for the Commission to makea thorough evaluation of the petition forexemption, interested persons arerequested to submit views or argumentsin reply to the petition no later than 14days following publication of this noticein the Federal Register. Replies shallconsist of an original and 15 copies, bedirected to the Secretary, FederalMaritime Commission, 800 NorthCapitol Street, N.W., Washington, D.C.20573–0001, and be served onPetitioner’s counsel; David P. Street,Galland, Kharasch, Greenberg, Fellman& Swirsky, P.C.,1054 Thirty-First Street,N.W., Washington, D.C. 20007–4492. Itis also requested that a copy of the replybe submitted in electronic form(WordPerfect, Word or ASCII) ondiskette or e-mailed [email protected].

Copies of the petition are available atthe Office of the Secretary of theCommission, 800 N. Capitol Street,N.W., Room 1046. Parties participatingin this proceeding may elect to receiveservice of the Commission’s issuancesin this proceeding through e-mail in lieuof service by U.S. mail. A party opting

for electronic service shall advise theOffice of the Secretary in writing andprovide an e-mail address where servicecan be made.

By the Commission.Bryant L. VanBrakle,Secretary.[FR Doc. 00–27827 Filed 10–27–00; 8:45 am]BILLING CODE 6730–01–P

FEDERAL RESERVE SYSTEM

Change in Bank Control Notices;Acquisitions of Shares of Banks orBank Holding Companies

The notificants listed below haveapplied under the Change in BankControl Act (12 U.S.C. 1817(j)) and§ 225.41 of the Board’s Regulation Y (12CFR 225.41) to acquire a bank or bankholding company. The factors that areconsidered in acting on the notices areset forth in paragraph 7 of the Act (12U.S.C. 1817(j)(7)).

The notices are available forimmediate inspection at the FederalReserve Bank indicated. The noticesalso will be available for inspection atthe offices of the Board of Governors.Interested persons may express theirviews in writing to the Reserve Bankindicated for that notice or to the officesof the Board of Governors. Commentsmust be received not later thanNovember 14, 2000.

A. Federal Reserve Bank of KansasCity (D. Michael Manies, Assistant VicePresident) 925 Grand Avenue, KansasCity, Missouri 64198–0001:

1. Darlene L. Brandt, Lincoln,Nebraska; to acquire voting shares ofMid-Nebraska Company, Inc., Kearney,Nebraska, and thereby indirectly acquirevoting shares of Kearney State Bank andTrust Company, Kearney, Nebraska.

2. Myra K. Mask Irrevocable Trust,Allen, Oklahoma, and Debbie Rinehartas Trustee, Allen, Oklahoma; to acquirevoting shares of Allen Bancshares, Inc.,Allen, Oklahoma, and thereby indirectlyacquire voting shares of Farmers StateBank, Allen, Oklahoma.

Board of Governors of the Federal ReserveSystem, October 25, 2000.Robert deV. Frierson,Associate Secretary of the Board.[FR Doc. 00–27830 Filed 10–27–00; 8:45 am]BILLING CODE 6210–01–P

FEDERAL RESERVE SYSTEM

Formations of, Acquisitions by, andMergers of Bank Holding Companies

The companies listed in this noticehave applied to the Board for approval,

pursuant to the Bank Holding CompanyAct of 1956 (12 U.S.C. 1841 et seq.)(BHC Act), Regulation Y (12 CFR Part225), and all other applicable statutesand regulations to become a bankholding company and/or to acquire theassets or the ownership of, control of, orthe power to vote shares of a bank orbank holding company and all of thebanks and nonbanking companiesowned by the bank holding company,including the companies listed below.

The applications listed below, as wellas other related filings required by theBoard, are available for immediateinspection at the Federal Reserve Bankindicated. The application also will beavailable for inspection at the offices ofthe Board of Governors. Interestedpersons may express their views inwriting on the standards enumerated inthe BHC Act (12 U.S.C. 1842(c)). If theproposal also involves the acquisition ofa nonbanking company, the review alsoincludes whether the acquisition of thenonbanking company complies with thestandards in section 4 of the BHC Act(12 U.S.C. 1843). Unless otherwisenoted, nonbanking activities will beconducted throughout the United States.Additional information on all bankholding companies may be obtainedfrom the National Information Centerwebsite at www.ffiec.gov/nic/.

Unless otherwise noted, commentsregarding each of these applicationsmust be received at the Reserve Bankindicated or the offices of the Board ofGovernors not later than November 24,2000.

A. Federal Reserve Bank of Cleveland(Paul Kaboth, Banking Supervision)1455 East Sixth Street, Cleveland, Ohio44101–2566:

1. Savings Bancorp, Inc., Circleville,Ohio; to become a bank holdingcompany by acquiring 100 percent ofthe voting shares of The Savings Bank,Circleville, Ohio.

B. Federal Reserve Bank ofRichmond (A. Linwood Gill, III, VicePresident) 701 East Byrd Street,Richmond, Virginia 23261–4528:

1. F&M National Corporation,Winchester, Virginia; to merge withAtlantic Financial Corp., NewportNews, Virginia, and thereby indirectlyacquire voting shares of F&M Bank–Atlantic, Gloucester, Virginia.

In connection with this application,Applicant also has applied to acquireJohnson Mortgage Company, L.L.C.,Newport News, Virginia, and therebyengage in origination, closing, andselling of mortgages and relatedservicing rights to outside investors,pursuant to § 225.28(b)(1) of RegulationY.



C. Federal Reserve Bank of Atlanta(Cynthia C. Goodwin, Vice President)104 Marietta Street, N.W., Atlanta,Georgia 30303–2713:

1. Whitney Holding Corporation, NewOrleans, Louisiana; to acquire 100percent of the voting shares of AmericanBank, Houston, Texas.

D. Federal Reserve Bank of St. Louis(Randall C. Sumner, Vice President) 411Locust Street, St. Louis, Missouri63166–2034:

1. First Banks, Inc., St. Louis,Missouri, through its subsidiary, FirstBanks America, Inc., St. Louis,Missouri; to acquire 100 percent of thevoting shares of The San FranciscoCompany, San Francisco, California,and thereby indirectly acquire votingshares of Bank of San Francisco, SanFrancisco, California.

Board of Governors of the Federal ReserveSystem, October 25, 2000.Robert deV. Frierson,Associate Secretary of the Board.[FR Doc. 00–27829 Filed 10–27–00; 8:45 am]BILLING CODE 6210–01–P


National Committee on Vital and HealthStatistics: Meeting

Pursuant to the Federal AdvisoryCommittee Act, the Department ofHealth and Human Services (HHS)announces the following advisorycommittee meeting.

Name: National Committee on Vital andHealth Statistics (NCVHS), National HealthInformation Infrastructure Workgroup,Health Statistics for the 21st CenturyWorkgroup.

Time and Date: November 20, 2000, 9a.m.–5 p.m.

Place: National Center for Health Statistics(New Facility), 4105 Hopson Road, ResearchTriangle Park, North Carolina 27709, (919)541–0171.

Status: Open.Purpose: Two Workgroups of the NCVHS,

the National Health InformationInfrastructure Workgroup and the HealthStatistics for the 21st Century Workgroup, areconducting a joint public hearing to solicitopinions from the public, including oral andwritten testimony, about the issues raised intwo interim reports: ‘‘Toward a NationalHealth Information Infrastructure’’ and‘‘Shaping a Vision for 21st Century HealthStatistics.’’ The interim reports may bedownloaded from the NCVHS homepage at:http://www.ncvhs.hhs.gov/ and allparticipants are encouraged to review thembefore the meeting.

The hearing will explore challenges to thedevelopment and implementation of aNational Health Information Infrastructure(NHII). As envisioned in the interim report,

the NHII is the set of technologies, standards,applications, systems, values, and laws thatsupport all facets of individual health, healthcare, and public health. The broad goal of theNHII is to deliver information toindividuals—consumers, patients, andprofessionals—when and where they need it,so they can use this information to makeinformed decisions about health and healthcare. Speakers invited by the NHII workgroupwill discuss barriers to accomplishing theobjectives described in the report, includingfinancial and technical barriers to the NHII,along with recommendations for actionswhich could be taken by the Federalgovernment and others to overcomeconstraints.

The hearing will also seek comments aboutmajor trends and issues in population healthand their implications for future informationneeds described in the report, ‘‘Shaping aVision for 21st Century Health Statistics.’’The report outlines themes that haveemerged from national consultationsinvolving health statistics users, publichealth providers, advocacy groups and healthcare providers at local, state, and Federallevels. Speakers invited by the 21st CenturyWorkgroup will be asked to discuss specificlocal and state health statistics needs,specific means for generating private andpublic cooperation in defining healthstatistics needs and generating healthstatistics collaborations. Invited speakers willalso be asked to provide specific commentsand suggestions on the interim report,particularly as it relates to local and statehealth statistics needs and private and publiccooperation.

The November hearing is the third of aseries of joint public hearings to beconducted in several regions of the countrythrough the fall of 2000 to solicit testimonyon the reports. Information from the hearingswill be incorporated in the final reportsexpected to be completed in early 2001.

Persons who would like to make a brieforal comment (3–5 minutes) during theNovember hearing will be placed on theagenda as time permits. To be included onthe agenda, please submit testimony byNovember 8, 2000, to Patrice Upchurch at(301) 458–4540, by e-mail [email protected], or postal address atNCHS, Presidential Building, Room 1100,6525 Belcrest Road, Hyattsville, Maryland20782. Persons wishing to submit writtentestimony only (no more than 2–3typewritten pages) should also adhere to thedue date of November 8, 2000. Testimonywill also be accepted on-site as time permits.Please consult Ms. Upchurch for furtherinformation about these arrangements.Additional information about the meetingwill be provided on the NCVHS homepage at:http://www.ncvhs.hhs.gov/ shortly before themeeting date.

Contact Person for More Information:Substantive program information as well assummaries of meetings and a roster ofcommittee members may be obtained fromMarjorie S. Greenberg, Executive Secretary,NCVHS, National Center for Health Statistics,Centers for Disease Control and Prevention,Room 1100, Presidential Building, 6525Belcrest Road, Hyattsville, Maryland 20782,

telephone (301) 458–4245. Information alsois available on the NCVHS home page of theHHS website: http://www.ncvhs.hhs.gov/.

Dated: October 23, 2000.James Scanlon,Director, Division of Data Policy, Office ofthe Assistant Secretary for Planning andEvaluation.[FR Doc. 00–27748 Filed 10–27–00; 8:45 am]BILLING CODE 4151–05–M


Administration for Children andFamilies

[Program Announcement No. 93612–2002]

Administration for Native Americans:Availability of Financial Assistance

AGENCY: Administration for NativeAmericans (ANA), ACF, DHHS.ACTION: Announcement of availability ofcompetitive financial assistance to assisteligible applicants in assuring thesurvival and continuing vitality of theirNative American languages.

SUMMARY: The Administration forNative Americans (ANA) announces theavailability of Fiscal Year 2001 fundsand other available funds for NativeAmerican language projects. Financialassistance provided by ANA is designedto assist applicants in designing projectswhich will promote the survival andcontinuing vitality of Native Americanlanguages. The Administration forNative Americans advises all applicantsthat grant awards made under thisannouncement will have a September30, 2001 project Start Date. Applicantsshould, therefore develop projects thatbegin no earlier than this date.

Application Kit: Application kits,approved by the OMB under controlnumber 0980–0204, which expires April30, 2003, containing the necessary formsand instructions to apply for a grantunder this program announcement, maybe obtained by calling toll free: TheApplicant Help Desk, Administrationfor Native Americans, 1–877–922–9262.Or, copies of this programannouncement and many of therequired forms may also be obtainedelectronically at the ANA World WideWeb Page:http://www.acf.dhhs.gov/programs/anaApplication kits may also be obtainedfrom ANA training and technicalassistance providers. ANA employscontractors to provide short-termtraining and technical assistance (T/TA)to eligible applicants. T/TA is availableunder these contracts for a wide rangeof grant application needs; however, the



contractors are not authorized to writeapplications. The Training andTechnical Assistance (T/TA) is providedat no cost. The ANA Providers serve sixareas divided as follows:

Area I—Eastern serves federallyrecognized Tribes in AL AR CT DC DEFL GA IL IN KY LA MA MD ME MI MNMS NC NH NJ NY OH PA RI SC TN VAVT WI and WV.

Area II—Central serves federallyrecognized Tribes in AZ CO IA KS NDNE NM MO MT OK SD UT WY NV IDand TX.

Area III—Western serves federallyrecognized Tribes in CA OR and WA.

Area IV—Alaska serves all eligibleapplicants in AK.

Area V—Pacific serves all eligibleapplicants in Hawaii (HI) and thePacific Islands of American Samoa (AS),Guam (GU), Northern Mariana Islands(MP), and Palau (PW).

Area VI—National serves all eligibleapplicants on the mainland UnitedStates not served by providers for areas1 through 5. This includes non-federallyrecognized Tribes, Urban Indians, off-reservation rural Indian communities,Native Americans served through non-federally recognized urban andconsortia arrangements andorganizations serving Native Hawaiiansand Pacific Island Natives living on theMainland.

ANA employs contracting firms toprovide short-term training andtechnical assistance (T/TA) to clients inthe six identified, geographical regionswhich are served by ANA. The ANAtraining and technical assistance (T/TA)contractors and their Geographic Areasare:

Geographic Area I

EasternNative American Management Services,

Inc., Tonya Parker, Project Director,6858 Old Dominion Drive, Suite 302,McLean, Va. 22101, (703) 821–2226,Fax (703) 821–3680 or (703) 821–8626, 1 (800) 388–7670 (Toll Free), E-mail: [email protected]

Geographic Area II

CentralRJS & Associates, Inc., Dr. Robert J.

Swan, C.E.O., RR1, Box 694, BoxElder, Mt. 59521, (406) 395–4727, Fax(406) 395–4759, 1 (888) 838–4757(Toll Free), Website: http://www.rjsinc.org/region2.html E-mail:[email protected]

Geographic Area III

WesternDevelopment Associates, Inc., E. Robles,

Project Director, 1475 North

Broadway, Suite 200, Walnut Creek,Ca. 94596, (925) 935–9711, 1 (800)666–9711 (Toll Free), Fax (925) 935–0413, Website: http://www.devassoc.com/ana/index.htm E-mail: [email protected]

Geographic Area IV

Alaska

Native American Management Services,Inc., P.J. Wilkins-Bell, ProjectDirector, 1515 Tudor Road, Suite No.#4, Anchorage, Alaska 99519, (907)770–6230, Fax (907) 770–6232, 1–877–770–6230, E-mail:[email protected]

Geographic Area V

Pacific

Development Associates, Inc., TomTorres, Project Director*Office will be located in Hawaii. The

address and telephone numbers werenot available for this printing. Pleasecontact their California office at 1–800–666–9711 or (925) 935–9711 and ask forDr. Elidoro Robles. Their fax number inCalifornia is (925) 935–9711. The e-mailaddress for their California office [email protected]. Check the ANAwebsite (www.acf.dhhs.gov/programs/ana) for Region V’s address andtelephone number or call ANA at 1–877–922–9262.

Geographic Area VI

National

RJS & Associates, Inc., Dr. Robert J.Swan, C.E.O., RR 1, Box 694, BoxElder, Mt. 59521, (406) 395–4757, Fax(406) 395–4759, 1 (888) 838–4757(Toll Free), Website: http://www.rjsinc.org/region6.html E-mail:[email protected] printed Federal Register notice is

the only official programannouncement. Although reasonableefforts are taken to assure that the fileson the ANA World Wide Web Pagecontaining electronic copies of thisProgram Announcement is accurate andcomplete; they are provided forinformation only. The applicant bearssole responsibility to assure that thecopy downloaded and/or printed fromany other source is accurate andcomplete.

DATES: The closing date for submissionof applications is March 16, 2001.FOR FURTHER INFORMATION CONTACT:Sheila Cooper, Native AmericanProgram Specialist, Department ofHealth and Human Services,Administration for Children andFamilies, Administration for NativeAmericans, 370 L’Enfant Promenade,

Mail Stop HHH 348F, Washington, DC20447, telephone: (202) 690–5787 or 1–877–922–9262, telefax: (202) 690–7441,or e-mail: [email protected]

Part I: Supplementary Information

A. Purpose and Availability of Funds

The purpose of this notice is toannounce the availability of fiscal year2001 financial assistance to eligibleapplicants for the purpose of assistingNative Americans in assuring thesurvival and continuing vitality of theirlanguages. Financial assistance awardsmade under this programannouncement will be on a competitivebasis and the proposals will be reviewedagainst the evaluation criteria in thisannouncement. Approximately$2,000,000 in Fiscal Year 2001 has beenallocated for category I and II grants. ForCategory I, Planning Grants (projectlength: 12 months), the funding level fora budget period of 12 months will be upto $50,000. For Category II, Design and/or Implementation Grants (projectlength: up to 36 months), the fundinglevel for a budget period of 12 monthswill be up to $125,000. In accordancewith current agency policies, ANA mayfund additional highly rankedapplications if additional funds becomeavailable prior to the next competition.

ANA continues a variety ofrequirements directed towards enforcingits policy that an eligible grant recipientmay only have one active ANA grantawarded from a competitive area at anytime. Therefore, while eligibleapplicants may compete for a NativeAmerican language grant in either of thetwo categories, an applicant may onlysubmit one application and no applicantmay receive more than one NativeAmerican language grant. All applicantsare strongly encouraged to provide aretirement plan fringe benefit for grant-funded employees’ salaries up to five (5)percent. Applicants must includesufficient funds for principalrepresentatives, for example; the chieffinancial officer or project director, fromthe applicant organization to travel toone post-award grant training andtechnical assistance conference. Thisexpenditure is mandatory for new grantrecipients and optional for grantees thathave had ANA grants in the past.

Continuing for fiscal year 2001, underthe goals of the Executive Order onTribally Controlled Colleges andUniversities (TCU’s), TCU’s may nowindependently apply for an ANA Grantwithout impacting the eligibility of theTribe to apply. Previously, only oneapplication was accepted, either fromthe Tribe or the TCU. Now both theTribe and the TCU may compete for and



receive ANA grants at the same time, inthe same program(s).

New for fiscal year 2001, are twoWhite House Initiatives relating toHawaiians and Pacific Islanders, andPeople with Disabilities. In accordancewith the Executive Order on AsianAmerican and Pacific Islanders, ANAencourages greater participation fromHawaiian and Pacific Islandercommunities. The Executive Order onPeople with Disabilities encourages allcommunities to address the needs ofpeople with disabilities in all programsin accordance with the Americans withDisabilities Act (ADA). ANA encouragesall Native communities to address theneeds of People with Disabilities in allaspects of their programs. ANA alsoencourages greater participation fromNative organizations serving Peoplewith Disabilities

B. BackgroundThe Congress has recognized that the

history of past policies of the UnitedStates toward Indian and other NativeAmerican languages has resulted in adramatic decrease in the number ofNative American languages that havesurvived over the past 500 years.Consequently, the Native AmericanLanguages Act (Title 1, P.L. 101–477)was enacted to address this decline.

This legislation invested the UnitedStates government with theresponsibility to work together withNative Americans to ensure the survivalof cultures and languages unique toNative America. This law declared thatit is the policy of the United States to‘‘preserve, protect and promote therights and freedom of Native Americansto use, practice and develop NativeAmerican languages.’’ While theCongress made a significant first step inpassing this legislation in 1990, itserved only as a declaration of policy.No program initiatives were proposed,nor any funds authorized to enact anysignificant programs in furtherance ofthis policy.

In 1992, Congressional testimonyprovided estimates that of the severalhundred languages that once existed,about 150 are still spoken orremembered today. However, only 20are spoken by persons of all ages, 30 arespoken by adults of all ages, about 60are spoken by middle-aged adults, and45 are spoken by the most elderly.

In response to this testimony, theCongress passed the Native AmericanLanguages Act of 1992 (the Act), P.L.102–524, to assist Native Americans inassuring the survival and continuingvitality of their languages. Passage of theAct was an important second step inattempting to ensure the survival and

continuation of Native languages, as itprovides the basic foundation uponwhich the tribal nations can rebuildtheir economic strength and richcultural diversity.

While the Federal governmentrecognizes that substantial loss of NativeAmerican languages over the pastseveral hundred years, the nature andmagnitude of the status of NativeAmerican languages will be betterdefined when eligible applicants underthe Act have completed languageassessments.

The Administration for NativeAmericans (ANA) believes that theresponsibility for achieving self-sufficiency rests with the governingbodies of Indian Tribes, Alaska Nativevillages, and in the leadership of NativeAmerican groups. This belief supportsthe ANA principle that the localcommunity and its leadership areresponsible for determining goals,setting priorities, and planning andimplementing programs that support thecommunity’s long-range goals.

Therefore, since preserving a languageand ensuring its continuation isgenerally one of the first steps takentoward strengthening a group’s identity,activities proposed under this programannouncement will contribute to thesocial development of Nativecommunities and significantlycontribute to their efforts toward self-sufficiency.

The Administration for NativeAmericans recognizes that eligibleapplicants must have the opportunity todevelop their own language plans,technical capabilities, and access to thenecessary financial and technicalresources in order to assess, plan,develop and implement programs toassure the survival and continuingvitality of their languages. ANA alsorecognizes that potential applicants mayhave specialized knowledge andcapabilities to address specific languageconcerns at various levels. This programannouncement reflects these specialneeds and circumstances.

C. ANA Program and AdministrativePolicies

Applicants must comply with thefollowing programmatic policies:

• Funds will not be awarded forprojects addressing dead languages. Forpurposes of this announcement, deadlanguages are those languages that areno longer spoken by any tribal memberor community member.

• The Commissioner shall determinethe repository for copies of productsfrom Native American language grantsfunded under this programannouncement. At the end of the project

period, products or project models ofNative American languages grantsfunded by this program announcementshould be sent to the designatedrepository. Federally recognized IndianTribes are not required to comply withthis condition.

Applicants must comply with thefollowing administrative policies:

• Current Native American languagegrantees whose grant project periodextends beyond September 30, 2001, orwho have requested an extension of thegrant project beyond that date, are noteligible to apply for a grant under thesame program area. Current NativeAmerican language grantees withproject periods beyond September 30,2001, may not compete for additionalNative American language grants.

• Applicants for Category I maypropose 12- to 17-month projects;applicants for Category II may proposeup to 36-month projects.

• Applicants must describe a locallydetermined strategy to carry out aproposed project with fundableobjectives and activities.

• An application from a federallyrecognized Tribe, Alaska Native Villageor Native American organization mustbe from the governing body of the Tribeor organization.

• ANA will not accept applicationsfrom tribal components which aretribally-authorized divisions of a largerTribe, unless the application includes atribal resolution which clearlydemonstrates the Tribe’s support of theproject and the Tribe’s understandingthat the other applicant’s projectsupplants the Tribe’s authority tosubmit an application under the NativeAmerican languages program both forthe current competition and for theduration of the approved grant period,should the application be funded.

• If a federally recognized Tribe orAlaska Native village chooses not toapply, it may support anotherapplicant’s project (e.g., a tribalorganization) which serves or impactstheir reservation. In this case, theapplicant must include a tribalresolution that clearly demonstrates theTribe’s approval of the project and theTribe’s understanding that the otherapplicant’s project supplants the Tribe’sauthority to submit an applicationunder the Native American languagesprogram both for the currentcompetition and for the duration of theapproved grant period, should theapplication be funded.

• ANA will only accept oneapplication that serves or impacts areservation, Tribe, or Native Americancommunity.



• Any non-profit organizationsubmitting an application must submitproof of its non-profit status in theapplication at the time of submission.The non-profit agency can accomplishthis by providing a copy of theapplicant’s listing in the InternalRevenue Service’s (IRS) most recent listof tax exempt organizations described inSection 501(c)(3) of the IRS code or byproviding a copy of the currently validIRS tax exemption certificate, or byproviding a copy of the articles ofincorporation bearing the seal of theState in which the corporation orassociation is domiciled.

• If the applicant, other than a Tribeor an Alaska Native Village government,is proposing a project benefiting NativeAmericans or Native Alaskans, or both,it must provide assurance that its dulyelected or appointed board of directorsis representative of the community, tobe served. To establish compliance withthe requirement in the regulations for aBoard representative of the community,applicants should provide informationestablishing that at least ninety (90)percent of the individuals serving on anon-profit applicant’s board fall intoone or more of the following categories:(1) a current or past member of thecommunity to be served; (2) aprospective participant or beneficiary ofthe project to be funded; or (3) have acultural relationship with thecommunity to be served.

• Organizations incorporating inAmerican Samoa are cautioned that theSamoan government relies exclusivelyupon IRS determinations of non-profitstatus; therefore, articles ofincorporation approved by the Samoangovernment do not establish non-profitstatus for these organizations for thepurpose of eligibility for ANA funds.

• Grantees must provide at least 20percent of the total approved cost of theproject. The total approved cost of theproject is the sum of the ACF share andthe non-Federal share. The non-Federalshare may be met by cash or in-kindcontributions. Therefore, a projectrequesting $100,000 in Federal fundsmust provide a match of at least $25,000(20% of the total approved $125,000project cost). Failure to provide theamount will result in disallowance ofFederal match.

As per 45 CFR part 74.2, In-Kindcontributions are defined as ‘‘the valueof non-cash contributions provided bynon-Federal third parties. Third partyin-kind contributions may be in theform of real property, equipment,supplies and other expendable property,and the value of goods and servicesdirectly benefiting and specificallyidentifiable to the project or program.’’

In addition it may include otherFederal funding sources wherelegislation or regulations authorizeusing specific types of funds for match;examples follow:Indian Child Welfare funds, through the

Department of Interior;Indian Self-Determination and

Education Assistance funds, throughthe Department of Interior and theDepartment of Health and HumanServices; and

Community Development Block Grantfunds, through the Department ofHousing and Urban Development.

An itemized budget detailing theapplicant’s non-Federal share, and itssource(s), must be included in anapplication.

If an applicant plans to charge orotherwise seek credit for indirect costsin its ANA application, a current copyof its Indirect Cost Agreement must beincluded in the application.

A request for a waiver of the non-Federal share requirement may besubmitted in accordance with 45 CFR1336.50(b)(3) of the Native AmericanProgram Regulations.

Applications originating fromAmerican Samoa, Guam, or theCommonwealth of the Northern MarianaIslands are covered under Section501(d) of Public Law 95–134, asamended (48 U.S.C. 1469a) under whichHHS waives any requirement formatching funds under $200,000(including in-kind contributions).Therefore, for the grants under thisNative American language program, nomatch is required for grants to theseinsular areas.

D. Proposed Projects To Be Funded

Category I—Planning Grants

The purpose of a Planning Grant is toconduct an assessment and to developthe plan needed to describe the currentstatus of the language(s) to be addressedand to establish community long-rangegoal(s) to ensure its survival. Projectactivities may include, but are notlimited to:

• Data collection, compilation,organization and description of currentlanguage status through a ‘‘formal’’method (e.g. work performed by alinguist, and/or a language surveyconducted by community members) oran ‘‘informal’’ method (e.g. acommunity consensus of the languagestatus based on elders, tribal scholars,and/or other community members);

• Establishment of community long-range language goals; and

• Acquisition of necessary trainingand technical assistance to administerthe project and achieve project goal(s).

Category II—Design and/orImplementation Grants

The purposes of Design and/orImplementation Grants are (1) so Tribesor communities may design and/orimplement a language program toachieve their long-range goal(s); and (2)to accommodate where the Tribe orcommunity is in reaching their long-term language goal(s).

Applicants under Category II must beable to document that:

(a) Language information has beencollected and analyzed, and that it iscurrent (compiled within 36 monthsprior to the grant application);

(b) The community has establishedlong-range language goals; and

(c) Community representatives areadequately trained so that the proposedproject goals can be achieved.

Category II applications may includepurchasing specialized equipment(including audio and video recordingequipment, computers, and software)necessary to achieve the projectobjectives. The applicant must fullyjustify the need for this equipment andexplain how it will be used to achievethe project objectives. The types ofprojects ANA may fund under CategoryII include, but are not limited to:

• Establishment and support of acommunity Native American languageproject to bring older and youngerNative Americans together to facilitateand encourage the teaching of NativeAmerican language skills from onegeneration to another;

• Establishment of a project to trainNative Americans to teach NativeAmerican languages to others or toenable them to serve as interpreters ortranslators of such languages;

• Development, printing, anddissemination of materials to be used forthe teaching and enhancement of NativeAmerican languages;

• Establishment or support of aproject to train Native Americans toproduce or participate in television orradio programs to be broadcast in NativeAmerican languages; and

• Compilation, transcription andanalysis of oral testimony to record andpreserve Native American languages

E. Eligible Applicants

The following organizations areeligible to apply under this competitivearea:

• Federally recognized Indian Tribes;• Consortia of Indian Tribes;• Incorporated non-federally

recognized Tribes;• Incorporated nonprofit multi-

purpose community-based Indianorganizations;



• Urban Indian Centers;• National or regional incorporated

nonprofit Native Americanorganizations with Native Americancommunity-specific objectives;

• Alaska Native villages as defined inthe Alaska Native Claims Settlement Act(ANCSA) and/or nonprofit villageconsortia;

• Incorporated nonprofit AlaskaNative multi-purpose community-basedorganizations;

• Nonprofit Alaska Native RegionalCorporations/Associations in Alaskawith village specific projects;

• Nonprofit Native organizations inAlaska with village specific projects;

• Public and nonprofit privateagencies serving Native Hawaiians (Thepopulations served may be located onthese islands or on the continentalUnited States);

• Public and nonprofit privateagencies serving native peoples fromGuam, American Samoa, Palau, or theCommonwealth of the Northern MarianaIslands. The populations served may belocated on these islands or in the UnitedStates; and

• Tribally controlled communitycolleges, tribally controlled post-secondary vocational institutions; and,

• Native controlled colleges anduniversities located in Hawaii, Guam,American Samoa, Palau, or theCommonwealth of the Northern MarianaIslands which serve Native AmericanPacific Islanders.

• Non-profit Alaska Nativecommunity entities or tribal governingbodies (Indian Reorganization Act ortraditional Councils) as recognized bythe Bureau of Indian Affairs.Further information on eligibilityrequirements is presented in Part I–C.ANA Program and AdministrativePolicy. Some important policies foundin Part I are highlighted as follows:

Current ANA Native Americanlanguage grantees whose grant projectperiod ends on or before September 30,2001 are eligible to apply for a grantaward under this programannouncement. The Project Period isnoted in Block 9 of the ‘‘FinancialAssistance Award’’ document.Applicants for new grants may not havea pending request to extend theirexisting grant beyond September 30,2001.

Any non-profit organizationsubmitting an application must submitproof of its non-profit status in theapplication at the time of submission.The non-profit agency can accomplishthis by providing a copy of theapplicant’s listing in the InternalRevenue Service’s (IRS) most recent listof tax exempt organizations described in

Section 501(c)(3) of the IRS code or byproviding a copy of the currently validIRS tax exemption certificate, or byproviding a copy of the articles ofincorporation bearing the seal of theState or Tribe in which the corporationor association is domiciled.

If the applicant, other than a Tribe oran Alaska Native Village government, isproposing a project benefiting NativeAmericans or Alaska Natives, or both, itmust provide assurance that its dulyelected or appointed board of directorsis representative of the community, tobe served. To establish compliance withthe requirement in the regulations for aBoard representative of the communityapplicants should provide informationestablishing that at least ninety (90)percent of the individuals serving on anon-profit applicant’s board fall intoone or more of the following categories:(1) A current or past member of thecommunity to be served; (2) aprospective participant or beneficiary ofthe project to be funded; or (3) have acultural relationship with thecommunity to be served. A list of boardmembers with this informationincluding tribal or Village affiliation, isone of the most suitable approaches fordemonstrating compliance with thisrequirement.

Under each competitive area, ANAwill only accept one application thatserves or impacts a reservation, Tribe, orNative American community. If afederally recognized Tribe or AlaskaNative village chooses not to apply, itmay support another applicant’s project(e.g., a tribal organization) which servesor impacts their reservation. In this case,the applicant must include a tribalresolution which clearly demonstratesthe Tribe’s approval of the project andthe Tribe’s understanding that the otherapplicant’s project supplants the Tribe’sauthority to submit an applicationunder that specific competitive areaboth for the current competition and forthe duration of the approved grantperiod.

Participating Organizations: If a tribalorganization, or other eligible applicant,decides that the objective of itsproposed Native American languageproject would be accomplished moreeffectively through a partnershiparrangement with a tribal school,college, or university, the applicantshall identify such school, college oruniversity as a participatingorganization in its application. Under apartnership agreement, the applicantwill be responsible for the fiscal,administrative and programmaticmanagement of the grant.

F. Grantee Share of the Project

Grantees must provide at least 20percent of the total approved cost of theproject. The total approved cost of theproject is the sum of the Federal shareand the non-Federal share. Furtherinformation on this requirement ispresented in Part I–C. ANA Program andAdministrative Policy.

Applications originating fromAmerican Samoa, Guam, or theCommonwealth of the Northern MarianaIslands are covered under Section501(d) of Public Law 95–134, asamended (78 U.S.C. 1469a) under whichHHS waives any requirement formatching funds under $200,000(including in-kind contributions).Therefore, for the ANA grants underthese announced programs, no match isrequired for grants to these insularareas.

G. Review Criteria

The proposed project should addressthe purposes of the Native Americanlanguages stated and described in thesection I.B, ‘‘Background’’ of thisannouncement.

The evaluation criteria below areclosely inter-related. Points are awardedonly to applications which respond tothese criteria. Proposed projects will bereviewed on a competitive basis usingthe following separate sets of evaluationcriteria; one set for planning grantapplications, the other for design and/orimplementation grant applications:

H. Planning Grants

(1) Current Status of Native AmericanLanguage(s) (15 points)

The application fully describes thecurrent status of Native Americanlanguage(s) in the community. Sinceobtaining this data may be part of theplanning grant application beingreviewed, applicants can meet thisrequirement by explaining their currentlanguage status and providing a detaileddescription of any circumstances orbarriers which have prevented thecollection of community language data.If documentation exists, describe it interms of current language status.

(2) Goals and Available Resources (25points)

The application describes theproposed project’s long-range goals andstrategies, including:

• How the specific Native Americanlong-range community goal(s) relate tothe proposed project; and

• How the goal(s) fit within thecontext of the current language status.

(b) The application explains how thecommunity and the tribal government



(where one exists) intends to achievethese goals. The type of communityserved will determine the type ofdocumentation necessary todemonstrate participation. All Tribesand communities, however, mustindicate in their application how theyintend to involve elders and othercommunity members in their projectsand include them in development oflanguage goals and strategies and inevaluation of project outcomes. Ways todemonstrate community and tribalgovernment support for the projectinclude:

• A resolution from Tribes or tribalorganizations stating that communityinvolvement has occurred in projectplanning;

• Community surveys andquestionnaires, including thosedeveloped to determine the level ofcommunity support for tribalresolutions; and

• Minutes of community meetings,tribal presentations and discussionforums;

Applications from National Indianand Native organizations must clearlydemonstrate a need for the project,explain how the project was originated,state who the intended beneficiarieswill be, and describe how the recipientswill actually benefit from the project.National Indian and Nativeorganizations should describe theirmembership and define how theorganization operates.

(c) Available resources (other thanANA and the non-federal share) whichwill assist and be coordinated with theproject are described. These resourcesshould be documented by letters ofcommitment of resources, and not‘‘letters of support’’.

• ‘‘Letters of support’’ merely expressanother organization’s endorsement of aproposed project. Such support lettersand related documentation do notindicate a binding commitment, do notestablish the authenticity of otherresources, and do not offer or bindspecific resources to the project.

• ‘‘Letters of commitment’’ arebinding and specify the nature, amountand conditions under which anotheragency or organization will support aproject funded with ANA funds. Theseresources may be human, natural orfinancial, and may include otherFederal and non-Federal resources.Applicant statements that additionalfunding will be sought from otherspecific sources are not considered abinding commitment of outsideresources.

• Non-ANA resources should beleveraged to strengthen and broaden theimpact of the proposed project in thecommunity. Project designs should

explain how those parts of projectswhich ANA does not fund will befinanced through other sources. Forexample, ANA does not fundconstruction. Applicants must show therelationship of non-ANA fundedactivities to those objectives andactivities that are funded with ANAgrant funds.

If the applicant proposes to enter intoa partnership arrangement with aschool, college or university,documentation of this commitmentmust be included in the application.

(3) Project Objectives, Approach andActivities (30 points)

The proposed objectives in theObjective Work Plan(s) relate to the goalto ensure the survival and continuingvitality of Native American language(s).More specifically, together they willachieve for the Tribe or community’slanguage goals for the proposed project.Each Objective Work Plan clearlydescribes:

• The tribal government’s andcommunity’s active involvement in thecontinuing participation of NativeAmerican language speakers;

• Measurable or quantifiable resultsor outcomes;

• How the results or outcomes relateto the community’s long-range goals orthe establishment of those goals;

• How the project can beaccomplished with the available orexpected resources during the projectperiod;

• How the main activities will beaccomplished;

• Who specifically will conduct theactivities under each objective; and

• What the next steps may be after thePlanning project is completed.

(4) Organizational capabilities/Qualifications (20 points)

(a) The management andadministrative structure of the applicantis explained. Evidence of the applicant’sability to manage a project of theproposed scope is well defined. Theapplication clearly demonstrates thesuccessful management of projects ofsimilar scope by the organization and orby the individual designated to managethe project.

(b) Position descriptions and/orresumes of key personnel, includingthose of consultants, are presented. Theposition descriptions and/or resumesrelate specifically to the staff proposedin the Approach Page and in theproposed budget of the application.Position descriptions very clearlydescribe the position and its duties andclearly relate to the personnel staffingrequired to achieve the projectobjectives. Resumes demonstrate that

the proposed staff are qualified to carryout the proposed activities. Either theposition descriptions or the resumescontain the qualifications, and/orspecialized skills, necessary for overallquality management of the project.Resumes must be included ifindividuals have been identified forpositions in the application.

Note: Applicants are encouraged to givepreference to Native Americans in hiring staffand contracting services under an approvedANA grant.

(5) Budget (10 points)

A detailed and fully explained budgetis provided for each budget periodrequested which:

• Identifies and explains each lineitem, with a well-written justification,in the budget categories in Section B ofthe Budget Information of theapplication, including the applicant’snon-Federal share and its source.Applicants from American Samoa,Guam, and the Northern MarianaIslands are not required to provide a20% match for the non-Federal sharesince the level of funding available forthe grants would not invoke a requiredmatch for grants to these insular areas.Therefore, applicants from these insularareas may not have points reduced forthe lack of matching funds. They are,however, expected to coordinate andorganize the delivery of any non-ANAresources they propose for the project,as are all ANA applicants.

• Includes and justifies sufficient costand other necessary details to facilitatethe determination of cost allowabilityand the relevance of these costs to theproposed project; and

• Requests funds which areappropriate and necessary for the scopeof the proposed project.

• Includes sufficient funds forprincipal representatives from theapplicant organization to travel to onepost-award grant training and technicalassistance conference. This expenditureis mandatory for new grantees andoptional for grantees that have had anANA grant in the past. This travel andtraining should occur as soon aspractical.

• Where implemented, includes anemployee fringe benefit budget thatprovides grant-funded employees with aretirement plan in addition to SocialSecurity. The applicant is stronglyencouraged to provide a retirement planfringe benefit for grant-fundedemployees’ salaries up to five (5)percent.

ANA supports a retirement plan to bea necessary, reasonable and allowablecost in accordance with OMB rules.



Minimum standards for an acceptableretirement fringe benefit plan are:

• The plan exists for the exclusivebenefit of the participants; funds are tobe used for retirement and certain otherpre-retirement needs, not for theorganization’s needs.

• The plan must have a vestingschedule that does not exceed the initialbudget period of the ANA grant.

• An alternate proposal may besubmitted for review and approvalduring grant award negotiations.Alternate proposals may include the useof Individual Retirement Accounts,Money Purchase Pension Plans, DefinedBenefit Pension Plans, CombinationPlans, etc.

II. Design and/or ImplementationGrants

(1) Current Status of Native Americanlanguage(s) (10 points)

(a) The application fully describes thecurrent status of the Native Americanlanguage to be addressed; current statusis defined as data compiled within theprevious 48 months. The description ofthe current status minimally includesthe following information:

• Number of speakers.• Age of speakers.• Gender of speakers.• Level(s) of fluency.• Number of first language speakers

(Native language as the first languageacquired).

• Number of second languagespeakers (Native language as the secondlanguage acquired).

• Where Native language is used (e.g.home, court system, religiousceremonies; church, media, school,governance and cultural activities).

• Source of data (formal and/orinformal).

• Rate of language loss or gain.(b) The application fully describes

existing community language orlanguage training programs and projects,if any, in support of the NativeAmerican language to be addressed bythe proposed project. Existing programsand projects may be formal (e.g., workby a linguist, and/or language surveyconducted by community members) or‘‘informal’’ (e.g., a communityconsensus of the language status basedon elders, tribal scholars, and/or othercommunity members).

The description should answer thefollowing: (1) Has applicant had acommunity language or languagetraining program within the last 48months? (2) Within the last 10 years? Ifso, fully describe the program(s), andinclude the following:

• Program goals.

• Number of program participants.• Number of speakers.• Age range of participants (e.g., 0–5,

6–10, 11–18, etc.).• Number of language teachers.• Criteria used to acknowledge

competency of language teachers.• Resources available to the applicant

(e.g. valid grammars, dictionaries, andorthographies or describe other suitableresources).

• Program achievements.If applicant has never had a language

program, a detailed explanation of whatbarriers or circumstances prevented theestablishment of a community languageprogram should be included.

(2) Goals and Available Resources (20points)

(a) The application describes theproposed project’s long-range goals andstrategies, including:

• How the specific Native Americanlong-range community goal(s) relate tothe proposed project; and

• How the goal(s) fit within thecontext of the current language status;

• A clearly delineated strategy toassist in assuring the survival andcontinued vitality of the NativeAmerican languages addressed in thecommunity.

(b) The application explains how thecommunity and the tribal government(where one exists) intend to achievethese goals. The type of communityserved will determine the type ofdocumentation necessary todemonstrate participation. All Tribesand communities, however, mustindicate in their application how theyintend to involve elders and othercommunity members in their projectsand include them in development oflanguage goals and strategies and inevaluation of project outcomes. Ways todemonstrate community and tribalgovernment support for the projectinclude:

• A resolution from Tribes or tribalorganizations stating that communityinvolvement has occurred in projectplanning;

• Community surveys andquestionnaires, including thosedeveloped to determine the level ofcommunity support for tribalresolutions; and

• Minutes of community meetings,tribal presentations and discussionforums.

Applications from National Indianand Native organizations must clearlydemonstrate a need for the project,explain how the project was originated,state who the intended beneficiarieswill be, and describe how the recipientswill actually benefit from the project.

National Indian and Nativeorganizations should describe theirmembership and define how theorganization operates.

(c) Available resources (other thanANA and the non-federal share) whichwill assist and be coordinated with theproject are described. These resourcesshould be documented by letters ofcommitment of resources, and not‘‘letters of support’’.

• ‘‘Letters of support’’ merely expressanother organization’s endorsement of aproposed project. Such support lettersand related documentation do notindicate a binding commitment, do notestablish the authenticity of otherresources, and do not offer or bindspecific resources to the project.

• ‘‘Letters of commitment’’ arebinding and specify the nature, amountand conditions under which anotheragency or organization will support aproject funded with ANA funds. Theseresources may be human, natural orfinancial, and may include otherFederal and non-Federal resources.Applicant statements that additionalfunding will be sought from otherspecific sources are not considered abinding commitment of outsideresources.

• Non-ANA resources should beleveraged to strengthen and broaden theimpact of the proposed project in thecommunity. Project designs shouldexplain how those parts of projectswhich ANA does not fund will befinanced through other sources. Forexample, ANA does not fundconstruction. Applicants must show therelationship of non-ANA fundedactivities to those objectives andactivities that are funded with ANAgrant funds.

If the applicant proposes to enter intoa partnership arrangement with aschool, college or university,documentation of this commitmentmust be included in the application.

(3) Project Objectives, Approach andActivities (30 points)

The proposed objectives in theObjective Work Plan(s) relate to the goalto ensure the survival and continuingvitality of Native American language(s).More specifically, together they willachieve for the Tribe or community’slanguage goals for the proposed project.If the project is for more than one year,the application includes Objective WorkPlans for each year (budget period)proposed. Each Objective Work Planclearly describes:

• The tribal government’s andcommunity’s active involvement in thecontinuing participation of NativeAmerican language speakers;



• Measurable or quantifiable resultsor outcomes;

• How they relate to the community’slong-range goals or the establishment ofthose goals;

• How the project can beaccomplished with the available orexpected resources during the projectperiod;

• How the main activities will beaccomplished;

• Who specifically will conduct theactivities under each objective; and

• How the project will be completed,become self-sustaining, or be financedby other than ANA funds at the end ofthe project period.

(4) Organizational capabilities/Qualifications (15 points)

The management and administrativestructure of the applicant is explained.Evidence of the applicant’s ability tomanage a project of the proposed scopeis well defined. The application clearlydemonstrates the successfulmanagement of projects of similar scopeby the organization and or by theindividual designated to manage theproject.

Position descriptions and/or resumesof key personnel, including those ofconsultants, are presented. The positiondescriptions and/or resumes relatespecifically to the staff proposed in theApproach Page and in the proposedbudget of the application. Positiondescriptions very clearly describe theposition and it’s duties and clearlyrelate to the personnel staffing requiredto achieve the project objectives.Resumes demonstrate that the proposedstaff are qualified to carry out theproposed activities. Either the positiondescriptions or the resumes contain thequalifications, and/or specialized skills,necessary for overall qualitymanagement of the project. Resumesmust be included if individuals havebeen identified for positions in theapplication.

Note: Applicants are encouraged to givepreference to Native Americans in hiring staffand contracting services under an approvedANA grant.

(5) Budget (10 points)A detailed and fully explained budget

is provided for each budget periodrequested which:

Identifies and explains each line item,with a well-written justification, in thebudget categories in Section B of theBudget Information of the application,including the applicant’s non-Federalshare and its source. Applicants fromAmerican Samoa, Guam, and theNorthern Mariana Islands are notrequired to provide a 20% match for thenon-Federal share since the level of

funding available for the grants wouldnot invoke a required match for grantsto these insular areas. Therefore,applicants from these insular areas maynot have points reduced for the lack ofmatching funds. They are, however,expected to coordinate and organize thedelivery of any non-ANA resources theypropose for the project, as are all ANAapplicants.

Includes and justifies sufficient costand other necessary details to facilitatethe determination of cost allowabilityand the relevance of these costs to theproposed project.

Requests funds that are appropriateand necessary for the scope of theproposed project.

Includes sufficient funds for principalrepresentatives from the applicantorganization to travel to one post-awardgrant training and technical assistanceconference. This expenditure ismandatory for new grant recipients andoptional for grantees that have had ANAgrants in the past. This travel andtraining should occur as soon aspractical.

Where implemented, includes anemployee fringe benefit budget thatprovides grant-funded employees with aretirement plan in addition to SocialSecurity. The applicant is stronglyencouraged to provide a retirement planfringe benefit for grant-fundedemployees’ salaries up to five (5)percent.

ANA supports a retirement plan to bea necessary, reasonable and allowablecost in accordance with OMB rules.Minimum standards for an acceptableretirement fringe benefit plan are:

• The plan exists for the exclusivebenefit of the participants; funds are tobe used for retirement and certain otherpre-retirement needs, not for theorganization’s needs.

• The plan must have a vestingschedule that does not exceed the initialbudget period of the ANA grant.

• An alternate proposal may besubmitted for review and approvalduring grant award negotiations.Alternate proposals may include the useof Individual Retirement Accounts,Money Purchase Pension Plans, DefinedBenefit Pension Plans, CombinationPlans, etc..

(6) Evaluation, Sharing and PreservationPlans (15 points)

The application should include thefollowing three plans:

• An ‘‘evaluation plan’’ with abaseline to measure project outcomes,including, but not limited to, describingeffective language growth in thecommunity (e.g., an increase of NativeAmerican language use). This plan willbe the basis for evaluating the

community’s progress in achieving itslanguage goals and objectives.

• A ‘‘sharing plan’’ that identifieshow the project’s methodology, researchdata, outcomes or other products can beshared and modified for use by otherTribes or communities. If this is notfeasible or culturally appropriate,provide the reasons. The goal is toprovide opportunities to ensure thesurvival and the continuing vitality ofNative languages.

• A ‘‘plan to preserve projectproducts’’ describes how the products ofthe project will be preserved througharchival or other culturally appropriatemethods, for the benefit of futuregenerations.

I. Application Due Date

The closing date for submission ofapplications under this programannouncement is March 16, 2001.

J. For Further Information Contact

Sheila Cooper, Native AmericanProgram Specialist, Department ofHealth and Human Services,Administration for Children andFamilies, Administration for NativeAmericans, 370 L’Enfant Promenade,Mail Stop HHH 348F, Washington, D.C.20447, telephone: (202) 690–5787 or 1–877–922–9262; telefax: 202–690–7441;e-mail: [email protected].

Part II: General Guidance to Applicants

The following is provided to assistapplicants to develop a competitiveapplication.

A. Definitions

• ‘‘Language preservation’’ is themaintenance of a language so that it willnot decline into non-use.

• ‘‘Language vitality’’ is the active useof a language in a wide range ofdomains of human life.

• ‘‘Language replication’’ is theapplication of a language programmodel developed in one community toother linguistically similarcommunities.

• ‘‘Language survival’’ is themaintenance and continuation oflanguage from one generation to anotherin a wide range of aspects of communitylife.

• ‘‘Multi-purpose community-basedNative American organization’’ is anassociation and/or corporation whosecharter specifies that the communitydesignates the Board of Directors and/orofficers of the organization through anelective procedure and that theorganization functions in severaldifferent areas of concern to themembers of the local Native American



community. These areas are specified inthe by-laws and/or policies adopted bythe organization. They may include, butneed not be limited to, economic,artistic, cultural, and recreationalactivities, and the delivery of humanservices such as health care, day care,counseling, education, and training.

• ‘‘Multi-year project’’ is a project ona single theme that requires more than12 months to complete and affords theapplicant an opportunity to develop andaddress more complex and in-depthstrategies than can be completed in oneyear. A multi-year project cannot be aseries of unrelated objectives withactivities presented in chronologicalorder over a two or three year period.

• ‘‘Budget Period’’ is the interval oftime (usually 12 months) into which theproject period is divided for budgetaryand funding purposes.

• ‘‘Core administration’’ is fundingfor staff salaries for those functions thatsupport the organization as a whole, orfor purposes unrelated to the actualmanagement or implementation of workconducted under an ANA approvedproject. However, functions andactivities that are clearly project relatedare eligible for grant funding. Forexample, the management andadministrative functions necessary tocarry out an ANA approved project arenot considered ‘‘core administration’’and are, therefore, eligible costs.Additionally, ANA will fund thesalaries of approved staff for timeactually and reasonably spent toimplement a funded ANA project.

• ‘‘Real Property’’ means land,including land improvements,structures and appurtenances thereto,excluding movable machinery andequipment.

• ‘‘Construction’’ is the term thatspecifies a project supported through adiscretionary grant or cooperativeagreement, to support the initialbuilding of a facility.

B. Activities That Cannot Be Funded

The Administration for NativeAmericans does not fund:

• Projects that operate indefinitely orrequire ANA funding on a recurringbasis.

• Projects in which a grantee wouldprovide training and/or technicalassistance (T/TA) to other Tribes orNative American organizations whichare otherwise eligible to apply to ANA(‘‘third party T/TA’’). However, thepurchase of T/TA by a grantee for itsown use or for its members’ use (as inthe case of a consortium), where T/TAis necessary to carry out projectobjectives is acceptable.

• The support of on-going socialservice delivery programs or theexpansion, or continuation, of existingsocial service delivery programs.

• ANA will not fund the purchase ofreal property.

• ANA will not fund construction.• ANA will not fund objectives or

activities for the support of coreadministration of an organization.

• Costs of fundraising, includingfinancial campaigns, endowment drives,solicitation of gifts and bequests, andsimilar expenses incurred solely to raisecapital or obtain contributions areunallowable under a grant award.However, even though these costs areunallowable for purposes of computingcharges to Federal awards, they must betreated as direct costs for purposes ofdetermining indirect cost rates. Theymust also be allocated their share of theorganization’s indirect costs if theyrepresent activities which: (1) Includethe salaries of personnel; (2) occupyspace; and (3) benefit from theorganization’s indirect costs.

Projects or activities that generallywill not meet the purposes of thisannouncement are discussed further inSection H, ‘‘General Guidance toApplicants’’, below.

C. Multi-Year ProjectsOnly Category II ‘‘Design and/or

Implementation’’ projects may bedeveloped as multi-year projects, i.e. forup to three years. The information inthis section is not applicable to CategoryI, planning projects.

A multi-year project is a project on asingle theme that requires more than 12to 17 months to complete. It affords theapplicant an opportunity to develop andaddress more complex and in-depthstrategies. A multi-year project cannotbe a series of unrelated objectives withactivities presented in chronologicalorder over a two or three year period.Initial awards, on a competitive basis,will be for a one-year budget period (upto 17 months), although project periodsmay be for three years.

Awards, on a competitive basis, willbe for a one-year budget period,although project periods may be forthree years. Applications forcontinuation grants funded under theseawards beyond the one-year budgetperiod, but within a two-to-three yearproject period, will be funded insubsequent years on a non-competitivebasis. Continuation grants are subject tothe availability of funds, satisfactoryprogress of the grantee anddetermination that continued fundingwould be in the best interest of theGovernment. Therefore, this programannouncement does not apply to current

ANA grantees with multi-year projectsthat apply for continuation funding fortheir second or third year budgetperiods.

D. Intergovernmental Review of FederalPrograms

Executive Order 12372 or 45 CFR Part100 does not cover this program.

E. The Application Process

1. Application Submission by Mail

One signed original, and two copies,of the grant application, including allattachments, must be mailed on orbefore the closing date to: U.S.Department of Health and HumanServices, Administration for Childrenand Families, ACYF/Office of GrantsManagement, 370 L’Enfant Promenade,SW, Mail Stop HHH 326–F,Washington, DC 20447–0002, Attention:Lois B. Hodge, ANA No. 93612–992.

2. Application Submission by Courier

Applications hand-carried byapplicants, applicant couriers, or byovernight express mail couriers shall beconsidered as meeting an announceddeadline if they are received on orbefore the deadline date, between thehours of 8:00 a.m. and 4:00 p.m. at: U.S.Department of Health and HumanServices, Administration for Childrenand Families, ACYF/Office of GrantsManagement, ACF Mail Room, SecondFloor Loading Dock, Aerospace Center,901 D Street, SW, Washington, DC20024, Attention: Lois B. Hodge, ANANo. 93612–992.

3. Application Consideration

The ANA Commissioner determinesthe final action to be taken on each grantapplication received under this programannouncement.

All applicants should take thefollowing points into consideration:

• Incomplete applications andapplications that do not conform to thisannouncement will not be accepted forreview. Applicants will be notified inwriting of any such determination byACF. An incomplete application is onethat is:

• Missing Form SF 424.• Does not have a signature on Form

SF 424.• Does not include proof of non-profit

status, if applicable.• The application (Form 424) must be

signed by an individual authorized (1)to act for the applicant Tribe ororganization, and (2) to assume theapplicant’s obligations under the termsand conditions of the grant award,including Native American Programstatutory and regulatory requirements.



• Complete applications that conformto all the requirements of this programannouncement are subjected to acompetitive review and evaluationprocess. Independent review panelsconsisting of reviewers familiar withAmerican Indian Tribes and NativeAmerican communities andorganizations, and Native Americanlanguages evaluate each applicationusing the published criteria in thisannouncement. As a result of thereview, a normalized numerical scorewill be assigned to each application.

• Each Tribe, Native Americanorganization, or other eligible applicantmay compete for one grant award underthis program announcement.

• The Administration for NativeAmericans will accept only oneapplication for this programannouncement from any one applicant.If an eligible applicant sends in twoapplications for this programannouncement, the one with the earlierpostmark will be accepted for reviewunless the applicant withdraws theearlier application.

• The Commissioner’s fundingdecision is based on the review panel’sanalysis of the application,recommendation and comments of ANAstaff, State and Federal agencies havingcontract and grant performance relatedinformation, and other interestedparties.

• The Commissioner makes grantawards consistent with the purpose ofthe Act, all relevant statutory andrequires this program announcement,and the availability of funds.

• Successful applicants are notifiedthrough an official Financial AssistanceAward (FAA) document. The FAA willstate the amount of Federal fundsawarded, the purpose of the grant, theterms and conditions of the grant award,the effective date of the award, theproject period, the budget period, andthe amount of the non-ACF matchingshare requirement.

F. The Review Process

1. Initial Application Review

Applications submitted by the closingdate and verified by the postmark underthis program announcement willundergo a pre-review to determine that:

• The applicant is eligible inaccordance with the Eligible ApplicantsSection of this announcement; and,

• the application is signed andsubmitted by the deadline; and,

• the application narrative, forms andmaterials submitted are adequate toallow the review panel to undertake anin depth evaluation and the projectdescribed is an allowable type. (All

required materials and forms are listedin the Grant Application Checklist inthe Application Kit).

Applications subjected to the pre-review described above which fail tosatisfy one or more of the listedrequirements will be ineligible orotherwise excluded from competitiveevaluation.

2. Competitive Review of AcceptedApplications

Applications which pass the pre-review will be evaluated and rated by anindependent review panel on the basisof the specific evaluation criteria listedin Part II. These criteria are used toevaluate the quality of a proposedproject, and to determine the likelihoodof its success.

• ANA staff cannot respond torequests for information regardingfunding decisions prior to the officialnotification to the applicants.

• After the Commissioner has madedecisions on all applications fundedwith fiscal year 2000 funds,unsuccessful applicants are notified inwriting within 30 days. The notificationwill be accompanied by a critiqueincluding recommendations forimproving the application.

3. Appeal of Ineligibility

Applicants, who are initiallyexcluded from competitive evaluationbecause of ineligibility, may appeal theANA decision of their ineligibility.Likewise, applicants may also appeal anANA decision that their proposedactivities are ineligible for fundingconsideration. The appeals process isstated in the final rule published in theFederal Register on August 19, 1996 (61FR 42817).

G. General Guidance to Applicants

The following information is providedto assist applicants in developing acompetitive application.

1. Program Guidance

• The Administration for NativeAmericans funds projects thatdemonstrate the strongest prospects foraddressing the stated purposes of thisprogram announcement.

• Projects will not be ranked on thebasis of general financial need.

• In discussing the goals, strategy,and problems being addressed in theapplication, include sufficientbackground and/or history of thecommunity concerning these issuesand/or progress to date, as well as thesize of the population to be served. Thismaterial will assist the reviewers indetermining the appropriateness and

potential benefits of the proposedproject.

• In the discussion of community-based, long-range goals, non-Federallyrecognized and off-reservation groupsare encouraged to include a descriptionof what constitutes their specific‘‘community.’’

• Applicants must document thecommunity’s support for the proposedproject and explain the role of thecommunity in the planning process andimplementation of the proposed project.For Tribes, a current signed resolutionfrom the governing body of the Tribesupporting the project proposal statingthat there has been communityinvolvement in the planning of thisproject will suffice as evidence ofcommunity support/involvement. Forall other eligible applicants, the type ofcommunity you serve will determinethe type of documentation necessary.For example, a tribal organization maysubmit resolutions supporting theproject proposal from each of itsmembers Tribes, as well as a resolutionfrom the applicant organization. Otherexamples of documentation include:community surveys; minutes ofcommunity meetings; questionnaires;tribal presentations; and/or discussion/position papers.

• Applications from National Indianand Native American organizationsmust demonstrate a need for the project,explain how the project was originated,state who the intended beneficiarieswill be, and describe how the recipientswill actually benefit from the project.

• An application should describe aclear relationship between the proposedproject, language goals, and thecommunity’s long-range goals or plan.

• The project application, includingthe Objective Work Plans, must clearlyidentify in measurable terms theexpected results, benefits or outcomes ofthe proposed project, and the positive orcontinuing impact that the project willhave on the community.

• Supporting documentation,including letters of support, if available,or other testimonies from concernedinterests other than the applicant shouldbe included to demonstrate support forthe feasibility of the project and thecommitment of other resources to theproposed project.

• In the ANA Project Narrative,Section A of the application package,‘‘Resources Available to the ProposedProject,’’ the applicant should describeany specific financial circumstancesthat may impact on the project. Includesuch circumstances as any monetary orland settlements made to the applicantand any restrictions on the use of thosesettlements. When the applicant appears



to have other resources to support theproposed project and chooses not to usethem, the applicant should explain whyit is seeking ANA funds and notutilizing these resources for the project.

• Applications that were not fundedunder a previous years-closing date maybe resubmitted. However, forresubmission applicants should make areference to the changes or reasons fornot making changes in their currentANA application which are based onthe ANA panel review comments.

2. Technical GuidanceIt is strongly suggested that the

applicant follow the SupplementalGuide included in the ANA applicationkit to develop an application. The Guideprovides practical information andhelpful suggestions, and is an aid tohelp applicants prepare ANAapplications.

• Applicants are encouraged to havesomeone other than the author apply theevaluation criteria in the programannouncement and score theapplication prior to its submission, inorder to gain a better sense of theapplication’s quality and potentialcompetitiveness in the ANA reviewprocess.

• For purposes of developing anapplication, applicants should plan fora project start date approximately 120days after the closing date under whichthe application is submitted.

• The Administration for NativeAmericans will not fund essentiallyidentical projects serving the sameconstituency.

• If a project could be supported byother Federal funding sources, theapplicant should fully explain itsreasons for not pursuing other Federalfunds for the project.

• For purposes of this announcement,ANA is using the Bureau of IndianAffairs’ list of federally recognizedIndian Tribes which includes nonprofitAlaska Native community entities ortribal governing bodies (IRA ortraditional councils). Other federallyrecognized Indian Tribes, which are notincluded on this list (e.g., those Tribesthat have been recently recognized orrestored by the United States Congress),are also eligible to apply for ANA funds.

• The Objective Work Plan proposedshould be of sufficient detail to becomea monthly staff guide for projectresponsibilities if the applicant isfunded.

• Applicants proposing multi-yearprojects under Category II must fullydescribe each year’s project objectivesand activities. Separate Objective WorkPlans (OWPs) must be presented foreach project year and a separate

itemized budget of the Federal and non-Federal costs of the project for eachbudget period must be included.

• Applicants for multi-year projectsunder Category II must justify the entiretime-frame of the project (i.e., why theproject needs funding for more than oneyear) and clearly describe the results tobe achieved for each objective by theend of each budget period of the totalproject period.

• The Administration for NativeAmericans will critically evaluateapplications in which the acquisition ofequipment is a major component of theFederal share of the budget. ‘‘Equipmentis tangible, non-expendable personalproperty having a useful life of morethan one year and an acquisition cost of$5,000 or month per ‘‘unit.’’ Duringnegotiation, ANA may delete suchexpenditures from the budget of anotherwise approved application, if notfully justified by the applicant anddeemed not appropriate to the needs ofthe project.

• Applicants are encouraged torequest a legibly dated receipt from acommercial carrier or U.S. PostalService as proof of timely mailing.

3. Grant Administrative Guidance

• The application’s Form 424 must besigned by the applicant’s representativeauthorized to act with full authority onbehalf of the applicant.

• The Administration for NativeAmericans recommends that the pagesof the application be numberedsequentially and that a table of contentsand tabbing of the sections is provided.

• An application with an originalsignature and two additional copies arerequired.

• The Cover Page (included in theKit) should be the first page of anapplication, followed by the one-pageabstract.

• The applicant should specify theentire project period length on the firstpage of the Form 424, Block 13, not thelength of the first budget period. Shouldthe application propose one length ofproject period and the Form 424 specifya conflicting length of project period,ANA will consider the project periodspecified on the Form 424 as therequest. ANA may negotiate a reductionof the project period. The approvedproject period is shown on block 9 of aFinancial Assistance Award.

• Line 15a of the Form 424 mustspecify the Federal funds requested forthe first Budget Period, not the entireproject period.

• Applicants may propose up to a 17-month project period under Category Iand up to a 36-month project periodunder Category II.

4. Projects or Activities that GenerallyWill Not Meet the Purposes of thisAnnouncement

• Core administration functions, orother activities, which essentiallysupport only the applicant’s ongoingadministrative functions.

• Project goals which are notresponsive to this programannouncement.

• Proposals from consortia of Tribesthat are not specific with regard tosupport from, and roles of, memberTribes. ANA expects an applicationfrom a consortium to have goals andobjectives that will create positiveimpacts and outcomes in thecommunities of its members. Proposalsfrom consortia of Tribes should haveindividual objectives that are related tothe larger goal of the proposed project.Project objectives may be tailored toeach consortia member, but within thecontext of a common goal for theconsortia. In situations where both tribalconsortia and a Tribe who belongs to theconsortia receives ANA funding, ANAexpects that consortia groups will notseek funding that duplicates activitiesbeing conducted by their memberTribes.

• Projects that will not be completed,self-sustaining, or supported by otherthan ANA funds, at the end of theproject period. All projects funded byANA must be completed, or self-sustaining or supported with other thanANA funds at the end of the projectperiod. ‘‘Completed’’ means that theproject ANA funded is finished, and thedesired result(s) have been attained.‘‘Self-sustaining’’ means that a projectwill continue without outside resources.‘‘Supported by other than ANA funds’’means that the project will continuebeyond the ANA project period, but willbe supported by funds other thanANA’s.

• Renovation or alteration unless it isessential for the project. Renovation oralteration costs may not exceed thelesser of $150,000 or 25 percent of thetotal direct costs approved for the entirebudget period.

• Projects originated and designed byconsultants who provide a major role forthemselves in the proposed project andare not members of the applicantorganization, Tribe or village.

H. Paperwork Reduction Act of 1995(Public Law 10413)

The Program Narrative informationcollection with this ProgramAnnouncement is approved under0980–0204, Expiration Date 04/30/2003.

Public reporting burden for thiscollection of information is estimated to



average 29.5 hours per response,including the time for reviewinginstructions, gathering and maintainingthe data needed, and reviewing thecollection of information.

An agency may not conduct orsponsor, and a person is not required torespond to, a collection of informationunless it displays a currently valid OMBcontrol number.

I. Receipt of ApplicationsApplications must either be hand

delivered or mailed to the address inSection E, The Application Process. TheAdministration for Native Americanscannot accommodate transmission ofapplications by fax or through otherelectronic media. Therefore,applications transmitted to ANAelectronically will not be acceptedregardless of date or time of submissionand time of receipt. Videotapes andcassette tapes may not be included aspart of a grant application for panelreview.

Applications and related materialspostmarked after the closing date will beclassified as late.

1. Deadlines• Mailed applications shall be

considered as meeting an announceddeadline if they are either received onor before the deadline date or sent on orbefore the deadline date and received byACF in time for the independent reviewto: U.S. Department of Health andHuman Services, Administration forChildren and Families, ACYF/Office ofGrants Management, 370 L’EnfantPromenade, SW, Mail Stop HHH 326–F,Washington, D.C. 20447–0002.Attention: Lois B. Hodge ANA No.93612–992.

• Applicants are cautioned to requesta legibly dated U.S. Postal Servicepostmark or to obtain a legibly datedreceipt from a commercial carrier or theU.S. Postal Service. Private meteredpostmarks shall not be acceptable asproof of timely mailing.

• Applications hand carried byapplicants, applicant couriers, or byovernight/express mail couriers shall beconsidered as meeting an announceddeadline if they are received on orbefore the deadline date or postmarkedon or before the deadline date, Mondaythrough Friday (excluding Federalholidays), between the hours of 8:00 amand 4:30 p.m. at: U.S. Department ofHealth and Human Services,Administration for Children andFamilies, ACYF/Office of GrantsManagement, ACF Mailroom, 2nd FloorLoading Dock, Aerospace Center, 901 DStreet, SW, Washington, D.C. 20024.(Applicants are cautioned that express/

overnight mail services do not alwaysdeliver as agreed.)

• ACF cannot accommodatetransmission of applications by fax orthrough other electronic media.Therefore, applications transmitted toACF electronically will not be acceptedregardless of date or time of submissionand time of receipt.

• No additional material will beaccepted, or added to an application,unless it is postmarked by the deadlinedate.

2. Late applications

Applications that do not meet thecriteria above are considered lateapplications. ACF shall notify each lateapplicant that its application will not beconsidered in the current competition.

3. Extension of deadlines

The Administration for Children andFamilies may extend an applicationdeadline for applicants affected by actsof God such as floods and hurricanes, orwhen there is a widespread disruptionof the mails. A determination to extendor waive deadline requirements restswith the Chief Grants ManagementOfficer.(Catalog of Federal Domestic AssistanceProgram Numbers: 93.612 Native AmericanPrograms; and 93.587 Promoting the Survivaland Continuing Vitality of Native Americanlanguages)

Dated: October 3, 2001.Gary Mounts,Acting Commissioner, Administration forNative Americans.[FR Doc. 00–27708 Filed 10–27–00; 8:45 am]BILLING CODE 4184–01–P




Agency Information CollectionActivities; Submission for OMBReview; Comment Request;Emergency Health Surveys

AGENCY: Food and Drug Administration,HHS.ACTION: Notice.

SUMMARY: The Food and DrugAdministration (FDA) is announcingthat the proposed collection ofinformation listed below has beensubmitted to the Office of Managementand Budget (OMB) for review andclearance under the PaperworkReduction Act of 1995.

DATES: Submit written comments on thecollection of information by November29, 2000.ADDRESSES: Submit written commentson the collection of information to theOffice of Information and RegulatoryAffairs, OMB, New Executive OfficeBldg., 725 17th St. NW., rm. 10235,Washington, DC 20503, Attn: WendyTaylor, Desk Officer for FDA.FOR FURTHER INFORMATION CONTACT:Peggy Schlosburg, Office of InformationResources Management (HFA–250),Food and Drug Administration, 5600Fishers Lane, Rockville, MD 20857,301–827–1223.SUPPLEMENTARY INFORMATION: Incompliance with 44 U.S.C. 3507, FDAhas submitted the following proposedcollection of information to OMB forreview and clearance.

Emergency Health SurveysUnder section 519 of the Federal

Food, Drug, and Cosmetic Act (the act)(21 U.S.C. 360(i)), FDA is authorized torequire: (1) Manufacturers to reportmedical-device-related deaths, seriousinjuries, and malfunctions; and (2) userfacilities to report device-related deathsdirectly to FDA and to manufacturers,and to report serious injuries to themanufacturer. Section 522 of the act (21U.S.C. 360(l)) authorizes FDA to requiremanufacturers to conduct postmarketsurveillance of medical devices. Section705(b) of the act (21 U.S.C. 375(b))authorizes FDA to collect anddisseminate information regardingmedical products or cosmetics insituations involving imminent danger tohealth or gross deception of theconsumer. Section 903(b)(2) of the act(21 U.S.C. 393(b)(2)) authorizes theCommissioner of Food and Drugs (theCommissioner) to implement generalpowers (including conducting research)to effectively carry out the mission ofFDA. These sections of the act enableFDA to enhance consumer protectionfrom risks associated with medicaldevice usage that are not foreseen orapparent during the premarketnotification and review process.Currently FDA monitors medicalproduct related postmarket adverseevents via both the mandatory andvoluntary MedWatch Reporting Systemsusing FDA Forms 3500 and 3500A(OMB Control No. 0910–0281).

FDA is seeking OMB clearance tocollect information via a series ofsurveys, thus implementing section705(b) of the act and theCommissioner’s authority as specifiedin section 903(b)(2) of the act.Participation in these surveys will bevoluntary. This request covers



emergency health surveys for generaltype medical facilities; specializedmedical facilities (those known forcardiac surgery, obstetrics/gynecologyservices, pediatric services, etc.); andhealth professionals, but more typicallyrisk managers working in medicalfacilities.

FDA will use the informationgathered from these surveys to quicklyobtain vital information from theappropriate clinical sources so that FDAmay take appropriate public health orregulatory action. FDA projects 10emergency health surveys per year witha sample of between 50 and 200respondents per survey.

In the Federal Register of August 3,2000 (65 FR 47734), the agencyrequested comments on the proposedcollection of information. No commentswere received.

FDA estimates the burden of thiscollection of information as follows:

TABLE 1.—ESTIMATED ANNUAL REPORTING BURDEN 1

No. ofRespondents

AnnualFrequency per

Response

Total AnnualResponses

Hours perResponse Total Hours

200 10 (maximum) 2,000 2 4,000

1 There are no capital costs or operating and maintenance costs associated with this collection of information.

These estimates are based on themaximum sample size per questionnairethat FDA could analyze in a timelymanner. The annual frequency ofrespondent was determined by themaximum number of questionnairesthat will be sent to any individualrespondent. Some respondents may becontacted only one time per year, whileanother respondent may be contactedseveral times, depending on the medicaldevice under evaluation. It is estimatedthat, given the expected type of issuesthat will be addressed by the surveys, ata maximum it will take 2 hours for arespondent to gather the requestedinformation and fill in the answers.

Dated: October 23, 2000.Margaret M. Dotzel,Associate Commissioner for Policy.[FR Doc. 00–27733 Filed 10–27–00; 8:45 am]BILLING CODE 4160–01–F

DEPARTMENT OF HOUSING ANDURBAN DEVELOPMENT

[Docket No. FR–4561–N–70]

Notice of Submission of ProposedInformation Collection to OMB;Financial Statement of CorporateApplicant for Cooperative HousingMortgage

AGENCY: Office of the Chief InformationOfficer, HUD.

ACTION: Notice.

SUMMARY: The proposed informationcollection requirement described belowhas been submitted to the Office ofManagement and Budget (OMB) forreview, as required by the PaperworkReduction Act. The Department issoliciting public comments on thesubject proposal.DATES: Comments Due Date: November29, 2000.ADDRESSES: Interested persons areinvited to submit comments regardingthis proposal. Comments should refer tothe proposal by name and/or OMBapproval number (2502–0058) andshould be sent to: Joseph F. Lackey, Jr.,OMB Desk Officer, Office ofManagement and Budget, Room 10235,New Executive Office Building,Washington, DC 20503.FOR FURTHER INFORMATION CONTACT:Wayne Eddins, Reports ManagementOfficer, Q, Department of Housing andUrban Development, 451 Seventh Street,Southwest, Washington, DC 20410; e-mail [email protected];telephone (202) 708–2374. This is not atoll- (2) the office of the agency tocollect the information; (3) the OMBapproval number, if applicable; (4) thedescription of the need for theinformation and its proposed use; (5)the agency form number, if applicable;(6) what members of the public will be

affected by the proposal; (7) howfrequently information submissions willbe required; (8) an estimate of the totalnumber of hours needed to prepare theinformation submission includingnumber of respondents, frequency ofresponse, and hours of response; (9)whether the proposal is new, anextension, reinstatement, or revision ofan information collection requirement;and (10) the name and telephone umberof an agency official familiar with theproposal and of the OMB Desk Officerfor the Department.

This Notice also lists the followinginformation:

Title of Proposal: Financial Statementof Corporate Applicant for CooperativeHousing Mortgage.

OMB Approval Number: HUD–93232–A.

Description of The Need For TheInformation and Its Proposed Use: HUDinsures mortgages covering propertyheld by a non-profit cooperativeownership housing cooperation. TheDepartment requires information on theapplicant’s financial and credit historyto determine the capability and capacityof the borrower corporation and theindividual members to meet thestatutory requirement for repayment.

Frequency of Submission: Monthly.Reporting Burden:

Number of respondents x Frequency of response x Hours per response = Burden hours

1,500 1 2 3,000



Total Estimated Burden Hours: 3,000.Status: Reinstatement, with change.Authority: Section 3507 of the Paperwork

Reduction Act of 1995, 44 U.S.C. 35, asamended.

Dated: October 24, 2000Wayne Eddins,Departmental Reports Management Officer,Office of the Chief Information Officer.[FR Doc. 00–27710 Filed 10–27–00; 8:45 am]BILLING CODE 4210–01–M

DEPARTMENT OF HOUSING ANDURBAN DEVELOPMENT

Office of Federal Housing EnterpriseOversight

Solicitation of Public Comments onSystemic Risk

AGENCY: Office of Federal HousingEnterprise Oversight, HUD.ACTION: Solicitation of public comments.

SUMMARY: The Office of Federal HousingEnterprise Oversight (OFHEO) issoliciting comments on systemic risk.To fulfill its supervisoryresponsibilities, OFHEO has initiated acomprehensive study of the risks theFederal National Mortgage Association(Fannie Mae) and the Federal HomeLoan Mortgage Corporation (FreddieMac) may pose to the financial systemin general and to U.S. housing financemarkets in particular. The study willexamine the nature and magnitude ofany risks posed by the Enterprises,whether and to what extent Fannie Maeand Freddie Mac contribute to ormitigate systemic risk, and actions thatOFHEO and others could take to limitany systemic risk the Enterprises maypose. The purpose of this notice is tosolicit public comment on specificresearch questions that the study mayaddress.

DATES: Written comments regardingsystemic risk due by December 29, 2000.ADDRESSES: Send written comments toRobert S. Seiler, Jr., Manager of PolicyAnalysis, Office of Federal HousingEnterprise Oversight, 1700 G Street,N.W., Fourth Floor, Washington, D.C.20552. Written comments may also besent by electronic mail [email protected].

FOR FURTHER INFORMATION CONTACT:Robert S. Seiler, Jr., Manager of PolicyAnalysis, Office of Federal HousingEnterprise Oversight, 1700 G Street,N.W., Fourth Floor, Washington, D.C.20552, telephone (202) 414–3785 (a tollfree number). The telephone number forthe Telecommunications Device for theDeaf is: (800) 877–8339.

BackgroundIn 1992 the Congress created the

Office of Federal Housing EnterpriseOversight (OFHEO) as an independentoffice within the Department of Housingand Urban Development (HUD) toensure that the Federal NationalMortgage Association (Fannie Mae) andthe Federal Home Loan MortgageCorporation (Freddie Mac) areadequately capitalized and operatingsafely. OFHEO’s mission is to promotehousing and a strong economy byensuring the safety and soundness of theEnterprises and fostering the strengthand vitality of the nation’s housingfinance system. In fulfilling thatmission, OFHEO imposes capitalrequirements on Fannie Mae andFreddie Mac, conducts annualexaminations of each Enterprise, andengages in a broad research program.OFHEO’s research focuses on themarkets in which Fannie Mae andFreddie Mac operate, the risks theEnterprises face, the economic effects oftheir activities, and any risks they maypose to other participants in mortgageand financial markets.

Financial firms that have largeamounts of liabilities or other financialobligations pose risks to other financialmarket participants. Default by a largefinancial firm affects theircounterparties directly (by imposinglosses on them) and may affect otherfinancial firms indirectly (by leadingmarkets to increase their financingcosts, reduce their access to credit, orlower the market values of their assets).With respect to direct costs, firms withsufficiently large credit exposures to alarge firm that fails may be renderedinsolvent by that failure if their lossesare sufficiently high. With respect toindirect costs, the default of a largefinancial firm may lead to temporarydistortions in financial markets that maycause other firms to experience liquidityand even solvency problems. Suchproblems may also be caused by a lossof investor confidence, should investorsbelieve that such firms have riskexposures similar to those that causedthe large firm to default. Solvency andliquidity problems induced by thedefault of a large financial firm may alsoadversely affect the functioning ofnational or international systems forclearing and settling financialtransactions, further distorting financialmarkets.

Fannie Mae and Freddie Mac havefinanced over forty percent ofconventional single-family mortgagesoutstanding in the U.S. and are amongthe largest financial firms in the nation.To date, OFHEO has consistently

classified the Enterprises as adequatelycapitalized pursuant to applicableminimum capital requirements, andOFHEO’s examinations have found theEnterprises to be financially sound andwell managed. However, despite thecurrent financial health of Fannie Maeand Freddie Mac, unexpected economicshocks, failures of Enterprisemanagement or operations, or otherfactors could at some point cause eitherEnterprise to fail to meet OFHEO’ssafety and soundness standards. Thepace at which the Enterprises aregrowing and their increasingly centralrole in mortgage and financial marketsraise the issue of whether, if eitherEnterprise experienced severe financialdistress or failed, the functioning of thefinancial system in general, or of U.S.housing finance markets in particular,could be disrupted to such an extentthat the U.S. or international economieswould be adversely affected. Financialdifficulties at Fannie Mae or FreddieMac could be caused by disruptions atother financial firms.

To fulfill its supervisoryresponsibilities, OFHEO has initiated acomprehensive study of the risks FannieMae and Freddie Mac may pose to thefinancial system in general and to U.S.housing finance markets in particular.The study will examine the nature andmagnitude of any risks posed by theEnterprises, whether and to what extentFannie Mae and Freddie Mac contributeto or mitigate systemic risk, and actionsthat OFHEO and others could take tolimit any systemic risk the Enterprisesmay pose. The study will help OFHEOenhance its oversight of Fannie Mae andFreddie Mac and improve OFHEO’sability to contribute to Federalregulation of financial institutions andmarkets more generally.

By systemic risk, OFHEO means thepossibility that the direct or indirecteffects of the failure of a large financialfirm would cause distortions ordisruptions in the financial systemsignificant enough to have a substantialeffect on real output and employment.An event that caused changes in assetvalues—even substantial losses invalues—would not rise to a systemicthreat if it was not expected to inducea loss in employment or economicoutput.

Questions on Which OFHEO SeeksPublic Comment

OFHEO has identified a number ofspecific research questions that its studymay address. The purpose of this noticeis to solicit public comment on thosequestions, as well as any other topicsthat respondents believe OFHEO shouldexamine in analyzing the risks posed by



Fannie Mae and Freddie Mac andactions that could reduce those risks.The questions fall into three broadareas: Whether and to what extentFannie Mae and Freddie Mac pose risksto the financial system and U.S. housingfinance markets, including systemicrisk; how Federal sponsorship andregulation of the Enterprises affects anyrisks they pose; and the costs andbenefits of possible actions to reducethose risks and, especially, any systemicrisk Fannie Mae and Freddie Mac maypose. OFHEO encourages potentialrespondents to this notice to presenttheir views, provide analysis, or suggestresearch methodology for some or all ofthe questions.

Whether and to What Extent FannieMae and Freddie Mac Pose Risks to theFinancial System and U.S. HousingFinance Markets

1. Do Fannie Mae and Freddie Macpose systemic risk, as defined above, tothe U.S. and international financialsystems? If so, how? How does anysystemic risk posed by the Enterprisescompare, in magnitude and character, tothat posed by other large financial firmssuch as large, complex bankingorganizations (LCBOs)?

2. Do the activities of Fannie Mae andFreddie Mac reduce the systemic risk ofthe U.S. and international financialsystems? If so, how?

3. Can the risks the Enterprises poseto the financial system in general andU.S. housing finance markets inparticular, and any systemic risk theymay pose, be quantified meaningfully?If so, how?

4. If Fannie Mae or Freddie Macdefaulted, how severe would losses onthat Enterprise’s obligations have to beto render other financial firmsundercapitalized or insolvent? Howmany firms could experience suchsolvency problems? How does the riskof solvency problems vary for differenttypes of firms, e.g., federally insureddepository institutions, securities firms,major derivatives dealers, otherGovernment-sponsored enterprises(GSEs), and pension and retirementfunds? How does that risk vary for firmsof different size? How severe might suchsolvency problems be? How might suchproblems affect the functioning of thefinancial system?

5. If Fannie Mae or Freddie Macexperienced severe financial distress orfailed, how many other financial firmscould experience liquidity problems?How would such liquidity problemsdiffer for different types of firms, e.g.,federally insured depositoryinstitutions, securities firms, majorderivatives dealers, other GSEs, and

pension and retirement funds? Howdoes that risk vary for firms of differentsize? How severe might such liquidityproblems be? How might such problemsaffect the functioning of the financialsystem?

6. If Fannie Mae or Freddie Mac failedor significantly curtailed its activities,how would liquidity in U.S. mortgagemarkets be affected? Would the otherEnterprise or the rest of the industry beable to effectively fill the void? Whatwould be the likely effects on thesupply and price of mortgage credit?What would be the likely effects oneconomic activity in the housing sector?How might prospective homebuyers beaffected?

7. What is the risk that solvency orliquidity problems at financial firmscaused by severe financial distress at ordefault by either Enterprise could beserious enough to reduce employmentor economic output or hamper theachievement of the goals of federalhousing policy?

8. Fannie Mae and Freddie Mac aremajor participants in national andinternational systems for clearing andsettling financial transactions. Whatrisks do the Enterprises pose to suchsystems?

9. The outstanding debt of FannieMae and Freddie Mac has grown at anannual average rate of nearly 24 percentsince year-end 1992. If debt issued bythe Enterprises continued to growsubstantially faster than most othertypes of credit market instruments, howwould any risks Fannie Mae andFreddie Mac pose to the financialsystem as a whole, and U.S. housingfinance markets in particular, beaffected? How would those risks beaffected if debt issued by the Enterprisesand other GSEs replaced Treasurysecurities as a benchmark in financialmarkets?

10. How independent are the risksposed by Fannie Mae and Freddie Mac?

The Effect of Federal Sponsorship andRegulation on the Risks Posed by theEnterprises

11. What are the implications for therisks Fannie Mae and Freddie Mac poseto the financial system in general andU.S. housing finance markets inparticular of the fact that investors inthe Enterprises’ obligations believe thefederal government would act to protectthem in the event either Enterprisefailed?

12. Is there uncertainty about theactions the federal government wouldtake in the event either Enterpriseexperienced severe financial distress?Does any such uncertainty affect the

risks posed by Fannie Mae or FreddieMac?

13. How does current federalregulation of Fannie Mae and FreddieMac affect any systemic risk posed bythe Enterprises?

Actions to Reduce Risks Posed byFannie Mae and Freddie Mac

14. What steps could be taken toreduce the risk that a default by FannieMae or Freddie Mac would cause otherfinancial firms to experience solvencyor liquidity problems? What are thepotential costs and benefits of thoseoptions?

15. What steps could be taken toreduce the risk of the Enterprisesdeveloping liquidity problems if eitherof them experienced severe financialdistress? What are the potential costsand benefits of those options?

16. In addition to OFHEO’s capitalregulation and examinations of FannieMae and Freddie Mac, what steps canOFHEO or other appropriate entitiestake to reduce any risks the Enterprisesmay pose to clearing and settlementsystems? What are the potential costsand benefits of those options?

17. In what areas could increasedtransparency and public disclosure byFannie Mae and Freddie Mac reduce therisks they pose to the financial systemin general and U.S. housing financemarkets in particular? What specificinformation would be most valuable tomarket participants?

18. Could increased market disciplineof Fannie Mae and Freddie Mac reducethe risks they pose to the financialsystem in general and U.S. housingfinance markets in particular? If so,how? What specific actions could betaken to increase market discipline ofthe Enterprises? Could increased marketdiscipline increase the risks Fannie Maeand Freddie Mac pose?

19. Should OFHEO’s approach toregulating the Enterprises be adapted toreflect the risks Fannie Mae and FreddieMac pose to the financial system ingeneral and U.S. housing financemarkets in particular? If so, how?

20. Should OFHEO’s statutoryauthority be adapted to reflect the riskFannie Mae and Freddie Mac pose tothe financial system in general and U.S.housing finance markets in particular? Ifso, how?

OFHEO invites respondents toprovide their analyses and views of anyother issues related to the risks posed byFannie Mae and Freddie Mac that theybelieve OFHEO should consider.




Armando Falcon, Jr.,Director, Office of Federal Housing EnterpriseOversight.[FR Doc. 00–27812 Filed 10–27–00; 8:45 am]

BILLING CODE 4220–01–U


Bureau of Land Management; Alaska

[AK–962–1410–HY–P, F–14909–A, F–14909–A2, F–19148–38]

Alaska Native Claims Selection; Noticefor Publication

In accordance with Departmentalregulation 43 CFR 2650.7(d), notice ishereby given that a decision to issueconveyance under the provisions of Sec.14(a) of the Alaska Native ClaimsSettlement Act of December 18, 1971, 43U.S.C. 1613(a), will be issued toKuukpik, Corporation for approximately15,987 acres. The correspondingsubsurface estate will be conveyed toArctic Slope Regional Corporationpursuant to Sec. 1431(o) of the AlaskaNational Interest Lands ConservationAct of December 2, 1980, Pub. L. 96–487, 94 Stat. 2533. The lands involvedare in the vicinity of Nuiqsut, Alaska,within the following townships:

Umiat Meridian, Alaska

T. 11 N., R. 3 E.T. 10 N., R. 4 E.T. 11 N., R. 4 E.

A notice of this decision will bepublished once a week, for four (4)consecutive weeks, in the ArcticSounder. Copies of the decision may beobtained by contacting the Alaska StateOffice of the Bureau of LandManagement, 222 West SeventhAvenue, #13, Anchorage, Alaska 99513–7599 ((907) 271–5960).

Any party claiming a property interestwhich is adversely affected by thedecision, an agency of the Federalgovernment, or regional corporation,shall have until November 29, 2000 tofile an appeal. However, partiesreceiving service by certified mail shallhave 30 days from the date of receipt tofile an appeal. Appeals must be filed inthe Bureau of Land Management at theaddress identified above, where therequirements for filing an appeal may beobtained. Parties who do not file anappeal in accordance with therequirements of 43 CFR part 4, Subpart

E, shall be deemed to have waived theirrights.

Nancy Larsen,Land Law Examiner, Branch of ANCSAAdjudication.[FR Doc. 00–27730 Filed 10–27–00; 8:45 am]BILLING CODE 4310–JA–P


Bureau of Land Management

[CO–01–600–1310–241A]

Northwest Colorado ResourceAdvisory Council Meeting

AGENCY: Bureau of Land Management,Interior.ACTION: Notice of Meeting.

SUMMARY: The next meeting of theNorthwest Colorado Resource AdvisoryCouncil will be held on Thursday,November 16, 2000, at the Holiday Inn,Moffat Room in Craig, Colorado.DATES: Thursday, November 16, 2000.ADDRESSES: For further information,contact Lynn Barclay, Bureau of LandManagement (BLM), 455 EmersonStreet, Craig, Colorado 81625;Telephone (970) 826–5096.SUPPLEMENTARY INFORMATION: TheNorthwest Resource Advisory Council(RAC) will meet on Thursday,November 16, 2000, at the Holiday Innin the Moffat Room, Highway 13, Craig,Colorado. The meeting will start at 9a.m. and includes discussion of reportsfrom the Weed, Wildlife, Fire, andUnited States Forest Service Advisorycommittees. Information will bepresented concerning joint training forthe Colorado RAC’s and theCommunication Policy committee willpresent their proposal.

The meeting is open to the public.Interested persons may make oralstatements at the meetings or submitwritten statements at the meeting. Per-person time limits for oral statementsmay be set to allow all interestedpersons an opportunity to speak.

Summary minutes of councilmeetings are maintained at the Bureauof Land Management Offices in Craigand Grand Junction, Colorado. They areavailable for public inspection andreproduction during regular businesshours within thirty (30) days followingthe meeting.

Dated: October 24, 2000.Richard Arcand,Acting Center Manager, Northwest Center.[FR Doc. 00–27754 Filed 10–27–00; 8:45 am]BILLING CODE 4310–JB–P


Bureau of Land Management

[NM–070–01–1430–EU; NMNM102991,NMNM102992]

A Plan Amendment/EnvironmentalAssessment To Resolve TwoOccupancy Trespasses in San JuanCounty, NM

AGENCY: Bureau of Land Management,Interior.ACTION: Notice of Intent to Prepare aProposed Resource Plan Amendment.

SUMMARY: Notice is hereby given thatthe Bureau of Land Management (BLM),Farmington Field Office (FFO) isproposing an amendment to theFarmington Resource Management Plan(RMP) (July 1988). The amendmentwould amend the plan to allow disposalof public land in FFO’s retention zone.This would then make public landavailable to resolve two occupancytrespasses by direct sale of the tracts ofpublic land to the unauthorized userspursuant to Section 203 of the FederalLand Policy and Management Act of1976 (43 U.S.C. 1713), as amended. Thetrespasses are located on the followingpublic lands:

New Mexico Principal MeridianT. 29 N., R. 11 W.

Sec. 3, lot 6 (portion ofN1⁄2NW1⁄4NW1⁄4SW1⁄4NE1⁄4)

Containing 0.59 acres, more or less.T. 31 N., R. 11 W.

Sec. 34, SE1⁄4 SE1⁄4 SE1⁄4 SW1⁄4 NW1⁄4Containing 0.625 acres, more or less.

DATES: Written scoping comments mustbe submitted on or before November 30,2000.ADDRESSES: Comments should beaddressed to the Field Manager, Bureauof Land Management, Farmington FieldOffice, 1235 La Plata Highway, Suite A,Farmington, NM 87401.FOR FURTHER INFORMATION CONTACT:Jerrold E. Crockford at the address aboveor at (505) 599–6333.SUPPLEMENTARY INFORMATION:Description of Proposed PlanningAction: The RMP provides for threeland ownership adjustment zones—acquisition, rentention, and exchange.Of these three zones, sale of public landis not authorized within the acquisitionzone. Sales are limited to specificallyidentified parcels (July 1988) within theretention zone, and authorized in theexchange zone. The proposedamendment would make two publiclands listed above available to sell bydirect sale to resolve two cases ofoccupancy trespass in BLM FFO’sretention zone.



The Type of Issue Anticipated:Resolution of the occupancy trespass isthe only issue to be addressed.

Criteria to Guide Development of thePlanning Action: The planning criteriawere identified to help guide theresolution of the issue. Public land willbe considered for disposal in thefollowing priority:

1. Public land which will resolveunintentional unauthorized occupancy.

2. Public land where size, location, orother physical characteristics makethem difficult or uneconomical for BLMto manage.

As new information becomesavailable during the planning process orthrough public participation, additionalcriteria may be developed for futureguidance of this planning effort.

The Disciplines to be Represented onthe Interdisciplinary Team: Theplanning amendment/environmentalassessment will be prepared by aninterdisciplinary team consisting of arealty specialist, environmentalcoordinator, wildlife biologist, geologist,archaeologist, and a rangelandmanagement specialist.

The Kind and Extent of PublicParticipation Activities to be Provided:A legal notice about the proposedplanning action will be placed in thelocal newspaper. This notice will besent to the Governor of New Mexico,San Juan County Commissioners,Resource Advisory Council, adjacentlandowners, potentially affectedmembers of the public. Depending onthe nature and degree of interestexpressed during the 30 days followingpublication of this notice, meetings maybe scheduled or additional commentsmay be solicited.

The Location and Availability ofDocuments Relevant to the PlanningProcess: Pertinent information isavailable at the BLM, Farmington FieldOffice, 1235 La Plata, Suite A,Farmington, NM 87401.

Dated: October 24, 2000.M.J. Chavez,State Director.[FR Doc. 00–27729 Filed 10–27–00; 8:45 am]BILLING CODE 4310–FB–M


National Park Service

Subsistence Resource Commission;Meeting

AGENCY: National Park Service, Interior.ACTION: Announcement of SubsistenceResource Commission meeting.

SUMMARY: The Superintendent ofWrangell-St. Elias National Park andPreserve and the Chairperson of theSubsistence Resource Commission forWrangell-St. Elias National Parkannounce a forthcoming meeting of theWrangell-St. Elias National ParkSubsistence Resource Commission. Thefollowing agenda items will bediscussed:

(1) Call to Order (Chairman).(2) Roll Call: Confirmation of

Quorum.(3) Introduction of Commission

members, staff, and guests.(4) Review Agenda.(5) Review and approval of minutes

from February 22–23, 2000 meeting.(6) Superintendent’s welcome and

review of the Commission purpose.(7) Commission membership status.(8) Public and other agency

comments.(9) Report on October 2000 SRC

Chairs Workshop.(10) Superintendent’s report.(11) Wrangell-St. Elias National Park

and Preserve staff reports.a. Wildlife Reportb. Fisheries Reportc. Park planningd. Subsistence staffing12. Old Business.a. Possible restrictions of the harvest

of ewe sheep.b. Subsistence Hunting Program

Recommendation 97–01: establishminimum residency requirement forresident zone communities.

c. SRC Chairs Customary Tradeconcerns.

d. Status report on Hunting PlanRecommendation 96–1 and 96–2:migratory bird—fall, spring, andsummer harvest.

(13) New Business.a. Update on Federal Fish

Management and Resource monitoring.b. Review 2000–2001 Federal

Subsistence Board Fish Proposals forWRST.

Proposal FP01–14—Restrictsubsistence harvest of fish to CopperRiver estuary.

Proposal FP01–15—Establish C&T inthe Chitina Subdistrict for the villages ofChitina, Cantwell, Chistochina, CopperCenter, Gakona, Gulkana, Mentasta.

Proposal FP01–16—Remove allseasonal restrictions to Federallyqualified rural residents in theGlennallen Subdistrict.

Proposal FP01–17—Revise Federalregulations to implement the courtdirectives allowing for a fishery onTanada Creek. Requests five changes tothe current Federal subsistence fisheryregulations for the Batzulnetassubsistence fishery.

Proposal FP01–19 and 20—ReviseC&T for the Upper Copper River.

c. Review 2001–2002 FederalSubsistence Board Wildlife proposals

d. Review FSB response to GeorgeMidvag letter—re: Slana C&T.

e. Governor’s appointment(14) Public and other agency

comments.(15) Subsistence Resource

Commission work session to developproposals/finalize recommendations.

(16) Set time and place of nextSubsistence Resource Commissionmeeting.

(17) Adjourn meeting.

DATES: The meeting will begin at 9 a.m.on Friday, November 3, 2000, andconclude at approximately 5 p.m. Themeeting will reconvene at 9 a.m. onSaturday, November 4, 2000, andadjourn at approximately 5 p.m. Themeeting will adjourn earlier if theagenda items are completed.

ADDRESSES: The meeting location is:Yakutat Ranger Station, Yakutat, Alaska.

FOR FURTHER INFORMATION CONTACT: DeviSharp, Resource Management Specialist,Wrangell-St. Elias National Park andPreserve, P.O. Box 439, Copper Center,Alaska 99573. Phone (907) 822–5234.

SUPPLEMENTARY INFORMATION: TheSubsistence Resource Commission isauthorized under Title VIII, Section 808,of the Alaska National Interest LandsConservation Act, Pub. L. 96–487, andoperates in accordance with theprovisions of the Federal AdvisoryCommittees Act.

Robert L. Arnberger,Regional Director.[FR Doc. 00–27785 Filed 10–27–00; 8:45 am]BILLING CODE 4310–70–P


National Park Service

National Register of Historic Places;Notification of Pending Nominations

Nominations for the followingproperties being considered for listingin the National Register were receivedby the National Park Service beforeOctober 21, 2000. Pursuant to section60.13 of 36 CFR part 60 writtencomments concerning the significanceof these properties under the NationalRegister criteria for evaluation may beforwarded to the National Register,National Park Service, 1849 C St. NW,NC400, Washington, DC 20240. Written



comments should be submitted byNovember 14, 2000.

Carol D. Shull,Keeper of the National Register.

ARIZONA

Pima CountyEl Montevideo Neighborhood Residential

Historic District (Boundary Increase), 3700,3800 Blocks of Camino Del Norte, Tucson,00001362

Sam Hughes Neighborhood Historic District(Boundary Increase), Roughly bounded byE. Speedway Blvd., N. Country Club Rd.,E. Broadway Blvd., and N. Campbell Ave.,Tucson, 00001363

ARKANSAS

Fulton CountySaddle Store, AR 289, Saddle, 00001366

Pulaski CountyTaylor, Samuel P., Service Station, (Arkansas

Highway History and Architecture MPS)1123 W. 3rd St., Little Rock, 00001364

Searcy CountyMeek Building, Jct. of Main and Oak Sts.,

Leslie, 00001367Willmering Tourist Cabins Historic District,

(Arkansas Highway History andArchitecture MPS) AR 65, Silver Hill,00001361

Washington CountyBethlehem Cemetery, Approx. 4 mi. SW of

Cane Hill on AR 45, near jct. with Cty. Rd442, Canehill, 00001365

COLORADO

Alamosa County

Denver and Rio Crande Locomotive No. 169,Along Chamber Dr. within Cole Park,Alamosa, 00001369

El Paso County

Pauline Chapel, 2 Park Ave., ColoradoSprings, 00001370

HAWAII

Honolulu County

Charlot, Jean, House, Address Restricted,Honolulu, 00001371

MINNESOTA

Goodhue County

Nansen Agricultural Historic District, Vic. ofMN 56 and Cty Hwys 14 and 49, Holden,00001372

MISSOURI

Cole County

Zion Lutheran Church, 2346 Zion Rd.,Jefferson, 00001374

Greene County

Holland Building, (Springfield MPS) 205Park Central East, Springfield, 00001373

Jackson County

St. Teresa’s Academy Music and ArtsBuilding, 5600 Main St., Kansas City,00001375

NEBRASKA

Butler CountyDavid City Park and Municipal Auditorium,

S side of down, bordering NE 15, DavidCity, 00001378

Douglas CountyField Club Historic District, Roughly

bounded by Pacific, 32nd Ave., Center St.,and 36th St., Omaha, 00001380

Otoe CountyMcCartney School District 17, (School

Buildings in Nebraska MPS) Jct. ofSteamwagon Rd. and CTH 59, NebraskaCity, 00001379

Sarpy CountyZweibel Farmstead, 16302 S 63rd St.,

Papillion, 00001377

Saunders CountyAshland Archeological District, Address

Restricted, Ashland, 00001376

NEW YORK

Otsego CountyWilber, George I., House, 11 Ford Ave.,

Oneonta, 00001381

PENNSYLVANIA

York CountyBerkheimer, Henry and Elizabeth, Farm, 240

Bentz Mill Rd., Washington Township,00001382

PUERTO RICO

Guanica MunicipalityYauco Battle Site, (Spanish-American War in

Puerto Rico MPS) Address Restricted,Guanica, 00001383

TEXAS

Burnet CountyBurnet County Courthouse, 220 S. Pierce St.,

Burnet, 00001384

TEXAS

Smith CountyMarvin Methodist Episcopal Church, South,

300 W. Erwin St., Tyler, 00001385

[FR Doc. 00–27784 Filed 10–27–00; 8:45 am]BILLING CODE 4310–70–P

DEPARTMENT OF JUSTICE

Immigration and Naturalization Service

Agency Information CollectionActivities: Comment Request

ACTION: Notice of InformationCollection Under Review;Nonimmigrant Checkout Letter.

The Department of Justice,Immigration and Naturalization Servicehas submitted the following informationcollection request for review andclearance in accordance with thePaperwork Reduction Act of 1995. The

proposed information collection ispublished to obtain comments from thepublic and affected agencies. Commentsare encouraged and will be accepted for‘‘sixty days’’ until December 29, 2000.

Written comments and suggestionsfrom the public and affected agenciesconcerning the proposed collection ofinformation should address one or moreof the following four points:

(1) Evaluate whether the proposedcollection of information is necessaryfor the proper performance of thefunctions of the agency, includingwhether the information will havepractical utility;

(2) Evaluate the accuracy of theagencies estimate of the burden of theproposed collection of information,including the validity of themethodology and assumptions used;

(3) Enhance the quality, utility, andclarity of the information to becollected; and

(4) Minimize the burden of thecollection of information on those whoare to respond, including through theuse of appropriate automated,electronic, mechanical, or othertechnological collection techniques orother forms of information technology,e.g., permitting electronic submission ofresponses.

Overview of this informationcollection:

(1) Type of Information Collection:Extension of currently approvedcollection.

(2) Title of the Form/Collection:Nonimmigrant Checkout Letter.

(3) Agency form number, if any, andthe applicable component of theDepartment of Justice sponsoring thecollection; Form G–146. Detention andDeportation Division, Immigration andNaturalization Service.

(4) Affected public who will be askedor required to respond, as well as a briefabstract: Primary: Individuals andHouseholds. This form is used inmaking inquiries of persons in theUnited States or abroad concerning thewhereabouts of aliens, and to requestdeparture information by the INS wheninitial investigation to locate the alien orverify his or her departure isunsuccessful.

(5) An estimate of the total number ofrespondents and the amount of timeestimated for an average respondent torespond: 20,000 responses at 10 minutes(.166) per response.

(6) An estimate of the total publicburden (in hours) associated with thecollection: 3,320 annual burden hours.

If you have additional comments,suggestions, or need a copy of theproposed information collectioninstrument with instructions, or



additional information, please contactRichard A. Sloan 202–514–3291,Director, Policy Directives andInstructions Branch, Immigration andNaturalization Service, U.S. Departmentof Justice, Room 4034, 425 I Street, NW.,Washington, DC 20536. Additionally,comments and/or suggestions regardingthe item(s) contained in this notice,especially regarding the estimatedpublic burden and associated responsetime may also be directed to Mr.Richard A. Sloan.

If additional information is requiredcontact: Mr. Robert B. Briggs, ClearanceOfficer, United States Department ofJustice, Information Management andSecurity Staff, Justice ManagementDivision, National Place Building, 1331Pennsylvania Avenue, NW., Suite 1220,Washington, DC 20530.

Dated: October 24, 2000.Richard A. Sloan,Department Clearance Officer, United StatesDepartment of Justice, Immigration andNaturalization Service.[FR Doc. 00–27712 Filed 10–27–00; 8:45 am]BILLING CODE 4410–10–M

NATIONAL LABOR RELATIONSBOARD

Realignment of Regional OfficeGeographic Boundaries

October 25, 2000.AGENCY: National Labor RelationsBoard.ACTION: Notice of geographicalrealignment of Philadelphia (Region 4),Pittsburgh (Region 6) and Baltimore(Region 5) Regional Offices.

SUMMARY: The National Labor RelationsBoard gives notice of its intent to realignthe geographic boundaries of itsPhiladelphia, Pittsburgh and BaltimoreRegional Offices. This realignment isbeing effectuated in order to meet theobjective of reducing the backlog ofunfair labor practice and representationcases, reducing governmental costs andimproving administrative efficiencywithin the Agency. This constitutes apermanent realignment of counties thathave already been the subject oftemporary geographic realignment forperiods of time ranging from one year toseveral years.EFFECTIVE DATE: December 1, 2000.FOR FURTHER INFORMATION CONTACT: JohnT. Toner, Executive Secretary, 1099 14thStreet, NW., Room 1600, Washington,DC 20570. Telephone: (202) 273–1944.SUPPLEMENTARY INFORMATION: BeginningDecember 1, 2000, parties wishing tofile unfair labor practice charges and

representation petitions arising in 15counties formerly within the geographicjurisdiction of the Philadelphia officewill file in either the Pittsburgh or theBaltimore office according to thefollowing design.

1. Cases originating in New CastleCounty, Delaware will be filed in theBaltimore office in Region 5 rather thanin the Philadelphia office in Region 4.Cases originating in these counties havebeen handled by the Baltimore RegionalOffice on a temporary basis for a periodof approximately one year.

2. Cases arising in the counties ofLycoming, Sullivan, Union, Montour,Snyder, Juniata, Dauphin,Northumberland, Lebanon, Schuylkill,Columbia and Perry will be filed in ourPittsburgh office in Region 6 rather thanin our Philadelphia office in Region 4.Cases originating in these counties havebeen handled on a temporary basis forperiods ranging from one to three years.

3. Cases originating in Bradford andTioga Counties will be filed with ourPittsburgh office in Region 6 rather thanwith our Philadelphia office in Region4. Cases originating in these countieshave been handled on a temporary basisfor a period of three years by ourAlbany, New York office in Region 3.

Dated: Washington, DC, October 25, 2000.By Direction of the Board: National Labor

Relations Board.John T. Toner,Executive Secretary.[FR Doc. 00–27747 Filed 10–27–00; 8:45 am]BILLING CODE 7545–01–M

NUCLEAR REGULATORYCOMMISSION

[Docket Nos. 50–250 and 50–251]

In the Matter of Florida Power andLight Company (Turkey Point Plant,Units 3 and 4); Exemption

IFlorida Power and Light Company

(FPL, the licensee) is the holder ofFacility Operating License Nos. DPR–31and DPR–41 that authorize operation ofthe Turkey Point Plant, Units 3 and 4,respectively. The licenses provide,among other things, that the facilitiesare subject to all rules, regulations, andorders of the U.S. Nuclear RegulatoryCommission (the Commission/NRC)now or hereafter in effect.

The facilities consist of pressurizedwater reactors located in Dade County,Florida.

IITitle 10 of the Code of Federal

Regulations (10 CFR) Part 50, Appendix

G requires that pressure-temperature (P/T) limits be established for reactorpressure vessels (RPVs) during normaloperating and hydrostatic pressure orleak testing conditions. Specifically, 10CFR Part 50, Appendix G states that‘‘The appropriate requirements on boththe pressure-temperature limits and theminimum permissible temperature mustbe met for all conditions.’’ Appendix Gof 10 CFR Part 50 specifies that therequirements for these limits are theAmerican Society of MechanicalEngineers (ASME) Code, Section XI,Appendix G Limits.

To address the provisions of proposedlicense amendments to the technicalspecification (TS) P/T limits, lowtemperature overpressure protection(LTOP) system setpoints and LTOPsystem effective temperature (Tenable),the licensee requested in its submittaldated July 7, 2000, as supplementedOctober 4, 2000, that the staff exemptTurkey Point Units 3 and 4 fromapplication of specific requirements of10 CFR Part 50, Section 50.60(a) andAppendix G, and substitute use ofASME Code Cases N–588 and N–641.Code Case N–588 permits the use ofcircumferentially-oriented flaws incircumferential welds for developmentof P/T limits. Code Case N–641 permitsthe use of an alternate reference fracturetoughness (KIC fracture toughness curveinstead of KIa fracture toughness curve)for reactor vessel materials indetermining the P/T limits, LTOPsetpoints and Tenable. Since the KIC

fracture toughness curve shown inASME Section XI, Appendix A, FigureA–2200–1, provides greater allowablefracture toughness than thecorresponding KIa fracture toughnesscurve of ASME Section XI, Appendix G,Figure G–2210–1 (the KIa fracturetoughness curve), using Code Case N–641 for establishing the P/T limits,LTOP setpoints and Tenable would be lessconservative than the methodologycurrently endorsed by 10 CFR Part 50,Appendix G and, therefore, anexemption to apply the Code Casewould be required by 10 CFR 50.60. Itshould be noted that although the use ofthe KIC fracture toughness curve in CodeCase N–641 was recently incorporatedinto the Appendix G to Section XI of theASME Code, an exemption is stillneeded because the proposed P/T limits,LTOP setpoints and Tenable (excludingCode Case N–641) are based on the 1996edition (and 1997 addenda) of theASME Code. The licensee uses theWestinghouse version of LTOP which iscalled Cold Overpressure MitigationSystem.

The proposed license amendmentswill revise both the P/T limits of TS 3/



4.4.9.1 related to the heatup andcooldown of the reactor coolant system(RCS), and the LTOP setpoints andTenable of TS 3/4.4.9.3, for operation to32 effective full power years (EFPY).

Code Case N–588The licensee has proposed an

exemption to allow use of ASME CodeCase N–588 in conjunction with ASMESection XI, 10 CFR 50.60(a) and 10 CFRPart 50, Appendix G, to determine P/Tlimits for Turkey Point Units 3 and 4.

The proposed license amendments torevise the P/T limits for Turkey PointUnits 3 and 4 rely, in part, on therequested exemption. These revised P/Tlimits have been developed usingpostulated flaws in the circumferentialorientation for the circumferential weldsin the Turkey Point RPVs, in lieu ofpostulating axial flaws in thecircumferential welds.

The use of circumferential flaws incircumferential welds is moreappropriate than the use of axial flawsin circumferential welds. Since theflaws postulated in the development ofP/T limits have a through-wall depth ofone-quarter of the vessel wall thickness(1.94 inches for the Turkey Point RPVs),the length of the postulated flaw, sixtimes the depth, is more than 11 inches.For the circumferential welds in theTurkey Point RPVs, an axial flaw of thislength centered at the weld would placethe tips of the postulated flaw withinthe adjacent base metal above and belowthe weld. Therefore, the only way tomaintain a flaw within thecircumferential weld metal is topostulate a circumferential flaw withinthe weld, as accomplished using CodeCase N–588. Note that for the basemetals adjacent to the circumferentialwelds, axial flaws are, and continue tobe, postulated for the development of P/T limits.

Code Case N–641The licensee has proposed an

exemption to allow use of ASME CodeCase N–641 in conjunction with ASMESection XI, 10 CFR 50.60(a) and 10 CFRPart 50, Appendix G, to determineLTOP system effective temperature,Tenable.

The proposed license amendments torevise Tenable for Turkey Point Units 3and 4 rely, in part, on the requestedexemption. The revised Tenable has beendeveloped using the KIc fracturetoughness curve, in lieu of the KIa

fracture toughness curve, as the lowerbound for fracture toughness of thereactor pressure vessel materials.

Use of the KIc curve in determiningthe lower bound fracture toughness ofRPV steels is more technically correct

than use of the KIa curve since the rateof loading during a heatup or cooldownis slow and is more representative of astatic condition than a dynamiccondition. The KIc curve appropriatelyimplements the use of static initiationfracture toughness behavior to evaluatethe controlled heatup and cooldownprocess of a reactor vessel. The staff hasrequired use of the conservatism of theKIa curve since 1974, when the curvewas adopted by the ASME Code. Thisconservatism was initially necessarydue to the limited knowledge of thefracture toughness of RPV materials atthat time. Since 1974, additionalknowledge has been gained about RPVmaterials which demonstrates that thelower bound on fracture toughnessprovided by the KIa curve greatlyexceeds the margin of safety required toprotect the public health and safetyfrom potential RPV failure. In addition,P/T curves, LTOP setpoints and Tenable

based on the KIc curve will enhanceoverall plant safety by opening the P/Toperating window, with the greatestsafety benefit in the region of low-temperature operations.

Since an unnecessarily reduced P/Toperating window can reduce operatorflexibility without just basis,implementation of the proposed P/Tcurves, LTOP setpoints and Tenable asallowed by ASME Code Cases N–588and N–641 may result in enhancedsafety during critical plant operationalperiods, specifically heatup andcooldown conditions. Thus, pursuant to10 CFR 50.12(a)(2)(ii), the underlyingpurpose of 10 CFR 50.60 and AppendixG to 10 CFR Part 50 will continue to beserved.

In summary, the ASME Section XI,Appendix G, procedure wasconservatively developed based on thelevel of knowledge existing in 1974concerning RPV materials and theestimated effects of operation. Since1974, the level of knowledge about thesetopics has been greatly expanded. TheNRC staff has determined that thisincreased knowledge permits relaxationof the ASME Section XI, Appendix Grequirements by application of ASMECode Cases N–588 and N–641, whilemaintaining, pursuant to 10 CFR50.12(a)(2)(ii), the underlying purposeof the NRC regulations to ensure anacceptable margin of safety.

IIIPursuant to 10 CFR 50.12, the

Commission may, upon application byany interested person or upon its owninitiative, grant exemptions from therequirements of 10 CFR Part 50, when(1) the exemptions are authorized bylaw, will not present an undue risk to

public health or safety, and areconsistent with the common defenseand security; and (2) when specialcircumstances are present.

The staff has determined that anexemption would be required toapprove the use of Code Cases N–588and N–641. The staff examined thelicensee’s rationale to support theexemption request and concurred thatthe use of the Code cases would meetthe underlying purpose of theseregulations. Based upon a considerationof the conservatism that is explicitlyincorporated into the methodologies of10 CFR Part 50, Appendix G, AppendixG of the Code, and Regulatory Guide1.99, Revision 2, the staff concludes thatapplication of the Code cases asdescribed would provide an adequatemargin of safety against brittle failure ofthe RPV. This conclusion is alsoconsistent with the determinations thatthe staff has reached for other licenseesunder similar conditions based on thesame considerations. Therefore, the staffconcludes that requesting exemptionunder the special circumstances of 10CFR 50.12(a)(2)(ii) is appropriate andthat the methodologies of Code CasesN–588 and N–641 may be used to revisethe P/T limits, LTOP setpoints andTenable for Turkey Point Units 3 and 4.

IV

Accordingly, the Commission hasdetermined that, pursuant to 10 CFR50.12(a), the exemption is authorized bylaw, will not endanger life or propertyor common defense and security, and is,otherwise, in the public interest.Therefore, the Commission herebygrants Florida Power and LightCompany exemption from therequirements of 10 CFR Part 50, Section50.60(a) and 10 CFR Part 50, AppendixG, for Turkey Point Units 3 and 4.

Pursuant to 10 CFR 51.32, theCommission has determined that thegranting of this exemption will notresult in any significant effect on thequality of the human environment (65FR 63265).

This exemption is effective uponissuance.

Dated at Rockville, Maryland, this 24th dayof October 2000.

For the Nuclear Regulatory Commission.

John A. Zwolinski,Director, Division of Licensing ProjectManagement, Office of Nuclear ReactorRegulation.[FR Doc. 00–27807 Filed 10–27–00; 8:45 am]




NUCLEAR REGULATORYCOMMISSION

[Docket No. 50–391]

In the Matter of Tennessee ValleyAuthority (Watts Bar Nuclear Plant,Unit 2); Order

Tennessee Valley Authority (TVA, thepermittee) is the current holder ofConstruction Permit No. CPPR–92,issued by the Atomic EnergyCommission on January 23, 1973, forconstruction of the Watts Bar NuclearPlant (WBN), Unit 2. (CPPR–91 forconstruction of WBN Unit 1 was alsoissued on January 23, 1973, and FacilityOperating License NPF–90 was issuedfor operation of Unit 1 on February 7,1996.) Unit 2 is currently partiallycompleted and is being maintained in aconstruction layup status. Thesefacilities are at the permittee’s site onthe west branch of the Tennessee Riverapproximately 50 miles northeast ofChattanooga, Tennessee.

On October 13, 1999, the TennesseeValley Authority filed a requestpursuant to 10 CFR 50.55(b) for anextension of the completion date forUnit 2 to December 31, 2010. Thisrequest was supplemented by letterdated July 14, 2000. The permitteerequested this extension for Unit 2 forthe following reasons, as stated in itsapplication:

At this time, WBN Unit 2 is beingmaintained in a construction layup status.TVA plans to maintain the unit in this statuspending the determination of new generation(supply-side) options to meet future electricpower demands. TVA’s integrated resourceplan—Energy Vision 2020—identified theneed for a flexible range of options andalternatives required to meet, among otherthings, the Tennessee Valley region’s newbase-load power supply needs through theyear 2020. Recent record breaking energydemand in the Tennessee Valley reinforcedTVA’s obligation to provide ample safe,economic, reliable, and environmentallyresponsible sources of electric power.Fulfilling this responsibility in light of themany uncertainties associated with the futureelectric utility industry makes it imperativethat TVA maintain a robust and flexiblerange of generating options. The extension ofWBN Unit 2’s construction permit will helpTVA maintain a full scope of competitiveenergy production choices.

In support of this request, thepermittee stated that

[WBN Unit 2 meets] * * * NRC’sdefinition for deferred nuclear plant units asdescribed in Generic Letter (GL) 87–15,‘‘Policy Statement on Deferred Plants.’’Consideration of these units in a deferredstatus does not constitute a reduction incommitment in accordance with 10 CFR50.55(f)(3)(i).

The current quality assurance requirementsapplicable to the subject units, particularlythe maintenance, preservation, anddocumentation requirements, will continuein accordance with the Nuclear QualityAssurance Plan * * * (NQA Plan). Futurechanges to the NQA Plan may be submittedcommensurate with the site activities andexpected length of delay, in accordance with10 CFR 50.55(f)(3).

TVA has established maintenance and lay-up programs that are described andcontrolled in accordance with approvedplant procedures. No changes have beenmade to these programs as a result ofconsidering these units in accordance withGL 87–15. These programs have beeninspected periodically since their inception.NRC conducted the last inspection of * * *WBN Unit 2 in July 1999* * *, and nofindings or violations were identified.

Consistent with GL 87–15 * * * and 10CFR 2.109, ‘‘Effect of Timely RenewalApplication,’’ TVA is maintaining * * * [theWBN Unit 2] construction permit * * * . Atthis time, no projected date for theresumption of construction activities for* * * [WBN Unit 2] is available.

The NRC’s Policy Statement onDeferred Plants addresses extension ofconstruction permits for plants indeferred status and states that the staffwill consider such extensions inaccordance with 10 CFR 50.55(b).Section 50.55(b) does not specify anylimit on the duration of an extensionthat the staff may grant, but states that‘‘Upon good cause shown theCommission will extend the completiondate for a reasonable period of time.’’The staff has concluded that thepermitee’s stated bases for the requestedduration of the extension represent goodcause and are reasonable, and that thisaction involves no significant hazardsconsideration.

Pursuant to 10 CFR 51.32, theCommission has determined thatextending the construction completiondate will have no significant impact onthe environment.

The NRC staff has prepared anenvironmental assessment and findingof no significant impact which waspublished in the Federal Register onOctober 10, 2000.

For further details with respect to thisaction, see the application datedOctober 13, 1999, as supplemented byletter dated July 14, 2000, and the NRCstaff’s letter and Safety Evaluation of therequest for extension of the constructionpermit, dated October 24, 2000.Documents may be examined, and/orcopied for a fee, at the NRC’s PublicDocument Room, located at One WhiteFlint North, 11555 Rockville Pike (firstfloor), Rockville, Maryland, and areaccessible electronically through theADAMS public Electronic Reading

Room link at the NRC Web site (http://www.nrc.gov).

It Is Hereby Ordered That the latestcompletion date for Construction PermitNo. CPPR–92 is extended fromDecember 31, 1999, to December 31,2010.

Dated at Rockville, Maryland, this 24th dayof October 2000.

For the Nuclear Regulatory Commission.Brian W. Sheron,Acting Director, Office of Nuclear ReactorRegulation.[FR Doc. 00–27808 Filed 10–27–00; 8:45 am]BILLING CODE 7590–01–P

SECURITIES AND EXCHANGECOMMISSION

Proposed Collection; CommentRequest

Upon Written Request; Copies AvailableFrom: Securities and ExchangeCommission, Office of Filings andInformation Services, Washington, DC20549.

Extension:Rule 12g3–2, OMB Control No. 3235–0119,

SEC File No. 270–104;Rule 7a–15 thru 7a–37, OMB Control No.

3235–0132, SEC File No. 270–115;Rule 13e–1, OMB Control No. 3235–0305,

SEC File No. 270–255.

Notice is hereby given that, pursuantto the Paperwork Reduction Act of 1995(44 U.S.C. 3501 et seq.) the Securitiesand Exchange Commission(‘‘Commission’’) is soliciting commentson the collections of informationsummarized below. The Commissionplans to submit these existingcollections of information to the Officeof Management and Budget forextension and approval.

Rule 12g3–2 (OMB 3235–0119; SECFile No. 270–104) provides anexemption from Section 12(g) of theSecurities Exchange Act of 1934 forforeign private issuers. Rule 12g3–2 isdesigned to provide investors in foreignsecurities with information about suchsecurities and the foreign issuer. Itaffects approximately 1,800 foreignissuer respondents at an estimated oneburden hour per response for a totalannual burden of 1,800 hours. Allinformation required by Rule 12g3–2 isavailable to the public. All informationprovided under Rule 12g3–2 ismandatory.

Rules 7a–15 through 7a–37 (OMB3235–0132; SEC File No. 270–115) setsforth the general requirements relatingto applications, statements and reportsthat must be filed under the TrustIndenture Act of 1939 by issuers and



trustees qualifying indentures forofferings of debt securities. Rules 7a–15through 7a–37 are disclosure guidelinesand do not directly result in anycollection of information. Therespondents are persons and entitiessubject to Trust Indenture Actrequirements. No information collectionburdens are imposed directly by theserules so they are assigned only oneburden hour for administrativeconvenience.

Rule 13e–1 (OMB 3235–0305; SECFile No. 270–255) makes it unlawful foran issuer who has received notice thatit is the subject of a tender offer madeunder 14(d)(1) of the SecuritiesExchange Act of 1934 and that hascommenced under Rule 14d–2 topurchase any of its equity securitiesduring the tender offer unless it firstfiles a statement with the Commissioncontaining information required by therule. This rule is in keeping with thecommission’s statutory responsibility toprescribe rules and regulations that arenecessary for the protection of investors.Public companies are the respondents.An estimated 20 respondents file Rule13e–1 submissions annually at anestimated 13 hours per response for atotal annual burden of 260 hours. Allinformation provided is made availableto the public.

Written comments are invited on: (a)whether the proposed collection ofinformation is necessary for the properperformance of the functions of theagency, including whether theinformation will have practical utility;(b) the accuracy of the agency’s estimateof the burden of the collection ofinformation; (c) ways to enhance thequality, utility, and clarity of theinformation collected; and (d) ways tominimize the burden of the collection ofinformation on respondents, includingthrough the use of automated collectiontechniques or other forms of informationtechnology. Consideration will be givento comments and suggestions submittedin writing within 60 days of thispublication.

Please direct your written commentsto Michael E. Bartell, AssociateExecutive Director, Office ofInformation Technology, Securities andExchange Commission, 450 5th Street,NW., Washington, DC 20549.


Margaret H. McFarland,Deputy Secretary.[FR Doc. 00–27717 Filed 10–27–00; 8:45 am]


SECURITES AND EXCHANGECOMMISSION


Upon Written Request, Copies AvailableFrom: Securities and ExchangeCommission, Office of Filings andInformation Services, Washington, DC20549.

SEC Investor Complaint Forms, SEC File No.270–485, OMB Control No. 3235-new.

Notice is hereby given that, pursuantto the Paperwork Reduction Act of 1995(44 U.S.C. 3501 et seq.), the Securitiesand Exchange Commission (‘‘SEC’’) hassubmitted to the Office of Managementand Budget a request for approval ofthree proposed forms. The titles of theforms are SEC Investor Complaint Form(two versions) and SEC InvestorQuestion Form.

The SEC receives annually over150,000 letters, e-mails, faxes, andphone calls from investors who havecomplaints and questions on a widerange of investment-related issues. TheSEC proposes to place on its websitetwo online forms, and to make availablea hard-copy complaint form, to be usedby investors to submit complaints andquestions to the SEC through theInternet, by mail, or by fax. The SECwill use the information supplied on theforms to respond to general investorqueries, process investor complaints, orinitiate enforcement investigations inappropriate matters. The informationthat is captured automatically in theonline forms and through manual dataentry of the hard-copy form will allowthe SEC to employ automation to directa complaint or question to theappropriate division or office at the SEC(primarily the Division of Enforcementor the Office of Investor Education andAssistance) for review and processing,to maintain a record of the complaint orquestion, and to track the volume ofcomplaints and questions received.Investors are not required to use theonline or hard-copy Investor ComplaintForm or the Investor Question Form andmay continue to submit writtencomplaints and questions by letter (sentby mail or fax), e-mail messages, andtelephone calls. However, investors whocomplete the forms enable the SEC toprocess their complaints and questionsmore quickly and efficiently.

The respondents to the InvestorComplaint Forms and the InvestorQuestion Form will be investors whowant the SEC’s assistance with theircomplaints against entities that the SECregulates, who want to report companiesor individuals who may be violating thefederal securities laws, or who want to

ask questions or request informationabout the statutes and rules the SECadministers or about specific companiesthe SEC regulates.

Investors will use the InvestorComplaint Forms to send complaints tothe SEC about entities that are regulatedby the SEC, about issuers of securities,and about individuals and companieswhose activities may violate the federalsecurities laws. Investors who submitthe Investor Complaint Forms are askedto provide information on, among otherthings, their names, how they can becontacted, the names of the financialinstitutions, companies, or individualsthey are complaining about, the natureof their complaints, what documentscan be provided, and what legal actionsthey have taken. The online version asksfor general information about theinvestor’s complaint and then posesfollow-up questions based on previousanswers. Most questions on the InvestorComplaint Forms are asked in amultiple-choice style that allows theinvestor to provide an answer simply bychecking a box. Some questions requirethe investor to provide more detailedfull-text responses about the facts of hiscomplaint.

Investors will use the InvestorQuestion Form to ask general questionsabout the SEC’s programs, rules, andother matters that are not appropriatefor the Investor Complaint Form.

Investors who submit the InvestorQuestion Form are asked to providetheir names, how they can be contacted,and their questions.

The total reporting burden of usingthe Investor Complaint Forms orInvestor Question Form is estimated to23,750 hours. This was calculated bymultiplying the total number ofinvestors whom the SEC expects to usethe forms times how long it will take tocomplete each form (95,000 respondents× 15 minutes = 23,750 burden hours).

Use of the Investor Complaint andQuestion Forms is voluntary. The SECwill continue to accept questions andcomplaints submitted in letters (sent bymail or fax), e-mail messages, andtelephone calls. However, if an investorchooses to submit an InvestorComplaint Form or Investor QuestionForm through the Internet, the investormust respond to certain questions aboutthe nature of the complaint or the formwill not be accepted electronically.

Responses to the Investor Complaintor Investor Question Forms are subjectto the Freedom of Information Act(FOIA), which generally allows the SECto make information available to thepublic upon request. An investor whosubmits an Investor Complaint orInvestor Question Form may request



that his information not be released tothe public by writing a letter asking thatit remain confidential under one of theexemptions described in FOIA (see 5U.S.C. 552). The SEC determineswhether the investor’s claim of anexemption if valid when someonerequests the investor’s informationunder FOIA. The SEC often makes itfiles available to other governmentalagencies, particularly United StatesAttorneys and state prosecutors. Thereis a likelihood that information suppliedby investors will be made available tosuch agencies where appropriate.Whether or not the SEC makes its filesavailable to other governmental agenciesis, in general, all confidential matterbetween the SEC and such othergovernmental agencies. An agency maynot conduct or sponsor, and a person isnot required to respond to, a collectionof information unless it displays acurrently valid control number.

General comments regarding theabove information should be directed tothe following persons: (i) Desk Officerfor Securities and ExchangeCommission, Office of Information andRegulatory Affairs, Office ofManagement and Budget, Room 10102,New Executive Office Building,Washington, DC 20503; and (ii) MichaelE. Bartell, Associate Executive Director,Office of Information Technology,Securities and Exchange Commission,450 Fifth Street, NW., Washington, DC20549. Comments must be submitted toOMB within 30 days of this notice.

Dated: October 20, 2000.Margaret H. McFarland,Deputy Secretary.[FR Doc. 00–27718 Filed 10–27–00; 8:45 am]BILLING CODE 8010–01–M


[Release No. IC–24696; File No. 812–12060]

The Wachovia Variable InsuranceFunds, et al.

October 25, 2000.AGENCY: Securities and ExchangeCommission (‘‘SEC’’ or ‘‘Commission’’).ACTION: Notice of application for anOrder under section 6(c) of theInvestment Company Act of 1940(‘‘Act’’) for exemption from theprovisions of sections 9(a), 13(a), 15(a),and 15(b) of the Act and Rules 6e–2(b)(15) and 6e–3(T)(b)(15) thereunder.

Applicants: The Wachovia VariableInsurance Funds (‘‘Trust’’) andWachovia Bank, N.A., on behalf ofWachovia Asset Management

(‘‘Wachovia’’), a business unit ofWachovia Bank, N.A.

Summary of Application: Applicantsseek an order to permit shares of theTrust and shares of any otherinvestment company or series thereofthat is designed to fund insuranceproducts and for which Wachovia, orany of its affiliates, may serve in thefuture as investment adviser,administrator, manager, principalunderwriter or sponsor (‘‘FutureTrusts’’, together with Trust, ‘‘Trusts’’)to be sold to and held by (a) variableannuity and variable life insuranceseparate accounts of both affiliated andunaffiliated life insurance companies,(b) qualified pension and retirementplans outside of the separate accountcontext, and (c) separate accounts thatare not registered under the Actpursuant to exemptions fromregistration under Section 3(c) of theAct.

Filing Date: The application was filedon April 6, 2000, and amended andrestated on September 14, 2000.

Hearing or Notification of Hearing: Anorder granting the application will beissued unless the Commission orders ahearing. Interested persons may requesta hearing by writing to the Secretary ofthe Commission and serving Applicantswith a copy of the request, personally orby mail. Hearing requests should bereceived by the Commission by 5:30p.m. on November 14, 2000, and shouldbe accompanied by proof of service onApplicants in the form of an affidavit or,for lawyers, a certificate of service.Hearing requests should state the natureof the requester’s interest, the reason forthe request, and the issues contested.Persons who wish to be notified of ahearing may request notification bywriting to the Secretary of theCommission.

FOR FURTHER INFORMATION CONTACT:Mark Cowan, Senior Counsel, or KeithCarpenter, Branch Chief, Office ofInsurance Products, Division ofInvestment Management, at (202) 942–0670.

ADDRESSES: Secretary, Securities andExchange Commission, 450 Fifth Street,NW., Washington, DC 20549–0609.Applicants, R. Edward Bowling,Wachovia Bank, N.A., 100 North MainStreet, Winston-Salem, NC 27101.

SUPPLEMENTARY INFORMATION: Thefollowing is a summary of theapplication. The complete application isavailable for a fee from the PublicReference Branch of the Commission,450 Fifth Street, NW., Washington, DC20549 (tel. (202) 942–8090).

Applicants’ Representations

1. The Trust is a Massachusettsbusiness trust and is registered underthe Act as an open-end managementinvestment company. The Trustcurrently consists of three separatelymanaged series (‘‘Funds’’). Additionalseries could be added to the Trust in thefuture. Each Fund has its owninvestment objective and policies.

2. Wachovia, a business unit ofWachovia Bank, N.A., is the investmentadviser for the Trust. As a ‘‘bank’’within the meaning of section202(a)(2)(A) of the Investment AdvisersAct of 1940 (‘‘Advisers Act’’), WachoviaBank, N.A. is excluded from thedefinition of an investment adviser insection 202(a)(11) of the Advisers Actand, accordingly, is exempt from theregistration requirements of section 203of the Act.

3. Upon the granting of the exemptiverelief requested by this application, theTrust intends to offer its sharesrepresenting interests in each Fund, andany other series established by the Trust(‘‘Future Funds’’) (Funds, together withFuture Funds, ‘‘Funds’’ or each a‘‘Fund’’) to separate accounts of bothaffiliated and unaffiliated insurancecompanies to serve as the investmentvehicle for variable annuity contractsand variable life insurance contracts(‘‘Variable Contracts’’). In addition,Applicants propose that the Trust offerand sell shares representing interests inthe Funds directly to qualified pensionand retirement plans (‘‘Qualified Plans’’or ‘‘Plans’’) outside of the separateaccount context. Separate accountsowning shares of the Funds and theirinsurance company depositors arereferred to herein as ‘‘ParticipatingSeparate Accounts’’ and ‘‘ParticipatingInsurance Companies,’’ respectively.

4. Participating Insurance Companieswill establish their own ParticipatingSeparate Accounts and design their ownVariable Contracts. Each ParticipatingInsurance Company will enter into aparticipation agreement with the Truston behalf of its Participating SeparateAccount, and will have the legalobligation of satisfying all applicablerequirements under state and federallaw. The role of the Trust, so far as thefederal securities laws are applicable,will be limited to that of offering itsshares to separate accounts of variousinsurance companies and fulfilling anyconditions the Commission may imposeupon granting the Order requestedherein.

5. The Plans will be pension orretirement plans intended to qualifyunder sections 401(a) and 501(c) of theInternal Revenue Code of 1986, as



amended (‘‘Code’’). Many of the Planswill include a cash or deferredarrangement (permitting salaryreduction contributions) intended toqualify under section 401(k) of theCode. The Plans will also be subject to,and will be designed to comply with,the provisions of the EmployeeRetirement Income Security Act of 1974(‘‘ERISA’’) applicable to either definedbenefit or to defined contribution profit-sharing plans, specifically ‘‘Title I—Protection of Employee Benefit Rights.’’The Plans therefore will be subject toregulatory provisions under the Codeand ERISA regarding, for example,reporting and disclosure, participationand vesting, funding, fiduciary,responsibility, and enforcement.

Applicants’ Legal Analysis1. Applicants request an order

pursuant to section 6(c) of the Actexempting them from sections 9(a),13(a), 15(a), and 15(b) of the Act, andRules 6e–2(b)(15) and 6e–3T(b)(15)thereunder, to the extent necessary topermit shares of the Trusts to be offeredand sold to, and held by: (a) Bothvariable annuity and variable lifeinsurance separate accounts of the samelife insurance company or of anyaffiliated life insurance company(‘‘mixed funding’’); (b) separateaccounts of unaffiliated life insurancecompanies (including both variableannuity separate accounts and variablelife insurance separate accounts )(‘‘shared funding’’); (c) trustees ofQualified Plans; and (d) separateaccounts that are not registered underthe Act pursuant to exemptions fromregistration under section 3(c) of theAct.

2. In connection with the funding ofscheduled premium variable lifeinsurance contracts issued through aseparate account registered under theAct as a unit investment trust (‘‘UIT’’),Rule 6e–2(b)(15) provides partialexemptions from the following sectionsof the Act: (a) section 9(a), which makesit unlawful for any company to serve asan investment adviser or principalunderwriter of any UIT, if an affiliatedperson of that company is subject to adisqualification enumerated in section9(a)(1) or (2); and (b), sections 13(a),15(a) and 15(b) of the Act to the extentthat those sections have been deemed bythe Commission to require ‘‘pass-through’’ voting with respect to anunderlying investment company’sshares. The exemptions granted to aseparate account by Rule 6e–2(b)(15) areavailable only where all of the assets ofthe separate account consist of theshares of one or more registeredmanagement investment companies

which offer their shares ‘‘exclusively tovariable life insurance separate accountsof the life insurer, or of any affiliatedlife insurance company.’’ Therefore, therelief granted by Rule 6e–2(b)(15) is notavailable with respect to a scheduledpremium variable life insuranceseparate account that owns shares of aninvestment company that also offers itsshares to a variable annuity separateaccount or a flexible premium variablelife insurance account of the samecompany or of any affiliated orunaffiliated insurance company. Inaddition, the relief granted by Rule 6e–2(b)(15) is not available if the scheduledpremium variable life insuranceseparate account owns shares of anunderlying investment company thatalso offers its shares to separateaccounts funding variable contracts ofone or more unaffiliated life insurancecompanies. Moreover, because the reliefunder Rule 6e–2(b)(15) is available onlywhere shares are offered exclusively toseparate accounts, additional exemptiverelief is necessary if the shares of theFunds are also to be sold to QualifiedPlans.

3. In connection with flexiblepremium variable life insurancecontracts issued through a separateaccount registered under the Act as aUIT, Rule 6e–3(T)(b)(15) providespartial exemptions from sections 9(a)and from 13(a), 15(a) and 15(b) of theAct to the extent that those sectionshave been deemed by the Commissionto require ‘‘pass-through’’ voting withrespect to an underlying investmentcompany’s shares. The exemptionsgranted to a separate account by Rule6e–3T(b)(15) are available only whereall of the assets of the separate accountconsist of the shares of one or moreregistered management investmentcompanies which offer their shares‘‘exclusively to separate accounts of thelife insurer, or of any affiliated lifeinsurance company, offering eitherscheduled contracts or flexiblecontracts, or both; or which also offertheir shares to variable annuity separateaccounts of the life insurer or of anaffiliated life insurance company.’’Therefore, Rule 6e–3(T) permits mixedfunding for flexible premium variablelife insurance separate accounts.

However, Rule 6e–3(T) does notpermit shared funding, because therelief granted by Rule 6e–3(T)(b)(15) isnot available with respect to a flexiblepremium variable life insuranceseparate account that owns shares of aninvestment company that also offers itsshares to separate accounts (includingflexible premium variable life insuranceseparate accounts) of unaffiliated lifeinsurance companies. Moreover,

because the relief under Rule 6e–3(T) isavailable only where shares are offeredexclusively to separate accounts,additional exemptive relief is necessaryif the shares of the Trust are also to besold to Qualified Plans.

4. Due to changes in the federal taxlaw subsequent to the adoption of Rules6e–2(b)(15) and 6e–3T(b)(15), the Trustis afforded an opportunity to increase itsasset base by selling shares to QualifiedPlans. Section 817(h) of the Codeimposes certain diversificationstandards on the assets underlyingVariable Contracts held in the Funds.The Code provides that VariableContracts will not be treated as annuitycontracts or life insurance contracts forany period (and any subsequent period)for which the investments are not, inaccordance with regulations issued bythe Treasury Department, adequatelydiversified. On March 2, 1989, theTreasury Department issued Regulations(Treas. Reg. § 1.817–5), whichestablished diversification requirementsfor the investment portfolios underlyingVariable Contracts. The Regulationsgenerally provide that, in order to meetthe diversification requirements, all ofthe beneficial interests in the underlyinginvestment company must be held bythe segregated asset accounts of one ormore insurance companies. However,the Regulations also contain certainexceptions to this requirement, one ofwhich allows trustees of a QualifiedPlan to hold shares of an investmentcompany without adversely affectingthe status of the investment company asan adequately diversified underlyinginvestment for Variable Contracts issuedthrough separate accounts of insurancecompanies. (Treas. Reg. § 1.817–5(f)(3)(iii).) As a result of this exceptionto the general diversificationrequirements, Qualified Plans mayselect the Trust as an investment optionwithout endangering the tax status ofVariable Contracts issued throughParticipating Insurance Companies.

5. Qualified Plans may choose theTrust (or any series thereof) as their soleinvestment or as one of severalinvestments. Plan participants may ormay not be given an investment choicedepending on the Plan itself. Shares ofthe Funds sold to such Qualified Planswould be held by the trustee(s) of thePlans as mandated by section 403(a) ofERISA. As described elsewhere herein,there will be no pass-through voting tothe participants in such Qualified Plans,as it is not required to be provided tosuch participants pursuant to ERISA.

6. The promulgation of Rules 6e–2(b)(15) and 6e–3(T)(b)(15) preceded theissuance of the Treasury Regulationsthat made it possible for shares of an



investment company to be held bytrustees of a Qualified Plan withoutadversely affecting the ability ofseparate accounts of insurancecompanies to hold shares of the sameinvestment company in connection withtheir variable annuity and variable lifecontracts. Thus, the sale of shares of thesame investment company to bothseparate accounts and Qualified Planscould not have been envisioned at thetime of the adoption of Rules 6e–2(b)(15) and 6e–3(T)(b)(15).

7. Accordingly, an Order of theCommission is hereby requestedexempting flexible premium variablelife insurance separate accounts (and, tothe extent necessary, any investmentadviser or sub-adviser, principalunderwriter and depositor of such anaccount) from sections 9(a), 13(a), 15(a),and 15(b) of the Act, and Rule 6e–3(T)(b)(15) (and any comparablepermanent rule) thereunder, to theextent necessary to permit shares of theFunds to be offered and sold to variableannuity and variable life insuranceseparate accounts of both affiliated andunaffiliated life insurance companies, toQualified Plans, and to separateaccounts that are not registered underthe Act pursuant to exemptions fromregistration under section 3(c) of theAct.

8. Consistent with the Commission’sauthority under section 6(c) of the Actto grant exemptive orders to a class orclasses of persons and transactions, thisapplication requests relief for the classconsisting of insurers and separateaccounts investing in the Funds (and, tothe extent necessary, investmentadvisers, sub-advisers, principalunderwriters and depositors of suchaccounts). The Commission staff willhave an opportunity to reviewcompliance by the ParticipatingInsurance Companies with theconditions of the requested Order at thetime each Participating SeparateAccount files its registration statement.

9. Section 6(c) authorizes theCommission to exempt any person,security or transaction, or any class orclasses of persons, securities ortransactions from any provisions of theAct and the rules or regulationsthereunder if and to the extent that suchexemption is necessary or appropriatein the public interest and consistentwith the protection of investors and thepurposes fairly intended by the policyand provisions of the Act. Applicantsare not aware of any stated rationale forthe exclusion of separate accounts andinvestment companies, or series thereof,engaged in shared funding from theexemptive relief provided under Rules6e–2(b)(15) and 6e–3(T)(b)(15) or for the

exclusion of separate accounts andinvestment companies, or series thereof,engaged in mixed funding from theexemptive relief provided under Rule6e–2(b)(15). Indeed, the Commission’sproposed amendments to Rule 6e–2would eliminate the exclusion of mixedfunding from the relief provided underRule 6e–2(b)(15) and, as noted above,numerous exemptions permitting bothmixed and shared funding have beengranted since the adoption of Rules 6e–2 and 6e–3.

10. Similarly, Applicants are notaware of any stated rationale forexcluding Participating InsuranceCompanies from the exemptive reliefrequested because the Funds may alsosell their shares to Qualified Plans. Infact, Applicants assert that the proposedsale of shares of the Funds may allowfor the development of larger pools ofassets resulting in the potential forgreater investment and diversificationopportunities, and for decreasedexpenses at higher asset levels resultingin cost efficiencies. If the Funds were tosell shares only to Qualified Plans, noexemptive relief would be necessary.The relief provided under Rules 6e–2(b)(15) and 6e–3(T)(b)(15) does notrelate to Qualified Plans or to aregistered investment company’s abilityto sell its shares to such Plans.Exemptive relief is requested in theapplication only because the separateaccounts investing in the Funds arethemselves investment companiesseeking relief under Rules 6e–2 and 6e–3(T) and do not wish to be denied suchrelief if the Funds sell shares toQualified Plans. As noted above, theCommission has granted numerousexemptions permitting extended mixedand shared funding. Moreover, for thereasons stated below, applicants believethat the requested exemptions areappropriate in the public interest andconsistent with the protection ofinvestors and the purposes fairlyintended by the policy and provisions ofthe Act.

11. Section 9(a) of the Act providesthat it is unlawful for any company toserve as investment adviser or principalunderwriter of any registered open-endinvestment company if an affiliatedperson of that company is subject to adisqualification enumerated in section9(a)(1) or (2). However, Rules 6e–2(b)(15)(i) and (ii) and 6e–3(T)(b)(15)(i)and (ii) provide partial exemptions fromSection 9(a) under certaincircumstances, subject to the limitationsdiscussed above on mixed and sharedfunding. These exemptions limit thedisqualification to affiliated individualsor companies that directly participate inthe management or administration of

the underlying investment company orseries thereof.

12. Rules 6e–2(b)(15)(i) and 6e–3(T)(b)(15)(i) allow an individualdisqualified under section 9(a)(1) or (2)to be an officer, director, or employee ofan insurance company, or any of itsaffiliates that serves in any capacitywith respect to an underlyinginvestment company, so long as thedisqualified individual does notparticipate directly in the managementor administration of the underlyinginvestment company. Similarly, Rules6e–2(b)(15)(ii) and 6e–3(T)(b)(15)(ii)permit an insurance companydisqualified under section 9(a) of theAct to serve in any capacity with respectto an underlying investment company,provided that the affiliated person,ineligible under section 9(a)(1) or (2) ofthe Act, does not participate directly inthe management or administration ofthe investment company.

13. The partial relief granted in Rules6e–2(b)(15) and 6e–3(T)(b)(15) fromrequirements of section 9 of the Act, ineffect, limits the amount of monitoringof an insurer’s personnel that wouldotherwise be necessary to ensurecompliance with section 9 to that whichis appropriate in light of the policy andpurposes of section 9. The exemptionscontained in Rules 6e–2(b)(15) and 6e–3(T)(b)(15) recognize that it is notnecessary for the protection of investorsor the purposes fairly intended by thepolicy and provisions of the Act toapply section 9(a) to the manyindividuals who may be involved in alarge insurance company but wouldhave no connection with the investmentcompany, or any series thereof, fundingthe separate accounts. Applicantsbelieve that it is unnecessary to limit theapplicability of the rules merely becauseshares of the Trust may be sold inconnection with mixed and sharedfunding. The Participating InsuranceCompanies will not be involved in themanagement or administration of theTrust or the Funds. Therefore, applyingthe restrictions of section 9(a) serves noregulatory purpose. Indeed, applyingsuch restrictions would increase themonitoring costs incurred by theParticipating Insurance Companies and,therefore, would reduce the net rates ofreturn realized by Variable Contractowners.

14. Moreover, the appropriateness ofthe relief requested herein will not beaffected by the proposed sale of sharesof the Trust to Qualified Plans. Theinsulation of the Trust from thoseindividuals who are disqualified underthe Act remains in place. Applying therequirements of section 9(a) because ofinvestment by Qualified Plans would be



1 Although section 403(a) of ERISA provides plantrustees with complete discretion to manage andcontrol their plan, including exercising any votingrights attributable to investment securities held bythe plan, nothing therein prohibits the trustees fromobligating themselves to solicit and follow votinginstructions from plan participants. However, it isnot generally a common practice for plan trusteesto undertake such obligations, even for 401(k)plans.

unjustified and would not serve anyregulatory purpose. Since the QualifiedPlans are not investment companies andwill not be deemed to be affiliatedsolely by virtue of their shareholdings,no additional relief is necessary.

15. Rules 6e–2(b)(15) and 6e–3(T)(b)(15) under the Act give theParticipating Insurance Companies theright to disregard voting instructions ofcontract owners. Rules 6e–2(b)(15)(iii)(A) and 6e–3(T)(b)(15)(iii)(A)each provide that the insurancecompany may disregard the votinginstructions of its contract owners withrespect to the investments of anunderlying fund, or any contractbetween a fund and its investmentadviser, when required to do so by aninsurance regulatory authority (subjectto the provisions of paragraphs (b)(5)(i)and (b)(7)(ii)(A) of Rules 6e–2 and 6e–3(T) under the Act). Rules 6e–2(b)(15)(iii)(B) and 6e–3(T)(b)(15)(iii)(A)(2) each provide thatthe insurance company may disregardvoting instructions of contract owners ifthe contract owners initiate any changein the underlying investment company’sinvestment policies, principalunderwriter, or any investment adviser(subject to the provisions of paragraphs(b)(5)(ii), (b)(7)(ii)(B), and (b)(7)(ii)(C) ofRules 6e–2 and 6e–3(T) under the Act).These rights do not raise any issuesdifferent from those raised by theauthority of state insuranceadministrators over separate accounts.Under Rules 6e–2(b)(15) and 6e–3(T)(b)(15), an insurer can disregardvoting instructions of contract ownersonly with respect to certain specifieditems.

16. The potential for disagreementamong Participating Separate Accountsis limited by the requirements in Rules6e–2 and 6e–3 that a ParticipatingInsurance Company’s disregard ofvoting instructions be reasonable andbased on specific good faithdeterminations. Voting instructionswith respect to a change in investmentpolicies may be disregarded only if suchdisapproval is reasonable and theinsurance company makes a good faithdetermination that such change would:(a) Violate state law; (b) result ininvestments that were not consistentwith the investment objectives of theseparate account; or (c) result ininvestments that would vary from thegeneral quality and nature ofinvestments and investment techniquesused by other separate accounts of thecompany or of an affiliated lifeinsurance company with similarinvestment objectives. Votinginstructions with respect to a change inthe principal underwriter may be

disapproved if such disapproval isreasonable. Voting instructions withrespect to a change in an investmentadviser may be disregarded only if suchdisapproval is reasonable and theinsurance company makes a good faithdetermination that: (a) The adviser’s feewould exceed the maximum rate thatmay be charged against the separateaccount’s assets; (b) the proposedadviser may be expected to employinvestment techniques that vary fromthe general techniques used by thecurrent adviser; or (c) the proposedadviser may be expected to manage theinvestment company’s investments in amanner that would be inconsistent withits investment objectives or in a mannerthat would result in investments thatvary from certain standards.

17. In addition, the sale of shares ofthe Funds to Qualified Plans will nothave any impact on the relief requestedin this regard. Shares of the Funds soldto Qualified Plans will be held by thetrustees of the Plans as mandated bysection 403(a) of ERISA. Section 403(a)provides that the trustee(s) must haveexclusive authority and discretion tomanage and control a Plan with twoexceptions: (a) when the Plan expresslyprovides that the trustee(s) is (are)subject to the direction of a namedfiduciary who is not a trustee, in whichcase the trustee(s) is (are) subject toproper directions made in accordancewith the terms of the Plan and notcontrary to ERISA, and (b) when theauthority to manage, acquire or disposeof assets of the Plan is delegated to oneor more investment managers pursuantto section 402(c)(3) of ERISA. Unlessone of the two exceptions stated insection 403(a) applies, Plan trusteeshave the exclusive authority andresponsibility for voting proxies. Wherea name fiduciary appoints aninvestment manager, the investmentmanager has the responsibility to votethe shares held unless the right to votesuch shares is reserved to the trustees orthe named fiduciary. Accordingly,unlike the case with insurance companyseparate accounts, the issue of theresolution of material irreconcilableconflicts with respect to voting is notpresent with respect to Qualified Planssince such Plans are not entitled to pass-through voting privileges.

18. Even if a Qualified Plan were tohold a controlling interest in the Trust,Applicants do not believe that suchcontrol would disadvantage otherinvestors in the Trust to any greaterextent than is the case when anyinstitutional shareholder holds amajority of the voting securities of anyopen-end management investmentcompany. In this regard, Applicants

submit that investment in the Funds bya Qualified Plan will not create any ofthe voting complications occasioned bymixed and shared funding. Unlikemixed or shared funding, Plan investorvoting rights cannot be frustrated byveto rights of insurers or stateregulators.

19. Applicants generally expect manyQualified Plans to have their trustee(s)or other fiduciaries exercise votingrights attributable to investmentsecurities held by the Qualified Plan intheir discretion. Some of the QualifiedPlans, however, may provide for thetrustee(s), an investment adviser(s) oranother named fiduciary to exercisevoting rights in accordance withinstructions from participants.1

20. Where a Qualified Plan does notprovide participants with the right togive voting instructions, Applicantssubmit that there is no potential formaterial irreconcilable conflicts ofinterest between or among contractowners and Plan investors with respectto voting of the Funds’ shares.

21. Where a Plan providesparticipants with the right to give votinginstructions, Applicants see no reasonto believe that participants in QualifiedPlans generally or those in a particularPlan, either as a single group or incombination with participants in otherQualified Plans, would vote in a mannerthat would disadvantage contractowners. The purchase of shares of theFunds by Qualified Plans that providevoting rights does not present anycomplications not otherwise occasionedby mixed and shared funding.

22. As demonstrated below, noincreased conflicts of interest would bepresent if the Commission grants theexemptive relief sought hereby.

23. Shared funding does not presentany issues that do not already existwhere a single insurance company islicensed to do business in several states.For example, when differentParticipating Insurance Companies aredomiciled in different states, it ispossible that the state insuranceregulatory body in a state in which oneParticipating Insurance Company isdomiciled could require action that isinconsistent with the requirements ofinsurance regulators in one or moreother states in which other ParticipatingInsurance Companies are domiciled.



That possibility, however, is nodifferent and no greater than that whichexists when a single insurer and itsaffiliates offer their insurance productsin several states, as currently ispermitted.

24. Affiliations among insurers do notreduce the potential, if any exists, fordifferences in state regulatoryrequirements. In any event, theconditions discussed below (which areadapted from the conditions included inRule 6e–3(T)(b)(15)) are designed tosafeguard against any adverse effectsthat differences among state regulatoryrequirements may produce. Forexample, if a particular state insuranceregulator’s decision conflicts with themajority of other state regulators, theaffected insurer may be required towithdraw its Participating SeparateAccount’s investment in the Trust.

25. Similarly, affiliation does noteliminate the potential, if any exists, fordivergent judgments as to when aParticipating Insurance Company coulddisregard contract owner votinginstructions. The potential fordisagreement is limited by therequirement that disregarding votinginstructions be reasonable and based onspecified good faith determinations.However, if a Participating InsuranceCompany’s decision to disregardContract owner voting instructionsrepresents a minority position or wouldpreclude a majority vote approving aparticular change, such ParticipatingInsurance Company may be required, atthe election of the Trust, to withdraw itsseparate account’s investment in theTrust and no charge or penalty will beimposed as a result of such withdrawal.

26. There is no reason why theinvestment policies of the Trust, were itto engage in mixed funding, would orshould materially differ from what thosepolicies would or should be if the Trustsupported only variable annuity or onlyvariable life insurance contracts. Hence,there is no reason to believe thatconflicts of interest would result frommixed funding. Moreover, the Trust willnot be managed to favor or disfavor anyparticular insurer or any type ofcontract.

27. No one investment strategy can beidentified as appropriate to a particularinsurance product or to a Plan. Eachpool of variable annuity and variablelife insurance contract owners iscomposed of individuals of diversefinancial status, age, insurance andinvestment goals. Those diversities areof greater significance than anydifferences in insurance products. Aninvestment company supporting evenone type of insurance product mustaccommodate those diverse factors.

28. The sale of shares of the Funds toQualified Plans should not increase thepotential for material irreconcilableconflicts of interest between or amongdifferent types of investors. Thereshould be very little potential for suchconflicts beyond that which wouldotherwise exist between variableannuity and variable life insurancecontract owners.

29. Section 817(h) of the Codeimposes certain diversificationstandards on the assets underlyingVariable Contracts held in the portfoliosof management investment companies.Treasury Regulation 1.817–5(f)(3)(iii),which establishes diversificationrequirements for such portfolios,specifically permits, among otherthings, ‘‘qualified pension or retirementplans’’ and separate accounts to sharethe same underlying managementinvestment company. Therefore, neitherthe Code, the Treasury regulations northe revenue rulings thereunderrecognize or proscribe any inherentconflicts of interest if Qualified Plans,variable annuity separate accounts andvariable life separate accounts all investin the same management investmentcompany.

30. While there are differences in themanner in which distributions fromVariable Contracts and Qualified Plansare taxed, the tax consequences do notraise any conflicts of interest. Whendistributions are to be made, and theParticipating Separate Account or aQualified Plan cannot net purchasepayments to make the distribution, theSeparate Account or the Plan willredeem shares of the Trust at their netasset value in conformity with Rule22c–1 under the Act to provideproceeds to meet distribution needs.The Qualified Plan will then makedistributions in accordance with theterms of the Plan. The life insurancecompany will surrender values from theSeparate Account into the generalaccount to make distributions inaccordance with the terms of theVariable Contract.

31. It is possible to provide anequitable means of giving voting rightsto Participating Separate Accountcontract owners and to Qualified Plans.The transfer agent for the Trust willinform each Participating InsuranceCompany of each Participating SeparateAccount’s share ownership in the Trust,as well as inform the trustees ofQualified Plans of their holdings. TheParticipating Insurance Company thenwill solicit voting instructions inaccordance with Rules 6e–2 and 6e–3(T), as applicable, and its participationagreement with the Trust. Shares heldby Qualified Plans will be voted in

accordance with applicable law. Thevoting rights provided to QualifiedPlans with respect to shares of the Trustwould be no different from the votingrights that are provided to QualifiedPlans with respect to shares of fundssold to the general public.

32. The ability of the Trust to sell itsshares directly to Qualified Plans doesnot create a ‘‘senior security,’’ as suchterm is defined under section 18(g) ofthe Act, with respect to any contractowner as opposed to a Qualified Planparticipant. As noted above, regardlessof the rights and benefits of QualifiedPlan participants or contract owners, theQualified Plans and the ParticipatingSeparate Accounts only have rights withrespect to their respective shares of theTrust. They can only redeem suchshares at their net asset value. Noshareholder of any of the Trust has anypreference over any other shareholderwith respect to distribution of assets orpayment of dividends.

33. There are no conflicts between thecontract owners of ParticipatingSeparate Accounts and Qualified Planparticipants with respect to the stateinsurance commissioners’ veto powers(direct with respect to variable life andindirect with respect to variableannuity) over investment objectives.The basic premise of shareholder votingis that shareholders may not all agreewith a particular proposal. While theinterests and opinions of shareholdersmay differ, however, this does not meanthat there are any inherent conflicts ofinterest between or among suchshareholders. State insurancecommissioners have been given the vetopower in recognition of the fact thatinsurance companies usually cannotsimply redeem their separate accountsout of one fund and invest in another.Generally, time-consuming, complextransactions must be undertaken toaccomplish such redemptions andtransfers. Trustees of Qualified Plans, onthe other hand, can make the decisionquickly and redeem their shares of theTrust and reinvest in another fundingvehicle without the same regulatoryimpediments faced by separate accountsor, as is the case with most Plans, evenhold cash pending suitable investment.Based on the foregoing, even if thereshould arise issues where the interestsof contract owners and the interests ofQualified Plans are in conflict, theissues can be almost immediatelyresolved because the trustees of theQualified Plans can, on their own,redeem the shares out of the Trust.

34. There does not appear to be anygreater potential for materialirreconcilable conflicts arising betweenthe interests of Qualified Plan



participants and contract owners ofParticipating Insurance Companies frompossible future changes in the federaltax laws than that which already existsbetween variable annuity and variablelife insurance contract owners.

35. Applicants recognize that theforegoing is not an all inclusive list, butrather is representative of issues whichthey believe are relevant to thisapplication. Applicants believe that thediscussion contained hereindemonstrates that the sale of shares ofthe Funds to Qualified Plans andVariable Contracts does not increase therisk of material irreconcilable conflictsof interest. Furthermore, the use of theTrust with respect to variable lifeinsurance contracts and Qualified Plansis not substantially different from theTrust’s current use, in that variableinsurance contracts and Qualified Plans,like variable annuity contracts, aregenerally long-term retirement vehicles.

36. Various factors have preventedmore insurance companies from offeringvariable annuity and variable lifeinsurance contracts than currently doso. These factors include the costs oforganizing and operating a fundingmedium, the lack of expertise withrespect to investment management(principally with respect to stock andmoney market investments) and the lackof public name recognition asinvestment professionals. In particular,some smaller life insurance companiesmay not find it economically feasible, orwithin their investment oradministrative expertise, to enter theVariable Contract business on their own.

37. Use of the Funds as commoninvestment media for Variable Contractswould ameliorate these concerns.Participating Insurance Companieswould benefit not only from theinvestment advisory and administrativeexpertise of Wachovia and its affiliates,but also from the cost efficiencies andinvestment flexibility afforded by a largepool of funds. Therefore, making theFunds available for mixed and sharedfunding will encourage more insurancecompanies to offer Variable Contracts.This should result in increasedcompetition with respect to bothVariable Contract design and pricing,which can be expected to result in moreproduct variation and lower charges.Contract owners would benefit becausemixed and shared funding shouldeliminate a significant portion of thecosts of establishing and administeringseparate funds.

38. Moreover, sale of the shares of theFunds to Qualified Plans should furtherincrease the amount of assets availablefor investment by the Funds. This, inturn, should inure to the benefit of

contract owners by promotingeconomies of scale, by permittinggreater safety through greaterdiversification, and by making theaddition of new series to the Trust morefeasible.

39. Regardless of the type ofshareholder in the Funds, Wachovia isor would be contractually or otherwiseobligated to manage each Fund solelyand exclusively in accordance with thatseries’ investment objectives, policiesand restrictions as well as anyguidelines established by the board oftrustees of the Trust.

Applicants’ ConditionsApplicants consent to the following

conditions:1. A majority of the Board of Trustees

of each Trust (‘‘Board’’) will consist ofpersons who are not ‘‘interestedpersons’’ of the Trust, as defined bysection 2(a)(19) of the Act and the Rulesthereunder and as modified by anyapplicable orders of the Commission,except that if this condition is not metby reason of the death, disqualification,or bona fide resignation of any Trusteeor Trustees, then the operation of thiscondition shall be suspended (a) for aperiod of 45 days if the vacancy orvacancies may be filled by the Board; (b)for a period of 60 days if a vote ofshareholders is required to fill thevacancy or vacancies; or (c) for suchlonger period as the Commission mayprescribe by order upon application.

2. Each Board will monitor itsrespective Trust for the existence of anymaterial irreconcilable conflict betweenthe interests of the contract owners ofall Participating Separate Accounts andof the participants in Qualified Plansinvesting in such Trust and determinewhat action, if any, should be taken inresponse to such conflicts. A materialirreconcilable conflict may arise for avariety of reasons, including: (a) Anaction by any state insurance regulatoryauthority; (b) a change in applicablefederal or state insurance, tax, orsecurities laws or regulations, or apublic ruling, private letter-ruling, no-action or interpretive letter, or anysimilar action by insurance, tax, orsecurities regulatory authorities; (c) anadministrative or judicial decision inany relevant proceeding; (d) the mannerin which the investment of such Trustare being managed; (e) a difference invoting instructions given by variableannuity contract owners and variablelife insurance contract owners andtrustees of the Qualified plans; (f) adecision by a Participating InsuranceCompany to disregard the votinginstructions of contract owners; or (g) ifapplicable, a decision by a Plan to

disregard the voting instructions of itsparticipants.

3. Participating Insurance Companies,Wachovia or an affiliate, or any otherinvestment adviser of the Trusts, andany Qualified Plans that execute a fundparticipation agreement upon becomingan owner of 10% or more of the assetsof any Fund (‘‘Participants’’) will reportany potential or existing conflicts to therelevant Board. Participants will beresponsible for assisting the relevantBoard in carrying out its responsibilitiesunder these conditions by providing therelevant Board with all informationreasonably necessary for the Board toconsider any issues raised. Thisresponsibility includes, but is notlimited to, an obligation of eachParticipating Insurance Company toinform the relevant Board whenever ithas determined to disregard contractowner voting instructions and, whenpass-through voting is applicable, anobligation of each Plan to inform theBoard whenever it has determined todisregard voting instructions from Planparticipants. The responsibilities toreport such information and conflictsand to assist the Board will becontractual obligations of allParticipating Insurance Companies andPlans under their participationagreements with the Trusts, and suchagreements shall provide, in the case ofParticipating Insurance Companies, thatthese responsibilities will be carried outwith a view only to the interests ofcontract owners, and in the case ofQualified Plans, that theseresponsibilities will be carried out witha view only to the interest of Planparticipants.

4. If it is determined by a majority ofa Board, or by a majority of itsdisinterested Trustees, that a materialirreconcilable conflict exists, therelevant Participating InsuranceCompanies and Plans will, at theirexpense and to the extent reasonablypracticable (as determined by a majorityof the disinterested Trustees), takewhatever steps are necessary to remedyor eliminate the material irreconcilableconflict, which steps could include: (a)withdrawing the assets allocable tosome or all of the Participating SeparateAccounts form the relevant Fund andreinvesting such assets in a differentinvestment medium, which may includeanother Fund, or submitting thequestion of whether such reinvestmentshould be implemented to a vote of allaffected contract owners and, asappropriate, segregating the assets ofany appropriate group (i.e, variableannuity contract owners or variable lifeinsurance contract owners of one ormore Participating Insurance



Companies) that votes in favor of suchsegregation, or offering to the affectedcontract owners the option of makingsuch a change; and (b) establishing anew registered management investmentcompany or managed separate account.If a material irreconcilable conflictarises because of a ParticipatingInsurance Company’s decision todisregard contract owners’ votinginstructions and that decisionrepresents a minority position or wouldpreclude a majority vote, then thatinsurer may be required, at the relevantTrust’s election, to withdraw itsseparate account’s investment in suchTrust, and no charge or penalty will beimposed as a result of such withdrawal.If a material irreconcilable conflictarises because of a Plan’s decision todisregard Plan participant votinginstructions, if applicable, and thatdecision represents a minority positionor would preclude a majority vote, thePlan may be required at the relevantTrust’s election, to withdraw itsinvestment in such Trust and no chargeor penalty will be imposed as a resultof such withdrawal. To the extentpermitted by applicable law, theresponsibility of taking remedial actionin the event of a Board determination ofmaterial irreconcilable conflict andbearing the cost of such remedial actionwill be a contractual obligation of allParticipating Insurance Companies andQualified Plans under their agreementsgoverning participation in the Trust andthese responsibilities will be carried outwith a view only to the interests ofcontract owners and Plan participants,respectively.

For purposes of this Condition 4, amajority of the disinterested Trustees ofa Board will determine whether or notany proposed action adequatelyremedies any material irreconcilableconflict, but in no event will the Trust,Wachovia, or Wachovia’s affiliate, asrelevant, be required to establish a newfunding medium for any VariableContract. No Participating InsuranceCompany shall be required by thisCondition 4 to establish a new fundingmedium for any Variable Contract if anoffer to do so has been declined by voteof a majority of contract ownersmaterially and adversely affected by thematerial irreconcilable conflict. Further,no Qualified Plan will be required bythis Condition 4 to establish a newfunding medium for the Plan if (a) anoffer to do so has been declined by voteof a majority of Plan participantsmaterially and adversely affected by thematerial irreconcilable conflict or (b)pursuant to governing Plan documentsand applicable law, the Plan makes such

decision without a vote of itsparticipants.

5. Any Board’s determination of theexistence of a material irreconcilableconflict and its implications will bemade known promptly and in writing toall Participants.

6. As to Variable Contracts issued byParticipating Separate Accountsregistered under the Act, ParticipatingInsurance Companies will provide pass-through voting privileges to all contractowners so long as the Commissioninterprets the Act to require pass-through voting for contract owners.However, as to Variable Contractsissued by unregistered ParticipatingSeparate Accounts, pass-through votingprivileges will be extended to contractowners to the extent granted by theissuing insurance company.Accordingly, the Participating InsuranceCompanies will vote shares of theapplicable Fund held in theirParticipating Separate Accounts in amanner consistent with votinginstructions timely received fromcontract owners. Participating InsuranceCompanies will be responsible forassuring that each of their ParticipatingSeparate Accounts calculates votingprivileges in a manner consistent withall other Participating InsuranceCompanies. The obligation to calculatevoting privileges in a manner consistentwith all other Participating SeparateAccounts will be contractual obligationof all Participating Insurance Companiesunder their participation agreementswith the Trusts. Each ParticipatingInsurance Company will vote shares forwhich it has not received timely votinginstructions, as well as sharesattributable to it, in the same proportionas it votes shares for which it hasreceived instructions.

7. Each Qualified Plan will vote asrequired by applicable law andgoverning Plan documents.

8. All reports of potential or existingconflicts received by a Board, and allBoard action with regard to determiningthe existence of a conflict, notifyingParticipants of a conflict, anddetermining whether any proposedaction adequately remedies a conflict,will be properly recorded in the minutesof the Board or other appropriaterecords, and such minutes or otherrecords shall be made available to theCommission upon request.

9. The Trusts will notify allParticipants that disclosure in separateaccount prospectuses or any QualifiedPlan prospectuses or other Plandisclosure documents regardingpotential risks of mixed and sharedfunding may be appropriate. Each Trustwill disclose in its prospectus that: (a)

The Trust is intended to be a fundingvehicle for variable annuity and variablelife insurance contracts offered byvarious insurance companies and forPlans; (b) due to differences of taxtreatment and other considerations, theinterests of various contract ownersparticipating in the Trust and theinterest of Qualified Plans investing inthe Trust may conflict; and (c) the Boardwill monitor the Trust for the existenceof any material conflicts and determinewhat action, if any, should be taken.

10. The Trusts will comply with allprovisions of the Act requiring voting byshareholders (which, for these purposes,shall be the persons having a votinginterest in shares of the Trusts), and, inparticular, each Trust will eitherprovide for annual meetings (except tothe extent that the Commission mayinterpret Section 16 of the Act not torequire such meetings) or comply withsection 16(c) of the Act (although theTrusts are not within the trustsdescribed in section 16(c)) as well aswith Section 16(a), and, if applicable,section 16(b) of the Act. Further, eachTrust will act in accordance with theCommission’s interpretation of therequirements of section 16(a) withrespect to periodic elections of directors(or trustees) and with whatever rules theCommission may promulgate withrespect thereto.

11. If and to the extent that Rules 6e–2 and 6e–3(T) are amended (or if Rule6e–3 under the Act is adopted) toprovide exemptive relief from anyprovision of the Act or the rulesthereunder with respect to mixed orshared funding on terms and conditionsmaterially different from anyexemptions granted in the orderrequested by Applicants, then the Trustsand/or Participating InsuranceCompanies, as appropriate, shall takesuch steps as may be necessary tocomply with Rules 6e–2 and 6e–3(T), asamended, or Rule 6e–3, as adopted, tothe extent applicable.

12. No less than annually, theParticipants shall submit to each Boardsuch reports, materials, or data as theBoard may reasonably request so thatthe Board may carry out fully theobligations imposed upon it by theconditions contained in the application.Such reports, materials, and data shallbe submitted more frequently if deemedappropriate by the Board. Theobligations of the Participants toprovide these reports, materials, anddata to a Board when it so reasonablyrequests shall be a contractualobligation of all Participants under theirparticipation agreements with theTrusts.



1 15 U.S.C. 78s(b)(1).2 17 CFR 240.19b–4.3 See October 18, 2000 letter from Linda Christie,

Exchange, to Heidi Pilpel, Special Counsel,Division of Market Regulation, SEC (‘‘AmendmentNo. 1’’). In Amendment No. 1, the Exchangerequested that the proposed rule change be filedunder Section 19(b)(3)(A) of the Act and Rule 19b–4(f)(6) thereunder. 15 U.S.C. 78s(b)(3)(A) and 17

CFR 240.19b–4(f)(6). The Exchange also requestedthat the Commission treat the original proposedrule change as the 5 day prefiling notice requiredunder Rule 19b–4(f)(6); and requested that theCommission waive the 30-day period before theproposal becomes effective to permit the proposedrule change to become immediately effective.

4 15 U.S.C. 78s(b)(3)(A).5 17 CFR 240.19b–4(f)(6).6 See Securities Exchange Act Release No. 41210

(March 24, 1999), 64 FR 15857 (April 1, 1999), (SR–Phlx–96–14).

7 The Commission requested that the Exchangeprovide a report that: (i) addresses the overallreliability of the System and identifies any System

outages or other technical problems; (ii) provides asummary of the Exchange’s surveillance efforts; (iii)discusses the strategies employed by the users andcommitters and evaluates whether the system isuseful to market participants; (iv) provides feedbackfrom Exchange members and non-membersregarding their experience with the system; and (v)measures the system’s impact and effect on theprimary market of eligible securities. The Exchangesubmitted its report in September 2000, whichreport identified no significant problems with theoperation of the System.

8 15 U.S.C. 78f(b)(5).9 15 U.S.C. 78s(b)(3)(A).10 17 CFR 240.19b–4(f)(6).

13. In the event that a Qualified Planshould ever become an owner of 10% ormore of the assets of a Fund, suchQualified Plan will execute aparticipation agreement with therelevant Trust including the conditionsset forth herein, to the extent applicable.A Qualified Plan will execute anapplication containing anacknowledgment of this condition at thetime of its initial purchase of shares ofthe relevant Fund.

ConclusionFor the reasons summarized above,

Applicants submit that the requestedexemptions are necessary andappropriate in the public interest andconsistent with the protection ofinvestors and the purposes fairlyintended by the policy and provisions ofthe Act.

For the Commission, by the Division ofInvestment Management, pursuant todelegated authority.Margaret H. McFarland,Deputy Secretary.[FR Doc. 00–27749 Filed 10–27–00; 8:45 am]BILLING CODE 8010–01–M


[Release No. 34–43477); File No. SR–Phlx–00–84]

Self-Regulatory Organizations; Noticeof Filing and Immediate Effectivenessof Proposed Rule Change by thePhiladelphia Stock Exchange, Inc.Amending PHLX Rule 237 to Extendthe Pilot Program for eVWAP untilNovember 30, 2001

October 23, 2000.Pursuant to Section 19(b)(1) of the

Securities Exchange Act of 1934(‘‘Act’’) 1 and Rule 19b–4 thereunder,2notice is hereby given that onSeptember 1, 2000, the PhiladelphiaStock Exchange, Inc. (‘‘PHLX’’ or‘‘Exchange’’), filed a proposed rulechange with the Securities andExchange Commission (‘‘SEC’’ or‘‘Commission’’). The proposed rulechange is described in Items I, II, and IIIbelow, which Items have been preparedby Exchange. On October 18, 2000, theExchange filed Amendment No. 1 to theproposed rule change.3 The Exchange

filed the proposed rule change, asamended, pursuant to Section19(b)(3)(A) of the Act,4 and Rule 19b–4(f)(6) thereunder,5 which renders theproposed rule change effective uponfiling with the Commission. TheCommission is publishing this notice tosolicit comments on the proposed rulechange, as amended, from interestedpersons.

I. Self-Regulatory Organization’sStatement of the Terms of Substance ofthe Proposed Rule Change

The Exchange proposes to extend thepilot program for the Volume WeightedAverage Price Trading System(‘‘eVWAP’’ or ‘‘System’’) untilNovember 30, 2001.

II. Self-Regulatory Organization’sStatement of the Purpose of, andStatutory Basis for, the Proposed RuleChange

In its filing with the Commission, theExchange included statementsconcerning the purpose of and basis forthe proposed rule change and discussedany comments it received on theproposed rule change. The text of thesestatements may be examined at theplaces specified in Item IV below. TheExchange has prepared summaries, setforth in sections A, B, and C below, ofthe most significant aspects of suchstatements.

A. Self-Regulatory Organization’sStatement of the Purpose of, andStatutory Basis for, the Proposed RuleChange

1. PurposeThe eVWAP is a pre-opening order

matching session for the electronicexecution of large-sized stock orders atthe volume weighted average price. TheExchange received Commissionapproval to operate eVWAP as a oneyear pilot on March 24, 1999.6 TheSystem became operational on August27, 1999. As a condition to the pilotprogram, the Commission requested thatthe Exchange prepare a comprehensivereport pertaining to the operation andeffectiveness of the eVWAP.7

The Exchange now proposes to extendthe current pilot program untilNovember 30, 2001. Extension of thepilot program for another year willallow the Exchange and the Commissionadditional time to assess theeffectiveness of the System and itsimpact on investors and the market asa whole.

2. Statutory BasisThe Exchange believes that the

proposed rule change is consistent withSection 6(b)(5) of the Act 8 in that it isdesigned to prevent fraudulent andmanipulative acts and practices, topromote just and equitable principles oftrade, to remove impediments to andperfect the mechanism of a free andopen market and a national marketsystem, and, in general, to protectinvestors and the public interest.

B. Self-Regulatory Organization’sStatement on Burden on Competition

The Exchange does not believe thatthe proposed rule change, as amended,will result in any burden oncompetition that is not necessary orappropriate in furtherance of thepurposes of the Act.

C. Self-Regulatory Organization’sStatement on Comments on theProposed Rule Change Received FromMembers, Participants or Others

The Exchange has neither solicitednor received written comments on theproposed rule change, as amended.

III. Date of Effectiveness of theProposed Rule Change and Timing forCommission Action

The foregoing rule change has becomeeffective upon filing pursuant to Section19(b)(3)(A)(iii) of the Act 9 and Rule19b–4(f)(6) 10 thereunder because theproposed rule change does not (i)significantly affect the protection ofinvestors or the public interest; (ii)impose any significant burden oncompetition; and (iii) become operativefor 30 days from the date on which theproposed rule change was filed, or suchshorter time as the Commission maydesignate. At any time within 60 days



11 For purposes only of accelerating the operativedate of this proposal, the Commission hasconsidered its impact on efficiency, competition,and capital formation. 15 U.S.C. 78c(f). 12 17 CFR 200.30–3(a)(12).

of the filing of such proposed rulechange, the Commission may summarilyabrogate such rule change if it appearsto the Commission that such action isnecessary or appropriate in the publicinterest, for the protection of investors,or otherwise in furtherance of thepurposes of the Act.

The Commission finds that it isappropriate to accelerate the effectivedate of the proposed rule change and topermit the proposed rule change tobecome immediately effective becausethe proposal simply extends apreviously approved pilot program. Byextending the pilot program, theCommission will enable the Exchange tocontinue to offer the System withoutinterruption, and will allow theCommission and the Exchange tofurther assess the effectiveness of theSystem and its impact on investors andthe market as a whole. In addition, theCommission finds that the Exchangeprovided the required prefiling writtennotice of its intent to file this proposedrule change when it filed the originalproposed rule change.11

IV. Solicitation of Comments

Interested persons are invited tosubmit written data, views andarguments concerning the foregoingincluding whether the proposed rulechange is consistent with the Act.Persons making written submissionsshould file six copies thereof with theSecretary, Securities and ExchangeCommission, 450 Fifth Street, NW,Washington, DC 20549–0609. Copies ofthe submission, all subsequentamendments, all written statementswith respect to the proposed rulechange that are filed with theCommission, and all writtencommunications relating to theproposed rule change between theCommission and any person, other thanthose that may be withheld from thepublic in accordance with theprovisions of 5 U.S.C. 552, will beavailable for inspection and copying inthe Commission’s Public ReferenceRoom. Copies of such filing will also beavailable for inspection and copying atthe principal office of the Exchange. Allsubmissions should refer to File No.SR–Phlx–00–84 and should besubmitted by November 20, 2000.

For the Commission by the Division ofMarket Regulation, pursuant to delegatedauthority.12

Margaret H. McFarland,Deputy Secretary.[FR Doc. 00–27719 Filed 10–27–00; 8:45 am]BILLING CODE 8010–01–M

SMALL BUSINESS ADMINISTRATION

[Declaration of Disaster #3304]

State of Michigan

As a result of the President’s majordisaster declaration on October 17,2000, I find that Wayne County,Michigan constitutes a disaster area dueto damages caused by severe storms andflooding that occurred September 10–11, 2000. Applications for loans forphysical damage as a result of thisdisaster may be filed until the close ofbusiness on December 16, 2000 and foreconomic injury until the close ofbusiness on July 17, 2001, at the addresslisted below or other locally announcedlocations: U.S. Small BusinessAdministration, Disaster Area 2 Office,One Baltimore Place, Suite 300, Atlanta,GA 30308.

In addition, applications for economicinjury loans from small businesseslocated in the contiguous counties ofMacomb, Monroe, Oakland, andWashtenaw in the State of Michiganmay be filed until the specified date atthe above location.

The interest rates are:

Percent

For Physical Damage:Homeowners with credit

available elsewhere ........... 7.375Homeowners without credit

available elsewhere ........... 3.687Businesses with credit avail-

able elsewhere ................... 8.000Businesses and non-profit or-

ganizations without creditavailable elsewhere ........... 4.000

Others (including non-profitorganizations) with creditavailable elsewhere ........... 6.750

For Economic Injury:Businesses and small agricul-

tural cooperatives withoutcredit available elsewhere 4.000

The numbers assigned to this disasterare 330406 for physical damage and9J3400 for economic injury.(Catalog of Federal Domestic AssistanceProgram Nos. 59002 and 59008)

Dated: October 20, 2000.Allan I. Hoberman,Acting Associate Administrator for DisasterAssistance.[FR Doc. 00–27782 Filed 10–27–00; 8:45 am]BILLING CODE 8025–01–P

SOCIAL SECURITY ADMINISTRATION

Agency Information CollectionActivities: Proposed Request andComment Request

In compliance with Public Law 104–13, the Paperwork Reduction Act of1995, SSA is providing notice of itsinformation collections that requiresubmission to the Office of Managementand Budget (OMB). SSA is solicitingcomments on the accuracy of theagency’s burden estimate; the need forthe information; its practical utility;ways to enhance its quality, utility andclarity; and on ways to minimize burdenon respondents, including the use ofautomated collection techniques orother forms of information technology.

I. The information collections listedbelow will be submitted to OMB within60 days from the date of this notice.Therefore, comments andrecommendations regarding theinformation collections would be mostuseful if received by the Agency within60 days from the date of thispublication. Comments should bedirected to the SSA Reports ClearanceOfficer at the address listed at the endof this publication. You can obtain acopy of the collection instruments bycalling the SSA Reports ClearanceOfficer on (410) 965–4145, or by writingto him at the address listed at the endof this publication.

1. Child Relationship Statement—0960–0116. The Social SecurityAdministration (SSA) uses theinformation collected on Form SSA–2519 to help determine the entitlementof children to Social Security benefitsunder section 216(h)(3) of the SocialSecurity Act (Deemed Child Provision).The respondents are persons providinginformation about the relationshipbetween the worker and his/her allegedbiological child, in connection with thechild’s application for benefits.

Number of Respondents: 50,000.Frequency of Response: 1.Average Burden Per Response: 15

minutes.Estimated Annual Burden: 12,500

hours.2. Request to Resolve Questionable

Quarters of Coverage (QC); Request forQC History Based on Relationship—0960–0575. Form SSA–512 is used bythe States to request clarification from



SSA on questionable QCs information.The Personal Responsibility and WorkOpportunity Reconciliation Act statesthat aliens admitted for lawful residencewho have worked and earned 40qualifying QCs for Social Securitypurposes can generally receive Statebenefits. Form SSA–513 is used byStates to request QC information for analien’s spouse or child in cases wherethe alien does not sign a consent formgiving permission to access his/herSocial Security records. QCs can also beallocated to a spouse and/or to a childunder age 18, if needed, to obtain 40qualifying QCs for the alien. Therespondents are State agencies, whichrequire QC information in order todetermine eligibility for benefits.

SSA–512 SSA–513

Number of Respond-ents ....................... 200,000 350,000

Frequency of Re-sponse ................... 1 1

Average Burden PerResponse (minute) 2 2

Estimated AnnualBurden (hours) ...... 6,667 11,667

II. The information collections listedbelow will be submitted to OMB forclearance. Written comments andrecommendations on the informationcollections would be most useful ifreceived within 30 days from the dateof this publication. Comments should bedirected to the SSA Reports ClearanceOfficer and the OMB Desk Officer at theaddresses listed at the end of thispublication. You can obtain a copy ofthe OMB clearance packages by callingthe SSA Reports Clearance Officer on(410) 965–4145, or by writing to him.

1. Employment RelationshipQuestionnaire—0960–0040. SSA usesthe information collected on Form SSA–7160 to determine whether thenumberholder is self-employed or anemployee. The respondents areapplicants for Social Security Benefitsand/or employers.

Number of Respondents: 47,500.Frequency of Response: 1.Average Burden Per Response: 25


hours.2. On May 31, 2000, SSA announced

its intention to competitively awardcooperative agreements to establishcommunity-based benefits planning,assistance and outreach (BPAO)projects. The overall goal of the projectsis to disseminate accurate informationto beneficiaries with disabilities(including transition-to-work agedyouth) about work incentives programsand issues related to such programs, to

enable them to make informed choicesabout work.

The BPAO project managers willcollect data from Social SecurityDisability Insurance (SSDI) andSupplemental Security Income (SSI)beneficiaries who request BPAOservices. The BPAO project managersand SSA will use the data to manage theprojects and to determine whatadditional resources or otherapproaches may be needed to improvethe process. The data is needed todetermine the efficacy of the programand to ensure that those dollarsappropriated for BPAO services areactually being used for SSAbeneficiaries. The data will also bevaluable to SSA in its analysis of andfuture planning for the SSDI and SSIprograms.

BPAO projects will collect data on:• Beneficiary background

information;• Beneficiary employment

information;• Beneficiary training information;• Beneficiary benefits information;• Beneficiary work incentives

information;• Services to which BPAO projects

refer beneficiaries; and• Cumulative BPAO activities

performed.Number of Respondents: 500,000.Frequency of Response: 1.Average Burden Per Response: 30


hours.(SSA Address)—Social Security

Administration, DCFAM, Attn:Frederick W. Brickenkamp, 1–A–21Operations Bldg., 6401 Security Blvd.,Baltimore, MD 21235.

(OMB Address)—Office of Managementand Budget, OIRA, Attn: Desk Officerfor SSA, New Executive OfficeBuilding, Room 10230, 725 17th St.,NW, Washington, D.C. 20503.Dated: October 24, 2000.

Frederick W. Brickenkamp,Reports Clearance Officer, Social SecurityAdministration.[FR Doc. 00–27711 Filed 10–27–00; 8:45 am]BILLING CODE 4191–02–P

DEPARTMENT OF STATE

[Public Notice 3458]

Culturally Significant Objects Importedfor Exhibition Determinations: ‘‘Art andthe Camera: The Photographs of F.Holland Day’’

AGENCY: Department of State.ACTION: Notice.

SUMMARY: Notice is hereby given of thefollowing determinations.

Pursuant to the authority vested in meby the Act of October 19, 1965 [79 Stat.985, 22 U.S.C. 2459], the Foreign AffairsReform and Restructuring Act of 1998[112 Stat. 2681 et seq.], Delegation ofAuthority No. 234 of October 1, 1999[64 FR 56014], and Delegation ofAuthority No. 236 of October 19, 1999[64 FR 57920], as amended byDelegation of Authority No. 236–3 ofAugust 28, 2000 [65 FR 53795], I herebydetermine that the objects to beincluded in the exhibit, ‘‘Art and theCamera: The photographs of F. HollandDay,’’ imported from abroad for thetemporary exhibition without profitwithin the United States, are of culturalsignificance. These objects are importedpursuant to a loan agreement with aforeign lender. I also determine that thetemporary exhibition or display of theexhibit objects at the Museum of FineArts, Boston, Massachusetts from on orabout December 6, 2000, to on or aboutMarch 25, 2002, is in the nationalinterest. Public Notice of thesedeterminations is ordered to bepublished in the Federal Register.FOR FURTHER INFORMATION CONTACT: Forfurther information, including a list ofexhibit objects, contact Paul W.Manning, Attorney-Adviser, Office ofthe Legal Adviser, 202/619–5997, andthe address is SA–44, Room 700, UnitedStates Department of State, 301 4thStreet, SW., Washington, DC 20547–0001.

Dated: October 23, 2000.William B. Bader,Assistant Secretary for Educational andCultural Affairs, Department of State.[FR Doc. 00–27804 Filed 10–27–00; 8:45 am]BILLING CODE 4710–08–M

DEPARTMENT OF STATE


Culturally Significant Objects Importedfor Exhibition Determinations:‘‘Modern Art and America: AlfredStieglitz and His New York Galleries’’


SUMMARY: Notice is hereby given of thefollowing determinations: Pursuant tothe authority vested in me by the Act ofOctober 19, 1965 (79 Stat. 985, 22 U.S.C.2459), the Foreign Affairs Reform andRestructuring Act of 1998 (112 Stat.2681, et seq.), Delegation of AuthorityNo. 234 of October 1, 1999, andDelegation of Authority No. 236 ofOctober 19, 1999, as amended, I hereby



determine that the objects to beincluded in the exhibition ‘‘Modern Artand America: Alfred Stieglitz and HisNew York Galleries,’’ imported fromabroad for the temporary exhibitionwithout profit within the United States,are of cultural significance. The objectsare imported pursuant to loanagreements with the foreign lenders. Ialso determine that the exhibition ordisplay of the exhibit objects at theNational Gallery of Art, in Washington,DC from on or about January 28, 2001to on or about April 22, 2001 is in thenational interest. Public Notice of theseDeterminations is ordered to bepublished in the Federal Register.FOR FURTHER INFORMATION CONTACT: Forfurther information, including a list ofthe exhibit objects, contact CarolEpstein, Attorney-Adviser, Office of theLegal Adviser, U.S. Department of State(telephone: 202–619–6981). The addressis U.S. Department of State, SA–44, 3014th Street, SW., Room 700, Washington,DC 20547–0001.

Dated: October 23, 2000.William B. Bader,Assistant Secretary for Educational andCultural Affairs, Department of State.[FR Doc. 00–27803 Filed 10–27–00; 8:45 am]BILLING CODE 4710–08–U

DEPARTMENT OF STATE


Culturally Significant Objects Importedfor Exhibition Determinations:‘‘Ukrainian Silver Jewish CeremonialObjects’’


SUMMARY: Notice is hereby given of thefollowing determinations: Pursuant tothe authority vested in me by the Act ofOctober 19, 1965 (79 Stat. 985, 22 U.S.C.2459), the Foreign Affairs Reform andRestructuring Act of 1998 (112 Stat.2681, et seq.), Delegation of AuthorityNo. 234 of October 1, 1999, andDelegation of Authority No. 236 ofOctober 19, 1999, as amended, I herebydetermine that the objects to beincluded in the exhibition ‘‘UkrainianSilver Jewish Ceremonial Objects,’’imported from abroad for the temporaryexhibition without profit within theUnited States, are of culturalsignificance. The objects are importedpursuant to a loan agreement with theforeign lenders. I also determine that theexhibition or display of the exhibitobjects at the American JewishCongress, in New York, NY from on orabout December 4, 2000 to on or about

December 22, 2000 is in the nationalinterest. Public Notice of theseDeterminations is ordered to bepublished in the Federal Register.FOR FURTHER INFORMATION CONTACT: Forfurther information, including a list ofthe exhibit objects, contact CarolEpstein, Attorney-Adviser, Office of theLegal Adviser, U.S. Department of State(telephone: 202/619–6981). The addressis U.S. Department of State, SA–44, 3014th Street, SW., Room 700, Washington,DC 20547–0001.

Dated: October 23, 2000.William B. Bader,Assistant Secretary for Educational andCultural Affairs, Department of State.[FR Doc. 00–27802 Filed 10–27–00; 8:45 am]BILLING CODE 4710–08–U

DEPARTMENT OF STATE

[Public Notice # 3447]

Overseas Security Advisory Council(OSAC) Renewal

The Department of State has renewedthe Charter of the Overseas SecurityAdvisory Council. This advisory councilwill continue to interact on overseassecurity matters of mutual interestbetween the U.S. Government and theAmerican private sector. The Council’sinitiatives and security publicationsprovide a unique contribution toprotecting American private sectorinterests abroad. The Under Secretaryfor Management has determined that theCouncil is necessary and in the publicinterest.

The Council consists ofrepresentatives from four (4) U.S.Government agencies and thirty (30)American private sector companies andorganizations. The Council will followthe procedures prescribed by theFederal Advisory Committee Act(FACA) (Pub. L. 92–463). Meetings willbe open to the public unless adetermination is made in accordancewith Section 10(d) of the FACA, 5U.S.C. 552b(c)(1) and (4), that a meetingor a portion of the meeting should beclosed to the public. Notice of eachmeeting will be provided in the FederalRegister at least 15 days prior to themeeting.

For more information contact MarshaThurman, Overseas Security AdvisoryCouncil, Bureau of Diplomatic Security,U.S. Department of State, Washington,DC 20522–1003, phone: 202–663–0533.

October 18, 2000.Peter E. Bergin,Director of the Diplomatic Security Service.[FR Doc. 00–27800 Filed 10–27–00; 8:45 am]BILLING CODE 4710–24–U

DEPARTMENT OF STATE

[Public Notice #: 3446]

U.S. Advisory Commission on PublicDiplomacy; Notice of Meeting

The U.S. Advisory Commission onPublic Diplomacy, reauthorizedpursuant to Public Law 106–113 (H.R.3194, Consolidated Appropriations Act,2000), will meet on Thursday,November 9, 2000 in Room 600, 301 4thSt., SW, Washington, DC from 10:30 amto 12 noon.

The Commission will discuss FY2001activities, follow-up to its report onconsolidation, and a review of theSmith-Mundt Act and its applicabilityin this day and age for publicdiplomacy.

Members of the general public mayattend the meeting, though attendanceof public members will be limited to theseating available. Access to the buildingis controlled, and individual buildingpasses are required for all attendees.Persons who plan to attend shouldcontact David J. Kramer, ExecutiveDirector, at (202) 619–4463.

Dated: October 23, 2000.David J. Kramer,Executive Director, U.S. AdvisoryCommission on Public Diplomacy.[FR Doc. 00–27799 Filed 10–27–00; 8:45 am]BILLING CODE 4710–11–U

OFFICE OF THE UNITED STATESTRADE REPRESENTATIVE

Notice of Meeting of the IndustrySector Advisory Committee onServices (ISAC–13)

AGENCY: Office of the United StatesTrade Representative.ACTION: Notice of Meeting.

SUMMARY: The Industry Sector AdvisoryCommittee on Services (ISAC–13) willhold a meeting on November 1, 2000,from 9:30 a.m. to 12:00 noon. Themeeting will be opened to the publicfrom 9:30 a.m. to 10:30 a.m. and closedto the public from 10:30 a.m. to 12:00noon.DATES: The meeting is scheduled forNovember 1, 2000, unless otherwisenotified.

ADDRESSES: The meeting will be held atthe Department of Commerce, Room6800, located at 14th Street betweenPennsylvania and ConstitutionAvenues, NW., Washington, DC.FOR FURTHER INFORMATION CONTACT:Karen Holderman, (202) 482–0345,Department of Commerce, 14th St. andConstitution Ave., NW., Washington,



DC 20230, or Dominic Bianchi, Office ofthe United States Trade Representative,1724 F St. NW., Washington, DC 20508,(202) 395–6120.SUPPLEMENTARY INFORMATION: During theopened portion of the meeting the ISACmembers will comment and makerecommendations on the reform of thetrade advisory system.

Dominic Bianchi,Acting Assistant United States TradeRepresentative for Intergovernmental Affairsand Public Liaison.[FR Doc. 00–27862 Filed 10–26–00; 8:45 am]BILLING CODE 3190–01–M



Advisory Circular 25.24, SustainedEngine Imbalance

AGENCY: Federal AviationAdministration, DOT.ACTION: Notice of issuance of advisorycircular.

SUMMARY: This notice announces theissuance of Advisory Circular (AC)25,24, Sustained Engine Imbalance. ThisAC sets forth an acceptable means, butnot the only means, of demonstratingcompliance with the provisions of title14, Code of Federal Regulations (14CFR), part 25 related to the aircraftdesign for sustained engine rotorimbalance for transport categoryairplanes. Like all ACs, it is notregulatory but is to provide guidance forapplicants in demonstrating compliancewith the objective safety standards setforth in the rule.DATES: Advisory Circular 25.24 wasissued by the Manager, TransportAirplane Directorate, AircraftCertification Service, ANM–100, onAugust 2, 2000.ADDRESSES: How to Obtain Copies. Acopy may be obtained by writing to theU.S. Department of Transportation,Subsequent Distribution Office, DOTWarehouse, SVC–121.23, 3341Q 75thAve., Landover, MD 20785, telephone301–322–5377, or faxing your request tothe warehouse at 301–386–5394. ThisAC can be found and downloaded fromthe Internet at http://www.faa.gov/avr/air/airhome.htm, at the link titled‘‘Advisory Circulars.’’

Issued in Renton, Washington, on October4, 2000.Dorenda D. Baker,Acting Manager Transport AirplaneDirectorate, Aircraft Certification Service.[FR Doc. 00–27448 Filed 10–27–00; 8:45 am]BILLING CODE 4910–13–M



Notice of Passenger Facility Charge(PFC) Approvals and Disapprovals

AGENCY: Federal AviationAdministration (FAA), DOT.ACTION: Monthly Notice of PFCApprovals and Disapprovals. InSeptember 2000, there were sixapplications approved. Additionally, 10approved amendments to previouslyapproved applications are listed.

SUMMARY: The FAA publishes a monthlynotice, as appropriate, of PFC approvalsand disapprovals under the provisionsof the Aviation Safety and CapacityExpansion Act of 1990 (Title IX of theOmnibus Budget Reconciliation Act of1990) (Pub. L. 101–508) and Part 158 ofthe Federal Aviation Regulations (14CFR Part 158). This notice is publishedpursuant to paragraph d of § 158.29.

PFC Applications Approved

Public Agency: City of San Angelo,Texas.

Application Number: 00–04–U–SJT.Application Type: Use PFC revenue.PFC Level: $3.00.Total PFC Revenue To Be Used in

This Decision: $96,410.Charge Effective Date: December 1,

1998.Estimated Charge Expiration Date:

July 1, 2006.Class of Air Carriers Not Required To

Collect PFC’S: No change from previousdecision.

Brief Description of Projects ApprovedFor Use: Acquire ramp/runway sweeper.Relocate aircraft rescue and firefightingfacility.

Decision Date: September 15, 2000.FOR FURTHER INFORMATION CONTACT: G.Thomas Wade, Southwest RegionAirports Division, (817) 222–5613.

Public Agency: Beaufort CountyCouncil, Hilton Head Island, SouthCarolina.

Application Number: 00–02–I–00–HXD.

Application Type: Impose a PFC.PFC Level: $3.00.Total PFC Revenue Approved in This

Decision: $2,076,657.Earliest Charge Effective Date:

December 1, 2000.Estimated Charge Expiration Date:

October 1, 2007.Class of Air Carriers Not Required to

Collect PFC’S: Part 135 (non-scheduled)carriers.

Determination: Approved. Based oninformation contained in the publicagency’s application, the FAA has

determined that the approved classaccounts for less than 1 percent of thetotal annual enplanements at HiltonHead Island Airport.

Brief Description of Projects Approvedfor Collection: Land acquisition. Generalaviation development.

Decision Date: September 22, 2000.FOR FURTHER INFORMATION CONTACT:Tracie L. Dominy, Atlanta AirportsDistrict Office, (404) 305–7148.

Public Agency: Bloomington-NormalAirport Authority, Bloomington,Illinois.

Application Number: 00–03–U–00–BMI.

Application Type: Use PFC revenue.PFC Level: $3.00.Total PFC Revenue To Be Used in

This Decision: $20,141,929.Charge Effective Date: December 1,


April 1, 2024.Class of Air Carriers Not Required To


Brief Description of Projects Approvedfor Use: Construct new terminaldevelopment area.

Decision Date: September 26, 2000.FOR FURTHER INFORMATION CONTACT:Denis Rewerts, Chicago Airports DistrictOffice, (847) 294–7195.

Public Agency: City of St. LouisAirport Authority, St. Louis, Missouri.

Application Number: 00–06–C–00–STL.

Application Type: Impose and use aPFC.

PFC Level: $3.00.Total PFC Revenue Approved in This

Decision: $847,915,232.Earliest Charge Effective Date:

September 1, 2001.Estimated Charge Expiration Date:

January 1, 2018.Class of Air Carriers Not Required To

Collect PFC’S: Air taxi/commercialoperators filing FAA Form 1800–31.

Determination: Approved. Based oninformation contained in the publicagency’s application, the FAA hasdetermined that the approved classaccounts for less than 1 percent of thetotal annual enplanements at Lambert-St. Louis Internation Airport.

Brief Description of Projects Approvedfor Collection and Use: Balance of realproperty acquisition for airportexpansion parcels. Carrollton Schoolsreplacement facility. Programmanagement (includes programmanagement/airport developmentprogram consultant fees). Sitedevelopment and roadwayinfrastructure.

Decision Date: September 28, 2000.



FOR FURTHER INFORMATION CONTACT:Lorna Sandridge, Central RegionAirports Division, (816) 329–2641.

Public Agency: City of Cleveland,Ohio.

Application Number: 00–07–U–00–CLE.

Application Type: Use PFC revenue.PFC Level: $3.00.Total PFC Revenue To Be Used in

This Decision: $6,675,642.Charge Effective Date: November 1,


March 1, 2008.Class of Air Carriers Not Required to


Brief Description of Projects Approvedfor Use: National Aeronautics and SpaceAdministration feasibility and pre-engineering study: relocation of engine

test facility. Waste water—glycolcollection system construction.

Decision Date: September 28, 2000.FOR FURTHER INFORMATION CONTACT:Robert L. Conrad, Detroit AirportsDistrict Office, (734) 487–7295.

Public Agency: City of Oklahoma City,Oklahoma.

Application Number: 00–03–C–00–OKC.

Application Type: Impose and use aPFC.

PFC Level: $3.00.Total PFC Revenue Approved in This

Decision: $115,253,750.Earliest Charge Effective Date: April 1,


May 1, 2019.Classes of Air Carriers Not Required

to Collect PFC’S: Part 135 on demand air

taxi/commercial operators filing FAAForm 1800–31.

Determination: Approved. Based oninformation contained in the publicagency’s application, the FAA hasdetermined that the approved classaccounts for less than 1 percent of thetotal annual enplanements at WillRogers World Airport.

Brief Description of Projects Approvedfor Collection and Use:

Terminal renovation and expansion,phases I and II.

Acquire and install 17 passengerloading bridges.

Acquire and install baggage make-upsystem.

Decision Date: September 29, 2000.FOR FURTHER INFORMATION CONTACT: G.Thomas Wade, Southwest RegionAirports Division, (817) 222–5613.

AMENDMENTS TO PFC APPROVALS

Amendment No., city, stateAmendment

approveddate

Originalapprovednet PFCrevenue

Amendedapprovednet PFCrevenue

Originalestimated

chargeexp. date

Amendedestimated

chargeexp. date

97–03–C–01–EYW, Key West, FL ................................................ 07/27/00 $1,860,000 $1,760,000 03/01/00 12/01/9995–03–C–01–YKM, Yakima, WA ................................................... 09/07/00 220,000 178,850 07/01/96 07/01/9696–02–C–04–DFW, Dallas/Fort Worth, TX ................................... 09/26/00 72,113,120 90,172,120 05/01/01 06/01/0198–04–U–01–DFW, Dallas/Fort Worth, TX ................................... 09/26/00 NA NA 05/01/01 06/01/0197–02–C–01–DRO, Durango, CO ................................................. 09/28/00 606,983 593,570 08/01/00 08/01/0092–01–C–03–STL, St. Louis, MO .................................................. 09/28/00 97,297,850 71,642,933 04/01/96 08/01/9595–02–C–05–STL, St. Louis, MO .................................................. 09/28/00 108,214,867 91,640,971 07/01/98 07/01/9798–04–I–02–STL, St. Louis, MO ................................................... 09/28/00 155,000,000 178,756,391 01/01/02 09/01/0199–05–U–01–STL, St. Louis, MO .................................................. 09/28/00 NA NA 01/01/02 09/01/0197–01–C–01–ATL, Atlanta, GA ..................................................... 09/29/00 491,370,084 948,059,706 02/01/04 05/01/05

(Note: This amendment also changes the PFC level charged from $3.00 per enplaned passenger to $4.50 per enplaned passenger, effectiveApril 1, 2001.)

Issued in Washington, DC. on October 24,2000.Eric Gabler,Manager, Passenger Facility Charge Branch.[FR Doc. 00–27750 Filed 10–27–00; 8:45 am]BILLING CODE 4910–13–M


Federal Highway Administration

[Docket No. FHWA–2000–8136]

Agency Information CollectionActivities; Request for Comments;Clearance of a New InformationCollection; Heavy Vehicle TravelInformation System

AGENCY: Federal HighwayAdministration (FHWA), DOT.ACTION: Notice and request forcomments.

SUMMARY: The FHWA invites publiccomments about our intention to requestthe Office of Management and Budget’s

(OMB) approval for a new informationcollection. The collection involvesinformation on truck travel miles to beincluded in the Heavy Vehicle TravelInformation System (HVTIS). We arerequired to publish this notice in theFederal Register by the PaperworkReduction Act of 1995.DATES: Please submit comments byDecember 29, 2000.ADDRESSES: You may mail or handdeliver comments to the U.S.Department of Transportation, DocketsManagement Facility, Room PL–401,400 Seventh Street, SW., Washington,DC 20590; telefax comments to 202/493–2251; or submit electronically athttp://dmses.dot.gov/submit. Allcomments should include the docketnumber in this notice’s heading. Allcomments may be examined and copiedat the above address from 9 a.m. to 5p.m., e.t., Monday through Friday,except Federal holidays. If you desire areceipt you must include a self-addressed stamped envelope or postcard

or, if you submit your commentselectronically, you may print theacknowledgment page.FOR FURTHER INFORMATION CONTACT: Mr.Ed Kashuba, 202–366–0160, Office ofHighway Policy Information, PolicyService Business Unit, Federal HighwayAdministration, Department ofTransportation, 400 7th Street, SW.,Washington, DC 20590–0001. Officehours are from 6:45 a.m. to 4:15 p.m.,Monday through Friday, except Federalholidays.SUPPLEMENTARY INFORMATION:

Title: Heavy Vehicle TravelInformation System (HVTIS).

Background: Title 49, United StatesCode, Section 301, authorizes the DOTto collect statistical information relevantto domestic transportation. Title 23,United States Code, Section 307,authorizes the DOT to engage in studiesto collect data for planning futurehighway programs. The FHWA isdeveloping the HVTIS to house data thatwould be used to analyze the amount



and nature of truck travel at the nationaland regional levels. The informationwould be used by the FHWA and otherDOT administrations to evaluatechanges in truck travel in order to assessimpacts on highway safety; the role oftravel in economic productivity;impacts of changes in truck travel oninfrastructure condition; andmaintaining our mobility whileprotecting the human and naturalenvironment. The increasingdependence on truck transport requiresthat data be available to better assess itsoverall contribution to the Nation’swell-being. In conducting the datacollection, the FHWA will be requestingthat State Departments ofTransportation provide periodicreporting of vehicle classification andweight data which they collect as partof their existing traffic data collectionprograms. The majority of States collectthis vehicle weight data periodicallythroughout the year using weigh-in-motion devices and also collect vehicleclassification data continuously. Thedata will allow transportationprofessionals at the Federal, state andmetropolitan levels to make informeddecisions about policies and plans.

Respondents: 51 State TransportationDepartments, including the District ofColumbia.

Frequency: It is proposed thatcontinuous vehicle classification data bereported on a monthly basis to assuretimely information that can becompared to monthly reports ofeconomic activity. Based on datacollection practices in common use bythe State Transportation Departments, itis proposed that data collected usingweigh-in-motion devices be submittedto FHWA annually.

Estimated Average Burden perResponse: The average StateTransportation Department operates 40continuous vehicle classificationinstallations as well as 10 weigh-in-motion sites. It is estimated that theadditional processing necessary to make48 hours of weigh-in-motion dataavailable to FHWA would be 6 minutesper site per year and that processing onemonth of vehicle classification datawould take 5 minutes per site permonth.

Estimated Total Annual BurdenHours: 41 per State; 2,091 total.

Public Comments Invited: You areasked to comment on any aspect of thisinformation collection, including: (1)Whether the proposed collection isnecessary for the FHWA’s performance;(2) the accuracy of the estimatedburdens; (3) ways for the FHWA toenhance the quality, usefulness, andclarity of the collected information; and

(4) ways that the burdens could beminimized, including use of electronictechnology, without reducing thequality of the collected information. Theagency will summarize and/or includeyour comments in the request for OMB’sclearance of this information collection.

Electronic Access: Internet users mayaccess all comments received by theU.S. DOT Dockets, Room PL–401, byusing the universal resource locator(URL): http://dms.dot.gov. It is available24 hours each day, 365 days each year.Please follow the instructions online formore information and help. Anelectronic copy of this document may bedownloaded using a modem andsuitable communications software fromthe Government Printing OfficeElectronic Bulletin Board Service attelephone number 202–512–1661.Internet users may reach the FederalRegister’s home page at http://www.nara.gov/fedreg and theGovernment Printing Office’s databaseat http://www.access.gpo.gov/nara.

Authority: The Paperwork Reduction Actof 1995; 44 U.S.C. Chapter 35, as amended;and 49 CFR 1.48.

Issued on: October 24, 2000.James R. Kabel,Chief, Management Programs and AnalysisDivision.[FR Doc. 00–27725 Filed 10–27–00; 8:45 am]BILLING CODE 4910–22–P


Federal Highway Administration

Environmental Impact Statement:Santa Rosa, Sonoma County;California

AGENCY: Federal HighwayAdministration (FHWA), DOT.ACTION: Notice of Intent.

SUMMARY: The FHWA is issuing thisnotice to advise the public that anEnvironmental Impact Statement will beprepared for a proposed highway projectin Santa Rosa, Sonoma County,California.

FOR FURTHER INFORMATION CONTACT: Mr.C. Glenn Clinton, Team Leader, ProjectDelivery Team, Federal HighwayAdministration, 980 9th Street,Sacramento, California 95814–2724,Telephone: (916) 498–5020.SUPPLEMENTARY INFORMATION: TheFHWA, in cooperation with theCalifornia Department of Transportation(Caltrans), will prepare anenvironmental impact statement (EIS)for a proposal to construct a medianwidening to accommodate a high

occupancy vehicle lane (HOV) throughthe City of Santa Rosa, Sonoma County,California. State Route 101, completedin the 1960’s, is a major link in theinterregional road system, and the mostimportant north-south route withinSonoma County. The level of service(LOS) on the 4.5 kilometer (2.7 mile)stretch of four lane freeway throughdowntown Santa Rosa between theRoute 12/101 interchange and the SteeleLane Interchange has deteriorated,leading to traffic delays. This is causedby accidents, vehicle breakdowns, andprincipally by congestion. A recentstudy by Caltrans’ Office of HighwayOperations shows that LOS on thissection is at the lowest level. This isindicated by traffic at roadway capacity,when speeds may drop to zero withhigh densities. Average speed is lessthan 25 miles per hour withconsiderable delays. The continuedmaintenance and operation of Route 101as an efficiently operating mainlinefacility will be further impacted byincreasing congestion if steps are nottaken to improve its operation.

Alternatives currently underconsideration are: (1) Widening into themedian to accommodate HOV lanes ineach direction, as well as auxiliarylanes, ramp widening, alteration orreplacement of the bridge spanningSanta Rosa Creek and modification ofintersection at ramp termini and (2) notconstructing the project. If this project isapproved, construction will begin inlate 2004 and continue through 2007.The primary objective for this proposedproject is to improve the travel times,increase safety, and reduce congestionon a major regional connector.

Because this project has been underconsideration for several years, aprevious scoping meeting was held onOctober 27, 1999, to present projectproposals to the public. Since thedecision to prepare an EnvironmentalImpact Statement was made, a newscoping meeting has been scheduled forNovember 29, 2000, as is required bythe National Environmental Policy Act(NEPA). The new public meeting will beheld at Santa Rosa Middle School,between 5:00 and 8:00 p.m., so that thepublic may review the alternative underconsideration and provide writtencomments if desired. A public hearingwill be held later in the environmentalprocess, after the Draft EnvironmentalImpact Statement is completed.

Issued on: October 24, 200.C. Glenn Clinton,Team Leader, Program Delivery Team, NorthSacramento, California.[FR Doc. 00–27756 Filed 10–27–00; 8:45 am]BILLING CODE 4910–22–M




National Highway Traffic SafetyAdministration

[Docket No. NHTSA 2000–7616; Notice 2]

Piaggio & c., S.p.A.; Grant ofApplication for Temporary ExemptionFrom Federal Motor Vehicle SafetyStandard No. 123

This notice grants the application byPiaggo & c., S.p.A. (‘‘Piaggio’’), an Italiancorporation, of Pontedera, Italy, for atemporary exemption of two years froma requirement of S5.2.1 (Table 1) ofFederal Motor Vehicle Safety StandardNo. 123 Motorcycle Controls andDisplays. The basis of the request wasthat ‘‘compliance with the standardwould prevent the manufacturer fromselling a motor vehicle with an overallsafety level at least equal to the overallsafety level of nonexempt vehicles,’’ 49U.S.C. 30113(b)(3)(B)(iv).

Notice of receipt of the applicationwas published on July 17, 2000, and anopportunity afforded for comment (65FR 44093).

Piaggio applied on behalf of its VespaET4 (125 and 150 cc) motor scooters.The scooters are defined as‘‘motorcycles’’ for purposes ofcompliance with the Federal motorvehicle safety standards. If a motorcycleis produced with rear wheel brakes,S5.2.1 of Standard No. 123 requires thatthe brakes be operable through the rightfoot control (the left handlebar ispermissible only for a motor drivencycle (Item 11, Table 1), i.e., amotorcycle with a motor that produces5 brake horsepower or less).

Piaggio petitioned that it be allowedto use the left handlebar as the controlfor the rear brakes of its Vespa ET4,which is a motorcycle and not a motordriven cycle. The model features anautomatic clutch that eliminates the left-hand clutch lever as well as any left-footgearshift lever. According to Piaggio,‘‘the motor scooter is therefore verysimilar to a bicycle, both in ergonomicstance and operation.’’ The model willfeature a hand-actuated lever on the lefthandlebar that will actuate the rearbrake, and a hand-actuated lever on theright handlebar that will control thefront brake.

Piaggio argued that the overall level ofsafety of the scooters equals or exceedsthat of a motorcycle that complies withthe brake control location requirementof Standard No. 123. The Vespa ET4 isequipped with disc brakes on the frontwheels, and ‘‘easily meets and exceedsall the performance requirements ofFMVSS 122’’ for motorcycle brakesystems. The vehicle meets the braking

performance requirements of ECE 93/14as well.

Piaggio averred that no other countryin Europe, Japan, or elsewhere in Asiarequires scooters to be equipped with aright foot-operated brake control. Absentan exemption, then, Piaggio will beunable to sell the Vespa ET4 in theUnited States. Piaggio ‘‘is in the processof introducing a complete modificationof the Vespa braking system to conformwith FMVSS 123,’’ and intends tocomplete its development work duringthe two-year period that its exemptionwould be in effect.

Piaggio will not sell more than 2,500scooters a year while an exemption is ineffect. The exemption would coverModel Year 2001 and 2002 vehicles.The company believes that anexemption would be consistent with theobjectives of traffic safety because thevehicle provides ‘‘for much morenatural braking response by the riderthan non-exempt vehicles.’’ Extendeduse in Europe and the rest of the worldhas not resulted in either consumergroups or governmental authoritiesraising any safety concerns. Theexemption would also be in the publicinterest because it is ‘‘environmentallyclean and fuel efficient * * *convenient urban transportation.’’

We received five comments, allsupporting granting Piaggo’sapplication.

Piaggio’s request is not a new one, aswe have exempted three othermotorcycle manufacturers from S5.2.1(Aprilia, 64 FR 44262, re-issued at 65 FR1225; Vectrix, 64 FR 45585; and Italjet,64 FR 58127). Our concern about a lackof standardization of the rear brakecontrol for scooter-type vehicles wasaddressed by Aprilia in its petitionwhich included a report on‘‘Motorscooter Braking Control Study,’’available for examination in Docket No.NHTSA–99–4357. This report indicatedthat test subjects’ brake reaction timesusing a vehicle configured like Piaggio’swere approximately 20% quicker thantheir reaction times on the conventionalmotorcycle. We interpreted the report asindicating that a rider’s brakingresponse is not likely to be degraded bythe different placement of brakecontrols, and cited it in granting thesimilar petition by Vectrix. In Piaggio’scase, the favorable comments appear tosustain our previous conclusions. Weintend to initiate rulemaking to amendStandard No. 123 to address the locationof the brake control on vehicles withautomatic transmissions, such as thepetitioner manufactures.

With respect to the public interest andthe objectives of motor vehicle safety,the overall level of safety, as Piaggio

argues, appears at least equal to that ofvehicles certified to comply withStandard No. 123. We note that thevehicle meets the braking performancerequirements of ECE 93/14 as well. Thecomments make convincing argumentsthat an exemption would be in thepublic interest by making available acompact, fuel-efficient vehicle for urbanuse that would not otherwise beavailable without an exemption.

In consideration of the foregoing, wehereby find that Piaggio has met itsburden of persuasion that, to requirecompliance with Standard No. 123would prevent the manufacturer fromselling a motor vehicle with an overalllevel of safety at least equal to theoverall safety level of nonexemptvehicles. We further find that atemporary exemption is in the publicinterest and consistent with theobjectives of motor vehicle safety.Accordingly, Piaggio & c. S.p.A. ishereby granted NHTSA TemporaryExemption No. EX2000–3 from therequirements of item 11, Column 2,Table 1 of 49 CFR 571.123 Standard No.123 Motorcycle Controls and Displays,that the rear wheel brakes be operablethrough the right foot control. Thisexemption applies only to the VespaET4 and will expire on October 1, 2002.

Issued on October 23, 2000.Sue Bailey,Administrator.[FR Doc. 00–27724 Filed 10–27–00; 8:45 am]BILLING CODE 4910–59–P


Surface Transportation Board

[STB Docket No. AB–55 (Sub–No. 581X)]

CSX Transportation, Inc.—Abandonment Exemption—in Fayetteand Raleigh Counties, WV

CSX Transportation, Inc. (CSXT) hasfiled a verified notice of exemptionunder 49 CFR 1152 Subpart F—ExemptAbandonments to abandon a line ofrailroad between milepost CAX0.0, nearMill Creek Junction, and milepostCAX4.8, near Garden Ground, a distanceof approximately 4.8 miles, in Fayetteand Raleigh Counties, WV (line). Theline traverses United States PostalService Zip Code 25880 (and possibly25906).

CSXT has certified that: (1) No localtraffic has moved over the line for atleast 2 years; (2) there is no overheadtraffic on the line; (3) no formalcomplaint filed by a user of rail serviceon the line (or by a state or localgovernment agency acting on behalf of



1 The Board will grant a stay if an informeddecision on environmental issues (whether raisedby a party or by the Board’s Section ofEnvironmental Analysis in its independentinvestigation) cannot be made before theexemption’s effective date. See Exemption of Out-of-Service Rail Lines, 5 I.C.C.2d 377 (1989). Anyrequest for a stay should be filed as soon as possibleso that the Board may take appropriate action beforethe exemption’s effective date.

2 Each offer of financial assistance must beaccompanied by the filing fee, which currently isset at $1000. See 49 CFR 1002.2(f)(25).

1 Pursuant to 49 CFR 1150.50(d)(2), the railroadmust file a verified notice with the Board at least50 days before the abandonment or discontinuanceis to be consummated. While the applicant initiallyindicated a proposed consummation date ofNovember 28, 2000, because the verified notice wasfiled on October 10, 2000, consummation may nottake place prior to November 29, 2000. Applicant’srepresentative has subsequently confirmed that thecorrect consummation date is on or after November29, 2000.

2 The Board will grant a stay if an informeddecision on environmental issues (whether raisedby a party or by the Board’s Section ofEnvironmental Analysis in its independentinvestigation) cannot be made before theexemption’s effective date. See Exemption of Out-of-Service Rail Lines, 5 I.C.C.2d 377 (1989). Anyrequest for a stay should be filed as soon as possibleso that the Board may take appropriate action beforethe exemption’s effective date.

3 Each offer of financial assistance must beaccompanied by the filing fee, which currently isset at $1000. See 49 CFR 1002.2(f)(25).

such user) regarding cessation of serviceover the line is either pending with theSurface Transportation Board (Board) orany U.S. District Court or has beendecided in favor of complainant withinthe 2-year period; and (4) therequirements at 49 CFR 1105.7(environmental reports), 49 CFR 1105.8(historic reports), 49 CFR 1105.11(transmittal letter), 49 CFR 1105.12(newspaper publication), and 49 CFR1152.50(d)(1) (notice to governmentalagencies) have been met.

As a condition to this exemption, anyemployee adversely affected by theabandonment shall be protected underOregon Short Line R. Co.—Abandonment—Goshen, 360 I.C.C. 91(1979). To address whether thiscondition adequately protects affectedemployees, a petition for partialrevocation under 49 U.S.C. 10502(d)must be filed. Provided no formalexpression of intent to file an offer offinancial assistance (OFA) has beenreceived, this exemption will beeffective on November 29, 2000, unlessstayed pending reconsideration.Petitions to stay that do not involveenvironmental issues,1 formalexpressions of intent to file an OFAunder 49 CFR 1152.27(c)(2),2 and trailuse/rail banking requests under 49 CFR1152.29 must be filed by November 9,2000. Petitions to reopen or requests forpublic use conditions under 49 CFR1152.28 must be filed by November 20,2000, with the Surface TransportationBoard, Office of the Secretary, CaseControl Unit, 1925 K Street, N.W.,Washington, DC 20423–0001.

A copy of any petition filed with theBoard should be sent to applicant’srepresentative: Natalie S. Rosenberg,Esq., CSX Transportation, Inc., 500Water Street, J150, Jacksonville, FL32202. If the verified notice containsfalse or misleading information, theexemption is void ab initio.

CSXT has filed an environmentalreport which addresses theabandonment’s effects, if any, on theenvironment and historic resources. TheSection of Environmental Analysis(SEA) will issue an environmentalassessment (EA) by November 3, 2000.Interested persons may obtain a copy of

the EA by writing to SEA (Room 500,Surface Transportation Board,Washington, DC 20423–0001) or bycalling SEA, at (202) 565–1545.Comments on environmental andhistoric preservation matters must befiled within 15 days after the EAbecomes available to the public.

Environmental, historic preservation,public use, or trail use/rail bankingconditions will be imposed, whereappropriate, in a subsequent decision.

Pursuant to the provisions of 49 CFR1152.29(e)(2), CSXT shall file a notice ofconsummation with the Board to signifythat it has exercised the authoritygranted and fully abandoned the line. Ifconsummation has not been effected byCSXT’s filing of a notice ofconsummation by October 30, 2001, andthere are no legal or regulatory barriersto consummation, the authority toabandon will automatically expire.

Board decisions and notices areavailable on our website at‘‘WWW.STB.DOT.GOV.’’

Decided: October 19, 2000.By the Board, David M. Konschnik,

Director, Office of Proceedings.Vernon A. Williams,Secretary.[FR Doc. 00–27562 Filed 10–27–00; 8:45 am]BILLING CODE 4915–00–P


Surface Transportation Board

[STB Docket No. AB–183 (Sub–No. 3X)]

Union Railroad Company—Abandonment Exemption—inAllegheny County, PA

Union Railroad Company (URR) hasfiled a notice of exemption under 49CFR 1152 Subpart F—ExemptAbandonments and Discontinuances toabandon and discontinue service overits line of railroad known as the RankinBranch extending from point of switchSurvey Station 158+50 of Turnout MU–18, and extending from that point overand across the Rankin Hot Metal Bridgeto a rail connection with the Railroad’sso-called Wildcat Track at SurveyStation 48+35 in the Borough of Rankin,Allegheny County, PA, a distance of0.89 miles.1 The line traverses United

States Postal Service Zip Codes 15120and 15104.

URR has certified that: (1) No localtraffic has moved over the line for atleast 2 years; (2) there is no overheadtraffic on the line; (3) no formalcomplaint filed by a user of rail serviceon the line (or by a state or localgovernment entity acting on behalf ofsuch user) regarding cessation of serviceover the line either is pending with theSurface Transportation Board (Board) orwith any U.S. District Court or has beendecided in favor of complainant withinthe 2-year period; and (4) therequirements at 49 CFR 1105.7(environmental reports), 49 CFR 1105.8(historic reports), 49 CFR 1105.11(transmittal letter), 49 CFR 1105.12(newspaper publication), and 49 CFR1152.50(d)(1) (notice to governmentalagencies) have been met.

As a condition to this exemption, anyemployee adversely affected by theabandonment shall be protected underOregon Short Line R. Co.—Abandonment—Goshen, 360 I.C.C. 91(1979). To address whether thiscondition adequately protects affectedemployees, a petition for partialrevocation under 49 U.S.C. 10502(d)must be filed. Provided no formalexpression of intent to file an offer offinancial assistance (OFA) has beenreceived, this exemption will beeffective on November 29, 2000, unlessstayed pending reconsideration.Petitions to stay that do not involveenvironmental issues,2 formalexpressions of intent to file an OFAunder 49 CFR 1152.27(c)(2),3 and trailuse/rail banking requests under 49 CFR1152.29 must be filed by November 9,2000. Petitions to reopen or requests forpublic use conditions under 49 CFR1152.28 must be filed by November 20,2000, with: Surface TransportationBoard, Office of the Secretary, CaseControl Unit, 1925 K Street, NW.,Washington, DC 20423.

A copy of any petition filed with theBoard should be sent to applicant’srepresentative: Christopher T. Como,Attorney and Assistant Secretary, UnionRailroad Company, 135 Jamison Lane,Monroeville, PA 15146.



If the verified notice contains false ormisleading information, the exemptionis void ab initio.

URR has filed an environmentalreport which addresses theabandonment’s effects, if any, on theenvironment and historic resources. TheSection of Environmental Analysis(SEA) will issue an environmentalassessment (EA) by November 3, 2000.Interested persons may obtain a copy ofthe EA by writing to SEA (Room 500,Surface Transportation Board,Washington, DC 20423) or by callingSEA, at (202) 565–1545. Comments onenvironmental and historic preservationmatters must be filed within 15 daysafter the EA becomes available to thepublic.

Environmental, historic preservation,public use, or trail use/rail bankingconditions will be imposed, whereappropriate, in a subsequent decision.

Pursuant to the provisions of 49 CFR1152.29(e)(2), URR shall file a notice ofconsummation with the Board to signifythat it has exercised the authoritygranted and fully abandoned the line. Ifconsummation has not been effected byURR’s filing of a notice ofconsummation by October 30, 2001, andthere are no legal or regulatory barriersto consummation, the authority toabandon will automatically expire.

Decided: October 19, 2000.By the Board, David M. Konschnik,

Director, Office of Proceedings.Vernon A. Williams,Secretary.[FR Doc. 00–27440 Filed 10–27–00; 8:45 am]BILLING CODE 4915–00–P

DEPARTMENT OF THE TREASURY

Departmental Offices; ProposedCollections; Comment Requests

ACTION: Notice and request forcomments.

SUMMARY: The Department of theTreasury, as part of its continuing effortto reduce paperwork burdens, invitesthe general public and other Federalagencies to comment on twoinformation collections that are due forrenewed approval by the Office ofManagement and Budget. The Office ofInternational Financial Analysis withinthe Department of the Treasury issoliciting comments concerningTreasury International Capital Form BL–3, Intermediary’s Notification of ForeignBorrowing Denominated in Dollars; andTreasury International Capital FormCM, Dollar Deposit and Certificate ofDeposit Claims on Banks Abroad.

DATES: Written comments should bereceived on or before December 29,2000, to be assured of consideration.ADDRESSES: Direct all written commentsto Dwight Wolkow, Administrator,International Portfolio Investment DataReporting Systems, Department of theTreasury, Room 5205 MT, 1500Pennsylvania Avenue, NW, Washington,DC 20220.FOR FURTHER INFORMATION CONTACT:Requests for additional information orcopies of the forms and instructionsshould be directed to Dwight Wolkow,Administrator, International PortfolioInvestment Data Systems, Department ofthe Treasury, Room 5205 MT, 1500Pennsylvania Avenue, NW, Washington,DC 20220, Ph: (202) 622–1276, Fax (202)622–7448.SUPPLEMENTARY INFORMATION: Titles:Treasury International Capital Form BL–3, Intermediary’s Notification of ForeignBorrowing Denominated in Dollars; andTreasury International Capital FormCM, Dollar Deposit and Certificate ofDeposit Claims on Banks Abroad.

OMB Numbers: 1505–0088 and 1505–0023.

Abstracts: Forms BL–3 and CM arepart of the Treasury InternationalCapital (TIC) reporting system, which isrequired by law (22 U.S.C. 286f; 22U.S.C. 3103; EO 10033; 31 CFR 128),and are designed to collect timelyinformation on international portfoliocapital movements. Form BL–3 is amonthly report used to strengthencompliance with existing TIC reportingrequirements, whereby a U.S. bankadvises its domestic nonbank customersof their responsibilities to report asliabilities on TIC Form CQ–1 their loansfrom foreigners that the bank will notinclude among its reportable custodyliabilities to foreigners on TIC Form BL–2. Form CM is a monthly reportwhereby nonbanking enterprises in theU.S. report their total dollar deposit andcertificate of deposit claims on foreignbanks. This information is necessary forcompiling the U.S. balance of paymentsaccounts, for calculating the U.S.international investment position, andfor use in formulating U.S. internationalfinancial and monetary policies.

Current Actions: No changes toreporting requirements for either formare proposed at this time.

Type of Review: Extensions.Affected Public: Business or other for-

profit organizations.Form BL–3 (1505–0088).Estimated Number of Respondents:

25.Estimated Average Time per

Respondent: 30 minutes per respondentper filing.

Estimated Total Annual BurdenHours: 150 hours, based on twelvereporting periods per year.

Form CM (1505–0023).Estimated Number of Respondents: 55Estimated Average Time per

Respondent: 30 minutes per respondentper filing.

Estimated Total Annual BurdenHours: 330 hours, based on twelvereporting periods per year.

Request for Comments

Comments submitted in response tothis notice will be summarized and/orincluded in the requests for OMBapproval. All comments will become amatter of public record. The public isinvited to submit written commentsconcerning: whether Forms BL–3 andCM are necessary for the properperformance of the functions of theOffice, including whether theinformation collected has practical uses;the accuracy of the above burdenestimates; ways to enhance the quality,usefulness, and clarity of theinformation to be collected; ways tominimize the reporting and/orrecordkeeping burdens on respondents,including the use of informationtechnologies to automate the collectionof the data; and estimates of capital orstart-up costs of operation, maintenance,and purchases of services to provideinformation.

Dwight Wolkow,Administrator, International PortfolioInvestment Data Systems.[FR Doc. 00–27709 Filed 10–27–00; 8:45 am]BILLING CODE 4810–25–M

DEPARTMENT OF VETERANSAFFAIRS

Veterans’ Advisory Committee onEnvironmental Hazards, Notice ofMeeting

The Department of Veterans Affairs(VA) gives notice under Public Law 92–463 that a meeting of the Veterans’Advisory Committee on Environmentalhazards will be held on Wednesday andThursday, November 29–30, 2000, inroom 430 of VA Central Office, 810Vermont Avenue, N.W., Washington,DC 20420. The meting will convene at9:00 a.m. and adjourn at 5:00 p.m. onboth days.

The purpose of the meeting is toreview information relating to the healtheffects of exposure to ionizing radiation.The major items on the agenda for bothdays will be discussions and analyses ofmedical and scientific papersconcerning the health effects of



exposure to ionizing radiation. On thebasis of their analyses and discussions,the Committee may makerecommendations to the Secretaryconcerning diseases that are the result ofexposure to ionizing radiation. Theagenda for the second day will includeplanning future Committee activitiesand assignment of tasks among themembers.

The meeting is open to the public onboth days. Those who wish to attendshould contact Ersie Farber-Collins of

the Department of Veterans Affairs,Compensation and Pension Service, 810Vermont Avenue, N.W., Washington,DC 20420, prior to November 27, 2000.Ms. Farber-Collins may also be reachedat 202–273–7268.

Members of the public may submitwritten questions or preparedstatements for review by the AdvisoryCommittee in advance of the meeting.Submitted material must be received atleast five (5) days prior to the meetingand should be sent to Ms. Farber-

Collins’ attention at the address givenabove. Those who submit material maybe asked to clarify it prior to itsconsideration by the AdvisoryCommittee.

Dated: October 23, 2000.By Direction of the Secretary.

Marvin Eason,Committee Management Officer.[FR Doc. 00–27727 Filed 10–27–00; 8:45 am]



Monday,

October 30, 2000

Part II

EnvironmentalProtection AgencyFinal Reissuance of National PollutantDischarge Elimination System (NPDES)Storm Water Multi-Sector General Permitfor Industrial Activities; Notice




[FRL–6880–5]

Final Reissuance of National PollutantDischarge Elimination System(NPDES) Storm Water Multi-SectorGeneral Permit for Industrial Activities

AGENCY: Environmental ProtectionAgency (EPA).ACTION: Notice of Final NPDES generalpermit.

SUMMARY: The Regional Administratorsof EPA Regions 1, 2, 3, 4, 6, 8, 9 and10 are today reissuing EPA’s NPDESStorm Water Multi-Sector GeneralPermit (MSGP). This general permit wasfirst issued on September 29, 1995 (60FR 50804), and amended on February 9,1996 (61 FR 5248), February 20, 1996(61 FR 6412), September 24, 1996 (61FR 50020), August 7, 1998 (63 FR42534) and September 30, 1998 (63 FR52430). The reissuance of the MSGP wasproposed by EPA on March 30, 2000 (65FR 17010). Today’s final MSGP willauthorize the discharge of storm waterfrom industrial facilities consistent withthe terms of the permit.DATES: This MSGP shall be effective onOctober 30, 2000. This effective date isnecessary to provide dischargers withthe immediate opportunity to complywith Clean Water Act requirements inlight of the expiration of the existingMSGP on October 1, 2000. Deadlines forsubmittal of notices of intent areprovided in Section VI.A.2 of this factsheet and Part 2.1 of the MSGP. Today’sMSGP also provides additional dates forcompliance with the terms of thepermit.

ADDRESSES: The index to theadministrative record for the finalMSGP is available at the appropriateRegional Office or from the EPA WaterDocket Office in Washington, DC. Theadministrative record, includingdocuments immediately referenced inthis reissuance notice and applicabledocuments used to support the originalissuance of the MSGP in 1995, arestored at the EPA Water Docket Officeat the following address: Water Docket,MC–4101, U.S. EPA, 401 M Street SW,room EB57, Washington, DC 20460. Therecords are available for inspection from9 a.m. to 4 p.m., Monday throughFriday, excluding legal holidays. Forappointments to examine any portion ofthe administrative record, please callthe Water Docket Office at (202) 260–3027. A reasonable fee may be chargedfor copying. Specific record informationcan also be made available at the

appropriate Regional Office uponrequest.FOR FURTHER INFORMATION CONTACT: Forfurther information on the final MSGP,contact the appropriate EPA RegionalOffice. The name, address and phonenumber of the EPA Regional StormWater Coordinators are provided inSection VI.F of this fact sheet.Information is also available through theInternet on EPA’s Office of WastewaterManagement website at http://www.epa.gov/owm/sw.SUPPLEMENTARY INFORMATION: Thefollowing fact sheet providesbackground information andexplanation for today’s notice of finalMSGP reissuance, including a summaryResponse to Comments regarding thecomments which were received on theproposed MSGP. The actual language ofthe final MSGP appears after this factsheet.

Fact Sheet

Table of Contents

I. BackgroundA. Pollutants in Storm Water Discharges

Associated with Industrial Activities inGeneral

B. Summary of Options for ControllingPollutants

C. The Federal/Municipal Partnership: TheRole of Municipal Operators of Large andMedium Municipal Separate StormSewer Systems

II. Organization of Final MSGP and Summaryof Changes From the 1995 MSGP and theMarch 30, 2000 Proposed MSGP

III. Geographic Coverage of Final MSGPIV. Categories of Facilities Covered by Final

MSGPV. Limitations on Coverage

A. Storm Water Discharges Subject toEffluent Guidelines Limitations,Including New Source PerformanceStandards

B Historic PreservationC. Endangered SpeciesD. New Storm Water Discharges to Water

Quality-Impaired or Water Quality-Limited Receiving Waters

E. Storm Water Discharges Subject to Anti-Degradation Provisions of Water QualityStandards

F. Storm Water Discharges PreviouslyCovered by an Individual Permit

G. Requiring Coverage Under an IndividualPermit or an Alternate General Permit

VI. Summary of Common Permit ConditionsA. Notification Requirements1. Content of NOI2. Deadlines3. Municipal Separate Storm Sewer System

Operator Notification4. Notice of Termination5. Conditional Exclusion for No ExposureB. Special Conditions1. Prohibition of Non-storm Water

Discharges2. Releases of Reportable Quantities of

Hazardous Substances and Oil

3. Co-located Industrial Facilities4. Numeric Effluent Limitations5. Compliance with Water Quality

StandardsC. Common Storm Water Pollution

Prevention Plan (SWPPP) Requirements1. Pollution Prevention Team2. Description of the Facility and Potential

Pollution Sources3. Selection and Implementation of Storm

Water Controls4. DeadlinesD. Special Requirements1. Special Requirements for Storm Water

Discharges Associated With IndustrialActivity From Facilities Subject toEPCRA Section 313 Requirements

2. Special Requirements for Storm WaterDischarges Associated With IndustrialActivity From Salt Storage Facilities

3. Consistency With Other PlansE. Monitoring and Reporting Requirements1. Analytical Monitoring Requirements2. Compliance Monitoring3. Alternate Certification4. Reporting and Retention Requirements5. Sample Type6. Representative Discharge7. Sampling Waiver8. Quarterly Visual Examination of Storm

Water QualityF. Regional Offices1. Notice of Intent Address2. EPA Regional Office Addresses and

ContactsVII. Cost Estimates For Common Permit

RequirementsVIII. Special Requirements for Discharges

Associated With Specific IndustrialActivities

IX. Summary of Responses to Comments onthe Proposed MSGP

X. Economic Impact (Executive Order 12866)XI. Unfunded Mandates Reform ActXII. Paperwork Reduction ActXIII. Regulatory Flexibility Act

I. Background

The Regional Administrators of EPARegions 1, 2, 3, 4, 6, 8, 9 and 10 aretoday reissuing EPA’s NPDES StormWater Multi-Sector General Permit(MSGP). The MSGP currently authorizesstorm water discharges associated withindustrial activity for most areas of theUnited States where the NPDES permitprogram has not been delegated. TheMSGP was originally issued onSeptember 29, 1995 (60 FR 50804), andamended on February 9, 1996 (61 FR5248), February 20, 1996 (61 FR 6412),September 24, 1996 (61 FR 50020),August 7, 1998 (63 FR 42534) andSeptember 30, 1998 (63 FR 52430). Theproposed reissuance of the MSGPappeared in the Federal Register onMarch 30, 2000 (65 FR 17010).

The 1995 MSGP was the culminationof the group permit application processdescribed at 40 CFR 122.26(c)(2). Agroup permit application was one ofthree options for obtaining an NPDESindustrial storm water permit which



were provided by the 1990 storm waterpermit application regulations (55 FR48063). The 1990 regulations alsoprovided that industrial facilities couldapply for coverage under an existinggeneral NPDES permit or apply for anindividual permit. In 1992, EPA issueda baseline general permit (57 FR 41175and 57 FR 44412) to cover industrialfacilities which did not select the groupapplication option or submit anapplication for an individual permit.

In response to the group applicationoption, EPA received applications fromapproximately 1,200 groupsrepresenting nearly all of the categoriesof industrial facilities listed in the stormwater regulations at 40 CFR122.26(b)(14). To facilitate permitissuance for the group applications, EPAconsolidated the groups into 29industrial sectors, with subsectors alsoincluded in certain sectors asappropriate.

In developing the requirements for the1995 MSGP, EPA utilized and builtupon the storm water pollution controlrequirements of the 1992 baselinegeneral permit. The baseline permit hadrequired a storm water pollutionprevention plan (SWPPP) with genericbest management practice (BMP)requirements which applied to allfacilities covered by the permit. Inaddition, certain categories of facilitieswere required to monitor storm waterdischarges based on EPA’s bestprofessional judgment concerning therisks posed by the facilities.

The group permit applicationsincluded information concerning thespecific types of operations which arepresent at the different types ofindustrial facilities, potential sources ofpollutants at the facilities, industry-specific BMPs which are available, andmonitoring data from the different typesof facilities. Using this information, EPAdeveloped SWPPP requirements for theMSGP which consisted of the genericrequirements of the baseline permit plusindustry-specific requirementsdeveloped from the group applicationinformation. Also, the monitoringrequirements of the 1995 MSGP weredeveloped using the monitoring datasubmitted with the group applicationsrather than EPA’s best professionaljudgment.

On September 30, 1998 (63 FR 52430),EPA terminated the baseline generalpermit and required facilities whichwere previously covered by the baselinepermit to seek coverage under the MSGP(or submit an individual permitapplication). EPA believed that theMSGP, with its industry-specificrequirements, would provide improved

water quality benefits as compared tothe baseline permit.

For today’s reissuance of the MSGP,EPA has re-evaluated the industry-specific requirements of the MSGP. In afew instances, additional requirementshave been included based on newinformation which has been obtainedsince the original MSGP issuance in1995. These changes are discussed inmore detail in Section VIII of this factsheet, and in the Response toComments. EPA also re-evaluated themonitoring requirements of the existingMSGP. However, after review of thecomments received from the public, andthe monitoring data received during theterm of the 1995 MSGP, EPA hasretained the same monitoringrequirements for the reissued MSGP aswere found in the 1995 MSGP.

A. Pollutants in Storm Water DischargesAssociated With Industrial Activities inGeneral

The volume and quality of stormwater discharges associated withindustrial activity will depend on anumber of factors, including theindustrial activities occurring at thefacility, the nature of the precipitation,and the degree of surfaceimperviousness. A discussion of thesefactors was provided in the fact sheet forthe original proposed MSGP (58 FR61146 Nov. 19, 1993), and is not beingrepeated here.

B. Summary of Options for ControllingPollutants

Pollutants in storm water dischargesfrom industrial plants may be reducedusing the following methods:Eliminating pollution sources,implementing BMPs to preventpollution, using traditional storm watermanagement practices, and providingend-of-pipe treatment. A generaldiscussion of each of these wasincluded in the original proposed MSGP(58 FR 61146, Nov. 19, 1993), and is notbeing repeated here.

C. The Federal/Municipal Partnership:The Role of Municipal Operators ofLarge and Medium Municipal SeparateStorm Sewer Systems

A key issue in developing a workableregulatory program for controllingpollutants in storm water dischargesassociated with industrial activity is theproper use and coordination of limitedregulatory resources. This is especiallyimportant when addressing theappropriate role of municipal operatorsof large and medium municipal separatestorm sewer systems in the control ofpollutants in storm water associatedwith industrial activity which discharge

through municipal separate storm sewersystems. The original proposed MSGPdiscussed several key policy factors (see58 FR 61146).

II. Organization of Final MSGP andSummary of Changes From the 1995MSGP and the March 30, 2000Proposed MSGP

The organization of today’s finalMSGP has been revised from the 1995MSGP to reduce the overall size of thepermit. In Part XI of the 1995 MSGP,many requirements such as SWPPP andmonitoring requirements which werecommon to each sector were repeated ineach sector, greatly adding to length ofthe permit. For today’s reissuance, suchrequirements are found only once inexpanded sections of the permit (Parts4 and 5) which include requirementscommon to each sector. Requirementswhich are genuinely unique to a givensector or subsector are found in Part 6in the permit. Similarly, Section VIII ofthe fact sheet for the 1995 MSGPrepeated certain explanatoryinformation in the discussions of sector-specific requirements, and also includedconsiderable descriptive informationabout the various sectors. To reduce thelength of today’s notice, most of thisinformation is not being repeated.Section VIII of today’s fact sheet focuseson the changes (if any) in the varioussectors. The reorganization andreduction of duplication have reducedthe size of the permit by approximately75%.

Also note that the section/paragraphidentification scheme of today’s finalMSGP has been modified from the 1995MSGP. The original scheme utilized asometimes lengthy combination ofnumbers, letters and Roman numerals(in both upper and lower cases) whichmany permittees found confusing.Today’s reissuance identifies sections/paragraphs, and hence permitconditions, using numbers only, exceptin Part 6 (which also incorporates thesector letters from the 1995 MSGP forconsistency). Under the original permit,only the last digit or letter of thesection/paragraph identifier appearedwith its accompanying section title/paragraph, making it difficult todetermine where you were in thepermit. In today’s reissuance, the entirestring of identifying numbers is listed ateach section/paragraph to facilitaterecognizing where you are and in citingand navigating through the permit. Forexample, paragraph number 1.2.3.5 tellsyou immediately that you are in Part 1,section 2, paragraph 3, subparagraph 5;whereas under the 1995 MSGP youwould only see an ‘‘e’’, thereby forcingyou to hunt back through the permit to



determine that you were in Part I.B.3.e.The exception to the numbering rule isin Part 6, where the Sector letters fromthe 1995 MSGP have been retained tocorrespond to the sectors of industrycovered by the permit and make it easyto tell that you are in a section of thepermit which has conditions whichonly apply to a specific industrialsector. For example, paragraph 6.F.3.4immediately tells you that you are inPart 6 and looking at conditions thatonly apply to sector ‘‘F’’ facilities. Insome cases, requirements whichpreviously appeared in a singleparagraph are now found listed out asseparate individual items. The finalMSGP is also written in EPA’s ‘‘readableregulations’’ style using terms like‘‘you’’ and ‘‘your’’ in referring topermittees, etc.

Following below is a list of the majorchanges included in the proposedMSGP of March 30, 2000 (as comparedto the 1995 MSGP) and retained intoday’s final MSGP. These changes arediscussed in more detail later in thisfact sheet.

1. Requirements for co-locatedactivities clarified (Part 1.2.1.1).

2. Incidental cooling tower mistdischarges included as an authorizednon-storm water discharge, subject tocertain requirements (Parts 1.2.2.2.13and 4.4.2.3).

3. Eligibility provided for coverage ofinactive mining activities occurring onFederal Lands where an operator hasnot been identified (Part 1.2.3).

4. Clarified language for situationswhere a discharge previously coveredby an individual permit can be coveredunder today’s MSGP (Part 1.2.3.3).

5. Clarified/added language forcompliance with water qualitystandards and requirements for follow-up actions if standards are exceeded(Parts 1.2.3.5 and 3.3).

6. ESA and NHPA eligibilityrequirements modified (Parts 1.2.3.6and 1.2.3.7).

7. Eligibility requirements fordischarges to water quality impaired/limited waterbodies added/clarified(Part 1.2.3.8).

8. Clarified that discharges which donot comply with anti-degradationrequirements are not authorized by thepermit (Part 1.2.3.9).

9. Deadline of 30 days for submissionof an NOT added (Part 1.4.2).

10. Opportunity for termination ofpermit coverage based on the ‘‘noexposure exemption’’ from the Phase IIstorm water regulations (64 FR 68722,12/8/99) added (Parts 1.5 and 11.4).

11. Notice of Intent requirements andmodified form (Part 2.2 and AddendumD).

12. Permit will accommodateelectronic filing of NOIs, NOTs, orDMRs, should these options becomeavailable during the term of the permit(Parts 2.3 and 7.1)

13. Prohibition on discharges of solidmaterials and floating debris andrequirement to minimize off-sitetracking of materials and generation ofdust added (Part 4.2.7.2.3).

14. Requirement to include a copy ofthe permit with the storm waterpollution prevention plan (SWPPP) wasadded (Part 4.7).

15. Special conditions for EPCRA 313facilities were modified (Part 4.12).

16. Monitoring requirementsreorganized and additional clarification/revisions on monitoring periods,waivers, default minimum monitoringfor limitations added by State 401certification, and reporting requirementsadded (Part 5).

17. Manufacturing of fertilizer fromleather scraps (SIC 2873) moved fromSector Z—Leather Tanning andFinishing to Sector C—Chemical andAllied Products (Table 1–1 and Part6.C).

18. New effluent limitationsguidelines for landfills in Sectors K andL included; the final guidelines werepublished in the Federal Register onJanuary 19, 2000 (65 FR 3007) (Parts6.K.5 and 6.L.6).

19. Sector AD (Non-ClassifiedFacilities) language clarified to say thatfacilities cannot choose coverage underSector AD, but can only be so assignedby permitting authority (Part 6.AD).

20. Additional BMP requirements inSectors S, T, and Y added (Parts 6.S,6.T, and 6.Y).

21. NOI to continue coverage underthe permit when it expires (without areplacement permit in place) is notrequired and the reapplication processhas been clarified (Part 9.2).

22. Process for EPA to removefacilities from permit coverage clarified(Part 9.12).

Following below is another list whichsummarizes the provisions of today’sfinal MSGP which differ from theproposed MSGP of March 30, 2000.

1. Reference to ‘‘drinking fountainwater’’ removed from Part 1.2.2.2.3.

2. Part 1.2.3.3.2.1 of the proposedMSGP was deleted. This requirementhad not allowed MSGP coverage forfacilities previously covered by anotherpermit, unless the other permit onlycovered storm water and MSGPauthorized non-storm water discharges.

3. Part 2.2.3.6 revised to indicate thatthe NOI must include the name of theMS4 receiving the discharges only if itis different from the permittee.

4. Part 4.9.3 revised to clarify the timeframe for implementation of revisedSWPPP.

5. Part 4.11 revised to requirepermittees to provide a copy of theirSWPPP to the public when requested inwriting to do so.

6. Sector E coverage was modified forconsistency with the September 30,1998 MSGP modification.

7. In Sector G, language was addedstating that non-storm water dischargesmust be tested or evaluated; this changeensures consistency with the 1995MSGP. Also in Sector G, the definitionof ‘‘reclamation’’ was revised.

8. The title for Sector I was changedto include ‘‘Refining.’’

9. Sector T revised for consistencywith 40 CFR 122.26(b)(14)(ix)concerning size of POTWs covered.

10. Section V.C. deleted therequirement to consider speciesproposed for listing as endangered orthreatened.

III. Geographic Coverage of FinalMSGP

The geographic coverage of today’sfinal MSGP includes the followingareas:

EPA Region 1—for the States ofMaine, Massachusetts and NewHampshire; for Indian Country landslocated in Massachusetts, Connecticut,Rhode Island and Maine; and forFederal facilities in the State ofVermont.

EPA Region 2—for theCommonwealth of Puerto Rico.

EPA Region 3—for the District ofColumbia and Federal facilities in theState of Delaware.

EPA Region 4—for Indian Countrylands located in the State of Florida.

EPA Region 6—for the State of NewMexico; for Indian Country landslocated in the States of Louisiana, NewMexico, Texas and Oklahoma (exceptNavajo lands and Ute MountainReservation lands); for oil and gasfacilities under SIC codes 1311, 1381,1382, and 1389 in the State of Oklahomanot on Indian Country lands; and oiland gas facilities under SIC codes 1311,1321, 1381, 1382, and 1389 in the Stateof Texas not on Indian Country lands.

EPA Region 8—for Federal facilities inthe State of Colorado; for IndianCountry lands in Colorado, NorthDakota, South Dakota, Wyoming andUtah (except Goshute and NavajoReservation lands); for Ute MountainReservation lands in Colorado and NewMexico; and for Pine Ridge Reservationlands in South Dakota and Nebraska.

EPA Region 9—for the State ofArizona; for the Territories of JohnstonAtoll, American Samoa, Guam, the



Commonwealth of Northern MarianaIslands, Midway and Wake Islands; forIndian Country lands located inArizona, California, and Nevada; and forthe Goshute Reservation in Utah andNevada, the Navajo Reservation in Utah,New Mexico, and Arizona, the DuckValley Reservation in Nevada andIdaho, and the Fort McDermittReservation in Oregon and Nevada.

EPA Region 10—for the State of Idaho;for Indian Country lands located inAlaska, Oregon (except Fort McDermittReservation lands), Idaho (except DuckValley Reservation lands) andWashington; and for Federal facilities inWashington.

For several reasons, the geographicarea of coverage described above differsfrom the area of coverage of the 1995MSGP. Indian country in Vermont andNew Hampshire has been removed sincethere are no Federally recognized tribesin these States. Also, state NPDESpermit programs have since beenauthorized in the States of SouthDakota, Louisiana, Oklahoma (except forcertain oil and gas facilities inOklahoma) and Texas (again except foroil and gas facilities). In Oklahoma, EPAmaintains NPDES permitting authorityover oil and gas exploration andproduction related industries, andpipeline operations regulated by theOklahoma Corporation Commission(See 61 FR 65049). Oklahoma receivedNPDES program authorization only forthose discharges covered by theauthority of the Oklahoma Departmentof Environmental Quality (ODEQ). InTexas, EPA maintains NPDESpermitting authority over oil and gas

discharges regulated by the TexasRailroad Commission (See 63 FR51164). Texas received NPDES programauthorization only for those dischargescovered by the authority of the TexasNatural Resource ConservationCommission (TNRCC).

Specific additional conditionsrequired in Region 6 as a result of aState or Tribal CWA Section 401certification have been added for NewMexico, Oklahoma, and the Pueblos ofIsleta, Pojoaque, San Juan, and Sandia.Numeric limitations for discharges inTexas contained in the previous permitpursuant to 31 TAC 319.22 and 319.23have been continued in accordance with40 CFR 122.44(d) and (l).

Federal facilities in Colorado, andIndian country located in Colorado(including the portion of the UteMountain Reservation located in NewMexico), North Dakota, South Dakota(including the portion of the Pine RidgeReservation located in Nebraska), Utah(except for the Goshute and NavajoReservation lands) and Wyoming werenot included in the 1995 MSGP, but areincluded in today’s MSGP. Indiancountry lands in Montana are notincluded at this time due to a recentcourt order. Prior to today, industrialfacilities in these areas were largelycovered under an extension of EPA’s1992 baseline general permit forindustries (57 FR 41175).

Also, subsequent to the issuance ofthe MSGP in 1995, coverage wasextended to the Island of Guam onSeptember 24, 1996 (61 FR 50020) andthe Commonwealth of the NorthernMariana Islands on September 30, 1998

(63 FR 52430). Certification was notreceived from Arizona in time for thatstate to be included in this permit.

The 1995 MSGP was issued in theState of Alaska, except Indian Country,on February 9, 1996 (61 FR 5247).Industrial facilities in Alaska outside ofIndian Country will continue to becovered under the 1995 MSGP throughFebruary 9, 2001. EPA will reissue thepermit for Alaska at a later date, andwill include any state-specificmodifications or additions or additionsapplicable to parts 1 through 12 of thispermit as part of the State’s Clean WaterAct Section 401 or Coastal ZoneManagement Act certification processes.

Lastly, today’s MSGP reissuancediffers from the March 30, 2000 MSGPproposal in that the State of Florida(except for Indian country) is notincluded. This is a result of the recentNPDES program delegation to the Stateof Florida.

There are some areas where theNPDES permit program has not beendelegated (such as Indian country instates not listed above) where neitherthe MSGP nor an alternate generalpermit is available for authorization ofstorm water discharges associated withindustrial activity. However, only a verysmall number of permittees exist insuch areas and individual permits areissued as needed.

IV. Categories of Facilities Covered bythe Final MSGP

Today’s final MSGP authorizes stormwater discharges associated withindustrial activity from the categories offacilities shown in Table 1 below:

TABLE 1.—SECTOR/SUBSECTORS COVERED BY THE FINAL MSGP

Subsector SIC code Activity represented

Sector A. Timber Products

1* ....................... 2421 ............................................ General Sawmills and Planning Mills.2 ........................ 2491 ............................................ Wood Preserving.3* ....................... 2411 ............................................ Log Storage and Handling.4* ....................... 2426 ............................................ Hardwood Dimension and Flooring Mills.

2429 ............................................ Special Product Sawmills, Not Elsewhere Classified.2431–2439 (except 2434) ........... Millwork, Veneer, Plywood, and Structural Wood.2448, 2449 .................................. Wood Containers.2451, 2452 .................................. Wood Buildings and Mobile Homes.2493 ............................................ Reconstituted Wood Products.2499 ............................................ Wood Products, Not Elsewhere Classified.

Sector B. Paper and Allied Products Manufacturing

1 ........................ 2611 ............................................ Pulp Mills.2 ........................ 2621 ............................................ Paper Mills.3* ....................... 2631 ............................................ Paperboard Mills.4 ........................ 2652–2657 .................................. Paperboard Containers and Boxes.5 ........................ 2671–2679 .................................. Converted Paper and Paperboard Products, Except Containers and Boxes.

Sector C. Chemical and Allied Products Manufacturing

1* ....................... 2812–2819 .................................. Industrial Inorganic Chemicals.



TABLE 1.—SECTOR/SUBSECTORS COVERED BY THE FINAL MSGP—Continued


2* ....................... 2821–2824 .................................. Plastics Materials and Synthetic Resins, Synthetic Rubber, Cellulosic and Other Man-made Fibers Except Glass.

3 ........................ 2833–2836 .................................. Medicinal chemicals and botanical products; pharmaceutical preparations,; invitro andinvivo diagnostic substances; biological products, except diagnostic substances.

4* ....................... 2841–2844 .................................. Soaps, Detergents, and Cleaning Preparations; Perfumes, Cosmetics, and Other ToiletPreparations.

5 ........................ 2851 ............................................ Paints, Varnishes, Lacquers, Enamels, and Allied Products.6 ........................ 2861–2869 .................................. Industrial Organic Chemicals.7* ....................... 2873–2879 .................................. Agricultural Chemicals, Including Facilities that Make Fertilizer Solely from Leather

Scraps and Leather Dust.8 ........................ 2891–2899 .................................. Miscellaneous Chemical Products.9 ........................ 3952 (limited to list) ..................... Inks and Paints, Including China Painting Enamels, India Ink, Drawing Ink, Platinum

Paints for Burnt Wood or Leather Work, Paints for China Painting, Artist’s Paints andArtist’s Watercolors.

Sector D. Asphalt Paving and Roofing Materials Manufacturers and Lubricant Manufacturers.

1* ....................... 2951, 2952 .................................. Asphalt Paving and Roofing Materials.2 ........................ 2992, 2999 .................................. Miscellaneous Products of Petroleum and Coal.

Sector E. Glass, Clay, Cement, Concrete, and Gypsum Product Manufacturing

1 ........................ 3211 ............................................ Flat Glass.3221, 3229 .................................. Glass and Glassware, Pressed or Blown.3231 ............................................ Glass Products Made of Purchased Glass.3281 ............................................ Cut Stone and Stone Products.3291–3292 .................................. Abrasive and Asbestos Products.3296 ............................................ Mineral Wool.3299 ............................................ Nonmetallic Mineral Products, Not Elsewhere Classified.

2 ........................ 3241 ............................................ Hydraulic Cement.3* ....................... 3251–3259 .................................. Structural Clay Products.

3261–3269 .................................. Pottery and Related Products.3297 ............................................ Non-Clay Refractories.

4* ....................... 3271–3275 .................................. Concrete, Gypsum and Plaster Products.3295 ............................................ Minerals and Earth’s, Ground, or Otherwise Treated.

Sector F. Primary Metals

1* ....................... 3312–3317 .................................. Steel Works, Blast Furnaces, and Rolling and Finishing Mills.2* ....................... 3321–3325 .................................. Iron and Steel Foundries.3 ........................ 3331–3339 .................................. Primary Smelting and Refining of Nonferrous Metals.4 ........................ 3341 ............................................ Secondary Smelting and Refining of Nonferrous Metals.5* ....................... 3351–3357 .................................. Rolling, Drawing, and Extruding of Nonferrous Metals.6* ....................... 3363–3369 .................................. Nonferrous Foundries (Castings).7 ........................ 3398, 3399 .................................. Miscellaneous Primary Metal Products.

Sector G. Metal Mining (Ore Mining and Dressing)

1 ........................ 1011 ............................................ Iron Ores.2* ....................... 1021 ............................................ Copper Ores.3 ........................ 1031 ............................................ Lead and Zinc Ores.4 ........................ 1041, 1044 .................................. Gold and Silver Ores.5 ........................ 1061 ............................................ Ferroalloy Ores, Except Vanadium.6 ........................ 1081 ............................................ Metal Mining Services.7 ........................ 1094, 1099 .................................. Miscellaneous Metal Ores.

Sector H. Coal Mines and Coal Mining-Related Facilities

NA* .................... 1221–1241 .................................. Coal Mines and Coal Mining-Related Facilities Sector.

Sector I. Oil and Gas Extraction and Refining

1* ....................... 1311 ............................................ Crude Petroleum and Natural Gas.2 ........................ 1321 ............................................ Natural Gas Liquids.3* ....................... 1381–1389 .................................. Oil and Gas Field Services.4 ........................ 2911 ............................................ Petroleum refining.

Sector J. Mineral Mining and Dressing

1* ....................... 1411 ............................................ Dimension Stone.1422–1429 .................................. Crushed and Broken Stone, Including Rip Rap.





1481 ............................................ Nonmetallic Minerals, Except Fuels.2* ....................... 1442, 1446 .................................. Sand and Gravel.3 ........................ 1455, 1459 .................................. Clay, Ceramic, and Refractory Materials.4 ........................ 1474–1479 .................................. Chemical and Fertilizer Mineral Mining.

1499 ............................................ Miscellaneous Nonmetallic Minerals, Except Fuels.

Sector K. Hazardous Waste Treatment Storage or Disposal Facilities

NA* .................... HZ ................................................ Hazardous Waste Treatment, Storage or Disposal.

Sector L. Landfills and Land Application Sites

NA* .................... LF ................................................ Landfills, Land Application Sites and Open Dumps.

Sector M. Automobile Salvage Yards

NA* .................... 5015 ............................................ Automobile Salvage Yards.

Sector N. Scrap Recycling Facilities

NA* .................... 5093 ............................................ Scrap Recycling Facilities.

Sector O. Steam Electric Generating Facilities

NA* .................... SE ................................................ Steam Electric Generating Facilities.

Sector P. Land Transportation

1 ........................ 4011, 4013 .................................. Railroad Transportation.2 ........................ 4111–4173 .................................. Local and Highway Passenger Transportation.3 ........................ 4212–4231 .................................. Motor Freight Transportation and Warehousing.4 ........................ 4311 ............................................ United States Postal Service.5 ........................ 5171 ............................................ Petroleum Bulk Stations and Terminals.

Sector Q. Water Transportation

NA* .................... 4412–4499 .................................. Water Transportation.

Sector R. Ship and Boat Building or Repairing Yards

NA ..................... 3731, 3732 .................................. Ship and Boat Building or Repairing Yards.

Sector S. Air Transportation Facilities

NA* .................... 4512–4581 .................................. Air Transportation Facilities.

Sector T. Treatment Works

NA* .................... TW ............................................... Treatment Works.

Sector U. Food and Kindred Products

1 ........................ 2011–2015 .................................. Meat Products.2 ........................ 2021–2026 .................................. Dairy Products.3 ........................ 2032 ............................................ Canned, Frozen and Preserved Fruits, Vegetables and Food Specialties.4* ....................... 2041–2048 .................................. Grain Mill Products.5 ........................ 2051–2053 .................................. Bakery Products.6 ........................ 2061–2068 .................................. Sugar and Confectionery Products.7* ....................... 2074–2079 .................................. Fats and Oils.8 ........................ 2082–2087 .................................. Beverages.9 ........................ 2091–2099 .................................. Miscellaneous Food Preparations and Kindred Products.

2111–2141 .................................. Tobacco Products.

Sector V. Textile Mills, Apparel, and Other Fabric Product Manufacturing

1 ........................ 2211–2299 .................................. Textile Mill Products.2 ........................ 2311–2399 .................................. Apparel and Other Finished Products Made From Fabrics and Similar Materials.

3131–3199 (except 3111) ........... Leather Products.





Sector W. Furniture and Fixtures

NA ..................... 2511–2599 .................................. Furniture and Fixtures.2434 ............................................ Wood Kitchen Cabinets.

Sector X. Printing and Publishing

NA ..................... 2711–2796 .................................. Printing, Publishing and Allied Industries.

Sector Y. Rubber, Miscellaneous Plastic Products, and Miscellaneous Manufacturing Industries

1* ....................... 3011 ............................................ Tires and Inner Tubes.3021 ............................................ Rubber and Plastics Footwear.3052, 3053 .................................. Gaskets, Packing, and Sealing Devices and Rubber and Plastics Hose and Belting.3061, 3069 .................................. Fabricated Rubber Products, Not Elsewhere Classified.

2 ........................ 3081–3089 .................................. Miscellaneous Plastics Products.3931 ............................................ Musical Instruments.3942–3949 .................................. Dolls, Toys, Games and Sporting and Athletic Goods.3951–3955 (except 3952 as

specified in Sector C).Pens, Pencils, and Other Artists’ Materials.

3961, 3965 .................................. Costume Jewelry, Costume Novelties, Buttons, and Miscellaneous Notions, Except Pre-cious Metal.

3991–3999 .................................. Miscellaneous Manufacturing Industries.

Sector Z. Leather Tanning and Finishing

NA ..................... 3111 ............................................ Leather Tanning and Finishing.

Sector AA. Fabricated Metal Products

1* ....................... 3411–3499 .................................. Fabricated Metal Products, Except Machinery and Transportation Equipment and Cutting,Engraving and Allied Services.

3911–3915 .................................. Jewelry, Silverware, and Plated Ware.2* ....................... 3479 ............................................ Coating, Engraving, and Allied Services.

Sector AB. Transportation Equipment, Industrial or Commercial Machinery

NA ..................... 3511–3599 (except 3571–3579) Industrial and Commercial Machinery (except Computer and Office Equipment—see Sec-tor AC).

NA ..................... 3711–3799 (except 3731, 3732) Transportation Equipment (except Ship and Boat Building and Repairing—see Sector R).

Sector AC. Electronic, Electrical, Photographic and Optical Goods

NA ..................... 3612–3699 .................................. Electronic, Electrical Equipment and Components, Except Computer Equipment.3812–3873 .................................. Measuring, Analyzing and Controlling Instrument; Photographic and Optical Goods,

Watches and Clocks.3571–3579 .................................. Computer and Office Equipment.

Sector AD. Reserved for Facilities Not Covered Under Other Sectors and Designated by the Director

* Denotes subsector with analytical (chemical) monitoring requirements.NA indicates those industry sectors in which subdivision into subsectors was determined to be not applicable.

The final MSGP modification ofSeptember 30, 1998 (63 FR 52430)expanded the coverage of the 1995MSGP to include a small number ofcategories of facilities which had beencovered by the 1992 baseline industrialgeneral permit but excluded from theMSGP. In Table 1 above, thesecategories have been included in theappropriate sectors/subsectors of theMSGP as determined by the September30, 1998 modification.

With the September 30, 1998modification, EPA believes that theMSGP now covers all of the categories

of industrial facilities which maydischarge storm water associated withindustrial activity as defined at 40 CFR122.26(b)(14) (except constructionactivities disturbing five or more acreswhich are permitted separately).However, the September 30, 1998modification also added another sectorto the MSGP (Sector AD) to cover anyinadvertent omissions. EPA has retainedSector AD in today’s reissued MSGP.

Sector AD is further intended toprovide a readily available means forcovering many of the storm waterfacilities which are designated for

permitting in accordance with NPDESregulations at 40 CFR 122.26(g)(1)(i).These regulations provide that permitapplications may be required within 180days of notice for any discharges whichcontribute to a violation of a waterquality standard, or are determined tobe significant sources of pollutants.

EPA also recognizes that a new NorthAmerican Industry ClassificationSystem (NAICS) was recently adoptedby the Office of Management andBudget (62 FR 17288, April 9, 1997).NAICS replaces the 1987 standardindustrial classification (SIC) code



system for the collection of statisticaleconomic data. However, the use of thenew system for nonstatistical purposesis optional. EPA considered the use ofNAICS for the today’s MSGP reissuance,but elected to retain the 1987 SIC codesystem since the storm water regulations(40 CFR 122.26(b)(14)) reference theprevious system and this system hasgenerally proven to be adequate foridentifying the facilities covered by

storm water regulations. EPA willconsider transitioning to the new NAICSsystem in future rule making.

V. Limitations on Coverage

A. Storm Water Discharges Subject toEffluent Guideline Limitations,Including New Source PerformanceStandards

The general prohibition on coverageof storm water subject to an effluent

guideline limitation in the 1995 MSGPhas been retained in today’s MSGPreissuance. Only those storm waterdischarges subject to the followingeffluent guidelines are eligible forcoverage (provided they meet all othereligibility requirements):

TABLE 2.—EFFLUENT GUIDELINES APPLICABLE TO DISCHARGES THAT MAY BE ELIGIBLE FOR PERMIT COVERAGE

Effluent guideline

New Sourceperformancestandards in-

cluded in efflu-ent guidelines?

Sectors with af-fected facilities

Runoff from material storage piles at cement manufacturing facilities [40 CFR Part 411 Subpart C (estab-lished February 23, 1977)].

Yes E

Contaminated runoff from phosphate fertilizer manufacturing facilities [40 CFR Part 418 Subpart A (estab-lished April 8, 1974)].

Yes C

Coal pile runoff at steam electric generating facilities [40 CFR Part 423 (established November 19, 1982)] Yes ODischarges resulting from spray down or intentional wetting of logs at wet deck storage areas [40 CFR

Part 429, Subpart I (established January 26, 1981)].Yes A

Mine dewatering discharges at crushed stone mines [40 CFR part 436, Subpart B] ...................................... No JMine dewatering discharges at construction sand and gravel mines [40 CFR part 436, Subpart C] .............. No JMine dewatering discharges at industrial sand mines [40 CFR part 436, Subpart D] ..................................... No JRunoff from asphalt emulsion facilities [40 CFR Part 443 Subpart A (established July 24, 1975)]. ................ Yes DRunoff from landfills, [40 CFR Part 445, Subpart A and B (established February 2, 2000.] ........................... Yes K & L

Section 306 of the Clean Water Act(CWA) requires EPA to developperformance standards for all newsources described in that section. Thesestandards apply to all facilities which gointo operation after the date thestandards are promulgated. Section511(c) of the CWA requires the Agencyto comply with the NationalEnvironmental Policy Act (NEPA) priorto issuance of a permit under theauthority of Section 402 of the CWA tofacilities defined as a new source underSection 306.

The fact sheet for the 1995 MSGPdescribed a process for ensuringcompliance with NEPA for the MSGP(60 FR 50809). This process, which isrepeated below, has been retained forthe reissued MSGP. Additionalguidance is found in a new AddendumC to the final MSGP.

Facilities which are subject to theperformance standards for new sourcesas described in this section of the factsheet must provide EPA with anEnvironmental Information Documentpursuant to 40 CFR 6.101 prior toseeking coverage under this permit. Thisinformation shall be used by the Agencyto evaluate the facility under therequirements of NEPA in anEnvironmental Review. The Agency willmake a final decision regarding thedirect or indirect impact of thedischarge. The Agency will follow all

administrative procedures required inthis process. The permittee must obtaina copy of the Agency’s final findingprior to the submission of a Notice ofIntent to be covered by this generalpermit. In order to maintain eligibility,the permittee must implement anymitigation required of the facility as aresult of the NEPA review process.Failure to implement mitigationmeasures upon which the Agency’sNEPA finding is based is grounds fortermination of permit coverage. In thisway, EPA has established a procedurewhich allows for the appropriate reviewprocedures to be completed by thisAgency prior to the issuance of a permitunder Section 402 of the CWA to anoperator of a facility subject to the newsource performance standards of Section306 of the CWA. EPA believes that it hasfulfilled its requirements under NEPAfor this Federal action under Section402 of the CWA.

B. Historic Preservation

The National Historic PreservationAct (NHPA) requires Federal agencies totake into account the effects of Federalundertakings, including undertakingson historic properties that are eitherlisted on, or eligible for listing on, theNational Register of Historic Places. Theterm ‘‘Federal undertaking’’ is definedin the existing NHPA regulations toinclude any project, activity, or program

under the direct or indirect jurisdictionof a Federal agency that can result inchanges in the character or use ofhistoric properties, if any such historicproperties are located in the area ofpotential effects for that project, activity,or program. See 36 CFR 802(o). Historicproperties are defined in the NHPAregulations to include prehistoric orhistoric districts, sites, buildings,structures, or objects that are includedin, or are eligible for inclusion in, theNational Register of Historic Places. See36 CFR 802(e).

Federal undertakings include EPA’sissuance of general NPDES permits. Inlight of NHPA requirements, EPAincluded a provision in the eligibilityrequirements of the 1995 MSGP for theconsideration of the effects to historicproperties. That provision provided thatan applicant is eligible for permitcoverage only if: (1) the applicant’sstorm water discharges and BMPs tocontrol storm water runoff do not affecta historic property, or (2) the applicanthas obtained, and is in compliance with,a written agreement between theapplicant and the State HistoricPreservation Officer (SHPO) thatoutlines all measures to be taken by theapplicant to mitigate or prevent adverseeffects to the historic property. See PartI.B.6, 60 FR 51112 (September 29, 1995).When applying for permit coverage,applicants were required to certify in



the NOI that they are in compliancewith the Part I.B.6 eligibilityrequirements. Provided there are noother factors limiting permit eligibility,MSGP coverage was then granted 48hours after the postmark on theenvelope used to mail the NOI.

The September 30, 1998 modificationincluded two revisions of the originalMSGP with respect to historicproperties. First, EPA amended theoriginal Part I.B.6.(ii) to include areference to Tribal Historic PreservationOfficers (THPOs) because MSGPcoverage extends to Tribal lands and inrecognition of the central role Tribalgovernments play in the protection ofhistoric resources. Second, EPAincluded NHPA guidance and a list ofSHPO and THPO addresses in a newAddendum I to the MSGP to assistapplicants with the certification processfor permit eligibility under thiscondition.

For today’s MSGP reissuance, EPAhas modified slightly the requirementsof the first option for obtaining permitcoverage to enhance the protection ofhistoric properties. Permit coverage isonly available if storm water andallowable non-storm water dischargesand ‘‘discharge-related activities’’ do notaffect historic properties. ‘‘Discharge-related activities’’ are defined to includeactivities which cause, contribute to, orresult in storm water and allowable non-storm water point source discharges,and measures such as the siting,construction and operation of BMPs tocontrol, reduce or prevent pollution inthe discharges. Discharge-relatedactivities are included to ensurecompliance with NHPA requirements toconsider the effects of activities whichare related to the activity which ispermitted, i.e., the storm water and non-storm water discharges. Because thischange was minor, EPA is relying on its1995 and 1998 consultations with theAdvisory Council on HistoricPreservation as its basis for reissuanceof this permit.

Also, as discussed in Section VI.A.1below, EPA intends to modify,contingent upon Office of Managementand Budget review and approval, theNotice of Intent form to require thatoperators identify which of the abovetwo options they are using to ensureeligibility for permit coverage under theMSGP. The NHPA guidance has alsobeen modified to reflect the abovepending changes, and appears inAddendum B in today’s notice ratherthan Addendum I. Until the revisedform is approved and issued, the currentform (with minor clarifications) remainsin effect.

Facilities seeking coverage undertoday’s MSGP which cannot certifycompliance with the NHPArequirements must submit individualpermit applications to the permittingauthority. For facilities already coveredby the existing MSGP, the deadline forthe individual applications is the sameas that for NOIs requesting coverageunder the reissued MSGP (December 29,2000).

C. Endangered SpeciesThe Endangered Species Act (ESA) of

1973 requires Federal Agencies such asEPA to ensure, in consultation with theU.S. Fish and Wildlife Service (FWS)and the National Marine FisheriesService (NMFS) (also knowncollectively as the ‘‘Services’’), that anyactions authorized, funded, or carriedout by the Agency (e.g., EPA issuedNPDES permits authorizing dischargesto waters of the United States) are notlikely to jeopardize the continuedexistence of any Federally-listedendangered or threatened species oradversely modify or destroy criticalhabitat of such species (see 16 U.S.C.1536(a)(2), 50 CFR 402 and 40 CFR122.49(c)).

For the 1995 MSGP, EPA conductedformal consultation with the Serviceswhich resulted in a joint Servicebiological opinion issued by the FWS onMarch 31, 1995, and by the NMFS onApril 5, 1995, which concluded that theissuance and operation of the MSGPwas not likely to jeopardize theexistence of any listed endangered orthreatened species, or result in theadverse modification or destruction ofany critical habitat.

The 1995 MSGP contained a numberof conditions to protect listed speciesand critical habitat. Permit coverage wasprovided only where:

• The storm water discharge(s), andthe construction of BMPs to controlstorm water runoff, were not likely tojeopardize species identified inAddendum H of the permit; or

• The applicant’s activity hadreceived previous authorization underthe Endangered Species Act andestablished an environmental baselinethat was unchanged; or,

• The applicant was implementingappropriate measures as required by theDirector to address jeopardy.

For today’s MSGP reissuance, EPAhas modified the ESA-relatedrequirements for obtaining permitcoverage to enhance the protection oflisted species. First, permit coverage isonly available if storm water andallowable non-storm water dischargesand ‘‘discharge-related activities’’ resultin no jeopardy to listed species.

‘‘Discharge-related activities’’ aredefined to include activities whichcause, contribute to or result in stormwater and allowable non-storm waterpoint source discharges, and measuressuch as the siting, construction andoperation of BMPs to control, reduce orprevent pollution in the discharges.Discharge-related activities are includedfor compliance with ESA requirementsto consider the effects of activitieswhich are related to the activity whichis permitted, i.e., the storm water andnon-storm water discharges.

In addition, operators seekingcoverage under the reissued MSGP mustcertify that they are eligible for coverageunder one of the following five optionswhich are provided in Parts 1.2.3.6.3.1through 5 of the permit:

1. No endangered or threatenedspecies or critical habitat are inproximity to the facility or the pointwhere authorized discharges reach thereceiving water; or

2. In the course of a separate federalaction involving the facility (e.g., EPAprocessing request for an individualNPDES permit, issuance of a CWASection 404 wetlands dredge and fillpermit, etc.), formal or informalconsultation with the Fish and WildlifeService and/or the National MarineFisheries Service under Section 7 of theESA has been concluded and thatconsultation:

(a) addressed the effects of the stormwater and allowable non-storm waterdischarges and discharge-relatedactivities on listed species and criticalhabitat and

(b) the consultation resulted in eithera no jeopardy opinion or a writtenconcurrence by the Service(s) on afinding that the storm water andallowable non-storm water dischargesand discharge-related activities are notlikely to jeopardize listed species orcritical habitat; or

3. The activities are authorized underSection 10 of the ESA and thatauthorization addresses the effects ofthe storm water and allowable non-storm water discharges and discharge-related activities on listed species andcritical habitat; or

4. Using due diligence, the operatorhas evaluated the effects of the stormwater discharges, allowable non-stormwater discharges, and discharge-relatedactivities on listed endangered orthreatened species and critical habitatand does not have reason to believelisted species or critical habitat wouldbe jeopardized; or

5. The storm water and allowablenon-storm water discharges anddischarge-related activities were alreadyaddressed in another operator’s



certification of eligibility under Part1.2.3.6.3.1 through 1.2.3.6.3.4 whichincluded the facility’s activities. Bycertifying eligibility under this Part, apermittee agrees to comply with anymeasures or controls upon which theother operator’s certification was based.

The first four options listed above aresimilar to the eligibility provisions ofthe 1995 MSGP. Option 5 was added toaccount for situations such as an airportfacility where one operator (e.g., theairport authority) may have covered theentire airport through its certification.Option 5 allows other operators to takeadvantage of such a certificationwithout repeating the reviewsconducted by the first operator. Option1 applies to operators who are notjeopardizing endangered speciesbecause listed species simply are not inproximity to their facility. Option 4applies to operators who haveendangered species nearby and mustlook more closely at potential jeopardyand may need to adopt measures toreduce the risk of jeopardy to listedspecies or critical habitat. The provisionof the two options to determine that afacility is unlikely to jeopardize listedspecies, coupled with the pending newNOI requirement to indicate whether ornot the Service was contacted in makingthe determination, will also allow forbetter oversight of the permit. Under the1995 permit, there was no way to tellfrom the NOI information whether thedecision on eligibility was due to nospecies in the county, a discussion withthe Service, or a simple unilateraldecision by the operator.

Addendum H of the 1995 MSGPprovided instructions to assistpermittees in determining whether theymet the permit’s ESA-related eligibilityrequirements. For today’s reissuedMSGP, this guidance has been updatedto reflect the above requirements andappears as Addendum A. As noted inSection VI.A.1 below, EPA intends tomodify the Notice of Intent form toconform with new ESA requirementsdiscussed above.

Addendum H of the 1995 MSGPcontained a list of proposed and listedendangered and threatened species thatcould be jeopardized by the dischargesand measures to control pollutants inthe discharges. EPA reinitiated andcompleted formal consultation with theServices for the September 30, 1998modification of the MSGP. As a resultof this consultation and in response topublic comments on the modification,EPA updated the species list inAddendum H to include species thatwere listed or proposed for listing sincethe Addendum H list was originallycompiled on March 31, 1995. EPA also

decided to expand the list to include allof the terrestrial (i.e., non-aquatic) listedand proposed species in recognition thatthose species may be impacted bypermitted activities such as theconstruction and operation of the BMPs.The September 30, 1998 MSGPmodification included the species listupdated as of July 8, 1998 (63 FR52494). The species list is also beingupdated on a regular basis and anelectronic copy of the list is available atthe Office of Wastewater Managementwebsite at ‘‘http://www.epa.gov/owm/esalst2.htm’’. The information may alsobe obtained by contacting the Services.The permittee is responsible forobtaining the updated information.

Based on comments received on theproposed MSGP on March 30, 2000 (65FR 17010), the final permit requiresfacility operators to consider only listedendangered or threatened species, andnot species proposed to be listed.Further explanation for the change canbe found in Section IX of this notice.

On August 10, 2000, EPA initiatedinformal consultation with FWS andNMFS on EPA’s finding of no likelihoodof adverse effect on threatened andendangered species and critical habitatresulting from issuance of MSGP–2000.On September 22, 2000 FWS concurredwith EPA’s finding.

To be eligible for coverage undertoday’s reissued MSGP, facilities mustreview the updated list of species andtheir locations in conjunction with theAddendum A instructions forcompleting the applicationrequirements under this permit. If anapplicant determines that none of thespecies identified in the updatedspecies list is found in the county inwhich the facility is located, then thereis a likelihood of no jeopardy and theyare eligible for permit coverage.Applicants must then certify that theirstorm water and allowable non-stormwater discharges, and their discharge-related activities, are not likely tojeopardize species and will be grantedMSGP permit coverage 48 hours afterthe date of the postmark on theenvelope used to mail the NOI form,provided there are no other factorslimiting permit eligibility.

If listed species are located in thesame county as the facility seekingMSGP coverage, then the applicant mustdetermine whether the species are inproximity to the storm water orallowable non-storm water discharges ordischarge-related activities at thefacility. A species is in proximity to astorm water or allowable non-stormwater discharge when the species islocated in the path or down gradientarea through which or over which the

point source discharge flows fromindustrial activities to the point ofdischarge into the receiving water, andonce discharged into the receivingwater, in the immediate vicinity of, ornearby, the discharge point. A species isalso in proximity if it is located in thearea of a site where discharge-relatedactivities occur. If an applicantdetermines there are no species inproximity to the storm water orallowable non-storm water discharges,or discharge-related activities, thenthere is no likelihood of jeopardizingthe species and the applicant is eligiblefor permit coverage.

If species are in proximity to thestorm water or allowable non-stormwater discharges or discharge-relatedactivities, as long as they have beenconsidered as part of a previous ESAauthorization of the applicant’s activity,and the environmental baselineestablished in that authorization isunchanged, the applicant may becovered under the permit. Theenvironmental baseline generallyincludes the past and present impacts ofall Federal, state and private actions thatwere occurring at the time the initialNPDES authorization and current ESAsection 7 action by EPA or any otherfederal agency was taken. Therefore, ifa permit applicant has receivedprevious authorization and nothing haschanged or been added to theenvironmental baseline established inthe previous authorization, thencoverage under this permit will beprovided.

In the absence of such previousauthorization, if species identified inthe updated species list are in proximityto the discharges or discharge-relatedactivities, then the applicant mustdetermine whether there is any likelyjeopardy to the species. This is done bythe applicant conducting a furtherexamination or investigation, or analternative procedure, as described inthe instructions in Addendum A of thepermit. If the applicant determines thatthere is no likely jeopardy to thespecies, then the applicant is eligible forpermit coverage. If the applicantdetermines that there likely is, or willlikely be any jeopardy, then theapplicant is not eligible for MSGPcoverage unless or until he or she canmeet one of the other eligibilityconditions.

All dischargers applying for coverageunder the MSGP must provide in theapplication information on the Notice ofIntent form: (1) A determination as towhether there are any listed species inproximity to the storm water orallowable non-storm water discharges ordischarge related activity, and (2) (when



EPA receives approval from the Officeof Management and Budget and issuesthe revised form) an indication of whichoption under Part 1.2.3.6.3 of the MSGPthey claim eligibility for permitcoverage, and (3) a certification thattheir storm water and allowable non-storm water discharges and discharge-related activities are not likely tojeopardize listed species, or areotherwise eligible for coverage due to aprevious authorization under the ESA.Coverage is contingent upon theapplicant’s providing truthfulinformation concerning certification andabiding by any conditions imposed bythe permit.

Dischargers who cannot determine ifthey meet one of the endangered specieseligibility criteria cannot sign thecertification to gain coverage under theMSGP and must apply to EPA for anindividual NPDES storm water permit.For facilities already covered by the1995 MSGP, the deadline for theindividual applications is the same asthat for NOIs requesting coverage underthe reissued MSGP (December 29, 2000).As appropriate, EPA will conduct ESAsection 7 consultation when issuingsuch individual permits.

Regardless of the above conditions,EPA may require that a permittee applyfor an individual NPDES permit on thebasis of possible jeopardy to species orcritical habitats. Where there areconcerns that coverage for a particulardischarger is not sufficiently protectiveof listed species, the Services (as well asany other interested parties) maypetition EPA to require that thedischarger obtain an individual NPDESpermit and conduct an individualsection 7 consultation as appropriate.

In addition, the AssistantAdministrator for Fisheries for theNational Oceanic and AtmosphericAdministration, or his/her authorizedrepresentative, or the U.S. Fish andWildlife Service (as well as any otherinterested parties) may petition EPA torequire that a permittee obtain anindividual NPDES permit. Thepermittee is also required to make theSWPPP, annual site complianceinspection report, or other informationavailable upon request to the AssistantAdministrator for Fisheries for theNational Oceanic and AtmosphericAdministration, or his/her authorizedrepresentative, or the U.S. Fish andWildlife Service Regional Director, orhis/her authorized representative.

These mechanisms allow for thebroadest and most efficient coverage forthe permittee while still providing forthe most efficient protection ofendangered species. They significantlyreduce the number of dischargers that

must be considered individually andtherefore allow the Agency and theServices to focus their resources onthose discharges that are indeed likelyto jeopardize listed species.Straightforward mechanisms such asthese allow applicants more immediateaccess to permit coverage, andeliminates ‘‘permit limbo’’ for thegreatest number of permitted discharges.At the same time it is more protectiveof endangered species because it allowsboth agencies to focus on the realproblems, and thus, provide endangeredspecies protection in a more expeditiousmanner.

D. New Storm Water Discharges toWater Quality-Impaired or WaterQuality-Limited Receiving Waters

Today’s final MSGP includes a newprovision (Part 1.2.3.8) whichestablishes eligibility conditions withregard to discharges to water quality-limited or water quality-impairedwaters. For the purposes of this permit,‘‘water quality-impaired’’ refers to astream, lake, estuary, etc. that is notcurrently meeting its assigned waterquality standards. These waters are alsoreferred to as ‘‘303(d) waters’’ due to therequirement under that section of theCWA for States to periodically list allstate waters that are not meeting theirwater quality standards. ‘‘Water quality-limited waters’’ refers to waterbodies forwhich a State had to develop individualTotal Maximum Daily Loads (TMDLs), atool which helps waterbodies meet theirwater quality standards. A TMDL is acalculation of the maximum amount ofa pollutant that a waterbody can receiveand still meet water quality standards,and an allocation of that amount to thepollutant’s sources. Water qualitystandards are set by States, Territories,and Tribes. They identify the uses foreach waterbody, for example, drinkingwater supply, contact recreation(swimming), and aquatic life support(fishing), and the scientific criteria tosupport that use. The CWA, section 303,establishes the water quality standardsand TMDL programs.

Prior to submitting a Notice of Intent,any new discharger (see 40 CFR 122.2)to a 303(d) waterbody must be able todemonstrate compliance with 40 CFR122.4(i). In essence, you are a newdischarger if your facility starteddischarging after August 13, 1979 andyour storm water was not previouslypermitted. Any discharger to awaterbody for which there is anapproved TMDL must confirm that theTMDL allocated a portion of the load forstorm water point source discharges.These provisions apply only todischarges containing the pollutant(s)

for which the waterbody is impaired orthe TMDL developed.

Part 1.2.3.8.1 (which applies to newstorm water discharges and not toexisting discharges) is designed to betterensure compliance with NPDESregulations at 40 CFR 122.4(i), whichinclude certain special requirements fornew discharges into impairedwaterbodies. Lists of impairedwaterbodies (sometimes referred to as303(d) waterbodies) may be obtainedfrom appropriate State environmentaloffices or their internet sites. NPDESregulations at 40 CFR 122.4(i) prohibitdischarges unless it can be shown that:

1. There are sufficient remaining pollutantload allocations to allow for the discharge;and

2. The existing dischargers into thatsegment are subject to compliance schedulesdesigned to bring the segments intocompliance with applicable water qualitystandards.

Part 1.2.3.8.2 (which applies to bothnew and existing storm waterdischarges) is designed to better ensurecompliance with NPDES regulations at40 CFR 122.4(d), which requirescompliance with State water qualitystandards. The eligibility conditionprohibits coverage of new or existingdischarges of a particular pollutantwhere there is a TMDL, unless thedischarge is consistent with the TMDL.Lists of waterbodies with TMDLs maybe obtained from appropriate Stateenvironmental offices or their internetsites and from EPA’s TMDL internet siteat http://www.epa.gov/owow/tmdl/index.html.

E. Storm Water Discharges Subject toAnti-Degradation Provisions of WaterQuality Standards

Part 1.2.3.9 of today’s final MSGPincludes a new provision whichclarifies that discharges which do notcomply with applicable anti-degradation provisions of State waterquality standards are not eligible forcoverage under the MSGP. Thiseligibility condition is designed to betterensure compliance with NPDESregulations at 40 CFR 122.4(d), whichrequires compliance with State waterquality standards. Anti-degradationprovisions may be obtained from theappropriate State environmental officeor their internet sites.

F. Storm Water Discharges PreviouslyCovered by an Individual Permit

The 1995 MSGP contained generalprohibitions on coverage where adischarge was covered by anotherNPDES permit (Part I.B.3.d) and wherea permit had been terminated other thanat the request of the permittee (Part



I.B.3.e.). It was therefore possible toobtain coverage by requestingtermination of an individual permit andthen submitting an NOI for coverageunder the MSGP. This could bedesirable from both the discharger’s andEPA’s perspective for a variety ofreasons, for example, where awastewater permit included storm wateroutfalls, but the wastewater outfalls hadbeen eliminated. Being able to use thegeneral permit would reduce theapplication cost to the permittee and theadministrative burden of permitissuance to the Agency. Today’s permitclarifies the conditions under whichtransfer from an individual permit tothis general permit would be acceptable(Part 1.2.3.3.2).

In order to avoid conflict with theanti-backsliding provisions of the CWA,transfer from an individual permit to theMSGP will only be allowed where bothof the following conditions are met:

• The individual permit did notcontain numeric water quality-basedeffluent limitations developed for thestorm water component of thedischarge; and

• The permittee includes any specificBMPs for storm water required underthe individual permit in their stormwater pollution prevention plan.

Implementation of a comprehensiveStorm Water Pollution Prevention Planfor the entire facility (as opposed toselected outfalls in an individualpermit) and compliance with all otherconditions of the MSGP is deemed to beat least as stringent a technology-basedpermit limit as the conditions of theindividual permit. This assumption isonly made where the previous permitdid not contain any specific waterquality-based effluent limitations onstorm water discharges (e.g., stormwater contained high levels of zinc andthe individual permit contained a zinclimit developed to ensure compliancewith the State water quality criteria).

G. Requiring Coverage Under anIndividual Permit or an AlternateGeneral Permit

Part 9.12 of today’s final MSGPprovides that EPA may require anindividual permit or coverage under aseparate general permit instead oftoday’s MSGP. This is in accord withNPDES regulations at 40 CFR122.28(b)(3). These regulations alsoprovide that any interested party maypetition EPA to take such an action. Theissuance of the individual permit oralternate general permit would be inaccordance with 40 CFR Part 124 andwould provide for public comment andappeal of any final permit decision. Thecircumstances in which such an action

would be taken are set forth at 40 CFR122.28(b)(3).

VI. Summary of Common PermitConditions

The following section describes thepermit conditions common todischarges from all the industrialactivities covered by today’s finalMSGP. These conditions are largely thesame as the conditions of the 1995MSGP.

A. Notification Requirements

General permits for storm waterdischarges associated with industrialactivity must require the submission ofa Notice of Intent (NOI) prior to theauthorization of such discharges (see 40CFR 122.28(b)(2)(i), April 2, 1992 (57 FR11394)). Consistent with theseregulatory requirements, today’s finalMSGP establishes NOI requirements.These requirements apply to facilitiescurrently covered by the 1995 MSGP, aswell as new facilities seeking coverage.EPA made minor modifications to theNOI form to allow the discharger, theAgency and the public to more easilydetermine sector-specific conditionsthat will apply to the facility. Furthermodifications proposed on March 30,2000 (65 FR 17010) require review andapproval by the Office of Managementand Budget under the PaperworkReduction Act. EPA will have allappropriate approvals in place prior torequiring the use of the expanded NOIform. In the interim the NOI form withthe minor modifications, contained inthis notice, is in effect.

The information requirements of therevised NOI form are described below:

1. Content of NOI

a. An indication of which permit theoperator is filing the NOI for (e.g., afacility in New Hampshire would befiling for coverage under permitNHR05*###, a facility located on NavajoReservation lands in New Mexico underthe AZR05*##I permit, a privatecontractor operating a federal facility inColorado that is not located on IndianCountry lands under the COR05*##Fpermit, etc.);

b. The name, address, and telephonenumber of the operator filing the NOIfor permit coverage;

c. An indication of whether the ownerof the site is a Federal, State, Tribal,private, or other public entity;

d. The name (or other identifier),address, county, and latitude/longitudeof the facility for which the NOI issubmitted (latitude/longitude will beaccepted in either degree-minute-secondor decimal format);

e. An indication of whether thefacility is located on Indian Countrylands;

f. An indication of whether thefacility is a federal facility operated bythe federal government;

g. The name of the receiving water(s);h. The name of the municipal

operator if the discharge is through amunicipal separate storm sewer systemprior to discharge to a water of the U.S.;

i. Up to four 4-digit StandardIndustrial Classification (SIC) codes thatbest represent the principal productsproduced or services rendered,including hazardous waste treatment,storage, or disposal activities, landdisposal facilities that receive or havereceived any industrial waste, steamelectric power generating facilities, ortreatment works treating domesticsewage;

j. Identification of applicable sector(s)in this permit, as designated in Table 1,for facility discharges associated withindustrial activity the operator wishes tohave covered under this permit;

k. Certification that a storm waterpollution prevention plan (SWPPP)meeting the requirements of Part 4 hasbeen developed (with a copy of thepermit language in the SWPPP);

l. Based on the instructions inAddendum A, whether any listedthreatened or endangered species, ordesignated critical habitat, are inproximity to the storm water dischargesor storm water discharge-relatedactivities to be covered by this permit;

m. Whether any historic propertylisted or eligible for listing on theNational Register of Historic Places islocated on the facility or in proximity tothe discharge;

n. A signed and dated certification,signed by a authorized representative ofthe facility as detailed in Part 9.7 andmaintained with the SWPPP thatcertifies the following:I certify under penalty of law that I have readand understand the Part 1.2 eligibilityrequirements for coverage under the multi-sector storm water general permit includingthose requirements relating to the protectionof endangered or threatened species orcritical habitat. To the best of my knowledge,the storm water and allowable non-stormdischarges authorized by this permit (anddischarged related activities), are not likelyand will not likely, jeopardize endangered orthreatened species or critical habitat, or areotherwise eligible for coverage under Part1.2.3.6 of the permit. To the best of myknowledge, I further certify that suchdischarges and discharge related activities donot have an effect on properties listed oreligible for listing on the National Register ofHistoric Places under the National HistoricPreservation Act, or are otherwise eligible forcoverage under Part 1.2.3.7 of the permit. I



1 The terms large and medium municipal separatestorm sewer systems (systems serving a populationof 100,000 or more) are defined at 40 CFR122.26(b)(4) and (7). Some of the cities and countiesin which these systems are found are listed inAppendices F, G, H, and I to 40 CFR Part 122. Othermunicipal systems have been designated by EPA ona case-by-case basis or have brought into theprogram based upon the 1990 Census.

understand that continued coverage underthe multi-sector storm water general permitis contingent upon maintaining eligibility asprovided for in Part 1.2.

Two additional components of theform pending approval by the Office ofManagement and Budget are:

a. under which Part(s) of Part 1.2.3.6(Endangered Species) the applicant iscertifying eligibility and whether the FWS orNMFS was involved in making thedetermination of eligibility;

b. under which Part(s) of Part 1.2.3.7(Historic Properties) the applicant iscertifying eligibility and whether the SHPOor THPO was involved in the determinationof eligibility.

The NOI must be signed inaccordance with the signatoryrequirements of 40 CFR 122.22. Acomplete description of these signatoryrequirements is provided in theinstructions accompanying the NOI.Completed NOI forms must besubmitted to the Storm Water Notice ofIntent (4203), 1200 PennsylvaniaAvenue NW., Washington, DC 20460.

In the future (but not at the presenttime), EPA may also allow alternatemeans of NOI submission (such aselectronic submission). An alternatemeans of NOI submission may be usedby operators provided EPA hasinformed the operator of theacceptability of the alternative.

2. DeadlinesFor facilities currently covered by the

1995 MSGP, the deadline forsubmission of an NOI requestingcoverage under the reissued MSGP isJanuary 29, 2001 (90 days afterexpiration of the 1995 MSGP). For thesefacilities, the requirements of the 1995MSGP are incorporated into today’sMSGP and continue to apply during theinterim period subsequent to theexpiration of the 1995 MSGP, but priorto submission of the NOI requestingcoverage under the reissued MSGP. Inresponse to a question from somepermittees, EPA wishes to clarify thatthere is no need to submit an NOT torescind coverage under the 1995 MSGP.

Facilities currently covered by the1995 MSGP who cannot immediatelydetermine if they are eligible forcoverage under today’s reissued MSGPmay nevertheless be covered for up to270 days provided an application for analternative permit is submitted within90 days. This interim coverage allowspermit coverage while the permitteeassesses his eligibility for the reissuedMSGP and, if necessary, still meet the180 day lead time required forapplications for individual permits.

For facilities commencing operationsafter reissuance of the MSGP, the NOI

must be submitted at least two daysprior to the commencement of the newindustrial activity. New operators ofexisting facilities must also submit theNOI at least two days prior to assumingoperational control at existing facilities.

Dischargers who submit a completeNOI in accordance with the MSGPrequirements are authorized todischarge storm water associated withindustrial activity two days after thedate the NOI is postmarked, unlessotherwise notified by EPA. EPA maydeny coverage under the MSGP andrequire submission of an individualNPDES permit application based on areview of the completeness and/orcontent of the NOI or other information(e.g., Endangered Species Actcompliance, National HistoricPreservation Act Compliance, waterquality information, compliance history,history of spills, etc.). Where EPArequires a discharger authorized underthe MSGP to apply for an individualNPDES permit (or an alternative generalpermit), EPA will notify the dischargerin writing that a permit application (ordifferent NOI) is required by anestablished deadline. Coverage underthe MSGP will automatically terminateif the discharger fails to submit therequired permit application in a timelymanner. Where the discharger doessubmit a requested permit application,coverage under the MSGP willautomatically terminate on the effectivedate of the issuance or denial of theindividual NPDES permit or thealternative general permit as it appliesto the individual permittee.

A discharger is not precluded fromsubmitting an NOI at a later date thandescribed above. However, in suchinstances, EPA may bring appropriateenforcement actions.

3. Municipal Separate Storm SewerSystem Operator Notification

Operators of storm water dischargesassociated with industrial activity thatdischarge through a large or mediummunicipal separate storm sewer system(MS4) or a municipal system designatedby the Director,1 must (upon request ofthe MS4 operator) submit a copy of theNOI to the municipal operator of thesystem receiving the discharge. Thisrequirement of today’s MSGP differsfrom the 1995 MSGP which had

required that a copy of the NOI be sentto the MS4 operator. Today’s MSGP hasbeen modified in this regard to reducepaperwork requirements, and inconsideration of the fact that most largeand medium MS4 operators alreadyhave good information concerning theindustrial facilities discharging intotheir MS4s.

EPA wishes to ensure a coordinatedprogram between EPA and operators ofMS4s for controlling pollutants in stormwater discharges associated withindustrial activity which enter an MS4.Such a coordinated program wasintended by EPA’s original storm waterpermit application regulations ofNovember 16, 1990 (55 FR 48063).Additional discussion of this matter canbe found in the original proposed MSGP(58 FR 61146).

4. Notice of TerminationWhere a discharger is able to

eliminate the storm water dischargesassociated with industrial activity froma facility, the discharger may submit aNotice of Termination (NOT) form (orphotocopy thereof) provided by theDirector. Today’s final MSGP alsodiffers from the 1995 MSGP by requiringthat an NOT be submitted within 30days after one or both of the followingtwo conditions having been met:

a. a new owner/operator has assumedresponsibility for the facility; or

b. the permittee has ceased operationsat the facility and there no longer aredischarges of storm water associatedwith industrial activity from the facility;

A copy of the NOT and instructionsfor completing the NOT are included inAddendum E. The NOT form requiresthe following information:

a. Name, mailing address, andlocation of the facility for which thenotification is submitted. Where a streetaddress for the site is not available, thelocation of the approximate center of thesite must be described in terms of thelatitude and longitude to the nearest 15seconds, or the section, township andrange to the nearest quarter;

b. The name, address and telephonenumber of the operator addressed by theNotice of Termination;

c. The NPDES permit number for thestorm water discharge associated withindustrial activity identified by theNOT;

d. An indication of whether the stormwater discharges associated withindustrial activity have been eliminatedor the operator of the discharges haschanged; and

e. The following certification:I certify under penalty of law that all stormwater discharges associated with industrialactivity from the identified facility that are



2 Section 9.12.2 of the final MSGP provides thatfacility operators with storm water dischargesassociated with industrial activity who, based on anevaluation of site specific conditions, believe thatthe appropriate conditions of this permit do notadequately represent BAT and BCT requirementsfor the facility may submit to the Director anindividual application (Form 1 and Form 2F). Adetailed explanation of the reasons why theconditions of the available general permits do notadequately represent BAT and BCT requirementsfor the facility as well as any supportingdocumentation must be included.

authorized by an NPDES general permit havebeen eliminated or that I am no longer theoperator of the industrial activity. Iunderstand that by submitting this Notice ofTermination I am no longer authorized todischarge storm water associated withindustrial activity under this general permit,and that discharging pollutants in stormwater associated with industrial activity towaters of the United States is unlawful underthe Clean Water Act where the discharge isnot authorized by an NPDES permit. I alsounderstand that the submission of this noticeof termination does not release an operatorfrom liability for any violations of this permitor the Clean Water Act.

NOTs are to be sent to the StormWater Notice of Termination (4203),1200 Pennsylvania Avenue NW.,Washington, DC 20460.

The NOT must be signed inaccordance with the signatoryrequirements of 40 CFR 122.22. Acomplete description of these signatoryrequirements is provided in theinstructions accompanying the NOT.

5. Conditional Exclusion for NoExposure

Today’s final MSGP includes a specialprovision (Part 1.5 of the permit) whichprovides that a facility may discontinuepermit coverage if the facilitydetermines that it is eligible for the ‘‘noexposure’’ permit exemption which wascreated by EPA as part of thepromulgation of the Phase II stormwater regulations (64 FR 68722). Anotice of termination is not required todiscontinue permit coverage underthese circumstances. However, inaccordance with the Phase IIregulations, a no exposure certificationmust be filed with the permittingauthority.

It should also be noted that facilitiesoperating under the existing MSGP areeligible, as of the effective date of thePhase II regulations, to submit noexposure certifications immediately ifthey meet the criteria for no exposure.No exposure certification renewals mustbe submitted five years from the timethey are first submitted (assuming thefacility still qualifies for the exemption).If conditions change at a facility suchthat renewed MSGP coverage is needed,the facility may submit an NOIrequesting renewed coverage.

In response to comments on thismatter, EPA has included a copy of the‘‘No Exposure’’ form and instructions asAddendum F to today’s permit.

EPA has also prepared a newguidance document entitled ‘‘GuidanceManual for Conditional Exclusion fromStorm Water Permitting Based on ‘‘NoExposure’’ of Industrial Activities toStorm Water’’ to assist permittees indetermining eligibility for the

exemption. This guidance document isavailable on EPA’s storm water website.In addition, EPA recently conducted amass mailing to permittees (as well asother stakeholder groups) alerting themto the no exposure exemption.

B. Special Conditions

The conditions of today’s final MSGPhave been designed to comply with thetechnology-based standards of the CWA(BAT/BCT). Based on a consideration ofthe appropriate factors for BAT and BCTrequirements, and a consideration of thefactors and options for controllingpollutants in storm water dischargesassociated with industrial activity, thefinal MSGP lists a set of tailoredrequirements for developing andimplementing storm water pollutionprevention plans (SWPPPs) and, forselected discharges, numeric effluentlimitations.2 This is the same approachas in the 1995 MSGP.

Section VIII of the fact sheet for the1995 MSGP summarized the industry-specific BMP options for controllingpollutants in storm water dischargesassociated with industrial activity forthe various industrial sectors covered bythe MSGP. Section VIII of today’s factsheet does not repeat the informationfrom the 1995 fact sheet; however,updates are provided as appropriate.

Section VI.B.4 of today’s fact sheetdiscusses the storm water dischargeswhich are subject to numeric effluentlimitations. For other dischargescovered by the final MSGP, the permitconditions reflect EPA’s decision toidentify a number of BMP andtraditional storm water managementpractices which prevent pollution instorm water discharges as the BAT/BCTlevel of control for the majority of stormwater discharges covered by this permit.The permit conditions applicable tothese discharges are not numericeffluent limitations, but rather areflexible requirements for developingand implementing site specific plans tominimize and control pollutants instorm water discharges associated withindustrial activity.

EPA is authorized under 40 CFR122.44(k)(2) to impose BMPs in lieu ofnumeric effluent limitations in NPDES

permits when the Agency finds numericeffluent limitations to be infeasible. EPAmay also impose BMPs which are‘‘reasonably necessary * * * to carryout the purposes of the Act’’ under 40CFR 122.44(k)(3). Both of thesestandards for imposing BMPs wererecognized in NRDC v. Costle, 568 F.2d1369, 1380 (D.C. Cir. 1977). Theconditions in today’s final MSGP areissued under the authority of both ofthese regulatory provisions. Thepollution prevention or BMPrequirements in today’s final MSGPoperate as limitations on effluentdischarges that reflect the application ofBAT/BCT. This is because the BMPsidentified require the use of sourcecontrol technologies which, in thecontext of the MSGP, are the bestavailable of the technologieseconomically achievable (or theequivalent BCT finding). See NRDC v.EPA, 822 F.2d 104, 122–23 (D.C. Cir.1987) (EPA has substantial discretion toimpose nonquantitative permitrequirements pursuant to Section402(a)(1)). See also EPA’s memorandumof August 1, 1996 entitled ‘‘InterimPermitting Approach for Water Quality-Based Effluent Limitations for StormWater Discharges.’’

1. Prohibition of Non-storm WaterDischarges

Today’s final MSGP includesbasically the same provisions pertainingto non-storm water discharges as the1995 MSGP. Like the 1995 MSGP,today’s MSGP does not authorize non-storm water discharges that are mixedwith storm water except as providedbelow. Today’s MSGP does authorizeone additional non-storm waterdischarge: mist discharges whichoriginate from cooling towers and whichare deposited at an industrial facilityand may be discharged. During the termof the 1995 MSGP, these dischargeswere brought to the attention of EPAwith a request that the discharges beauthorized under the reissued MSGP.The mist discharges are authorizedunder today’s MSGP provided:

a. The permittee has evaluated thepotential for the discharges to becontaminated by chemicals used in thecooling tower and determined that thelevels of such chemicals in thedischarges would not cause orcontribute to a violation of an applicablewater quality standard; and

b. The permittee has addressed thissource of pollutants with appropriateBMPs in the SWPPP.

The other non-storm water dischargesthat are authorized under today’s finalMSGP are the same as those in the 1995MSGP and include discharges from fire



fighting activities; fire hydrantflushings; potable water sources,including waterline flushings; irrigationdrainage; lawn watering; routineexternal building washdown withoutdetergents; pavement washwaters wherespills or leaks of toxic or hazardousmaterials have not occurred (unless allspilled material has been removed) andwhere detergents are not used; airconditioning condensate; compressorcondensate; uncontaminated groundwater or spring water; and foundation orfooting drains where flows are notcontaminated with process materialssuch as solvents that are combined withstorm water discharges associated withindustrial activity. In response to acomment, the final MSGP includes‘‘potable water sources, includingwaterline flushings’’ on the list ofauthorized non-storm water discharges,but deletes the reference to ‘‘drinkingfountain water,’’ which a commenterfelt could conflict with local ordinances.

To be authorized under today’sMSGP, these other sources of non-stormwater (except flows from fire fightingactivities) must be identified in theSWPPP prepared for the facility.(SWPPP requirements are discussed inmore detail below). Where suchdischarges occur, the SWPPP must alsoidentify and ensure the implementationof appropriate pollution preventionmeasures for the non-storm watercomponent(s) of the discharge.

Today’s final MSGP does not requirepollution prevention measures to beidentified and implemented for non-storm water flows from fire-fightingactivities because these flows willgenerally be unplanned emergencysituations where it is necessary to takeimmediate action to protect the public.

The prohibition of unpermitted non-storm water discharges in today’s MSGPensures that non-storm water discharges(except for those classes of non-stormwater discharges that are conditionallyauthorized in Part 1.2.2.2 of the MSGP)are not inadvertently authorized by thepermit. Where a storm water dischargeis mixed with non-storm water that isnot authorized by today’s MSGP oranother NPDES permit, the dischargershould submit the appropriateapplication forms (Forms 1, 2C, and/or2E) to gain permit coverage of the non-storm water portion of the discharge.

2. Releases of Reportable Quantities ofHazardous Substances and Oil

As discussed below, today’s finalMSGP includes the same provisionspertaining to releases of reportablequantities of hazardous substances andoil as the 1995 MSGP.

a. Today’s final MSGP provides thatthe discharge of hazardous substancesor oil from a facility must be eliminatedor minimized in accordance with theSWPPP developed for the facility.Where a permitted storm waterdischarge contains a hazardoussubstance or oil in an amount equal toor in excess of a reporting quantityestablished under 40 CFR Part 117, or40 CFR Part 302 during a 24-hourperiod, the following actions must betaken:

(1) Any person in charge of thefacility that discharges hazardoussubstances or oil is required to notifythe National Response Center (NRC)(800–424–8802; in the Washington, DC,metropolitan area, 202–426–2675) inaccordance with the requirements of 40CFR Part 117, and 40 CFR Part 302 assoon as they have knowledge of thedischarge.

(2) The SWPPP for the facility must bemodified within 14 calendar days ofknowledge of the release to provide adescription of the release, an account ofthe circumstances leading to the release,and the date of the release. In addition,the plan must be reviewed to identifymeasures to prevent the reoccurrence ofsuch releases and to respond to suchreleases, and it must be modified whereappropriate.

(3) The permittee must also submit toEPA within 14 calendar days ofknowledge of the release a writtendescription of the release (including thetype and estimate of the amount ofmaterial released), the date that suchrelease occurred, the circumstancesleading to the release, and steps to betaken to modify the SWPPP for thefacility.

b. Anticipated discharges containing ahazardous substance in an amount equalto or in excess of reporting quantitiesare those caused by events occurringwithin the scope of the relevantoperating system. Facilities that havemore than one anticipated discharge peryear containing a hazardous substancein an amount equal to or in excess of areportable quantity are required to:

(1) Submit notifications of the firstrelease that occurs during a calendaryear (or for the first year of this permit,after submission of an NOI); and

(2) Provide a written description inthe SWPPP of the dates on which suchreleases occurred, the type and estimateof the amount of material released, andthe circumstances leading to thereleases. In addition, the SWPPP mustaddress measures to minimize suchreleases.

c. Where a discharge of a hazardoussubstance or oil in excess of reportingquantities is caused by a non-storm

water discharge (e.g., a spill of oil intoa separate storm sewer), that dischargeis not authorized by the MSGP and thedischarger must report the discharge asrequired under 40 CFR Part 110, 40 CFRPart 117, or 40 CFR Part 302. In theevent of a spill, the requirements ofSection 311 of the CWA and otherapplicable provisions of Sections 301and 402 of the CWA continue to apply.This approach is consistent with therequirements for reporting releases ofhazardous substances and oil that makea clear distinction between hazardoussubstances typically found in stormwater discharges and those associatedwith spills that are not considered partof a normal storm water discharge (see40 CFR 117.12(d)(2)(i)).

3. Co-located Industrial FacilitiesLike the 1995 MSGP, today’s MSGP

includes requirements pertaining to co-located industrial facilities. However,these requirements have been modifiedfrom the requirements of the 1995MSGP to clarify their applicability. Co-located industrial activities occur whenactivities being conducted onsite fallinto more than one of the categories ofthe industrial facilities listed in Part1.2.1 of today’s MSGP (e.g., a landfill ata wood treatment facility). Facilitiesoperating under the 1995 MSGP havesometimes been unclear whether certainlimited activities (e.g., minor vehiclemaintenance activities at an industrialplant) would trigger the MSGP’srequirements regarding co-locatedactivities.

If you have co-located industrialactivities on-site that are described in asector(s) other than your primary sector,you must comply with all otherapplicable sector-specific conditionsfound in Part 6 for the co-locatedindustrial activities. The extra sector-specific requirements are applied onlyto those areas of your facility where theextra-sector activities occur. An activityat a facility is not considered co-locatedif the activity, when consideredseparately, does not meet thedescription of a category of industrialactivity covered by the storm waterregulations, and identified by today’sMSGP SIC code list. For example,unless you are actually haulingsubstantial amounts of freight ormaterials with your own truck fleet orare providing a trucking service tooutsiders, simple maintenance ofvehicles used at your facility is unlikelyto meet the SIC code group 42description of a motor freighttransportation facility. Even thoughSector P may not apply, the runoff fromyour vehicle maintenance facility wouldlikely still be considered storm water



3 See ‘‘Storm Water Management for IndustrialActivities,’’ EPA, September 1992, EPA–832–R–92–006.

4 For example, see ‘‘Best Management Practices:Useful Tools for Cleaning Up,’’ Thron, H.Rogoshewski, P., 1982, Proceedings of the 1982Hazardous Material Spills Conference; ‘‘TheChemical Industries’’ Approach to SpillPrevention,’’ Thompson, C., Goodier, J. 1980,Proceedings of the 1980 National Conference ofControl of Hazardous Materials Spills; a series ofEPA memoranda entitled ‘‘Best ManagementPractices in NPDES Permits—InformationMemorandum,’’ 1983, 1985, 1986, 1987, 1988;Review of Emergency Systems: Report to Congress,’’EPA, 1988; and ‘‘Analysis of Implementing

Continued

associated with industrial activity. Assuch, your SWPPP must still address therunoff from the vehicle maintenancefacility—although not necessarily withthe same degree of detail as required bySector P—but you would not berequired to monitor as per Sector P.

In the event there truly are co-locatedactivities at your facility, today’s MSGPauthorizes, as does the 1995 MSGP, allstorm water discharges provided thatyour facility complies with all SWPPPand monitoring requirements for eachco-located activity. By monitoring thedischarges from the different industrialactivities, you can better determine theeffectiveness of your SWPPP forcontrolling all major pollutants ofconcern in your storm water discharges.However, if monitoring for the sameparameter is required for more than onesector (and the different industrialactivities drain to the same outfall), thenonly one sample analysis is required forthat parameter.

4. Numeric Effluent LimitationsToday’s MSGP retains the numeric

effluent limitations which wereincluded in the 1995 MSGP, and alsoincludes the effluent limitationsguidelines which EPA recently finalizedfor certain storm water discharges fromnew and existing hazardous and non-hazardous landfills (65 FR 3007, January19, 2000). The new effluent limitationsguidelines for these landfills arediscussed in more detail in the SectionsVIII.K and L of this fact sheet (SpecialRequirements for Discharges Associatedwith Industry Activities).

Today’s MSGP retains the numericeffluent limitations from the 1995 MSGPfor the following discharges: coal pilerunoff (including runoff from steamelectric power plants subject to 40 CFRPart 423 requirements), discharges fromphosphate fertilizer manufacturing (40CFR Part 418), asphalt paving androofing emulsions (40 CFR Part 443),cement manufacturing materials storagepile runoff (40 CFR Part 411), anddischarges resulting from the spraydown of lumber and wood productsstorage yards (wet decking) (40 CFR Part429). In addition, the final MSGPauthorizes mine dewatering dischargesfrom construction sand and gravel,industrial sand, and crushed stonefacilities (40 CFR Part 436) in EPARegions 1, 2, 3, 6, 8, 9, 10. The actualnumeric effluent limitations can befound in Part 6 of the final MSGP.

5. Compliance with Water QualityStandards

The 1995 MSGP does not specificallyaddress compliance with water qualitystandards (WQS), other than to exclude

from coverage discharges which maycontribute to an exceedance of WQS.Today’s final MSGP includes the samerestriction on eligibility, and in Part 3.3also includes certain requirements ifexceedances occur for dischargescovered by the MSGP. If a dischargeauthorized under the final MSGP is laterdiscovered to cause, or have thereasonable potential to cause orcontribute to, a violation of a WQS, thepermitting authority will inform thepermittee of the violation. The permitteemust then take all necessary actions toensure future discharges do not cause orcontribute to the violation of WQS, anddocument these actions in the SWPPP.If violations remain or recur, coverageunder the MSGP may be terminated bythe permitting authority and analternate permit issued. Today’s finalMSGP also clarifies that compliancewith this requirement does not precludeenforcement actions as provided by theCWA for the underlying violation.

C. Common Storm Water PollutionPrevention Plan (SWPPP) Requirements

Like the 1995 MSGP, today’s reissuedMSGP requires that all facilities whichintend to be covered by the MSGP forstorm water discharges associated withindustrial activity prepare andimplement a SWPPP. The MSGPaddresses pollution prevention planrequirements for a number of categoriesof industries. Following below is adiscussion of the common permitrequirements for all industries; specialrequirements for facilities subject toEPCRA Section 313 reportingrequirements; and special requirementsfor facilities with outdoor salt storagepiles. These are the permit requirementswhich apply to discharges associatedwith any of the industrial activitiescovered by today’s final MSGP. Thesecommon requirements may be amendedor further clarified in the industry-specific SWPPP requirements which arefound in Part 6 of the final MSGP. Theseindustry-specific requirements areadditive for facilities where co-locatedindustrial activities occur.

The Storm Water Pollution PreventionPlan (SWPPP) approach in today’s finalMSGP focuses on two major objectives:(1) to identify sources of pollutionpotentially affecting the quality of stormwater discharges associated withindustrial activity from the facility; and(2) ensure implementation of measuresto minimize and control pollutants instorm water discharges associated withindustrial activity from the facility.

The SWPPP requirements in today’sfinal MSGP are intended to facilitate aprocess whereby the operator of theindustrial facility thoroughly evaluates

potential pollution sources at the siteand selects and implements appropriatemeasures designed to prevent or controlthe discharge of pollutants in stormwater runoff. The process involves thefollowing four steps: (1) formation of ateam of qualified plant personnel whowill be responsible for preparing theplan and assisting the plant manager inits implementation; (2) assessment ofpotential storm water pollution sources;(3) selection and implementation ofappropriate management practices andcontrols; and (4) periodic evaluation ofthe effectiveness of the plan to preventstorm water contamination.

EPA believes the pollution preventionapproach is the most environmentallysound and cost-effective way to controlthe discharge of pollutants in stormwater runoff from industrial facilities.This position is supported by the resultsof a comprehensive technical surveyEPA completed in 1979.3 The surveyfound that two classes of managementpractices are generally employed atindustries to control the nonroutinedischarge of pollutants from sourcessuch as storm water runoff, drainagefrom raw material storage and wastedisposal areas, and discharges fromplaces where spills or leaks haveoccurred. The first class of managementpractices includes those that are low incost, applicable to a broad class ofindustries and substances, and widelyconsidered essential to a good pollutioncontrol program. Some examples ofpractices in this class are goodhousekeeping, employee training, andspill response and preventionprocedures. The second class includesmanagement practices that provide asecond line of defense against therelease of pollutants. This classaddresses containment, mitigation, andcleanup. Since publication of the 1979survey, EPA has imposed managementpractices and controls in NPDESpermits on a case-by-case basis. TheAgency also has continued to review theappropriateness and effectiveness ofsuch practices,4 as well as the



Permitting Activities for Storm Water DischargesAssociated with Industrial Activity,’’ EPA, 1991.

5 See for example, ‘‘The Oil Spill Prevention,Control and Countermeasures Program Task ForceReport,’’ EPA, 1988; and ‘‘Guidance Manual for theDevelopment of an Accidental Spill PreventionProgram,’’ prepared by SAIC for EPA, 1986.

6 Nonstructural features such as grass swales andvegetative buffer strips also should be shown.

7 Significant materials include, but are not limitedto the following: raw materials; fuels; solvents,detergents, and plastic pellets; finished materials,such as metallic products; raw materials used infood processing or production; hazardoussubstances designated under Section 101(14) of theComprehensive Environmental Response,Compensation and Liability Act (CERCLA); anychemical the facility is required to report pursuantto EPCRA Section 313; fertilizers; pesticides; andwaste products, such as ashes, slag, and sludge thathave the potential to be released with storm waterdischarges. (See 40 CFR 122.26(b)(8)).

techniques used to prevent and containoil spills. 5 Experience with thesepractices and controls has shown thatthey can be used in permits to reducepollutants in storm water discharges ina cost-effective manner. In keeping withboth the present and previousadministration’s objective to attainenvironmental goals through pollutionprevention, pollution prevention hasbeen and continues to be thecornerstone of the NPDES permittingprogram for storm water. EPA hasdeveloped guidance entitled ‘‘StormWater Management for IndustrialActivities: Developing PollutionPrevention Plans and Best ManagementPractices,’’ September 1992, to assistpermittees in developing andimplementing pollution preventionmeasures.

Note: The discussions of the SWPPPrequirements are grouped in subject areasand do not follow the exact order of thepermit conditions.

1. Pollution Prevention Team (Part4.2.1)

As a first step in the process ofdeveloping and implementing a SWPPP,permittees are required to identify aqualified individual or team ofindividuals to be responsible fordeveloping the plan and assisting thefacility or plant manager in itsimplementation. When selectingmembers of the team, the plant managershould draw on the expertise of allrelevant departments within the plant toensure that all aspects of plantoperations are considered when theplan is developed. The plan mustclearly describe the responsibilities ofeach team member as they relate tospecific components of the plan. Inaddition to enhancing the quality ofcommunication between team membersand other personnel, clear delineation ofresponsibilities will ensure that everyaspect of the plan is addressed by aspecified individual or group ofindividuals. Pollution Prevention Teamsmay consist of one individual whereappropriate (e.g., in certain smallbusinesses with limited storm waterpollution potential).

2. Description of the Facility andPotential Pollution Sources (Part 4.2.2)

Each SWPPP must describe activities,materials, and physical features of thefacility that may contribute significant

amounts of pollutants to storm waterrunoff or, during periods of dry weather,result in pollutant discharges throughthe separate storm sewers or stormwater drainage systems that drain thefacility. This assessment of storm waterpollution risk will support subsequentefforts to identify and set priorities fornecessary changes in materials,materials management practices, or sitefeatures, as well as aid in the selectionof appropriate structural andnonstructural control techniques. Someoperators may find that significantamounts of pollutants are running ontothe facility property. Such operatorsshould identify and address thecontaminated runon in the SWPPP. Ifthe runon cannot be addressed ordiverted by the permittee, thepermitting authority should be notified.If necessary, the permitting authoritymay require the operator of the adjacentfacility to obtain a permit.

Part 6 of the final MSGP includesindustry-specific requirements for thevarious industry sectors covered bytoday’s permit. All SWPPPs generallymust describe the following elements:

a. Description of the Facility Site andReceiving Waters/Wetlands (Parts 4.2.2and 4.2.3): The plan must contain a mapof the site that shows the location ofoutfalls covered by the permit (or byother NPDES permits), the pattern ofstorm water drainage, an indication ofthe types of discharges contained in thedrainage areas of the outfalls, structuralfeatures that control pollutants inrunoff,6 surface water bodies (includingwetlands), places where significantmaterials 7 are exposed to rainfall andrunoff, and locations of major spills andleaks that occurred in the 3 years priorto the date of the submission of an NOIto be covered under this permit. Themap also must show areas where thefollowing activities take place: fueling,vehicle and equipment maintenanceand/or cleaning, loading and unloading,material storage (including tanks orother vessels used for liquid or wastestorage), material processing, and wastedisposal. For areas of the facility thatgenerate storm water discharges with a

reasonable potential to containsignificant amounts of pollutants, themap must indicate the probabledirection of storm water flow and thepollutants likely to be in the discharge.Flows with a significant potential tocause soil erosion also must beidentified. In order to increase thereadability of the map, the inventory ofthe types of discharges contained ineach outfall may be kept as anattachment to the site map.

b. Summary of Potential PollutantSources (Part 4.2.4): The description ofpotential pollution sources culminatesin a narrative assessment of the riskpotential that sources of pollution poseto storm water quality. This assessmentshould clearly point to activities,materials, and physical features of thefacility that have a reasonable potentialto contribute significant amounts ofpollutants to storm water. Any suchactivities, materials, or features must beaddressed by the measures and controlssubsequently described in the plan. Inconducting the assessment, the facilityoperator must consider the followingactivities: loading and unloadingoperations; outdoor storage activities;outdoor manufacturing or processingactivities; significant dust or particulategenerating processes; and onsite wastedisposal practices. The assessment mustlist any significant pollution sources atthe site and identify the pollutantparameter or parameters (i.e.,biochemical oxygen demand, suspendedsolids, etc.) associated with each source.

c. Significant Spills and Leaks (Part4.2.5): The plan must include a list ofany significant spills and leaks of toxicor hazardous pollutants that occurred inthe three years prior to the date of thesubmission of an NOI to be coveredunder this permit. Significant spillsinclude, but are not limited to, releasesof oil or hazardous substances in excessof quantities that are reportable underSection 311 of CWA (see 40 CFR 110.10and 40 CFR 117.21) or Section 102 ofthe Comprehensive EnvironmentalResponse, Compensation and LiabilityAct (CERCLA) (see 40 CFR 302.4).Significant spills may also includereleases of oil or hazardous substancesthat are not in excess of reportingrequirements and releases of materialsthat are not classified as oil or ahazardous substance.

The listing should include adescription of the causes of each spill orleak, the actions taken to respond toeach release, and the actions taken toprevent similar such spills or leaks inthe future. This effort will aid thefacility operator as she or he examinesexisting spill prevention and responseprocedures and develops any additional



8 In general, smoke tests should not be used forevaluating the discharge of non-storm water to aseparate storm sewer as many sources of non-stormwater typically pass through a trap that would limitthe effectiveness of the smoke test.

procedures necessary to fulfill therequirements set forth in Parts 4 and 6of the final permit.

d. Allowable and Prohibited Non-storm Water Discharges (Part 4.4): EachSWPPP must include a certification,signed by an authorized individual, thatdischarges from the site have beentested or evaluated for the presence ofnon-storm water discharges. Thecertification must describe possiblesignificant sources of non-storm water,the results of any test and/or evaluationconducted to detect such discharges, thetest method or evaluation criteria used,the dates on which tests or evaluationswere performed, and the onsite drainagepoints directly observed during the testor evaluation. Acceptable test orevaluation techniques include dye tests,television surveillance, observation ofoutfalls or other appropriate locationsduring dry weather, water balancecalculations, and analysis of piping anddrainage schematics.8

Except for flows that originate fromfire fighting activities, sources of non-storm water that are specificallyidentified in the permit as being eligiblefor authorization under the generalpermit must be identified in the plan.SWPPPs must identify and ensure theimplementation of appropriate pollutionprevention measures for the non-stormwater discharge.

EPA recognizes that certification maynot be feasible where facility personneldo not have access to an outfall,manhole, or other point of access to theconduit that ultimately receives thedischarge. In such cases, the plan mustdescribe why certification was notfeasible. Permittees who are not able tocertify that discharges have been testedor evaluated must notify the Director inaccordance with Part 4.4 of the finalMSGP.

e. Sampling Data (Part 4.2.6): Anyexisting data on the quality or quantityof storm water discharges from thefacility must be described in the plan,including data collected for Part 2 of thegroup application process. These datamay be useful for locating areas thathave contributed pollutants to stormwater. The description should include adiscussion of the methods used tocollect and analyze the data. Samplecollection points should be identified inthe plan and shown on the site map.

3. Selection and Implementation ofStorm Water Controls (Part 4.2.7, et al.)

Following completion of the sourceidentification and assessment phase, thepermit requires the permittee toevaluate, select, and describe thepollution prevention measures, BMPs,and other controls that will beimplemented at the facility. BMPsinclude processes, procedures,schedules of activities, prohibitions onpractices, and other managementpractices that prevent or reduce thedischarge of pollutants in storm waterrunoff.

EPA emphasizes the implementationof pollution prevention measures andBMPs that reduce possible pollutantdischarges at the source. Sourcereduction measures include, amongothers, preventive maintenance,chemical substitution, spill prevention,good housekeeping, training, and propermaterials management. Where suchpractices are not appropriate to aparticular source or do not effectivelyreduce pollutant discharges, EPAsupports the use of source controlmeasures and BMPs such as materialsegregation or covering, water diversion,and dust control. Like source reductionmeasures, source control measures andBMPs are intended to keep pollutantsout of storm water. The remainingclasses of BMPs, which involverecycling or treatment of storm water,allow the reuse of storm water orattempt to lower pollutantconcentrations prior to discharge.

The SWPPP must discuss the reasonseach selected control or practice isappropriate for the facility and howeach will address one or more of thepotential pollution sources identified inthe plan. The plan also must include aschedule specifying the time or timesduring which each control or practicewill be implemented. In addition, theplan should discuss ways in which thecontrols and practices relate to oneanother and, when taken as a whole,produce an integrated and consistentapproach for preventing or controllingpotential storm water contaminationproblems. The permit requirementsincluded for the various industry sectorsin Part 6 of today’s final MSGP generallyrequire that the portion of the plan thatdescribes the measures and controlsaddress the following minimumcomponents.

When ‘‘minimize/reduce’’ is usedrelative to SWPPP measures, EPA meansto consider and implement BMPs thatwill result in an improvement over thebaseline conditions as it relates to thelevels of pollutants identified in stormwater discharges with due consideration

to economic feasibility andeffectiveness.

a. Nonstructural Controls:• Good Housekeeping. Good

housekeeping involves using practical,cost-effective methods to identify waysto maintain a clean and orderly facilityand keep contaminants out of separatestorm sewers. It includes establishingprotocols to reduce the possibility ofmishandling chemicals or equipmentand training employees in goodhousekeeping techniques. Theseprotocols must be described in the planand communicated to appropriate plantpersonnel.

• Minimizing Exposure. Wherepracticable, protecting potentialpollutant sources from exposure tostorm water is an important controloption. Pollutants that are neverallowed to contaminate storm water donot require development of ‘‘treatment’’type BMPs. Elimination of all exposureto storm water may also make thefacility eligible for the ‘‘No ExposureCertification’’ exclusion from permittingat 40 CFR 122.26(g)

• Preventive Maintenance. Permitteesmust develop a preventive maintenanceprogram that involves regular inspectionand maintenance of storm watermanagement devices and otherequipment and systems. The programdescription should identify the devices,equipment, and systems that will beinspected; provide a schedule forinspections and tests; and addressappropriate adjustment, cleaning,repair, or replacement of devices,equipment, and systems. For stormwater management devices such ascatch basins and oil/water separators,the preventive maintenance programshould provide for periodic removal ofdebris to ensure that the devices areoperating efficiently. For otherequipment and systems, the programshould reveal and enable the correctionof conditions that could causebreakdowns or failures that may resultin the release of pollutants.

• Spill Prevention and ResponseProcedures. Based on an assessment ofpossible spill scenarios, permittees mustspecify appropriate material handlingprocedures, storage requirements,containment or diversion equipment,and spill cleanup procedures that willminimize the potential for spills and, inthe event of a spill, enable proper andtimely response. Areas and activitiesthat typically pose a high risk for spillsinclude loading and unloading areas,storage areas, process activities, andwaste disposal activities. Theseactivities and areas, and theiraccompanying drainage points, must bedescribed in the plan. For a spill



prevention and response program to beeffective, employees should clearlyunderstand the proper procedures andrequirements and have the equipmentnecessary to respond to spills.

• Routine Inspections. In addition tothe comprehensive site evaluation,facilities are required to conductperiodic inspections of designatedequipment and areas of the facility.Industry-specific requirements for suchinspections, if any, are set forth in Part6 of the final MSGP. When required,qualified personnel must be identifiedto conduct inspections at appropriateintervals specified in the plan. A set oftracking or follow-up procedures mustbe used to ensure that appropriateactions are taken in response to theinspections. Records of inspectionsmust be maintained. These periodicinspections are different from thecomprehensive site evaluation, eventhough the former may be incorporatedinto the latter. Equipment, area, or otherinspections are typically visual and arenormally conducted on a regular basis,e.g., daily inspections of loading areas.Requirements for such periodicinspections are specific to eachindustrial sector in today’s permit,whereas the comprehensive sitecompliance evaluation is required of allindustrial sectors. Area inspections helpensure that storm water pollutionprevention measures (e.g., BMPs) areoperating and properly maintained on aregular basis. The comprehensive siteevaluation is intended to provide anoverview of the entire facility’spollution prevention activities. Refer toPart VI.C.3.h. below for moreinformation on the comprehensive siteevaluation.

• Employee Training. The SWPPPmust describe a program for informingpersonnel at all levels of responsibilityof the components and goals of theSWPPP. The training program shouldaddress topics such as goodhousekeeping, materials management,and spill response procedures. Whereappropriate, contractor personnel alsomust be trained in relevant aspects ofstorm water pollution prevention. Aschedule for conducting training mustbe provided in the plan. Severalsections in Part 6 of today’s final MSGPspecify a minimum frequency fortraining of once per year. Othersindicate that training is to be conductedat an appropriate interval. EPArecommends that facilities conducttraining annually at a minimum.However, more frequent training may benecessary at facilities with highturnover of employees or whereemployee participation is essential to

the storm water pollution preventionplan.

b. Structural Controls:• Sediment and Erosion Control. The

SWPPP must identify areas that, due totopography, activities, soils, covermaterials, or other factors have a highpotential for significant soil erosion.The plan must identify measures thatwill be implemented to limit erosion inthese areas.

• Management of Runoff. The planmust contain a narrative evaluation ofthe appropriateness of traditional stormwater management practices (i.e.,practices other than those that controlpollutant sources) that divert, infiltrate,reuse, or otherwise manage storm waterrunoff so as to reduce the discharge ofpollutants. Appropriate measures mayinclude, among others, vegetativeswales, collection and reuse of stormwater, inlet controls, snow management,infiltration devices, and wet detention/retention basins.

c. Example BMPs: Part 4.2.7.2.2includes a list of example BMPs thatcould be considered for use in a SWPPP,for example: detention structures(including wet ponds); storm waterretention structures; flow attenuation byuse of open vegetated swales andnatural depressions; infiltration ofrunoff onsite; and sequential systems(which combine several practices).These examples are not intended tolimit the creativity of facility operatorsin developing alternative BMPs orapplications for BMPs that increase costeffectiveness.

d. Selection of Controls: Based on theresults of the evaluation, the plan mustidentify practices that the permitteedetermines are reasonable andappropriate for the facility. The planalso should describe the particularpollutant source area or activity to becontrolled by each storm watermanagement practice. Reasonable andappropriate practices must beimplemented and maintained accordingto the provisions prescribed in the plan.

In selecting storm water managementmeasures, it is important to consider thepotential effects of each method onother water resources, such as groundwater. Although storm water pollutionprevention plans primarily focus onstorm water management, facilities mustalso consider potential ground waterpollution problems and take appropriatesteps to avoid adversely affectingground water quality. For example, ifthe water table is unusually high in anarea, an infiltration pond maycontaminate a ground water sourceunless special preventive measures aretaken. Under EPA’s July 1991 GroundWater Protection Strategy, States are

encouraged to develop ComprehensiveState Ground Water Protection Programs(CSGWPP). Efforts to control stormwater should be compatible with Stateground water objectives as reflected inCSGWPPs.

e. Other Controls: Today’s final MSGPincludes a new requirement that nosolid materials, including floating debrismay be discharged to waters of theUnited States, except as authorized by apermit under Section 404 of the CleanWater Act. In addition, off-site trackingof raw, final, or waste materials orsediment, and the generation of dustmust be minimized. Tracking orblowing of raw, final, or waste materialsfrom areas of no exposure to exposedareas must be minimized. Theserequirements are similar torequirements included in EPA’sconstruction general storm water permit(63 FR 7858, February 17, 1998) whichEPA believes would be appropriate forindustrial facilities as well.

f. Maintenance (Part 4.3): All BMPsidentified in the SWPPP must bemaintained in effective operatingcondition.

g. Controls for Allowable Non-StormWater (Part 4.4.2): Where an allowablenon-storm water has been identified,appropriate controls for that dischargemust be included in the permit. In manycases, the same types of controls forcontaminated storm water wouldsuffice, but the nature and volume ofpotential pollutants in the non-stormwater discharges must be taken intoconsideration in selection of controls.

h. Comprehensive Site ComplianceEvaluation (Part 4.9): Today’s finalMSGP requires that the SWPPP describethe scope and content of thecomprehensive site evaluations thatqualified personnel will conduct to (1)confirm the accuracy of the descriptionof potential pollution sources containedin the plan, (2) determine theeffectiveness of the plan, and (3) assesscompliance with the terms andconditions of the permit. Note that thecomprehensive site evaluations are notthe same as periodic or otherinspections described for certainindustries in Section VI.C.3.d of this factsheet. However, in the instances whenfrequencies of inspections and thecomprehensive site complianceevaluation overlap, they may becombined allowing for efficiency as longas the requirements for both types ofinspections are met. The plan mustindicate the frequency ofcomprehensive evaluations which mustbe at least once a year, except wherecomprehensive site evaluations areshown in the plan to be impractical forinactive mining sites, due to remote



9 Where annual site inspections are shown in theplan to be impractical for inactive mining sites dueto remote location and inaccessibility, siteinspections must be conducted at least once everythree years.

location and inaccessibility.9 Theindividual or individuals who willconduct the comprehensive siteevaluation must be identified in theplan and should be members of thepollution prevention team. Materialhandling and storage areas and otherpotential sources of pollution must bevisually inspected for evidence of actualor potential pollutant discharges to thedrainage system. Inspectors also mustobserve erosion controls and structuralstorm water management devices toensure that each is operating correctly.Equipment needed to implement theSWPPP, such as that used during spillresponse activities, must be inspected toconfirm that it is in proper workingorder.

The results of each comprehensivesite evaluation must be documented ina report signed by an authorizedcompany official. The report mustdescribe the scope of the comprehensivesite evaluation, the personnel makingthe comprehensive site evaluation, thedate(s) of the comprehensive siteevaluation, and any major observationsrelating to implementation of theSWPPP. Comprehensive site evaluationreports must be retained for at leastthree years after the date of theevaluation. Based on the results of eachcomprehensive site evaluation, thedescription in the plan of potentialpollution sources and measures andcontrols must be revised as appropriatewithin two weeks after eachcomprehensive site evaluation, unlessindicated otherwise in Part 6 of thepermit. If existing BMPs need to bemodified or if additional BMPs arenecessary, implementation must becompleted before the next anticipatedstorm, or not more than 12 weeks aftercompletion of the comprehensive siteevaluation.

i. Applicable State, Tribal, or LocalPlans (Part 4.8): The SWPPP must beconsistent with any applicablerequirements of State, Tribal, or Localstorm water, waste disposal, sanitarysewer or septic system regulations to theextent these apply to a facility and aremore stringent than the requirements ofthis permit.

j. Documentation of Permit Eligibilitywith Regards to ESA and NHPARequirements (Parts 4.5 and 4.6): Tobetter ensure compliance with therequirements of the ESA and NHPA,Parts 4.5 and 4.6 of today’s final MSGPrequire that documentation be includedwith the SWPPP demonstrating permit

eligibility with regards to therequirements of the ESA and NHPA.The following information is requiredfor the ESA:

• Information on whether listedendangered or threatened species, orcritical habitat, are found in proximityto the facility;

• Whether such species may bejeopardized by the storm waterdischarges or storm water discharge-related activities;

• Results of the Addendum Aendangered species screeningdeterminations; and

• A description of measuresnecessary to protect listed endangeredor threatened species, or critical habitat,including any terms or conditions thatare imposed under the eligibilityrequirements of Part 1.2.3.6. The finalMSGP notes that discharges fromfacilities which fail to describe andimplement such measures are ineligiblefor coverage under the permit.

The following information is requiredfor the NHPA determination:

• Information on whether the stormwater discharges or storm waterdischarge-related activities would havean effect on a property that is listed oreligible for listing on the NationalRegister of Historic Places;

• Where effects may occur, anywritten agreements which have beenmade with the State HistoricPreservation Officer, Tribal HistoricPreservation Officer, or other Triballeader to mitigate those effects;

• Results of the Addendum B historicplaces screening determinations; and

• A description of measuresnecessary to avoid or minimize adverseimpacts on places listed, or eligible forlisting, on the National Register ofHistoric Places, including any terms orconditions that are imposed under theeligibility requirements of Part 1.2.3.7 ofthis permit. The final MSGP notes thatdischarges from facilities which fail todescribe and implement such measuresare ineligible for coverage under thepermit.

k. Keeping a Copy of the Permit withthe SWPPP (Part 4.7): A newrequirement to have a copy of thepermit language in the SWPPP has beenadded to today’s permit. The‘‘confirmation’’ letter received from theNOI Processing Center is not the permit;it is essentially only the equivalent of a‘‘receipt’’ for a facility’s ‘‘registration’’(NOI) to use the general permit. Sincedetermining permit eligibility andpreparing a SWPPP is required prior toobtaining permit coverage, a copy of thepermit would be needed anyway.Requiring a copy of the permit in theSWPPP ensures that facility operators,

and not just whoever prepared theSWPPP, will have ready access to allpermit requirements.

l. Recordkeeping and Keeping theSWPPP Current (Parts 4.9.4, 4.10, et al.):Records must be kept with the SWPPPdocumenting the status andeffectiveness of plan implementation. Ata minimum, records must addressresults of the annual ComprehensiveSite Compliance Evaluations, routinefacility inspections, spills, monitoring,and maintenance activities. The planalso must describe a system that enablestimely reporting of storm watermanagement-related information toappropriate plant personnel. Inspectorsor other enforcement officers will askfor records documenting permitcompliance during inspections orfacility compliance reviews.

The SWPPP must be updatedwhenever there is a change at thefacility that would significantly affectthe discharges authorized under theMSGP. The SWPPP must also beupdated whenever monitoring resultsand/or an inspection by the permittee orby local, state, tribal, or federal officialsindicate a portion of the SWPPP isproving to be ineffective in controllingstorm water discharge quality.

m. Signature, Plan Review, andAccess to the SWPPP (Part 4.11): TheSWPPP must be signed and certified inaccordance with Part 7 of the permit. Acopy of the SWPPP must be kept on siteat the facility or be locally available forthe use of the Director, a State, Tribe, orlocal agency (e.g., MS4 operator) at thetime of an onsite inspection. TheSWPPP must also be made available tothe U.S. Fish and Wildlife Service orNational Marine Fisheries Service uponrequest. Since SWPPPs are livingdocuments that change over time, accessto the current version of the SWPPP iscritical in assessing permit compliance.Facilities are also required to provide acopy of the SWPPP to the public whenrequested in writing to do so.

The Director may notify you at anytime that your SWPPP does not meetone or more of the minimumrequirements of this permit. Thenotification will identify provisions ofthe permit which are not being met, aswell as the required modifications.Required changes must be made withinthirty (30) calendar days and a writtencertification submitted to the Directorconfirming that the changes were made.

EPA does not intend to require publiccomment on SWPPPs or hold publichearings. As noted above, EPA mayrequire changes to a SWPPP whennecessary and may consider concernsfrom the public in making suchjudgments. The MSGP also provides



that individual permits may be requiredwhen the MSGP is inappropriate for agiven facility. During the issuance of theindividual permits, the public wouldhave an opportunity to comment on therequirements of the permits.

4. Deadlines

Today’s MSGP requires thatpermittees previously covered by the1995 MSGP must update their SWPPPsto comply with any new requirements oftoday’s MSGP by the date they submittheir new NOIs. As noted earlier, thenew NOIs are due January 29, 2001.However, a permittee may request anextension for the SWPPP update not toexceed 270 days from the expirationdate of the 1995 MSGP.

D. Special Requirements

1. Special Requirements for StormWater Discharges Associated WithIndustrial Activity From FacilitiesSubject to EPCRA Section 313Requirements (Part 4.12)

Today’s final MSGP replaces thespecial requirements of the 1995 MSGPfor certain permittees subject toreporting requirements under Section313 of the EPCRA (also known as TitleIII of the Superfund Amendments andReauthorization Act (SARA)) with arequirement to identify areas with thesepollutants. EPCRA Section 313 requiresoperators of certain facilities thatmanufacture (including import),process, or otherwise use listed toxicchemicals to report annually theirreleases of those chemicals to anyenvironmental media. Listed toxicchemicals include more than 500chemicals and chemical classes listed at40 CFR Part 372 (including the recentlyadded chemicals published November30, 1994).

By requiring identification of EPCRA313 chemicals in the summary ofpotential pollutant sources under theStorm Water Pollution Prevention Plan(Part 4.2.4), the facility operator is thenrequired to develop appropriate stormwater controls for such areas (Part4.2.7). EPA expects that many controlsfor EPCRA chemicals will continue tobe driven by other state and federalenvironmental regulations such as SpillPrevention Control and Countermeasure(SPCC) plans required under Section311 of the CWA, etc. as long as such arequirement is incorporated into theSWPPP.

This reduction in permit complexityby eliminating redundant requirementswas requested by members of theregulated community.

2. Special Requirements for StormWater Discharges Associated WithIndustrial Activity From Salt StorageFacilities

Today’s MSGP retains the samespecial requirements as the 1995 MSGPfor storm water discharges associatedwith industrial activity from salt storagefacilities. Storage piles of salt used fordeicing or other commercial orindustrial purposes must be enclosed orcovered to prevent exposure toprecipitation, except for exposureresulting from adding or removingmaterials from the pile. Thisrequirement only applies to runoff fromstorage piles discharged to waters of theUnited States. Facilities that collect allthe runoff from their salt piles and reuseit in their processes or discharge itsubject to a separate NPDES permit donot need to enclose or cover their piles.

These special requirements have beenincluded in today’s permit based onhuman health and aquatic effectsresulting from storm water runoff fromsalt storage piles compounded with theprevalence of salt storage piles acrossthe United States.

3. Consistency With Other Plans

SWPPPs may reference the existenceof other plans for Spill PreventionControl and Countermeasure (SPCC)developed for the facility under Section311 of the CWA or BMP programsotherwise required by an NPDES permitfor the facility as long as suchrequirement is incorporated into theSWPPP.

E. Monitoring and ReportingRequirements

Today’s final MSGP retains the samemonitoring requirements as the existingMSGP. Numerous comments weresubmitted on these monitoringrequirements. A summary of EPA’sresponses to these comments andjustification for retaining theserequirements is contained in thissection. A more detailed discussion isfound in Section IX of this fact sheet(Summary of Responses to Comments).Responses to individual comments arecontained in the Water Docket.

Like the 1995 MSGP, today’s finalMSGP includes three general types ofmonitoring: analytical monitoring orchemical monitoring; compliancemonitoring for effluent guidelinescompliance, and visual examinations ofstorm water discharges. A generaldescription of each of these types ofmonitoring which was provided withthe 1995 MSGP is repeated below.

1. Analytical Monitoring Requirements

Analytical monitoring requirementsinvolve laboratory chemical analyses ofsamples collected by the permittee. Theresults of the analytical monitoring arequantitative concentration values fordifferent pollutants, which can be easilycompared to the results from othersampling events, other facilities, or tonational benchmarks.

The categories of facilities subject toanalytical monitoring in today’s finalMSGP are noted in Table 1 of this factsheet. The MSGP requires analyticalmonitoring for the industry sectors orsubsectors that demonstrated in thegroup application data a potential todischarge pollutants at concentrations ofconcern or, in certain State-specificcases, to satisfy those States’requirements. The data submitted withthe group permit applications werereviewed by EPA to determine theindustry sectors and subsectors listed inTable 1 of this fact sheet that are to besubject to analytical monitoringrequirements. First, EPA divided thePart 1 and Part 2 application data by theindustry sectors listed in Table 1. Wherea sector was found to contain a widerange of industrial activities or potentialpollutant sources, it was furthersubdivided into the industry subsectorslisted in Table 1. Next, EPA reviewedthe information submitted in Part 1 ofthe group applications regarding theindustrial activities, significantmaterials exposed to storm water, andthe material management measuresemployed. This information helpedidentify potential pollutants that may bepresent in the storm water discharges.Then EPA entered into a database thesampling data submitted in Part 2 of thegroup applications. Those data werearrayed according to industrial sectorand subsector for the purposes ofdetermining when analytical monitoringwould be appropriate.

To conduct a comparison of theresults of the statistical analyses todetermine when analytical monitoringwould be required, EPA established‘‘benchmark’’ concentrations for thepollutant parameters on whichmonitoring results had been received.The ‘‘benchmarks’’ are the pollutantconcentrations above which EPAdetermined represent a level of concern.The level of concern is a concentrationat which a storm water discharge couldpotentially impair, or contribute toimpairing, water quality or affect humanhealth from ingestion of water or fish.The benchmarks are also viewed by EPAas a level that, if below, a facilitypresents little potential for water qualityconcern. As such, the benchmarks also



provide an appropriate level todetermine whether a facility’s stormwater pollution prevention measures aresuccessfully implemented. Thebenchmark concentrations are noteffluent limitations and should not beinterpreted or adopted as such. Thesevalues are merely levels which EPA hasused to determine if a storm waterdischarge from any given facility meritsfurther monitoring to ensure that the

facility has been successful inimplementing a SWPPP. As such, theselevels represent a target concentrationfor a facility to achieve throughimplementation of pollution preventionmeasures at the facility. Table 3 lists theparameter benchmark values and thesources used for the benchmarks. Twochanges from the 1995 MSGP are theaddition of benchmark values for totalCyanide and Total Magnesium.

Benchmark values for the twoparameters were included in the FactSheet of the 1995 MSGP at Table K–3,but were inadvertently not included inthe general listing of parameterbenchmark values (Table 5 of the FactSheet for the 1995 MSGP). Additionalinformation explaining the derivation ofthe benchmarks can be found in the factsheet for the 1995 MSGP (60 FR 50825).

TABLE 3.—PARAMETER BENCHMARK VALUES

Parameter name Benchmark level Source

Biochemical Oxygen Demand (5 day) ................................................................................ 30 mg/L ....................................................... 4Chemical Oxygen Demand ................................................................................................. 120 mg/L ..................................................... 5Total Suspended Solids ...................................................................................................... 100 mg/L ..................................................... 7Oil and Grease .................................................................................................................... 15 mg/L ....................................................... 8Nitrate + Nitrite Nitrogen ...................................................................................................... 0.68 mg/L .................................................... 7Total Phosphorus ................................................................................................................ 2.0 mg/L ...................................................... 6pH ........................................................................................................................................ 6.0–9.0 s.u. .................................................. 4Acrylonitrile (c) ..................................................................................................................... 7.55 mg/L .................................................... 2Aluminum, Total (pH 6.5–9) ................................................................................................ 0.75 mg/L .................................................... 1Ammonia .............................................................................................................................. 19 mg/L ....................................................... 1Antimony, Total .................................................................................................................... 0.636 mg/L .................................................. 9Arsenic, Total (c) ................................................................................................................. 0.16854 mg/L .............................................. 9Benzene ............................................................................................................................... 0.01 mg/L .................................................... 10Beryllium, Total (c) .............................................................................................................. 0.13 mg/L .................................................... 2Butylbenzyl Phthalate .......................................................................................................... 3 mg/L ......................................................... 3Cadmium, Total (H) ............................................................................................................. 0.0159 mg/L ................................................ 9Chloride ............................................................................................................................... 860 mg/L ..................................................... 1Copper, Total (H) ................................................................................................................. 0.0636 mg/L ................................................ 9Cyanide, Total ..................................................................................................................... 0.0636 mg/l .................................................. 9Dimethyl Phthalate .............................................................................................................. 1.0 mg/L ...................................................... 11Ethylbenzene ....................................................................................................................... 3.1 mg/L ...................................................... 3Fluoranthene ........................................................................................................................ 0.042 mg/L .................................................. 3Fluoride ................................................................................................................................ 1.8 mg/L ...................................................... 6Iron, Total ............................................................................................................................ 1.0 mg/L ...................................................... 12Lead, Total (H) .................................................................................................................... 0.0816 mg/L ................................................ 1Magnesium, Total ................................................................................................................ 0.0636 mg/l .................................................. 9Manganese .......................................................................................................................... 1.0 mg/L ...................................................... 13Mercury, Total ...................................................................................................................... 0.0024 mg/L ................................................ 1Nickel, Total (H) ................................................................................................................... 1.417 mg/L .................................................. 1PCB–1016 (c) ...................................................................................................................... 0.000127 mg/L ............................................ 9PCB–1221 (c) ...................................................................................................................... 0.10 mg/L .................................................... 10PCB–1232 (c) ...................................................................................................................... 0.000318 mg/L ............................................ 9PCB–1242 (c) ...................................................................................................................... 0.00020 mg/L .............................................. 10PCB–1248 (c) ...................................................................................................................... 0.002544 mg/L ............................................ 9PCB–1254 (c) ...................................................................................................................... 0.10 mg/L .................................................... 10PCB–1260 (c) ...................................................................................................................... 0.000477 mg/L ............................................ 9Phenols, Total ...................................................................................................................... 1.0 mg/L ...................................................... 11Pyrene (PAH,c) .................................................................................................................... 0.01 mg/L .................................................... 10Selenium, Total (*) ............................................................................................................... 0.2385 mg/L ................................................ 9Silver, Total (H) ................................................................................................................... 0.0318 mg/L ................................................ 9Toluene ................................................................................................................................ 10.0 mg/L .................................................... 3Trichloroethylene (c) ............................................................................................................ 0.0027 mg/L ................................................ 3Zinc, Total (H) ...................................................................................................................... 0.117 mg/L .................................................. 1

Sources:1. ‘‘EPA Recommended Ambient Water Quality Criteria.’’ Acute Aquatic Life Freshwater.2. ‘‘EPA Recommended Ambient Water Quality Criteria.’’ LOEL Acute Freshwater.3. ‘‘EPA Recommended Ambient Water Quality Criteria.’’ Human Health Criteria for Consumption of Water and Organisms.4. Secondary Treatment Regulations (40 CFR 133).5. Factor of 4 times BOD5 concentration—North Carolina benchmark.6. North Carolina storm water benchmark derived from NC Water Quality Standards.7. National Urban Runoff Program (NURP) median concentration.8. Median concentration of Storm Water Effluent Limitation Guideline (40 CFR Part 419).9. Minimum Level (ML) based upon highest Method Detection Limit (MDL) times a factor of 3.18.10. Laboratory derived Minimum Level (ML).11. Discharge limitations and compliance data.12. ‘‘EPA Recommended Ambient Water Quality Criteria.’’ Chronic Aquatic Life Freshwater.13. Colorado—Chronic Aquatic Life Freshwater—Water Quality Criteria.Notes:(*) Limit established for oil and gas exploration and production facilities only.(c) carcinogen.



(H) hardness dependent.(PAH) Polynuclear Aromatic Hydrocarbon.Assumptions:Receiving water temperature ¥20 C.Receiving water pH ¥7.8.Receiving water hardness CaCO3 100 mg/L.Receiving water salinity 20 g/kgAcute to Chronic Ratio (ACR) ¥10.

EPA prepared a statistical analysis ofthe sampling data for each pollutantparameter reported within each sectoror subsector. (Only where EPA did notsubdivide an industry sector intosubsectors was an analysis of the entiresector’s data performed.) The statisticalanalysis was performed assuming adelta log normal distribution of thesampling data within each sector/subsector. The analyses calculatedmedian, mean, maximum, minimum,95th, and 99th percentile concentrationsfor each parameter. The results of theanalyses can be found in the appropriatesection of Section VIII of the fact sheetaccompanying the 1995 MSGP. Fromthis analysis, EPA was able to identifypollutants for further evaluation withineach sector or subsector.

EPA next compared the medianconcentration of each pollutant for eachsector or subsector to the benchmarkconcentrations listed in Table 3. EPAalso compared the other statisticalresults to the benchmarks to betterascertain the magnitude and range of thedischarge concentrations to helpidentify the pollutants of concern. EPAdid not conduct this analysis if a sectorhad data for a pollutant from less thanthree individual facilities. Under thesecircumstances, the sector or subsectorwould not have this pollutant identifiedas a pollutant of concern. This was doneto ensure that a reasonable number offacilities represented the industry sectoror subsector as a whole and that theanalysis did not rely on data from onlyone facility.

For each industry sector or subsector,parameters with a median concentrationhigher than the benchmark level wereconsidered pollutants of concern for theindustry and identified as potentialpollutants for analytical monitoringunder today’s permit. EPA thenanalyzed the list of potential pollutantsto be monitored against the lists ofsignificant materials exposed andindustrial activities which occur withineach industry sector or subsector asdescribed in the Part I applicationinformation. Where EPA could identifya source of a potential pollutant whichis directly related to industrial activitiesof the industry sector or subsector, thepermit identifies that parameter foranalytical monitoring. If EPA could notidentify a source of a potential pollutant

which was associated with the sector/subsector’s industrial activity, thepermit does not require monitoring forthe pollutant in that sector/subsector.Industries with no pollutants for whichthe median concentrations are higherthan the benchmark levels are notrequired to perform analyticalmonitoring under this permit, with theexceptions explained below.

In addition to the sectors andsubsectors identified for analyticalmonitoring using the methods describedabove, EPA determined, based upon areview of the degree of exposure, typesof materials exposed, special studiesand in some cases inadequate samplingdata in the group applications, that thefollowing industries also warrantanalytical monitoring notwithstandingthe absence of data on the presence orabsence of certain pollutants in thegroup applications: Sector K (hazardouswaste treatment storage and disposalfacilities), and Sector S (airports whichuse more than 100,000 gallons per yearof glycol-based fluids or 100 tons of ureafor deicing). Today’s final MSGP retainsthe monitoring requirements of the 1995MSGP due to the high potential forcontamination of storm water dischargewhich EPA believes was not adequatelycharacterized by group applicants in theinformation they provided in the groupapplication process. Like the 1995MSGP, exemptions for today’s MSGPwould be on a pollutant-by-pollutantand outfall-by-outfall basis.

As part of the reissuance process fortoday’s MSGP, EPA evaluated DischargeMonitoring Reports (DMRs) submittedby facilities for analytical monitoringconducted during the second and fourthyear of the 1995 MSGP. The purpose ofthe evaluation was to evaluate anytrends in the monitoring results. Onefactor common to almost all industrialsectors, however, was that the numberof DMRs submitted for the year-fourmonitoring period far exceeded thenumber of DMRs submitted for the year-two monitoring period. For the second-year monitoring period, EPA received380 DMRs, whereas 1377 DMRs werereceived for the fourth-year monitoringperiod. For example, the number ofSector M (Auto Salvage Yards) facilitiesthat submitted monitoring results fortotal suspended solids from the secondyear monitoring period was roughly 26;

the number of DMRs submitted for thefourth year monitoring for the sameindustrial sector and parameter was 240.As a result, EPA could not conduct thetrends analysis it intended to perform.

While the exact reason for thesignificant increase in the number ofDMRs received in year 4 of the permit(as compared to year 2) is unknown,EPA suspects it is related to theadministrative extension of EPA’s 1992baseline general permit. Although the1992 general permit expired inSeptember 1997, the permit wasadministratively extended. It was notuntil December 28, 1998 that facilitiespreviously covered under EPA’sbaseline industrial permit were requiredto obtain coverage under the MSGP. Asa result, facilities previously coveredunder the baseline industrial permitwere not required to conduct analyticalmonitoring (as required in the secondyear of the 1995 MSGP). In essence, thefourth-year monitoring data set EPAreceived represents the baseline ofpollutant discharge information underthe sector-specific industrial generalstorm water permit.

Based on the information receivedduring the public comment period andthe DMRs received, EPA believes it ispremature to make any finalconclusions regarding the value of theAgency’s acquisition of the monitoringdata or to consider dropping themonitoring. EPA is retaining quarterlyanalytic monitoring requirements forstorm water discharges as per the 1995MSGP for all sectors previouslyidentified. Comparison of pollutantlevels against benchmark levels is stillregarded as one of the important toolsoperators must use to evaluate theirfacilities’ storm water pollutionprevention plans (SWPPPs) and bestmanagement practices (BMPs).Facilities’ discharge monitoring reports(DMRs) are also vital to the Agency foruse in characterizing an industrialsector’s discharges. EPA has not, anddoes not, intend for pollutant levelsabove the benchmark values to mean afacility is out of compliance with theMSGP–2000.

While today’s permit retains theanalytical monitoring requirements ofthe 1995 MSGP, the Agency continuesto support the position that anyanalytical monitoring program required



under the MSGP needs to be structuredso that it provides useful information tofacility operators, EPA and the generalpublic on the effectiveness of StormWater Pollution Prevention Plans. EPAcommits to using data from the 1995and 2000 permits to evaluate theeffectiveness of management practiceson an industry sector basis and toevaluate the need for changes inmonitoring protocols for the nextpermit. The Agency will work withprogram stakeholders in conducting theevaluation and may seek to implementcertain changes possibly on a pilotbasis.

Like the 1995 MSGP, today’s MSGPrequires that all facilities, save forSector G, within an industry sector orsubsector identified for analyticalmonitoring must, at a minimum,monitor their storm water dischargesquarterly during the second year ofpermit coverage, unless the facilityexercises the Alternative Certificationdescribed in Section VI.E.3 of this factsheet. At the end of the second year ofcoverage under the current permit, afacility is required to calculate theaverage concentration for eachparameter for which the facility isrequired to monitor. If the averageconcentration for a pollutant parameteris less than or equal to the benchmarkvalue, then the permittee is not requiredto conduct analytical monitoring for thatpollutant during the fourth year of thepermit. If, however, the averageconcentration for a pollutant is greaterthan the benchmark value, then thepermittee is required to conductquarterly monitoring for that pollutantduring the fourth year of permitcoverage. Analytical monitoring is notrequired during the first, third, and fifthyear of the permit. When averageconcentrations exceed benchmarklevels, facilities are encouraged toconduct more monitoring if appropriateto identify additional managementpractices which may be necessary toinclude in their SWPPP. The exclusionfrom analytical monitoring in the fourthyear of the permit was conditional onthe facility maintaining industrialoperations and BMPs that will ensure aquality of storm water dischargesconsistent with the averageconcentrations recorded during thesecond year of the permit. For purposesof the above monitoring, year 2 runsfrom October 1, 2001 to September 30,2002; year 4 runs from October 1, 2003to September 30, 2004.

EPA acknowledges that, consideringthe small number of samples requiredper monitoring year (four), and thevagaries of storm water discharges, itmay be difficult to determine or confirm

the existence of a discharge problem asa commenter claimed. When viewed asan indicator, analytic levelsconsiderably above benchmark valuescan serve as a flag to the operator thathis SWPPP needs to be reevaluated andthat pollutant loads may need to bereduced. Conversely, analytic levelsbelow or near benchmarks can confirmto the operator that his SWPPP is doingits intended job. EPA believes there ispresently no alternative that providesstakeholders with an equivalentindicator of program effectiveness.

Commenters also had concerns thatonly four samples and variability inconditions severely reduce the utility ofmonitoring results for judging BMPeffectiveness. While not practicable forEPA to require an increase inmonitoring, operators are encouraged tosample more frequently to improve thestatistical validity of their results.Unless the proper data acquisitionprotocol for making a valid BMPeffectiveness determination is rigorouslyfollowed, any other method used toassess BMP effectiveness would bequalitative, and therefore less reliable.The least subjective approach, and mostbeneficial to operators and stakeholders,EPA believes, remains a combination ofvisual and analytic monitoring, usinganalyte benchmark levels to targetpotential problems. Statisticaluncertainties inherent in the monitoringresults will necessitate both operatorsand EPA exercising best professionaljudgement in interpreting the results. Asstated above, when viewed as anindicator, analytic levels considerablyabove benchmark values can serve as aflag to the operator that his SWPPPneeds to be reevaluated and thatpollutant loads may need to be reduced.Conversely, analytic levels below ornear benchmarks can confirm to theoperator that his SWPPP is doing itsintended job.

Commenters had additional concernsregarding impacts of storm water onwater quality standards and thatmonitoring has marginal value inassessing and protecting water quality.In the absence of establishing dischargepollutant levels that correlate directly towater quality standards, as would bedone for an individual permit, EPAsettled on benchmark levels whichwould, under nearly all scenarios, beprotective of water quality standards.Recognizing the shortcomings of thesegeneric pollutant levels, EPA onlyintends for them to be used as indicatorsof possible problems and as a flag toreevaluate the SWPPP and possibly theoperation of the facility—not as a triggerto begin mandatory SWPPP oroperational revisions (unless, after

employing BPJ, the operator deems suchrevisions are necessary).

Monitoring results also serve as anoversight tool for EPA to prioritize siteswhich may benefit from a siteinspection. A requirement to submit testresults serves as an incentive for thefacility operator to perform themonitoring and take any necessaryaction based on the results.

Some commenters felt the validity ofbenchmark values need to bereevaluated. Universal WQ-baseddischarge levels for storm water cannotbe established; the next best thingwould be to determine water segment-specific total maximum daily loads(TMDLs) for these discharges. But whenbenchmarks are employed merely asindicators, without requiring specificcorrective actions beyond using bestprofessional judgement to reassesspresent conditions and make anychanges deemed necessary, the presentbenchmarks are adequate. In many casesoperators can, upon receipt of analyticmonitoring results above benchmarks,still conclude their present SWPPPs/BMPs are adequately protective of waterquality, or that other situations such asdischarging to low-quality, ephemeralstreams may obviate the need forSWPPP/BMP revisions.

The fact that storm water dischargepollutant levels could be affected byatmospheric/dry deposition, run on andfate in transport, as well as structuralsources, was a concern of a fewcommenters. EPA acknowledges thepotential for adding pollutants to afacility’s discharges from external orstructural sources. Permittees are,nonetheless, still legally responsible forthe quality of all discharges from theirsites (or any runoff that comes intocontact with their structures, industrialactivities or materials, regardless ofwhere these are located)—but not frompollutants that may be introduced intotheir discharges outside the boundariesof their properties. Pollutant levels,whether elevated from air deposition,run-on from nearby sites, or leachatefrom on-site structures, remain theresponsibility of permittees. This wasaffirmed in the ruling by theEnvironmental Appeals Board againstthe General Motors Corporation CPC-Pontiac Fiero Plant in December 1997.

a. Other Monitoring Options: Therewere various comments for and againstvarious alternatives to quarterly analyticmonitoring submitted. The other non-analytic monitoring options aresummarized in the followingparagraphs, along with EPA responses.

b. Visual Monitoring: Numerouscommenters supported droppinganalytic monitoring from the MSGP–



2000 in favor of just requiring quarterlyvisual monitoring. Commenters claimedvisual monitoring is adequate to ensurecompliance and environmentalprotection (especially coupled withtraining), and is least burdensome.

Quarterly visual monitoring of stormwater discharges has always been apermit requirement, for many of thesame reasons why commenters favor it,and will continue to be so. EPA willalso be retaining analytic monitoringbecause we believe the best way toensure SWPPP effectiveness andprotection of water quality is through acombination of visual and analyticmonitoring. The reasons for notadopting visual monitoring only areexplained further in the rationale forjustifying quarterly analytic monitoring.

c. Annual Reporting: One optionsuggested by commenters was for anannual report, possibly using astandardized form, to be submitted toEPA detailing the permittee’s SWPPPhighlights and revisions/additions,inspections, compliance evaluations,visual monitoring results, etc. Thisinformation is already required to bedocumented in a facility’s SWPPP,which, if deemed necessary, must beprovided to EPA on demand. Onecomment against this option stated thatthe volume of data submitted would betoo great for the Agency to evaluate.Other opponents to this optionindicated that the reports would notcontain enough information to evaluateSWPPP effectiveness, ensure waterquality protection, or provide theinformation necessary to make long-term management plans. Commenters insupport of the annual report conceptheld that it would provide a record ofthe permittee’s commitment to stormwater control, was better for evaluatingSWPPP effectiveness, and wouldprovide information to EPA todetermine if sampling or a siteinspection is needed.

If no monitoring data were available,an annual report could be used toensure that a facility is implementing itsSWPPP. The reports could also be usedto prioritize sites for inspection.However, EPA agrees that it would bevery burdensome to review all thereports and very difficult to assess theeffectiveness of a facility’s SWPPP basedon that review alone. The subjectivityinherent in annual reporting makes it aundesirable substitute for analyticmonitoring. Documenting the kind ofinformation in the annual report isalready a SWPPP requirement, and istherefore available to operators forassessing and improving their stormwater programs. For these reasons, EPAwill not require reports containing

essentially the same informationrequired in SWPPPs to be submitted inlieu of analytic monitoring.

d. Group Monitoring: Commentersalso suggested group monitoring. In thisoption a consortium of like permitteeswould do sampling at one facility,possibly on a rotating basis. The sampleresults would represent all the facilitiesin the consortium. A variation of groupmonitoring is for the consortium toretain a consultant to do representativesampling and provide storm waterprogram guidance and evaluations.Supporters of this concept said it mayallow for comparisons of effectivenessof different SWPPP practices (e.g.,sweeping vs. catchment basin for solidscontrol). One commenter pointed outthat the feasibility of the group conceptis suspect due to the fact that individualfacilities may have different topography,soil and other natural conditions. EPAbelieves that technically valid BMPcomparisons could be done under thistype of program. However, it would bedifficult and very resource-intensive forEPA to establish criteria for groupeligibility and then monitor to ensurethat groups met these criteria.

e. Watershed Monitoring: This optioninvolves replacing the monitoring ofdiscrete storm water discharges withambient receiving water monitoring ona watershed basis. Watershedmonitoring is invaluable to making realconclusions regarding storm waterimpacts of water quality, and will beemployed in making total maximumdaily load (TMDL). However, watershedmonitoring cannot replace facility-specific storm water dischargemonitoring to determine the loadscontributed by the facilities and toevaluate the effectiveness of the SWPPP.

f. Monitoring Only in ImpairedWaters: Several commenters supportedrequiring monitoring only in impairedwater bodies and for pollutants thatcause the impairment. Although thisoption would focus attention on theproblem water bodies and possiblepollutant sources, EPA and acommenter point out that not allimpaired water bodies and theirimpairments have been determined. Thegoal of EPA’s storm water program isalso to protect and maintain waterquality, not just remediate impairedwaters, so focusing on impaired watersonly does not fulfill all the program’sresponsibilities.

2. Compliance MonitoringToday’s final MSGP retains the same

compliance monitoring requirements asthe 1995 MSGP, and also includescompliance monitoring requirements forcertain storm water discharges from new

and existing hazardous and non-hazardous landfills. As noted earlier,EPA has recently finalized effluentlimitations guidelines for these landfills(65 FR 3007, January 19, 2000) and thecompliance monitoring is required toensure compliance with the guidelines.These discharges must generally besampled annually (in some casesquarterly) and tested for the parameterswhich are limited by the permit.Discharges subject to compliancemonitoring include (in addition to thelandfills discharges): coal pile runoff,contaminated runoff from phosphatefertilizer manufacturing facilities, runofffrom asphalt paving and roofingemulsion production areas, materialstorage pile runoff from cementmanufacturing facilities, and minedewatering discharges from crushedstone, construction sand and gravel, andindustrial sand mines located in EPARegions 1, 2, 3, 6, 8, 9, 10. All samplesare to be grabs taken within the first 30minutes of discharge where practicable,but in no case later than the first hourof discharge. Where practicable, thesamples shall be taken from thedischarges subject to the numericeffluent limitations prior to mixing withother discharges.

Monitoring for these discharges isrequired to determine compliance withnumeric effluent limitations. Dischargescovered under today’s final MSGPwhich are subject to numeric effluentlimitations are not eligible for thealternative certification described inSection VI.E.3 of this fact sheet.

Where a State or Tribe has imposed anumeric effluent limitation as acondition for certification under CWA§ 401, a default minimum monitoringfrequency of once per year has beenincluded in the final permit. Thisdefault monitoring frequency wouldonly apply if a State failed to provideda monitoring frequency along with theirconditional § 401 certification.

3. Alternate CertificationToday’s final MSGP retains the

provision in the 1995 MSGP for analternative certification in lieu ofanalytical monitoring. The MSGPincludes monitoring requirements forfacilities which the Agency believeshave the potential for contributingsignificant levels of pollutants to stormwater discharges. The alternativecertification described below isincluded in the permit to ensure thatmonitoring requirements are onlyimposed on those facilities which do, infact, have storm water dischargescontaining pollutants at concentrationsof concern. EPA has determined that ifthere are no sources of a pollutant



exposed to storm water at the site thenthe potential for that pollutant tocontaminate storm water dischargesdoes not warrant monitoring.

A discharger is not subject to theanalytical monitoring requirementsprovided the discharger makes acertification for a given outfall, on apollutant-by-pollutant basis, thatmaterial handling equipment oractivities, raw materials, intermediateproducts, final products, wastematerials, by-products, industrialmachinery or operations, significantmaterials from past industrial activitythat are located in areas of the facilitythat are within the drainage area of theoutfall are not presently exposed tostorm water and will not be exposed tostorm water for the certification period.Such certification must be retained inthe SWPPP, and submitted to EPA inlieu of monitoring reports requiredunder Part 7 of the permit. Thepermittee is required to complete anyand all sampling until the exposure iseliminated. If the facility is reporting fora partial year, the permittee mustspecify the date exposure waseliminated. If the permittee is certifyingthat a pollutant was present for part ofthe reporting period, nothing relievesthe permittee from the responsibility tosample that parameter up until theexposure was eliminated and it wasdetermined that no significant materialsremained. This certification is not to beconfused with the low concentrationsampling waiver. The test for theapplication of this certification iswhether the pollutant is exposed, or canbe expected to be present in the stormwater discharge. If the facility does notand has not used a parameter, or ifexposure is eliminated and nosignificant materials remain, then thefacility can exercise this certification.

As noted above, the MSGP does notallow facilities with discharges subjectto numeric effluent limitationsguidelines to submit alternativecertification in lieu of compliancemonitoring requirements. The permitalso does not allow air transportationfacilities or hard rock mines subject tothe analytical monitoring requirementsin Part 6 of the final MSGP to exercisean alternative certification.

A facility is not precluded fromexercising the alternative certification inlieu of analytical monitoringrequirements in the second or fourthyear of the reissued MSGP, even if thatfacility has failed to qualify for a lowconcentration waiver thus far. EPAencourages facilities to eliminateexposure of industrial activities andsignificant materials where practicable.

4. Reporting and RetentionRequirements

Like the 1995 MSGP, today’s finalMSGP requires that permittees submitall analytical monitoring resultsobtained during the second and fourthyear of permit coverage. As notedearlier, year 2 runs from October 1, 2001to September 30, 2002; year 4 runs fromOctober 1, 2003 to September 30, 2004.Monitoring results must be submitted byJanuary 28, 2003 for year 2 monitoringand January 28, 2005 for year 4monitoring.

For each outfall, one DischargeMonitoring Report (DMR) form must besubmitted per storm event sampled. Forfacilities conducting monitoring beyondthe minimum requirements, anadditional DMR form must be filed foreach analysis. The permittee mustinclude a measurement or estimate ofthe total precipitation, volume of runoff,and peak flow rate of runoff for eachstorm event sampled. Permittees subjectto compliance monitoring requirementsare required to submit all compliancemonitoring results annually by October28 following each annual samplingperiod (which run from October 1 ofeach year to September 30 of thefollowing year). Compliance monitoringresults must be submitted on signedDMR forms. For each outfall, one DMRform must be submitted for each stormevent sampled.

Permittees are not required to submitrecords of the visual examinations ofstorm water discharges unlessspecifically asked to do so by theDirector. Records of the visualexaminations must be maintained at thefacility. Records of visual examinationof storm water discharge need not belengthy. Permittees may prepare typedor hand written reports using forms ortables which they may develop for theirfacility. The report need only document:the date and time of the examination;the name of the individual making theexamination; and any observations ofcolor, odor, clarity, floating solids,suspended solids, foam, oil sheen, andother obvious indicators of storm waterpollution.

The address for submission of DMRforms for today’s final MSGP is asfollows: MSGP DMR (4203), U.S. EPA,1200 Pennsylvania Avenue, NW.,Washington, DC 20460.

Under the 1995 MSGP, DMRs hadbeen sent to the EPA Regional Offices.However, to facilitate review of allDMRs from facilities operating underthe MSGP, the final MSGP requires thatthey be sent to the one locationspecified above.

Today’s final MSGP also retains therequirement in the 1995 MSGP thatpermittees submit signed copies ofDMRs to the operator of a large ormedium MS4 (those which serve apopulation of 100,000 or more), if thereare discharges of storm water associatedwith industrial activity through theMS4.

The location for submission of allreports (other than DMRs) for today’sfinal MSGP remains the EPA RegionalOffices as found in Part 8.3 of the finalpermit. Consistent with Office ofManagement and Budget Circular A–105, facilities located on the followingFederal Indian Reservations, whichcross EPA Regional boundaries, shouldnote that permitting authority for suchlands is consolidated in one single EPARegion.

a. Duck Valley Reservations lands,located in Regions 9 and 10, are handledby Region 9.

b. Fort McDermitt Reservation lands,located in Regions 9 and 10, are handledby Region 9.

c. Goshute Reservation lands, locatedin Regions 8 and 9, are handled byRegion 9.

d. Navajo Reservation lands, locatedin Regions 6, 8, and 9, are handled byRegion 9.

e. Ute Mountain Reservation lands,located in Regions 6 and 8, are handledRegion 8.

Pursuant to the requirements of 40CFR 122.41(j), today’s MSGP (like the1995 MSGP) requires permittees toretain all records for a minimum ofthree years from the date of thesampling, examination, or other activitythat generated the data.

5. Sample TypeToday’s final MSGP retains the same

requirements regarding the type ofsampling as the 1995 MSGP. A generaldescription is provided below. Certainindustries have different requirements.Permittees should check the industry-specific requirements in Part 6 of thefinal permit to confirm theserequirements. Grab samples may beused for all monitoring unless otherwisestated. All such samples shall becollected from the discharge resultingfrom a storm event that is greater than0.1 inches in magnitude and that occursat least 72 hours from the previouslymeasurable (greater than 0.1 inchrainfall) storm event. The required 72-hour storm event interval may bewaived by the permittee where thepreceding measurable storm event didnot result in a measurable dischargefrom the facility. The 72-hourrequirement may also be waived by thepermittee where the permittee



documents that less than a 72-hourinterval is representative for local stormevents during the season when samplingis being conducted. The grab samplemust be taken during the first 30minutes of the discharge. If thecollection of a grab sample during thefirst 30 minutes is impracticable, a grabsample can be taken during the firsthour of the discharge, and thedischarger must submit with themonitoring report a description of whya grab sample during the first 30minutes was impracticable. A minimumof one grab is required. Where thedischarge to be sampled contains bothstorm water and non-storm water, thefacility shall sample the storm watercomponent of the discharge at a pointupstream of the location where the non-storm water mixes with the storm water,if practicable.

6. Representative DischargeToday’s MSGP retains the same

provision as the 1995 MSGP regardingsubstantially identical outfalls whichallows a facility to reduce its overallmonitoring burden. This representativedischarge provision provides facilitieswith multiple storm water outfalls, ameans for reducing the number ofoutfalls that must be sampled andanalyzed. This may result in asubstantial reduction of the resourcesrequired for a facility to comply withanalytical monitoring requirements.When a facility has two or more outfallsthat, based on a consideration ofindustrial activity, significant materials,and management practices and activitieswithin the area drained by the outfall,the permittee reasonably believesdischarge substantially identicaleffluents, the permittee may test theeffluent of one such outfall and reportthat the quantitative data also apply tothe substantially identical outfallsprovided that the permittee includes inthe SWPPP a description of the locationof the outfalls and detailed explanationwhy the outfalls are expected todischarge substantially identicaleffluent. In addition, for each outfallthat the permittee believes isrepresentative, an estimate of the size ofthe drainage area (in square feet) and anestimate of the runoff coefficient of thedrainage area (e.g., low (under 40percent), medium (40 to 65 percent) orhigh (above 65 percent)) shall beprovided in the plan. Facilities thatselect and sample a representativedischarge are prohibited from changingthe selected discharge in futuremonitoring periods unless the selecteddischarge ceases to be representative oris eliminated. Permittees do not needEPA approval to claim discharges are

representative, provided they havedocumented their rationale within theSWPPP. However, the Director maydetermine the discharges are notrepresentative and require sampling ofall non-identical outfalls.

The representative dischargeprovision in the permit is available toalmost all facilities subject to theanalytical monitoring requirements (notincluding compliance monitoring foreffluent guideline limit compliancepurposes) and to facilities subject tovisual examination requirements.

The representative dischargeprovisions described above areconsistent with Section 5.2 of NPDESStorm Water Sampling GuidanceDocument (EPA 833–B–92–001, July1992).

7. Sampling WaiverToday’s final MSGP retains the same

provisions for sampling waivers (asdiscussed below) which are found in the1995 MSGP:

a. Adverse Weather Conditions.Today’s final MSGP allows fortemporary waivers from sampling basedon adverse climatic conditions. Thistemporary sampling waiver is onlyintended to apply to insurmountableweather conditions such as drought ordangerous conditions such as lightning,flash flooding, or hurricanes. Theseevents tend to be isolated incidents andshould not be used as an excuse for notconducting sampling under morefavorable conditions associated withother storm events. The samplingwaiver is not intended to apply todifficult logistical conditions, such asremote facilities with few employees ordischarge locations which are difficultto access. When a discharger is unableto collect samples within a specifiedsampling period due to adverse climaticconditions, the discharger shall collect asubstitute sample from a separatequalifying event in the next samplingperiod as well as a sample for theroutine monitoring required in thatperiod. Both samples should beanalyzed separately and the results ofthat analysis submitted to EPA.Permittees are not required to obtainadvance approval for sampling waivers.

b. Unstaffed and Inactive Sites—Chemical Sampling Waiver. Today’sfinal MSGP allows for a waiver fromsampling for facilities that are bothinactive and unstaffed. This waiver isonly intended to apply to these facilitieswhere lack of personnel and locationalimpediments hinder the ability toconduct sampling (i.e., the ability tomeet the time and representative rainfallsampling specifications). This waiver isnot intended to apply to remote

facilities that are active and staffed, orto facilities with just difficult logisticalconditions. When a discharger is unableto collect samples as specified in thispermit, the discharger shall certify tothe Director in the DMR that the facilityis unstaffed and inactive and the abilityto conduct samples within thespecifications is not possible. Permitteesare not required to obtain advanceapproval for this waiver.

c. Unstaffed and Inactive Sites—Visual Monitoring Waiver. Today’s finalMSGP allows for a waiver fromsampling for facilities that are bothinactive and unstaffed. This waiver isonly intended to apply to these facilitieswhere lack of personnel and locationalimpediments hinder the ability toconduct visual examinations (i.e., theability to meet the time andrepresentative rainfall samplingspecifications). This monitoring waiveris not intended to apply to remotefacilities that are active and staffed, orto facilities with just difficult logisticalconditions. When a discharger is unableto perform visual examinations asspecified in this permit, the dischargershall maintain on site with the pollutionprevention plan a certification statingthat the facility is unstaffed and inactiveand the ability to perform visualexaminations within the specificationsis not possible. Permittees are notrequired to obtain advance approval forvisual examination waivers.

8. Quarterly Visual Examination ofStorm Water Quality

Today’s final MSGP retains therequirements of the 1995 MSGP forquarterly visual examinations of stormwater discharges which EPA continuesto believe provide a useful andinexpensive means for permittees toevaluate the effectiveness of theirSWPPPs (with immediate feedback) andmake any necessary modifications toaddress the results of the visualexaminations. All sectors of today’sfinal MSGP are required to conductthese examinations. In the 1995 MSGPall sectors except Sector S (which coversair transportation) were required toconduct the examinations.

Basically, the MSGP requires that grabsamples of storm water discharges betaken and examined visually for thepresence of color, odor, clarity, floatingsolids, settled solids, suspended solids,foam, oil sheen or other obviousindicators of storm water pollution. Thegrab samples must be taken within thefirst 30 minutes after storm waterdischarges begin, or as soon aspracticable, but not longer than 1 hourafter discharges begin. The samplingmust be conducted quarterly during the



following time periods: January–March,April–June, July–September andOctober–December of each year. Thereports summarizing these quarterlyvisual storm water examinations mustbe maintained on-site with the SWPPP.

The examination of the sample mustbe made in well lit areas. The visualexamination is not required if there isinsufficient rainfall or snow-melt to runoff or if hazardous conditions preventsampling. Whenever practicable thesame individual should carry out thecollection and examination ofdischarges throughout the life of thepermit to ensure the greatest degree ofconsistency possible in recordingobservations.

When conducting a storm watervisual examination, the pollutionprevention team, or team member,should attempt to relate the results ofthe examination to potential sources ofstorm water contamination on the site.For example, if the visual examinationreveals an oil sheen, the facilitypersonnel (preferably members of thepollution prevention team) shouldconduct an inspection of the area of thesite draining to the examined dischargeto look for obvious sources of spilledoil, leaks, etc. If a source can be located,then this information allows the facilityoperator to immediately conduct aclean-up of the pollutant source, and/orto design a change to the SWPPP toeliminate or minimize the contaminantsource from occurring in the future.

Other examples include: if the visualexamination results in an observation offloating solids, the personnel shouldcarefully examine the solids to see ifthey are raw materials, waste materialsor other known products stored or usedat the site. If an unusual color or odoris sensed, the personnel should attemptto compare the color or odor to thecolors or odors of known chemicals andother materials used at the facility. If theexamination reveals a large amount ofsettled solids, the personnel may checkfor unpaved, unstabilized areas or areasof erosion. If the examination results ina cloudy sample that is very slow tosettle out, the personnel should evaluatethe site draining to the discharge pointfor fine particulate material, such asdust, ash, or other pulverized, ground,or powdered chemicals.

To be most effective, the personnelconducting the visual examinationshould be fully knowledgeable about theSWPPP, the sources of contaminants onthe site, the industrial activitiesconducted exposed to storm water andthe day to day operations that maycause unexpected pollutant releases.

If the visual examination results in aclean and clear sample of the storm

water discharge, this may indicate thatno pollutants are present. This would bean indication of a high quality result.However, the visual examination willnot provide information about dissolvedcontamination. If the facility is in asector or subsector required to conductanalytical (chemical) monitoring, theresults of the chemical monitoring, ifconducted on the same sample, wouldhelp to identify the presence of anydissolved pollutants and the ultimateeffectiveness of the Storm WaterPollution Prevention Plan. If the facilityis not required to conduct analyticalmonitoring, it may do so if it chooses toconfirm the cleanliness of the sample.

While conducting the visualexaminations, personnel shouldconstantly be attempting to relate anycontamination that is observed in thesamples to the sources of pollutants onsite. When contamination is observed,the personnel should be evaluatingwhether or not additional BMPs shouldbe implemented in the SWPPP toaddress the observed contaminant and,if BMPs have already beenimplemented, evaluating whether or notthese are working correctly or needmaintenance. Permittees may alsoconduct more frequent visualexaminations than the minimumquarterly requirement, if they so choose.By doing so, they may improve theirability to ascertain the effectiveness oftheir plan. Using this guidance, andemploying a strong knowledge of thefacility operations, EPA believes thatpermittees should be able to maximizethe effectiveness of their storm waterpollution prevention efforts throughconducting visual examinations whichgive direct, frequent feedback to thefacility operator or pollution preventionteam on the quality of the storm waterdischarge.

EPA believes that this quick andsimple assessment will help thepermittee to determine the effectivenessof his/her plan on a regular basis at verylittle cost. Although the visualexamination cannot assess the chemicalproperties of the storm water dischargedfrom the site, the examination willprovide meaningful results upon whichthe facility may act quickly. EPArecommends that the visualexamination be conducted at differenttimes than the chemical monitoring, butis not requiring this. In addition, morefrequent visual examinations can beconducted if the permittee so chooses.In this way, better assessments of theeffectiveness of the Storm WaterPollution Prevention Plan can beachieved. The frequency of this visualexamination will also allow for timelyadjustments to be made to the plan. If

BMPs are performing ineffectively,corrective action must be implemented.A set of tracking or followup proceduresmust be used to ensure that appropriateactions are taken in response to theexaminations. The visual examination isintended to be performed by members ofthe pollution prevention team. Thishands-on examination will enhance thestaff’s understanding of the site’s stormwater problems and the effects of themanagement practices that are includedin the plan.

F. Regional Offices

1. Notice of Intent Address

Notices of Intent to be authorized todischarge under the MSGP should besent to: Storm Water Notice of Intent(4203), USEPA, 401 M Street, SW.,Washington, DC 20460.

2. EPA Regional Office Addresses andContacts

For further information, please callthe appropriate EPA Regional stormwater contacts listed below:

• ME, MA, NH, Indian country in CT,MA, ME, RI, and Federal Facilities inVT

EPA Region 1, Office of EcosystemProtection, JFK Federal Building (CMU),Boston, MA 02203, Contact: ThelmaMurphy (617) 918–1615.

• PR

U.S. EPA, Region 2, CaribbeanEnvironmental Protection Division,Centro Europa Building, 1492 Ponce deLeon Avenue, Suite 417, San Juan,Puerto Rico 00907–4127, Contact: SergioBosques (787) 729–6951.

• DC and Federal Facilities in DE

EPA Region 3, Water ProtectionDivision, (3WP13), Storm Water Staff,841 Chestnut Building, Philadelphia,PA 19107, Contact: Cheryl Atkinson(215) 814–3392.

• Indian country in FL

EPA Region 4, Water ManagementDivision, Surface Water Permits Section(SWPFB), 61 Forsyth Street, SW,Atlanta, GA 30303–3104, Contact: FloydWellborn (404) 562–9296.



• NM; Indian country in LA, OK, TXand NM (Except Navajo and UteMountain Reservation Lands); oil andgas exploration and production relatedindustries, and pipeline operations inOK (which under State law areregulated by the Oklahoma CorporationCommission and not the OklahomaDepartment of Environmental Quality);and oil and gas sites in TX.

EPA Region 6, NPDES Permits Section(6WQ-PP), 1445 Ross Avenue, Dallas,TX 75202–2733, Contact: Brent Larsen(214) 665–7523.

• Federal facilities in the State ofColorado; Indian country in CO, ND,SD, WY and UT (except Goshute andNavajo Reservation lands); UteMountain Reservation lands in CO andNM ; and Pine Ridge Reservation landsin SD and NE.

EPA Region 8, Ecosystems Pr.otectionProgram (8EPR–EP), 999 18th Street,Suite 300, Denver, CO 80202–2466Contact: Vern Berry (303) 312–6234.

• AZ, American Samoa,Commonwealth of Northern MarianaIslands, Johnston Atoll, Guam, MidwayIsland and Wake Island; all Indiancountry in AZ, CA, and NV; thoseportions of the Duck Valley, FortMcDermitt and Goshute Reservationsthat are outside NV; those portions ofthe Navajo Reservation that are outsideAZ.

EPA Region 9, Water ManagementDivision, (WTR–5), Storm Water Staff,75 Hawthorne Street, San Francisco, CA94105, Contact: Eugene Bromley (415)744–1906.

• ID; Indian country in AK, ID (exceptthe Duck Valley Reservation), OR(except the Fort McDermittReservation), and WA; and Federalfacilities in WA

EPA Region 10, Office of Water (OW–130), Storm Water Staff, 1200 SixthAvenue, Seattle, WA 98101, Contact:Misha Vakoc (206) 553–6650 (toll-freein Region 10 states: 800–424–4372,extension 6650).

VII. Cost Estimates for Common PermitRequirements

Cost estimates for the MSGP wereincluded with the final fact sheetaccompanying the issuance of the MSGPon September 29, 1995 and are notbeing repeated here. However,additional costs for facilities seekingcoverage under the reissued MSGPshould be minor since the new MSGPincludes few changes from the 1995MSGP.

VIII. Special Requirements forDischarges Associated With SpecificIndustrial Activities

Section VIII of the fact sheetaccompanying the 1995 MSGP includeda detailed description of the industrialsectors covered by the permit, sources ofpollutants from the different types ofindustries, available industry-specificBMPs, and a description of theindustrial-specific permit requirements.As noted previously, EPA is notrepeating all this information due to itsconsiderable length. Table 1 in SectionIV of this fact sheet listed the industrialsectors and subsectors covered bytoday’s final MSGP. For today’s MSGP,EPA reviewed the various sectors andsubsectors to determine whetheradditional BMP opportunities have beenidentified subsequent to the issuance ofthe 1995 MSGP which would beappropriate to include in the reissuedMSGP.

To update the various sectors andsubsectors, EPA reviewed a variety ofsources of information. As noted inSection VI.C of this fact sheet, pollutionprevention is the cornerstone of theNPDES storm water permit programand, as such, EPA focused on newpollution prevention opportunities inupdating the sectors. EPA has severalongoing programs directed towardidentifying additional pollutionprevention opportunities for differentindustrial sectors. One example is the‘‘sector notebooks’’ which EPA’s Officeof Compliance has published covering28 different industries, including manyof those covered by the MSGP. EPA’sDesign for the Environment Programand Common Sense Initiative areadditional examples. States,municipalities, industry tradeassociations and individual companieshave also been active in recent years intrying to identify additional pollutionprevention opportunities for differenttypes of industries.

In reviewing the new information,however, EPA has identified only a fewsectors where there appear to beadditional storm water BMPs whichwould be appropriate for the reissuedMSGP. For many industries, whileconsiderable work has been conductedto reduce the environmental effects ofthese industries, little of the work hasfocused specifically on storm water.Rather, the efforts have focused more inareas such as manufacturing processchanges to reduce hazardous wastegeneration or to reduce pollutantdischarges in process wastewater.Where additional storm water BMPshave been identified and incorporatedinto the reissued MSGP, these new

requirements are discussed below bysector. In some sectors, additionallanguage clarifying the permitrequirements has been added and thesechanges are also discussed below.

A. Sectors C—Chemical and AlliedProducts Facilities

Industry-specific requirements for themanufacture of fertilizer from leatherscraps (SIC 2873) was moved fromSector Z (Leather Tanning andFinishing) to Sector C. This changeplaces the requirements for SIC 2873 inthe same sector as other manufacturersof fertilizers.

B. Sector G—Metal Mining (Ore Dressingand Mining)

To clarify the applicability of theMSGP regarding construction activity atmetal mining sites and to make metalmining requirements consistent withmineral mining provisions (Sector J),Sector G has been modified to indicatethat earth-disturbing activities occurringin the ‘‘exploration and constructionphase’’ of a mining operation must becovered under EPA’s ConstructionGeneral Permit (63 FR 7858, February17, 1998) if the area disturbed is oneacre or more. All mining exploration/construction operations of less than oneacre must be covered under the MSGP–2000.

Today’s MSGP also incorporates theMSGP modifications of August 7, 1998(63 FR 42534) regarding storm waterdischarges from waste rock andoverburden piles. On October 10, 1995,the National Mining Associationchallenged the interpretation set forth inTable G–4 of the 1995 MSGP that runofffrom waste rock and overburden pileswould categorically be considered minedrainage subject to effluent limitationsguidelines (ELGs) at 40 CFR Part 440.The litigation was settled on August 7,1998 with a revised interpretation byEPA of the applicability of the ELGswhich is incorporated into today’sMSGP. Under the revised interpretation,runoff from waste rock and overburdenpiles is not subject to ELGs unless itnaturally drains (or is intentionallydiverted) to a point source andcombines with ‘‘mine drainage’’ that isotherwise subject to the ELGs.

The August 7, 1998 modification ofthe MSGP provided permit coverage forstorm water discharges from waste rockand overburden piles which are notsubject to ELGs. However, due toconcerns regarding potential pollutantsin the discharges, additional monitoringrequirements were included in thepermit to determine the pollutantconcentrations in the discharges. Thesemonitoring requirements are also



included in today’s MSGP. Themonitoring results which have beensubmitted to EPA pursuant to theserequirements were also considered indetermining the monitoringrequirements for today’s permit for thissector.

Concerns were expressed by somecommenters over the use of the term‘‘Numeric limitation’’ in the headings inthe tables in Sector G in the proposedMSGP. However, since there are noactual numeric limitations in the tables,EPA believes this concern is notjustified and the final MSGP has notbeen modified in response to thesecomments. In response to othercomments, the revised Table G–4 fromthe August 7, 1998 MSGP modificationhas been added to the permit in Part6.G.

In response to comments received onthe proposed MSGP, the language inPart 6.G.1.6.6 of the final MSGP wasmodified to indicate that a permitteemay test ‘‘or evaluate’’ mining-relateddischarges for non-storm waterdischarges to make today’s MSGPconsistent with the 1995 MSGP.

Also in response to comments, thepermit language in the final MSGPwhich defines the reclamation phasewas modified to reflect post-miningland uses other than ‘‘pre-mining state’’which had been in the proposed MSGP.In addition, the final MSGP has beenclarified to indicate that samplingwaivers in Part 5.3.1 of the MSGP doapply to Sector G.

C. Sector I—Oil and Gas Extraction andRefining

In response to a comment, the title forSector I was changed to include‘‘Refining’’ to clarify that runoff fromrefineries (except runoff subject toeffluent limitations guidelines) iseligible for coverage under today’sMSGP.

D. Sector J—Mineral Mining andProcessing

EPA has re-evaluated the provisionsof the 1995 MSGP for industrialfacilities in Sector J to determinewhether these provisions need to beupdated for the reissued MSGP. Toclarify the applicability of the MSGPregarding construction activity atmineral mining sites and to makemineral mining requirements consistentwith metal mining provisions (SectorG), Sector J has been modified toindicate that earth-disturbing activitiesoccurring in the ‘‘exploration andconstruction phase’’ of a miningoperation must be covered under EPA’sConstruction General Permit (63 FR7858, February 17, 1998) if the area

disturbed is one acre or more. Allmining exploration/constructionoperations of less than one acre must becovered under the MSGP–2000.

E. Sector K—Hazardous WasteTreatment, Storage or DisposalFacilities

EPA has re-evaluated the provisionsof the 1995 MSGP for industrialfacilities in Sector K to determinewhether these provisions need to beupdated for the reissued MSGP. OnJanuary 19, 2000 (65 FR 3008), EPApromulgated final effluent limitationsguidelines (ELGs) for ‘‘contaminatedstorm water discharges’’ from new andexisting hazardous landfill facilitiesregulated under RCRA Subtitle C at 40CFR Parts 264 (Subpart N) and 265(Subpart N), except for the following‘‘captive’’ landfills:

(a) Landfills operated in conjunctionwith other industrial or commercialoperations when the landfill onlyreceives wastes generated by theindustrial or commercial operationdirectly associated with the landfill;

(b) Landfills operated in conjunctionwith other industrial or commercialoperations when the landfill receiveswastes generated by the industrial orcommercial operation directlyassociated with the landfill and alsoreceives other wastes provided the otherwastes received for disposal aregenerated by a facility that is subject tothe same provisions in 40 CFRSubchapter N as the industrial orcommercial operation or the otherwastes received are of similar nature tothe wastes generated by the industrial orcommercial operation;

(c) Landfills operated in conjunctionwith Centralized Waste Treatment(CWT) facilities subject to 40 CFR Part437 so long as the CWT facilitycommingles the landfill wastewaterwith other non-landfill wastewater fordischarge. A landfill directly associatedwith a CWT facility is subject to thispart if the CWT facility dischargeslandfill wastewater separately fromother CWT wastewater or comminglesthe wastewater from its landfill onlywith wastewater from other landfills; or

(d) Landfills operated in conjunctionwith other industrial or commercialoperations when the landfill receiveswastes from public service activities solong as the company owning the landfilldoes not receive a fee or otherremuneration for the disposal service.

For Sector K of the new MSGP, EPAhas included the new ELGs (40 CFR Part445 Subpart A) for hazardous landfillfacilities.

The term ‘‘contaminated storm water’’is defined in the ELGs as ‘‘storm water

which comes in direct contact withlandfill wastes, the waste handling andtreatment areas, or landfill wastewater.’’[40 CFR 445.2]. Contaminated stormwater may originate from areas at alandfill including (but not limited to):‘‘the open face of an active landfill withexposed waste (no cover added); theareas around wastewater treatmentoperations; trucks, equipment ormachinery that has been in directcontact with the waste; and wastedumping areas.’’ [40 CFR 445.2].

The term ‘‘non-contaminated stormwater’’ is defined in the ELGs as ‘‘stormwater which does not come in directcontact with landfill wastes, the wastehandling and treatment areas, or landfillwastewater.’’ [40 CFR 445.2]. Non-contaminated storm water includesstorm water which ‘‘flows off the cap,cover, intermediate cover, daily cover,and/or final cover of the landfill.’’ [40CFR 445.2].

The term ‘‘landfill wastewater’’ isdefined in the ELGs as ‘‘all wastewaterassociated with, or produced by,landfilling activities except for sanitarywastewater, non-contaminated stormwater, contaminated groundwater, andwastewater from recovery pumpingwells. Landfill wastewater includes, butis not limited to, leachate, gas collectioncondensate, drained free liquids,laboratory derived wastewater,contaminated storm water and contactwashwater from washing truck,equipment, and railcar exteriors andsurface areas which have come in directcontact with solid waste at the landfillfacility.’’

The 1995 MSGP authorizeddischarges of storm water associatedwith industrial activity which includescontaminated storm water discharges (asdefined above) as well as other non-contaminated storm water discharges(also defined above). Today’s finalMSGP continues to authorize stormwater associated with industrialactivity; however, for contaminatedstorm water discharges as definedabove, the reissued MSGP requirescompliance with the promulgated ELGsfor such discharges (with monitoringonce/year during each year of the termof the final MSGP). The ELGs for thenew and existing hazardous landfills arefound in Table K–1 below:

TABLE K–1—EFFLUENT LIMITATIONSGUIDELINES FOR CONTAMINATEDSTORM WATER DISCHARGES (MG/L)

PollutantMax-

imum for1 day

Monthlyaverage

maximum

BOD5 ......................... 220 56



TABLE K–1—EFFLUENT LIMITATIONSGUIDELINES FOR CONTAMINATEDSTORM WATER DISCHARGES (MG/L)—Continued

PollutantMax-

imum for1 day

Monthlyaverage

maximum

TSS ............................ 88 27Ammonia .................... 10 4.9Alpha Terpineol .......... 0.042 0.019Aniline ........................ 0.024 0.015Benzoic Acid .............. 0.119 0.073Naphthalene ............... 0.059 0.022p-Cresol ...................... 0.024 0.015Phenol ........................ 0.048 0.029Pyridine ...................... 0.072 0.025Arsenic (Total) ............ 1.1 0.54Chromium (Total) ....... 1.1 0.46Zinc (Total) ................. 0.535 0.296pH ............................... Within the range of

6–9 pH units.

Today’s final MSGP (like the 1995MSGP) does not authorize non-stormwater discharges such as leachate andvehicle and equipment washwater.These and other landfill-generatedwastewaters are subject to the ELGs.Today’s final MSGP does, however,continue to authorize certain minornon-storm water discharges (listed inPart 1.2.2.2) which are very similar tothe 1995 MSGP.

F. Sector L—Landfills, Land ApplicationSites and Open Dumps

EPA has re-evaluated the provisionsof the 1995 MSGP for industrialfacilities in Sector L to determinewhether these provisions need to beupdated for the reissued MSGP. TheSWPPP requirements of the 1995 MSGPalready include several special BMPs forthis industry in addition to the MSGP’sbasic BMP requirements.

On January 19, 2000 (65 FR 3008),EPA promulgated final effluentlimitations guidelines (ELGs) for‘‘contaminated storm water discharges’’from new and existing non-hazardouslandfill facilities regulated under RCRASubtitle D (40 CFR Part 445 Subpart B).For Sector L of today’s MSGP, EPA hasincluded the ELGs as they apply tofacilities covered by this sector. ForSector L facilities, the ELGs apply to:

Municipal solid waste landfillsregulated under RCRA Subtitle D at 40CFR Part 258 and those landfills whichare subject to the provisions of 40 CFRPart 257, except for any of the following‘‘captive’’ landfills:

(a) Landfills operated in conjunctionwith other industrial or commercialoperations when the landfill onlyreceives wastes generated by theindustrial or commercial operationdirectly associated with the landfill;

(b) Landfills operated in conjunctionwith other industrial or commercialoperations when the landfill receiveswastes generated by the industrial orcommercial operation directlyassociated with the landfill and alsoreceives other wastes provided the otherwastes received for disposal aregenerated by a facility that is subject tothe same provisions in 40 CFRSubchapter N as the industrial orcommercial operation or the otherwastes received are of similar nature tothe wastes generated by the industrial orcommercial operation;

(c) Landfills operated in conjunctionwith Centralized Waste Treatment(CWT) facilities subject to 40 CFR Part437 so long as the CWT facilitycommingles the landfill wastewaterwith other non-landfill wastewater fordischarge. A landfill directly associatedwith a CWT facility is subject to thispart if the CWT facility dischargeslandfill wastewater separately fromother CWT wastewater or comminglesthe wastewater from its landfill onlywith wastewater from other landfills; or

(d) Landfills operated in conjunctionwith other industrial or commercialoperations when the landfill receiveswastes from public service activities solong as the company owning the landfilldoes not receive a fee or otherremuneration for the disposal service.

EPA has not modified Sector L for thedischarges which are not subject to theELGs. In addition, EPA would like tocall attention to a new EPA publicationentitled ‘‘Guide for Industrial WasteManagement’’ (EPA 530–R–99–001,June, 1999) which provides a usefulinformation resource for permittees incomplying with the MSGP, and inminimizing the impact of landfills to theenvironment overall.

The term ‘‘contaminated storm water’’is defined in the ELGs as ‘‘storm waterwhich comes in direct contact withlandfill wastes, the waste handling andtreatment areas, or landfill wastewater.’’[40 CFR 445.2]. Contaminated stormwater may originate from areas at alandfill including (but not limited to):‘‘the open face of an active landfill withexposed waste (no cover added); theareas around wastewater treatmentoperations; trucks, equipment ormachinery that has been in directcontact with the waste; and wastedumping areas.’’ [40 CFR 445.2].

The term ‘‘non-contaminated stormwater’’ is defined in the ELGs as ‘‘stormwater which does not come in directcontact with landfill wastes, the wastehandling and treatment areas, or landfillwastewater.’’ [40 CFR 445.2]. Non-contaminated storm water includesstorm water which ‘‘flows off the cap,

cover, intermediate cover, daily cover,and/or final cover of the landfill.’’ [40CFR 445.2].

The term ‘‘landfill wastewater’’ isdefined in the ELGs as ‘‘all wastewaterassociated with, or produced by,landfilling activities except for sanitarywastewater, non-contaminated stormwater, contaminated groundwater, andwastewater from recovery pumpingwells. Landfill wastewater includes, butis not limited to, leachate, gas collectioncondensate, drained free liquids,laboratory derived wastewater,contaminated storm water and contactwashwater from washing truck,equipment, and railcar exteriors andsurface areas which have come in directcontact with solid waste at the landfillfacility.’’ [40 CFR 445.2].

The 1995 MSGP authorizeddischarges of storm water associatedwith industrial activity from landfillsincluding contaminated storm waterdischarges as defined in the ELGs aswell as non-contaminated storm water.Today’s final MSGP continues toauthorize storm water associated withindustrial activity; however, forcontaminated storm water discharges asdefined above, today’s MSGP requirescompliance with the promulgated ELGsfor such discharges (with monitoringonce/year during each year of the termof the final MSGP). The ELGs are foundin Table L–1 below:

TABLE L–1—EFFLUENT LIMITATIONSGUIDELINES FOR CONTAMINATEDSTORM WATER DISCHARGES (MG/L)

PollutantMax-

imum for1 Day

Monthlyaverage

maximum

BOD5 ......................... 140 37TSS ............................ 88 27Ammonia .................... 10 4.9Alpha Terpineol .......... 0.033 0.016Benzoic Acid .............. 0.12 0.071p-Cresol ...................... 0.025 0.014Phenol ........................ 0.026 0.015Zinc (Total) ................. 0.20 0.11pH ............................... within the range of

6–9 pH units.

Today’s final MSGP (like the 1995MSGP) does not authorize non-stormwater discharges such as leachate andvehicle and equipment washwater.These and other landfill-generatedwastewaters are subject to the ELGs.Today’s MSGP does, however, continueto authorize the same minor non-stormwater discharges (listed in Part 1.2.2.2)as the 1995 MSGP.



G. Sector S—Air TransportationFacilities

EPA has re-evaluated the provisionsof the 1995 MSGP for industrialfacilities in Sector S to determinewhether these provisions need to beupdated for the reissued MSGP. TheSWPPP requirements of the 1995 MSGPincluded several special BMPrequirements for airports in addition tothe MSGP’s basic BMP requirements.Additional technologies have beendeveloped since the original MSGPissuance for deicing operations whichhave been included in today’s MSGP. Alengthy (but not comprehensive) list ofnew deicing chemical and BMP optionsis provided in Parts 6.S.5.3.6.2 and6.S.5.3.7. More information on theseoptions is found in the EPA publication‘‘Preliminary Data Summary, AirportDeicing Operations’’ (http://www.epa.gov/ost/guide/airport/index.html).

The MSGP–2000 has been clarifiedsuch that compliance evaluations (Part6.S.5.5) shall be conducted during aperiod when deicing activities are likelyto occur (vs. a month when deicingactivities would be atypical or during anextended heat wave), not necessarilyduring an actual storm or when intensedeicing activities are occurring. Thisrequirement is not seen as onerous, asEPA believes that most weatherconditions can be reasonablyanticipated and the evaluation can beplanned for.

In addition, EPA has revised Part6.S.5.4 to reflect that monthlyinspections of deicing areas during thedeicing season (e.g., October throughApril) are now allowed at airports withhighly effective, rigorouslyimplemented SWPPPs. Thisrequirement is a reduction from theprevious MSGP’s weekly requirement.However, if unusually large amounts ofdeicing fluids are being applied, spilledor discharged, weekly inspectionsshould be conducted and the Directormay specifically require such weeklyinspections. In addition, personnel whoparticipate in deicing activities or workin these areas should, as the need arises,inform the monthly inspectors of anyconditions or incidents constituting anenvironmental threat, especially thoseneeding immediate attention.

H. Sector T—Treatment Works

EPA has re-evaluated the provisionsof the 1995 MSGP for industrialfacilities in Sector T to determinewhether these provisions need to beupdated for the reissued MSGP. TheSWPPP requirements of the 1995 MSGPalready include a few special BMP

requirements for this industry inaddition to the MSGP’s basic BMPrequirements. In reviewing theinformation which EPA has available onthis industry, EPA has identified severaladditional areas at treatment worksfacilities which we believe should beconsidered more closely for potentialstorm water controls. As a result, EPAhas included additional or modifiedpermit requirements which we believeare appropriate to include in Sector T.

Today’s MSGP requires that operatorsof Sector T treatment works include thefollowing additional areas or activities,where they are exposed to precipitation,in their SWPPP site map, summary ofpotential pollutant sources, andinspections: grit, screenings and othersolids handling, storage or disposalareas; sludge drying beds; dried sludgepiles; compost piles; septage and/orhauled waste receiving stations. Anadditional BMP that permittees mustconsider is routing storm water into thetreatment works, or covering exposedmaterials from these additional areas oractivities.

I. Sector Y—Rubber, MiscellaneousPlastic Products and MiscellaneousManufacturing Industries

EPA has re-evaluated the provisionsof the 1995 MSGP for industrialfacilities in Sector Y. The 1995 MSGPincluded several special BMPrequirements for rubber manufacturersto control zinc in storm waterdischarges. However, no special BMPsbeyond the MSGP’s basic SWPPPrequirements were included in the 1995MSGP for manufacturers ofmiscellaneous plastic products ormiscellaneous manufacturingindustries.

EPA has several ongoing programsdirected toward identifying additionalpollution prevention opportunities fordifferent industrial sectors. Forexample, EPA’s Office of Compliancehas published ‘‘sector notebooks’’ for anumber of industries, including therubber and miscellaneous plasticsindustry (EPA 310-R–95–016). Thesector notebooks are intended tofacilitate a multi-media analysis ofenvironmental issues associated withdifferent industries and include areview of pollution preventionopportunities for the industries. Asdiscussed below, EPA’s sector notebookfor the rubber and plastic productsindustry identifies a number ofadditional BMPs (beyond those in the1995 MSGP) which could further reducepollutants in storm water dischargesfrom these facilities, and which havebeen included in the reissued MSGP.

1. Rubber Manufacturing Facilities

Today’s MSGP requires that rubbermanufacturing facility permitteesconsider the following additional BMPs(which were selected from those in thesector notebook) for the rubber productcompounding and mixing area:

(1) consider the use of chemicalswhich are purchased in pre-weighed,sealed polyethylene bags. The sectornotebook points out that some facilitiesplace such bags directly into thebanbury mixer, thereby eliminating aformerly dusty operation which couldresult in pollutants in storm waterdischarges.

(2) consider the use of containerswhich can be sealed for materials whichare in use; also consider ensuring anairspace between the container and thecover to minimize ‘‘puffing’’ losseswhen the container is opened.

(3) consider the use of automaticdispensing and weighing equipment.The sector notebook observes that suchequipment minimizes the chances forchemical losses due to spills.

2. Plastic Products ManufacturingFacilities

For plastic products manufacturingfacilities, today’s final MSGP requiresthat permittees consider and include (asappropriate) specific measures in theSWPPP to minimize loss of plastic resinpellets to the environment. Thesemeasures include (at a minimum) spillminimization, prompt and thoroughcleanup of spills, employee education,thorough sweeping, pellet capture anddisposal precautions. Additionalspecific guidance on minimizing losscan be found in the EPA publicationentitled ‘‘Plastic Pellets in the AquaticEnvironment: Sources andRecommendations’’ (EPA 842–B–92–010, December, 1992) and at the websiteof the Society of the Plastics Industry(www.socplas.org).

3. Industry-Sponsored Efforts

Both the rubber manufacturing andplastic products industries are alsoactive in sponsoring studies designed toreduce the environmental impactsassociated with the production, use andultimate disposal of their products.However, in reviewing recent work inthis regard, EPA has not identified anyadditional BMPs for storm waterdischarges which would be appropriatefor the reissued MSGP. Therefore, onlythe additional BMPs noted above areincluded in the reissued MSGP for theseindustries.



IX. Summary of Responses toComments on the Proposed MSGP

EPA received comments from 45individuals in response to the proposedpermit. A summary of the Agency’sresponses to those comments appearsbelow. Responses to each comment isavailable from the Water Docket, whoseaddress and hours of operation arelisted in the introduction to this notice.

Section 1.2 Eligibility

Comment a: One commenterrequested clarification on theresponsibilities military bases, whichresemble small municipalities, havewith regard to non-industrial areas ofthe base. The commenter expressedconcern that examples of co-locatedindustrial activities in Section VI.B.3 ofthe fact sheet and Part 1.2.1.1 of theproposed permit could be interpreted torequire coverage for all vehiclemaintenance activities at a base, eventhose unrelated to an industrial activity.The commenter further noted that basesin urbanized areas would require base-wide storm water management programsanyway as Small Municipal SeparateStorm Sewer Systems under Phase II ofthe Storm Water Program.

Response a: EPA agrees thatmunicipalities and military or othergovernmental installations are onlyresponsible for obtaining permits forstorm water associated with industrialactivity for those portions of theirmunicipality or installations where theyhave a storm water discharge that iscovered under the definition of ‘‘stormwater associated with industrialactivity.’’ Under this interpretation,even though a military base may chooseto submit a single NOI for all industrialactivities on the base, the SWPPP wouldonly need to identify facilities/areasassociated or not associated withindustrial activities and that have aSWPPP covering the industrial activityareas. The SWPPP required under theMSGP would not need to address stormwater controls for the non-industrialareas of the base. A note has been addedto Part 4.1 (Storm Water PollutionPrevention Plans) of the permit toclarify the scope of the SWPPP.

Comment b: The proposed limitationson transfer of storm water dischargesfrom a previous permit to the MSGPcould result in undue restrictions. Thecommenter felt that there could bereasons, e.g., for consistent managementof storm water across a site, etc. thateither the permittee or the permittingauthority would want to address allstorm water at a facility under a generalpermit.

Response b: EPA has reconsidered thePart 1.2.3.3.2 restrictions and Part1.2.3.3.2.1 of the proposed permit hasbeen eliminated. Part 1.2.3.3.2.1 wouldonly have allowed permittees to seekMSGP coverage for storm waterdischarges previously covered byanother permit if that previous permitcontained only storm water and eligiblenon-storm water (i.e., an individualpermit for wastewater, etc. would nolonger be required if coverage under theMSGP was allowed). EPA’s review dididentify some unintended consequencesand unresolved issues that could resultfrom this restriction.

A facility (including new facilities)that never had storm water dischargescovered by an individual permit, orwhich was located where access to amunicipal wastewater treatment plantfor wastewater discharges was available,would have an opportunity for burdenreduction that would not be available toa facility with even cleaner storm waterthat happened to have storm waterdischarges covered in a previous permitand could not eliminate theirwastewater discharges. There could becases were a smaller and ‘‘cleaner’’facility would not be able to takeadvantage of the savings (e.g.,individual permit application samplingis not required) the MSGP offered theircompetitors simply because they had aminor wastewater discharge that couldnot be eliminated.

While the main purpose of theproposed Part 1.2.3.3.2.1 restriction wasto discourage dual permits at a facility,there are already many facilities thathave permit coverage split between anindividual permit and the MSGP anddual permit coverage would still beavailable in many cases anyway.Currently, some of these ‘‘dual permit’’facilities have only wastewater under anindividual permit and all their stormwater discharges under the MSGP,while at others, the individualwastewater permit includes some of thestorm water discharges, with theremaining storm water dischargescovered by the MSGP. This ability tohave split coverage in at least somesituations is necessary to addresssituations where at least interimcoverage under a general permit for anew storm water discharge is necessaryor desirable from either the permittee’sor the permitting authority’s standpoint.

EPA has determined that theproposed restrictions in Part 1.2.3.3.2relating to discharges for which a waterquality-based limit had been developedand discharges at a facility for which apermit had been (or was in the processof being) either denied or revoked by thepermitting authority were necessary to

address the anti-backslidingrequirements of the Clean Water Act orto ensure that discharges from a facilityrequiring the additional scrutiny of anindividual permit application were notinadvertently allowed under the generalpermit. In any event, only those stormwater discharges under the previouspermit that met all other eligibilityconditions of the MSGP could even beconsidered for transfer.

EPA periodically promulgates neweffluent limitation guidelines, some ofwhich, such as the those for landfillspublished February 2, 2000, containstorm water effluent limitationguidelines. Under Part 1.2.2.1.3 of theMSGP, a storm water discharge subjectto a promulgated effluent limitationguideline is only eligible for coverage ifthat guideline is listed in Table 1–2. Anew guideline promulgated during theterm of the permit would thus alter theeligibility for the permit not only fornew dischargers, but also for dischargesalready covered by the permit. In orderto avoid the situation where a dischargewould suddenly become ineligible uponpromulgation of a new guideline, Part1.2.2.1.3 has been modified to allowinterim coverage under the permitwhere a storm water effluent guidelinehas been promulgated after the effectivedate of the permit, but the permit hasnot yet been modified to include thenew guideline. This will allowcontinued coverage until the new stormwater guideline could be added to thepermit. Where the new guidelineincludes new source performancestandards, ‘‘new sources’’ would need tocomply with Part 1.2.4 prior to seekingpermit coverage.

Section 1.4 Terminating CoverageComment: (Comment also addresses

Section 11.1 Transfer of PermitCoverage) Several commenters viewedthe submittal of an NOT by the oldoperator and the submittal of an NOI bythe new operator in order to transferpermit coverage after a change inownership as a new and overlyburdensome requirement (Parts 1.4 and11.1). An alternative suggested was asimple notice to the permit file of theownership change.

Response: EPA has determined thatthe most effective method foraccommodating and tracking a changein the owner/operator at a facilitycovered by the general permit is to havethe old operator submit a Notice ofTermination certifying that they are nolonger the operator of the facility, andfor the new operator to submit a Noticeof Intent certifying their desire andeligibility to be covered by the generalpermit. In fact, this is not a new



requirement since the same process wasrequired under the 1995 MSGP (see PartII.A.4 and Part XI.A at 60 FR 51113 and51122, respectively). The only ‘‘new’’aspect of the process is the 30 daytimeframe for submittal of the NOT bythe old operator and a clarification thatsimple name changes in a particularcompany (e.g., Jones IndustrialManufacturing, Co. changing to JIMCO)can be made with a simple update to thecompany’s NOI and a NOT would notbe required. Submittal of the NOT bythe old operator documents that the oldoperator believes he no longer needscoverage under the MSGP for any stormwater discharges. In addition, EPA ismore able to maintain a cleaner databaseof facilities actually covered by thepermit both currently and in the past.The NOI/NOT process for transfersunder the general permit is thusessentially a streamlined parallelprocess to what would otherwise berequired under 40 CFR 122.61.

The permit transfer procedures at 40CFR 122.61 are designed to avoid thetime delays and resource burdensassociated with issuance of a newpermit for a facility just because there isa new owner/operator. Under thisprocess, transfer of the permit to thenew owner/operator cannot be madewithout an actual permit modification (alengthy process especially for generalpermits), unless the old operatorsubmits a thirty day advance notice anda written agreement between the partiescontaining a specific date for transfer ofpermit responsibility, coverage, andliability between them.

The nature of a general permit is suchthat there is no actual permit issued toany individual facility, but rather thatmultiple dischargers are in effect‘‘registering’’ their intent to use thedischarge authority offered by thegeneral permit to anyone who iseligible. This ‘‘registration’’ isaccomplished by an operator’s submittalof the Notice of Intent to be covered bythe general permit as little as two daysbefore they need permit coverage. Infact, regulations at 40 CFR 122.28(b)(2)specifically require submittal of an NOIin order for an operator to be authorizedunder a general permit for discharges ofstorm water associated with industrialactivity. EPA thus views therequirements for the new operator to filean NOI as little as two days prior to thetransfer and for the old operator to filean NOT within thirty days after thetransfer to be less burdensome than thethirty day advance notice and writtenagreements that would otherwise berequired under the permit transferrequirements of 40 CFR 122.61.

Section 1.5 Conditional Exclusion forNo Exposure

Comment: EPA should insert the NoExposure Certification form andguidance within the permit since manyfacility operators are unaware of itsexistence.

Response: EPA has generated adocument, ‘‘Guidance Manual forConditional Exclusion from StormWater Permitting Based on ‘‘NoExposure’’ of Industrial Activities toStorm Water,’’ and a separate noexposure announcement to helpoperators understand and apply for theconditional permitting exclusion. Theguidance is available in hard copy fromEPA’s Water Resource Center. Inaddition, EPA also sent a mass mailingalerting all EPA permittees as well asstakeholder groups to the MSGP–2000and the no exposure exclusion. Toprovide the No Exposure Certification inas many possible places, EPA ispublishing the form and instructions asan addendum to the MSGP–2000.

Section 2.1 Notice of Intent (NOI)Deadlines

Comment: Commenters requested anextension of the 90 day timeframe forsubmission of their NOI to 270 days.Commenters said they needed theadditional time to complete their StormWater Pollution Prevention Plan(SWPPP), application for an alternatepermit, or their endangered speciesconsultation or adverse impactinvestigation. A commenter alsorequested clarification of coverageduring the 90 days between thispublication and their submission oftheir NOI.

Response: The fact sheet clarifies thatSWPPPs are to be prepared at the timethe NOI is submitted. Since mostpermittees are already covered underthe current MSGP and have arequirement to update their SWPPP asthe need arises, there is no basis for anautomatic extension to 270 days.However, facilities may seek anextension up to 270 days to developtheir SWPPP, or to obtain an alternatepermit, on a case-by-case basis.Similarly, facilities can request anextension up to 270 days if they need toconduct an endangered speciesconsultation or adverse impactinvestigation. Permittees covered underthe current MSGP will continue to becovered during the next 90 days as longas they meet the conditions set forth inthe 1995 MSGP.

Section 2.2 Contents of Notice ofIntent (NOI)

Comment a: Clarify how to completethe NOI form in situations where an

MS4 has industrial activities and isconveying the pollutants to its ownstorm drainage system.

Response a: The intent of Section2.2.2.5 was to identify the municipalseparate storm sewer system under theassumption that it would be underdifferent ownership. If there is not aseparate owner, this requirement isunnecessary. This section has beenrevised to clarify ‘‘the name of themunicipal operator if the discharge isthrough a municipal separate stormsewer system under separateownership.’’

Comment b: A commenter questionedwhether EPA was requiring orencouraging permittees to consult FWSand NMFS in making its endangeredspecies finding.

Response b: The facility is responsiblefor obtaining the threatened orendangered species list to make surethat listed specie or critical habitat isnot located in or around the vicinity ofyour facility. That list may be obtainedby phoning or mailing the FWS orNMFS, visiting EPA’s website, or bysome other means. Thus, the permitteeis not required to contact the twoagencies if he can meet his obligation inanother manner.

Comment c: Do not include latitude/longitude information on the NOI.

Response c: EPA requires all regulatedfacilities to submit latitude andlongitude information. The informationis critical in overseeing compliance withendangered species assessments andcoordinating compliance assistance andenforcement activities across mediaprograms.

Section 2.3 Use of NOI FormComment a: Do not add check boxes

related to NHPA and ESA compliance.Response a: EPA believes the

additional information improves theAgency’s ability to overseeimplementation of the permit andcompliance with ESA and NHPArequirements. Because the permittee isalready responsible for conducting theanalysis, there is minimal additionalburden associated with indicating onthe NOI form how the analysis wasconducted. Therefore, EPA intends toretain this requirement. The NOI formrequires review by the Office ofManagement and Budget. Until the newform is approved, permittees should usethe current form. EPA’s ability to issuetoday’s permit is contingent upon itscompliance with ESA and NHPA; thus,provisions related to those statutes ispart and parcel of today’s permittingaction.

Comment b: Commenters supportedEPA’s proposal to allow facilities to



submit NOIs, notices of termination,and discharge monitoring reportselectronically. However, they cautionedthat EPA continue to allow hard copyfiling since not all permittees haveinternet access.

Response b: The final permit retainsthe requirement of paper filing for NOIs,NOTs, and DMRs. While EPA believesthat electronic filing will beincorporated as an option in the future,it is currently not available.

Section 3.3 Compliance with WaterQuality Standards

NPDES regulations at 40 CFR122.44(d)(1)(i) require that the MSGPensure compliance with State waterquality standards for all dischargeswhich ‘‘will cause, have the reasonablepotential to cause, or contribute’’ to anexceedance of a State standard. With thewide variety of facilities to be permittedunder the MSGP, EPA believes thatreasonable potential to cause orcontribute to exceedances of waterquality standards is likely to exist atleast for some facilities. Therefore theMSGP must include appropriateprovisions to ensure compliance withState standards. For general permits,EPA’s guidance document entitled‘‘General Permit Program Guidance’’(February, 1988) suggests an overallnarrative statement requiringcompliance with State standards toaddress the fact that the permit willcover a wide variety of facilities subjectto different standards depending ontheir location. Part 3.3 of the proposedMSGP included a narrative statement inaccordance with this guidance to ensurecompliance with 40 CFR 122.44(d)(1)(i).Part 1.2.3.5 of the proposed MSGP alsoincluded an exclusion from permitcoverage for facilities which EPA hasdetermined may cause or contribute toviolations of State standards.Commenters raised a number ofconcerns regarding the provisions of theproposed MSGP related to compliancewith State standards. However, afterreview of the comments, EPA believesthat the provisions of the proposedMSGP were appropriate and theseprovisions have been retained in thefinal MSGP. Following below are EPAresponses to the specific issues raisedby the commenters:

Lack of Coverage for Facilities WithReasonable Potential

Comment a: A commenter waspuzzled by the exclusion from coveragein Part 1.2.3.5 of the proposed MSGPand requested additional explanation.

Response a: EPA believes thatfacilities which are shown to cause, orhave the reasonable potential to cause orcontribute to exceedances of State

standards may be more appropriatelypermitted under individual permits or aseparate general permit with alternatepermit requirements designed to ensurecompliance with State standards. This isthe basis for the exclusion. Part 1.2.3.5also provides, however, that MSGPcoverage may be available if the controlmeasures in the storm water pollutionprevention plan (SWPPP) are sufficientto ensure compliance with Statestandards.

Comment b: Part 1.2.3.5 of theproposed MSGP could proveburdensome and could lead to permitbacklogs depending on the extent of itsuse.

Response b: Given the large number offacilities covered by the MSGP, it is notpractical for EPA to individually reviewthe status of all facilities covered by theMSGP prior to submittal of the NOI.EPA has developed eligibility criteriafor coverage under the MSGP–2000which should, if applied appropriatelyby the facility operator, screen outfacilities which have ‘‘reasonablepotential’’ to exceed a state standard. Inaddition, where EPA determines there isa ‘‘reasonable potential,’’ the Directorwill require the facility to submit anindividual permit or take otherappropriate action.

Comment c: MSGP coverage shouldnot be allowed until the absence ofreasonable potential had beendemonstrated by the discharger.

Response c: As noted above, EPA doesnot believe this is practical for allfacilities given the large number ofdischargers covered by the permit.Moreover, as discussed in EPA’s‘‘Interim Permitting Policy for WaterQuality-Based Effluent Limitations inStorm Water Permits’’ (61 FR 43761,November 26, 1996), there will likely becircumstances where inadequateinformation is available to perform thereasonable potential analysis.

Are Discharges with ReasonablePotential a Permit Violation?

Comment d: Several commentersobjected to Part 3.3 of the proposedMSGP which indicated that dischargeswhich have occurred would beviolations of the MSGP if they are latershown to have the reasonable potentialto cause or contribute to exceedances ofState standards.

Response d: EPA believes that suchdischarges are appropriatelycharacterized by the MSGP asviolations. The narrative statement inthe MSGP requiring compliance withwater quality standards in effectincorporates into the permit all numericeffluent limitations which are necessaryto ensure compliance with State

standards. When a discharge is shownto have reasonable potential, thisimplies that discharges are occurringwhich would exceed the permit limitsneeded to ensure compliance with Statestandards. Since the narrative statementincorporates all limits needed to ensurecompliance with State standards, thedischarges are appropriatelycharacterized as violations of thepermit.

Process for Terminating Coverage Underthe MSGP

Comment e: Several commentersexpressed concern regarding the processfor terminating coverage under theMSGP and ensuring due process fordischargers to contest such actions byEPA.

Response e: EPA believes that theMSGP does ensure due process fordischargers. Part 9.12 of the MSGPprovides that EPA may require anindividual permit application from adischarger, or require the discharger toseek coverage under an alternate generalpermit. If an individual permitapplication were required, a draftpermit would be prepared and a fullopportunity would be provided to thedischarger in accordance with 40 CFRPart 124 to comment on the draft permitand contest any final determination.Further, any alternate general permitwould provide (in accordance with 40CFR 122.28(b)(3)(iii)) that the dischargercould seek coverage under an individualpermit rather than the alternate generalpermit. Such a request would also beprocessed in accordance with theprocedures at 40 CFR Part 124.

Comment f: A number of commentersalso asked whether a notice of violationof Part 3.3 of the MSGP for violations ofState water quality standards would bein writing.

Response f: Dischargers would benotified in writing by EPA of anyviolation of Part 3.3.

Permit as a Shield ConcernsComment g: Section 402(k) of the

Clean Water Act shields permittees fromthe requirements of Part 3.3 of theMSGP to comply with water qualitystandards.

Response g: EPA disagrees with thecommenters on this matter. Section402(k) provides that compliance with anNPDES permit is considered to becompliance, for purposes of section 309and 505 enforcement, with sections 301,302, 306, 307 and 403 of the CleanWater Act. However, the violationswhich are envisioned by Part 3.3 of theMSGP would be violations of an NPDESpermit itself, i.e., the water quality-based effluent limitations which are



incorporated into the MSGP by virtue ofthe narrative statement. Section 402(k)does not provide a shield for suchviolations.

Concerns about Applying State WaterQuality Standards to Storm Water

Comment h: Water quality standardscannot apply to storm water dischargessince special wet weather standardshave not been developed to addressepisodic events.

Response h: EPA disagrees that Statewater quality standards cannot apply inthe absence of special wet weatherstandards. Section 402(p)(3)(A) of theClean Water Act specifically requiresthat industrial storm water dischargerscomply with State water qualitystandards. EPA has recognized,however, the difficulties in developingappropriate water quality-based effluentlimitations for storm water discharges.In response to concerns such as thoseraised by the commenter, EPA hasdeveloped an ‘‘Interim Permitting Policyfor Water Quality-Based EffluentLimitations in Storm Water Permits’ (61FR 43761, November 26, 1996). Wherenumeric water quality-based effluentlimitations are infeasible (due forexample to inadequate information onwhich to base the limitations), bestmanagement practices (BMPs) such asthose in the SWPPP would serve as thewater quality-based effluent limitations.

Comment i: Clarify whether mixingzones would apply to the storm waterdischarges.

Response i: Mixing zones wouldapply to the extent that State waterquality standards provide for their use.

Required Actions if Violations ofStandards Occur

Comment j: A commenter was unclearconcerning the modifications of theSWPPP that would be required by Part3.3 of the MSGP if violations of Statewater quality standards occur.

Response j: The SWPPP must bemodified to include additional BMPs tothe extent necessary to prevent futureviolations.

Comment k: Clarify who woulddetermine the additional controlmeasures that would be required by Part3.3 of the MSGP.

Response k: The discharger would atleast initially be responsible fordetermining the additional controlmeasures. However, Part 4.10 of theMSGP also provides that EPA mayrequire modifications of the SWPPP if itproves to be inadequate.

Can a Reasonable Potential AnalysisOccur at Any Time During the PermitTerm?

Comment l: Part 3.3 of the MSGPshould not require a reasonablepotential analysis at any time during theterm of the permit.

Response l: The information tosupport a reasonable potentialdetermination would be based onadditional information that becomesavailable concerning a particulardischarge (from monitoring results, forexample). As such, the permitappropriately provides that a reasonablepotential analysis (possibly leading toan individual permit or separate generalpermit) may be required at such a time.

Comment m: Discharges of a pollutantwhich increase during the term of thepermit should not be considered apermit violation.

Response m: EPA disagrees with thecommenter on this issue. The narrativestatement in Part 3.3 of the MSGPrequires that dischargers comply withall State water quality standardsthroughout the term of the permit.Dischargers must ensure that, if thereare increases in the discharges of aparticular pollutant, the increases arenot sufficient to cause or contribute toexceedances of water quality standards.

Questions Regarding the BenchmarkConcentrations

Comment n: Part 3.3 of the proposedMSGP would undermine EPA’s use ofthe benchmark values in the MSGP.

Response n: EPA disagrees with thecommenters in this regard. Thebenchmark values are concentrationswhich are used to evaluate whether agenerally effective SWPPP is beingimplemented. The SWPPP is required toensure compliance with the technology-based discharge requirements of theClean Water Act. Exceedance of abenchmark value is not a permitviolation. However, if a permitteecomplies with the benchmarks, thepermittee is eligible for the monitoringwaiver in year 4 of the term of thepermit and this provides an incentive toimplement an effective SWPPP. Part 3.3of the MSGP is required to ensurecompliance with the water quality-based requirements of the Clean WaterAct, which are in addition to thetechnology-based requirements. Part 3.3of the MSGP does not undermine thebenchmarks. Part 3.3 is simply aseparate requirement of the Clean WaterAct which must be included in thepermit in addition to the technology-based requirements.

General Comment on Water QualityStandards Requirements

Comment o: One commenter lodged ageneral objection to Part 3.3 of theproposed MSGP, but did not elaborateon specific concerns.

Response o: As discussed above, EPAbelieves that Part 3.3 is appropriate andnecessary to ensure compliance withState water quality standards. As such,Part 3.3 was retained in the final MSGP.

Section 4.1 Storm Water PollutionPrevention Plan (SWPPP) Requirements

Comment a: EPA should not measureprogress solely on the number of BMPsapplied.

Response a: As stated, EPA’sintention in requiring thecomprehensive site complianceevaluation is to determine theeffectiveness of BMPs in use at the site,and to assess compliance with the termsand conditions of the permit. Additionalnew BMPs are not prescribed as part ofthis requirement; the options to includeBMPs to replace those which are notworking appropriately, or to augmentexisting BMPs to ensure betterperformance, rests solely with thefacility operator, based on the findingsof the compliance evaluation.

Comment b: Clarify the frequency oftraining required.

Response b: Some industrial sectorscovered by this permit are required toprovide training at least once per year.In other sectors, it is left to thediscretion of the operator. EPA’s factsheet recommends that facilitiesconduct employee training annually at aminimum, and acknowledges that, forsome facilities, a more frequent trainingschedule may be appropriate to ensurethat personnel at all levels ofresponsibility are informed of thecomponents and goals of the site’sSWPPP.

Comment c: Clarify the term ‘‘locallyavailable.’’

Response c: EPA intends the term‘‘locally available’’ to mean a facilityoffice which need not actually belocated on-site, but co-located withother facility operations. It is notnecessary for a permittee to maintain alocal presence near an unstaffed site forthe purposes of maintaining availabilityof the SWPPP.

Comment d: Fourteen days is anunrealistic timeframe for modifying aSWPPP in response to a discharge of areportable quantity of oil.

Response d: EPA does not considerthe requirement to revise the SWPPPwithin 14 days after a discharge of areportable quantity of oil to beunrealistic. Changes to accommodate a



description of the release, date andcircumstances of the release, as well asa description of the actions taken toaddress the problem and any necessarychanges to the BMPs to prevent futurereleases are inherently necessary toprevent water quality degradation.

Comment e: It is standard practice tokeep a copy of their SWPPPs with theirpermit and, therefore, there is noobjection to this requirement.

Response e: EPA acknowledges thatmany industrial facilities already keep acopy of the storm water permit withtheir SWPPP, and the Agency isformalizing that practice as arequirement of the permit for allfacilities.

Section 4.2 Contents of PlanComment a: A commenter believed

EPA was requiring velocity dissipationdevices to minimize erosion due to flowvelocity.

Response a: EPA’s intention is torequire facilities to evaluate the need forvelocity dissipation devices where it isnecessary to minimize erosion due toflow velocity. Facilities should use theirbest judgment when considering ifvelocity dissipation devices are needed.The language in the permit has beenclarified.

Comment b: Specify a set of minimummanagement practices for coverageunder the permit.

Response b: Due to the variety ofindustries covered by the Multi-SectorGeneral Permit, there is no ‘‘minimum’’list of best management practices thatwould suitably address the multiplesituations found at different industrialsites. EPA considers it sufficient tooutline minimum criteria that eachfacility operator must consider tominimize discharges from theirproperty, and allow facility operators toidentify and implement BMPs that areappropriate for their site.

Comment c: Do not require theSWPPP to identify oil spills or leaksbelow reportable quantities. Only thosesites that have not been cleaned up toappropriate levels should be included inthe site description and shown on thesite map.

Comment d: EPA has not changed thebasic intent of this permit requirement:a facility must keep a record ofsignificant spills or leaks of bothhazardous substances or oil and, forreleases in excess of reportablequantities under 40 CFR Parts 117 or302, revise its pollution prevention planas necessary to prevent the reoccurrenceof such releases. A spill or leak may notmeet the threshold of a ‘‘reportablequantity’’ but may still be sufficientlysignificant to cause water quality

impairment, and therefore should beacknowledged and mitigated by thepermittee. EPA does not intend that‘‘reportable quantity’’ defines theminimum amount of a substance whichshould be appropriately managed. Inregards to including previous spill and/or leak areas in the site map andassociated descriptions, the Agencyviews the inclusion of all areas wherespills have occurred over the last threeyears from the date of NOI submittal asimportant information which may beuseful in assessing future risks.

Comment d: The provisionprohibiting discharge of ‘‘solidmaterials’’ is too broad and should beeliminated.

Response d: EPA intends thereference to ‘‘solid materials, includingfloating debris’’ and ‘‘Off-site tracking ofraw, final, or waste materials orsediment, and the generation of dust’’ ashaving the generally accepted plainlanguage meanings, and that facilityoperators should use their bestprofessional judgment in applying thisrequirement to their discharge. Thereference is not necessarily meant toapply in particular to suspended soil.EPA has purposefully allowed forreasonable flexibility in allowing eachfacility to determine whether ‘‘solidmaterials,’’ ‘‘floating debris’’ and/or‘‘dust’’ are a component of their stormwater discharge. The Agencyacknowledges that many areas havestate or local ordinances prohibiting theoff-site tracking and generation of dust;therefore, this requirement does notpose a hardship on facility operators.While not prohibiting the discharge ofwaters containing soils, the permit stillrequires that discharges must complywith state/local water quality standards.

Comment e: The requirement for‘‘routine inspections’’ and ‘‘records ofinspections’’ are too broad.

Response e: EPA acknowledges thatmost industrial facilities conductregular inspections of plant conditions.As discussed in Part 4.2.7.1.5 of thepermit, facility operators must explicitlyoutline in the SWPPP the frequency ofregular inspections at their facilitywhich will incorporate inspections ofindustrial activities or materials that areexposed to storm water. Records ofthese specific storm water inspections,along with records of any followupactions taken as a result of theseinspections, must be kept with theSWPPP. This facility-specific scheduleof periodic inspections is what EPA isreferring to as ‘‘routine facilityinspections.’’

Comment f: An evaluation ofgroundwater impacts or concerns is

beyond the scope of a stormwaterpollution prevention plan.

Response f: In some cases,groundwater beneath a facility may behydrologically connected to surfacewaters. EPA’s intent for including anevaluation of impacts to groundwaterwhen considering appropriate BMPs isto ensure that facility operators are fullycognizant of the hydrology of their area,and have evaluated any appropriateBMPs in the event that such a situationexists for their property. If there are nopossible impacts to groundwater, thisfact should be acknowledged in theSWPPP.

Section 4.4 Non-Storm WaterDischarges

Comment a: Include swimming pooldischarges as an allowable storm waterdischarge.

Response a: EPA does not includeswimming pool discharge as anallowable non-storm water discharge inthe Multi-Sector General Permit, as thisis a general permit to cover storm waterdischarges from industrial activity. TheAgency is unclear as to how manyindustrial facilities have swimmingpools that would necessitate thisspecific exemption. The inclusion ofnonchlorinated swimming pooldischarges as an allowable non-stormwater discharge will be better suited tothe upcoming EPA Small MultipleSeparate Storm Sewer General Permit,which will be available by December2002.

Comment b: The permit should allowfor case-by-case determinations forinclusion of de minimus nonstormwater sources.

Response b: By its very nature, ageneral permit is meant to cover manysimilar discharges from a variety ofsimilar sources. Case-by-casedeterminations for de minimus non-stormwater discharges would beextremely time-intensive, and it is notpossible to provide for such individualdeterminations in the context of ageneral permit. Specific examples of deminimus discharges were not providedby the commenter; therefore, the Agencyis not inclined to include such aprovision at this time.

Comment c: Delete ‘‘drinking fountainwater:’’ from Section 1.2.2.2.3 and citeonly ‘‘potable water including waterline flushings.’’

Response c: EPA agrees with theissues presented by the commenter, andthat the term ‘‘drinking fountain water,’’in itself, is imprecise. Both the draftMSGP fact sheet and permit specificallyauthorize potable water as an allowablenon-storm water discharge. The



‘‘drinking fountain water’’ language hasbeen deleted.

Section 4.7 Copy of PermitRequirements

Comment: Recommend electronicwebsite access in lieu of paper copy ofpermit.

Response: The new requirement thata hard copy of the Multi-Sector GeneralPermit be kept with a facility’s StormWater Pollution Prevention Plan isintended to ensure that the permitrequirements are easily and readilyavailable to all facility staff who are ormay be responsible for implementingthe provisions of the permit. Internetaccess may not be available to staff inall situations; therefore, for ease ofreference, EPA is requiring that at leastone copy of the permit be retained alongwith the SWPPP. The sections referringto EPA’s acceptance of the electronicmedium is contingent, in both casescited by the commenter, upon the futureviability of electronic submittal of NOIsand DMRs to the Agency.

Section 4.9 TimelineComment a: The fact sheet and permit

need to provide consistent timeframesfor SWPPP revisions.

Response a: The fact sheet and permitlanguage were consistent on revising theSWPPP within 14 days of the siteevaluation, but were somewhatconfusing on how long the permitteehad to implement the revisions. Toclarify this time period, EPA has revisedPart 4.9.3 of the permit to state: ‘‘Ifexisting BMPs need to be modified or ifadditional BMPs are necessary,implementation must be completedbefore the next anticipated storm event,or not more than 12 weeks aftercompletion of the comprehensive siteevaluation.’’

Comment b: Thirty days to correctdeficiencies in the SWPPP followingnotification by the Director isinsufficient.

Response b: EPA intends forcorrections to the Storm Water PollutionPrevention Plan to be accomplished ina timely manner, particularly whendeficiencies are identified formally bythe Director. The Agency feels thatthirty days, as outlined in the existingpermit language, is a reasonable amountof time for such changes to be made; ifrevisions are significant, the permitteemay request, and the Director canprovide, additional time for revisions tobe accomplished.

Comment c: Fourteen days to modifya SWPPP is insufficient.

Response c: The Agency feels thatrevising the Storm Water PollutionPrevention Plan appropriately to

address deficiencies within 14 days is areasonable timeframe in which toaddress changes administratively;additional time is provided to actuallyput those revisions into place.

Comment d: The SWPPP must becompleted and in place prior toissuance of the permit.

Response d: Part 4.1 of the permitstates that a SWPPP must be preparedfor the facility before submitting aNotice of Intent for permit coverage.EPA’s issuance of the MSGP–2000 doesnot automatically confer coverage topermittees; therefore, EPA feels therequirement that a site-specific SWPPPbe in place for the facility operationsprior to seeking coverage by way of thesubmittal of a NOI is sufficient toprevent environmental degradation.

Section 4.12 Additional Requirement:EPCRA Section 313 Reporting

Comment: Many commenterssupported removal of EPCRA Section313 reporting requirements from thepermit. Two commenters objected toidentifying areas with pollutants thatmust be reported under EPCRA Section313 and to develop appropriate stormwater controls for these areas.

Response: EPA acknowledges thegeneral support for revisions to thissection. The intent of thesemodifications is to eliminate theredundant requirements of the existingMSGP for permittees subject toreporting requirements under Section313 of EPCRA, which includes the 20+categories of Toxic Release Inventorychemicals. The Agency believes that theMSGP–2000 places no additionalburden on facility operators with TRIchemicals. Identification of EPCRA 313chemicals in the SWPPP acknowledgesthat these chemicals are pollutants ofconcern. Facilities with any of thesepollutants need to develop appropriatestorm water controls to contain them.As noted in the fact sheet, EPA believesthese concerns have been addressedthrough existing state and federalrequirements which can be referencedin the SWPPP.

Section 4.13 Public Availability forReview

Comment a: The public should beable to obtain access to and commentupon a SWPPP and ‘‘no exposure’’claim before they are finalized.

Response a: EPA has, in response tothis comment, included a provision inthe final permit requiring facilityoperators to make a hard copy of theirSWPPP available to the public whenrequested in writing. EPA believes thisrequirement is an acceptablecompromise between the facility

operator’s concerns about havingmembers of the public at their site andthe need of the public to understandpotential impacts on their environment.EPA does not receive SWPPPs routinely,and, therefore, cannot make themavailable at its offices or provide themto local government offices. As with theprevious MSGP, members of the publichave the option of contacting the NOICenter or the Regional EPA Storm WaterCoordinators directly to inquire about afacility’s permit status.

EPA does not intend to require publiccomment on SWPPPs, nor requirepublic hearings, because SWPPPs areintended to be modified as necessary toaddress changes at the facility or whenperiodic inspections indicate that aportion of the SWPPP is proving to beineffective. Requirements for publiccomment and public hearings woulddelay needed modifications to, not tomention development of, the SWPPP, beburdensome and serve as disincentivesto plan updates.

At any time the Agency can concludethat a facility is no longer eligible forcoverage under a general permit andrequire the facility to apply for a generalpermit. In that event, there would besignificant opportunity for public inputin the decision-making process.

Comment b: The following should beavailable in paper copy and on the web:NOI, SWPPP, and ‘‘no exposure’’certification.

Response b: EPA has found thathaving a central location for processingNOIs is an efficient and effective way ofmanaging the tremendous amount ofdata which the Storm Water programgenerates. Very shortly, members of thepublic will be able to access informationfrom the NOI database online. The NOIdatabase contains facility information,including the type of industrial activitytaking place, facility contactinformation, and receiving water bodyinformation. Also available online willbe information on facilities that havesubmitted ‘‘no exposure certifications.’’Regarding SWPPPs, EPA does notreceive them routinely and, therefore,cannot make them available on-line.EPA has, in response to this comment,included a provision in the final permitrequiring facility operators to make ahard copy of their SWPPP available tothe public when requested in writing.EPA believes this requirement is anacceptable compromise between thefacility operator’s concerns about havingmembers of the public at their site andthe need of the public to understandpotential impacts on their environment.



Section 5.1 Types of MonitoringRequirements and Limitations

Comment a: A commenter requestedlanguage clarification for the firstparagraph under Part 5.1, QuarterlyVisual Monitoring.

Response a: Quarterly visualmonitoring is required for all permitteescovered under the MSGP. The visualinspection must cover all outfalls at thefacility from which there are stormwater discharges associated withindustrial activity.

Comment b: A commenter indicatedthat Part 5.1.1.4 was clear regarding thevisual monitoring waiver for inactiveand unstaffed sites. However, it wasunclear if a similar waiver forbenchmark monitoring applies toinactive and unstaffed sites.

Response b: EPA has clarified in Part5 that a permittee may exercise a waiverfor benchmark monitoring at unstaffedand inactive sites.

Section 5.3 General MonitoringWaivers

Comment a: Commenters supportedthe adverse sampling condition waiver,as long as the permittee doublessampling during the next event oreliminates the substitute samplingrequirement for areas with extendedfrozen conditions.

Response a: EPA has decided to keepthis temporary waiver, since the mainpurpose of this specific waiver is toallow the permittees the opportunity totake samples under no adverse northreatening weather conditions.

Comment b: Allow permittees towaive benchmark monitoring in years 2and 4 of the MSGP–2000 with the resultof the 1995–MSGP; waive difficultlogistical conditions or location accesssimilar to those for unstaffed/inactivefacilities; and impractical samplecollection at large facilities.

Response b: Under Section 402 of theCWA, EPA is required to issue permitswhich apply and ensure compliancewith any applicable requirements ofsections 301, 302, 306, 307, and 403.Since these permits are issued withfixed terms not exceeding five (5) years,EPA needs to ensure that permitteescontinue to comply with applicablerequirements. EPA believes thatbenchmark monitoring is not overlyburdensome and provides usefulinformation to the permittee and theAgency. Therefore, EPA will requirepermittees covered under the reissuedMSGP to ensure continued compliancewith permit conditions andrequirements. In addition, EPA hasdetermined that the general monitoringwaivers provided in the previous permit

are adequate, and that additionalwaivers are not needed. With regard toproblems facilities encounter whenmonitoring their storm water discharges,such as difficult logistical conditions,access to discharge locations orimpractical sample collection at largefacilities, EPA recommends permitteesreview the ‘‘NPDES Storm WaterSampling Guidance Document’’ whichsuggest solutions to these samplingproblems.

Section 6.E Sector E—Glass, Clay,Cement, Concrete and Gypsum Products

Comment a: Separate the concretepipe manufacturing from the cement,ready mixed and concrete blockmanufacturing sector.

Response a: Based on thecharacterization of the concrete pipemanufacturing industry and the cement,ready mixed and concrete blockmanufacturing industry, EPA hasdetermined that the two industries aresimilar and, thus, has retained theindustrial sectors as described in the1995 permit.

Comment b: Section 6.E.3.1 of thedraft permit was not reflective of theSeptember 30, 1998 modification.

Response b: The commenter iscorrect. The final permit has beenchanged to reflect the September 30,1998 modification which removed thelimitations of coverage for variousindustries. Paragraph 6.E.3 has beenremoved and the remaining paragraphshave been renumbered accordingly.

Section 6.F Sector F—Primary MetalsComment a: Do not propose any new

BMPs for the steel industry in theMSGP–2000.

Response a: Similarly to the 1995MSGP, the MSGP–2000 prefers theimplementation of structural and non-structural BMPs for stormwatermanagement from Primary Metalsfacilities. It is up to the individualoperators to decide which BMPs mosteffectively meet their needs. This doesnot preclude the use of additional ornew technologies should they be foundto be more effective in any givenapplication.

Comment b: The BMPs provided atParts 6.F.3.2 and 6.F.3.3 omit the mostobvious qualifier, which is thatinventories of exposed material andhousekeeping should be mandated bythe MSGP only where the exposedmaterials have a potential to contactstorm water that is discharged from apoint source to a water of the UnitedStates. In many cases, the types ofmaterials and activities discussed in theabove referenced parts occur in areaswhere precipitation is collected and

contained, and is not discharged. Thus,site inventories and BAT practicesdiscussed in these parts are not relevantexcept in areas where they affect stormwater discharges authorized by theMSGP. Parts 6.F.3.2 and 6.F.3.3 shouldbe clarified (similarly to Part 6.F.3.1)with a statement that these activities arerequired only in areas where suchactivities could result in a discharge ofpollutants to waters of the UnitedStates.

Response b: One of the underlyingpremises of the MSGP is that if there isa potential for contact between stormwater and environmental contaminants,then the facility should apply forcoverage under the MSGP. If there is nopotential for contact, the facility may beable to submit a ‘‘no exposure’’certification form, and not be requiredto obtain permit coverage. Where thereis a potential for contact between stormwater and industrial activities and/ormaterials, then the operator needs toobtain permit coverage and takeappropriate measures to mitigate thedischarge of pollutants.

Comment c: Part 6.F.3.4 includes arequirement for inspections performedunder the 2000–MSGP to, among otherthings, evaluate air pollution controlequipment. This activity does notbelong under the MSGP. It is a Clean AirAct requirement and an activityperformed under each facility’s CleanAir Act permit. Such inspections underthe MSGP are redundant, inappropriateand extend EPA’s CWA authority intothe CAA. Inspections of air pollutioncontrol equipment should not be acomponent of any SWPPP orcompliance certification under theCWA.

Response c: EPA understands whyinspection requirements whichroutinely fall under the purview of oneenvironmental program (in this case theAir Program) would appearinappropriate under anotherenvironmental program (in this case theWater Program). However, if one looksat the potential sources of pollution atprimary metals facilities, one will soondiscover that one of the principalsources of contamination is from the airpollution control devices. The purposeof the storm water regulations is to keepstorm water from coming into contactwith any contaminants, regardless of theenvironmental media from which itarose. If inspections are routinelyconducted at a facility pursuant to oneenvironmental statute, that sameinspection will generally be accepted byanother program. For example, if thefacility routinely inspects its airpollution control devices as arequirement of its CAA permit, that



same inspection, with the possibility ofa few additional observations, e.g., tosee if there is any evidence of run off,should also be accepted as part of theSWPPP. The SWPPP can cross referenceinspection protocols for the CAApermit. Thus, EPA does not agree withthe commenter that these requirementsare either redundant, inappropriate orextend EPA authority.

Section 6.G. Sector G —Metal Mining(Ore Mining and Dressing)

Comment a: Include Table G–4,published in the August 7, 1998modifications, in MSGP–2000. Also,table titles in this section are confusingsince they appear to imply that effluentguideline limitations apply to wasterock and overburden piles.

Response a: We have included therevised table G–4 from the August 7,1998 modification in the fact sheet fortoday’s permit. The titles of tables G–1and G–2 are consistent with the titles inthe other sectors of the final permit. Allmonitoring tables in Part 6 of the permitare titled ‘‘SECTOR–SPECIFICNUMERIC LIMITATIONS ANDBENCHMARK MONITORING.’’ TheAgency doesn’t not believe that this titleis misleading because each tablecontains a column labeled ‘‘NumericLimitation’’ which either contains anumerical value or is blank. For thoseSectors where there are no values listedin the numeric limitation column it isclear that numeric limitations do notapply. EPA recognizes that benchmarkconcentrations are not effluentlimitations and is provided specificlanguage in the permit to that effect.

Comment b: The commenter opposesEPA’s disallowance of sampling waiversfrom monitoring requirements for wasterock and overburden piles. Anothercommenter argued that another waiverbased on ‘‘not present or no exposure’’had also been deleted. A thirdcommenter noted that monitoringrequirements were also inconsistentwith the 1998 permit modifications.

Response b: The restriction onsampling waivers was not intended toexclude the ‘‘Adverse ClimaticConditions Waiver’’ in Part 5.3.1 of thepermit. The final permit has beenrevised to correct this error. Also, Part6.G.7.2 has been modified to reflect thatthe monitoring requirements only applyto discharges from active ore miningand dressing facilities and that theserequirements remain unchanged fromthe 1998 permit modification. Thesecond waiver in Part 5.3 which isbased on ‘‘not present or no exposure’’was not part of the August 1998 notice,and was not intended for sector Gfacilities.

Comment c: The limitation oncoverage for adit drainage andcontaminated springs or seeps should bemodified to exclude only those that donot result from precipitation events. Theproposed Certification of Dischargelanguage is confusing since it implies anobligation for testing or evaluation ofmining-related discharges that arecomposed entirely of non-storm watercovered by an NPDES permit.

Response c: Adit drainage andcontaminated springs and seeps aredischarges that originate below thesurface of the ground. Often theydischarge during dry periods and, whilein some instances these flows mayincrease in response to a storm event,they may continue to flow well after theprecipitation has ended. Therefore, EPAhas determined that the restriction (i.e.,prohibition) for MSGP coverage ofdischarges from adit drainage,contaminated springs and seeps shouldremain as proposed.

The ‘‘Certification of DischargeTesting’’ language has been modified toclarify that certification must beprovided to show that any mining-related discharge has been ‘‘tested orevaluated for the presence of non-stormwater discharges.’’ Additional wordinghas been added to Part 6.G.6.1.6.6 tomake it consistent with the language inthe 1995 MSGP.

Comment d: Provide guidance inSection 6.G.6.1.6.6 on what type of testshould be performed.

Response d: The language has beenmodified to allow for a certificationbased on ‘‘tested or evaluated’’information. Additional wording hasbeen added to Part 6.G.6.1.6.6 to makeit consistent with the language in the1995 MSGP.

Comment e: The definition of‘‘reclamation phase’’ is inconsistentwith most state programs.

Response e: The definition of thethree general phases of mining wastaken from the fact sheet to the 1995MSGP. The intent was to recognize that‘‘mining’’ is comprised of severaldistinct activities, not to set a standardfor each phase. EPA acknowledges thatreclamation requirements are typicallyset by state programs, and therefore thepermit language defining thereclamation phase has been modified toreflect other post-mining land uses.

Comment f: In reformatting the permitlanguage, EPA introduced newrequirements which are inconsistentwith the settlement EPA reached withNMA in 1998.

Response f: The draft MSGP–2000intended to incorporate all therequirements from the 1998 noticeresulting from the settlement with

NMA. However, in making the changesand converting to a more ‘‘readable’’format some unintended errorsoccurred. The revisions to themonitoring requirements have beenmade so the final permit language isconsistent with the 1998 FederalRegister publication (63 FR 42534, Aug7, 1998).

Comment g: Delete the phrase‘‘directly or indirectly’’ from coverage of‘‘storm water discharges that have comeinto contact (directly or indirectly) withany overburden, raw material,intermediate product* * *’’ since it isinconsistent with prior versions of thepermit.

Response g: The storm waterregulations (Section 122.25(b)(14)(iii))require permit coverage for ‘‘facilitiesthat discharge storm watercontaminated by contact with or thathas come into contact with, anyoverburden, raw material, intermediateproducts* * *’’ When revisions weremade to the draft MSGP 2000 languageto make the permit more ‘‘readable,’’some of the words were changed. Inorder to be consistent with the stormwater regulations, the permit languagehas been revised. The words ‘‘come intocontact (directly or indirectly)’’ havebeen deleted and replaced with‘‘contaminated by contact or that hascome into contact.’’

Comment h: EPA was incorrect instating that all facilities permitted inthis sector are ‘‘no discharge’’ facilities.

Response h: The monitoringdiscussion in the Fact Sheet to thepermit is a summary of the dataavailable at the time the draft permitwas published for public comment. Themain focus of the summary was on datafrom the second year of permit coverage.Of those sector G facilities thatsubmitted information in year 2 of thepermit none of them reported adischarge. The 1998 MSGP modificationwhich reflected the settlement withNMA and added monitoringrequirements for sector G was muchlater in the permit term. The final factsheet language has been changed torecognize the later data and dischargestatus of sector G facilities covered bythe permit.

Comment i: Water technicallyqualifying as mine drainage but whichmeets all applicable surface waterquality standards should be approvedfor use in lieu of fresh water for dustcontrol on roads at mine sites.

Response i: The quality of the minedrainage can change from source tosource and over time within the samemine. The MSGP would need to specifya process (e.g., monitoring frequency) toensure that the quality of the mine



drainage is protective of water quality.This type of facility specificconsiderations and potential monitoringrequirements would be better addressedunder an individual permit issued to thefacility.

Sections 6.G and 6.J ConstructionRequirements for Sector G—MetalMining and Sector J—Mineral Mining

Comment a: Commenters questionedwhy EPA was requiring coverage undera construction general permit for earthdisturbing activities during the‘‘exploration and construction phase’’ ofa mining operation.

Response a: This requirement wasoriginally contained in the 1995 MSGPFact Sheet for Sector J (it wasinadvertently not duplicated in themetal and coal mining [Sector G]sectors). It therefore represents aclarification or technical correction tothe original MSGP. To clarify theapplicability of the MSGP regardingconstruction activity at metal miningsites and to make metal miningrequirements consistent with mineralmining provisions (Sector J), Sector Ghas been modified to indicate that earth-disturbing activities occurring in the‘‘exploration and construction phase’’ ofa mining operation must be coveredunder EPA’s Construction GeneralPermit (63 FR 7858, February 17, 1998)or under an individual permit if the areadisturbed is one acre or more. Earth-disturbing activities during exploration/construction affecting less than one acremust be covered under the MSGP–2000.If permittees then opt to actively minethe site they are required to transition tothe MSGP–2000 (they should terminatetheir coverage under the CGP, but thereis no requirement to do so). Thisprocedure removes commenters’ ‘‘dual-permit requirement’’ fear. Once in theactive phase, any subsequent mineenlargement would be covered underthe MSGP–2000. All phases of a miningoperation must be covered whichincludes the ‘‘reclamation phase.’’ EPAbelieves the appropriate level ofenvironmental protection for initialland-disturbing mining activities is aconstruction permit. SWPPPrequirements under a constructionpermit are more effective for the oftentemporary conditions found during theinitial phase versus that which wouldbe appropriate for a more permanentmining operation. Many of the BMPsand other SWPPP requirements of theConstruction General Permit could beincorporated in the MSGP–2000SWPPP, thereby minimizing anyduplicative efforts.

Comment b: For Sector J for Region 9,the proposed MSGP only authorized

mine dewatering discharges fromcrushed stone, construction sand andgravel, and industrial sand mines inArizona. For Regions 1, 2, 6, and 10,coverage was proposed throughout theareas of these regions covered by theMSGP. Expressions of interest in MSGPcoverage for these discharges have beenreceived for other areas, such as Indiancountry in Nevada and California.

Response b: For consistency with theother regions, coverage for thedischarges has been extendedthroughout the areas of Regions 3, 8 and9 covered by the permit, provided thedischargers meet all other permiteligibility requirements.

Section 6.I Sector I—Oil and GasExtraction

Comment: One commenter expressedconcern that while refineries werecovered under Sector I—Oil and GasExtraction, refining was not usuallyconsidered ‘‘oil and gas extraction’’ andthe title of Sector I could thus causerefinery operators to overlook permitconditions that could apply to them.

Response: EPA welcomes thissuggestion to make the permit easier touse and the title for Sector I has beenchanged to ‘‘Oil and Gas Extraction andRefining’’ in Table 1–1 and in Part 6.I.Note however, that any storm water ata refinery that is subject to storm watereffluent limitation guidelines at 40 CFR419 is not eligible for permit coverage.

Section 6.R Sector R—Ship and BoatBuilding or Repair Yards

Comment: One commenter requestedthat the provisions of part 6.R.4.3.1. beclarified to note that pressure washingto remove paint would require aseparate NPDES permit.

Response: EPA agrees that if pressurewashing occurs to remove paint, thedischarge of that wash water wouldrequire separate NPDES permitcoverage. EPA also intends for thedischarge of wash waters removingmarine growth to be permittedseparately. The source of the dischargeis not storm water and, as a general rule,the MSGP only authorizes the dischargeof storm water. The non-storm waterdischarges that are authorized by theMSGP are a specific list found in Part1.2.2.2. of the permit and the list doesnot include pressure wash waters.

Section 6.S Sector S—AirTransportation

Comment: Commenters had concernsregarding the execution of sitecompliance evaluations and inspectionsof deicing areas. They also requestedEPA to limit the inspection obligation to

once per month during periods ofdeicing operations.

Response: The MSGP–2000 has beenclarified to state that complianceevaluations shall be conducted during aperiod when deicing activities are likelyto occur (vs. a month when deicingactivities would be atypical or during anextended heat wave), not necessarilyduring an actual storm or when intensedeicing activities are occurring. Thisrequirement is not seen as onerous, asEPA believes that most weatherconditions can be reasonablyanticipated and the evaluation can beplanned for. EPA generally agrees thatregularly scheduled, monthlyinspections of deicing areas during thedeicing season (e.g., October throughApril) are sufficient at airports withhighly effective, rigorouslyimplemented SWPPPs. However, ifunusually large amounts of deicingfluids are being applied, spilled ordischarged, weekly inspections shouldbe conducted and the Director mayspecifically require such weeklyinspections. In addition, personnel whoparticipate in deicing activities or workin these areas should, as the need arises,inform the monthly inspectors of anyconditions or incidents constituting anenvironmental threat, especially thoseneeding immediate attention. EPArequires permittees to record, to the bestof their ability, the quantity of alldeicing chemicals applied on a monthlybasis (not just glycols and urea, e.g.,potassium acetate), as discharges oflarge quantities of these chemicals canhave an adverse impact on receivingwaters. The capability to record usage ofchemicals should not depend on thetype of chemical used. EPA neverintended to provide a comprehensivelist of technologies and BMP options forairport operators to consider, nor toprovide a discussion of the relativemerits of each. EPA’s discussion wassimply an introduction of the manyoptions available and was intended tostimulate thought on the variety ofBMPs available. EPA intends that stormwater personnel use their bestprofessional judgment to select site-appropriate measures for inclusion intheir SWPPPs. For a more thoroughsource of information on deicing fluidcontrol and airport deicing operations ingeneral, stakeholders can check the EPApublication ‘‘Preliminary DataSummary, Airport Deicing Operations’’at http://www.epa.gov/ost/guide/airport/index.html.

Section 6.T Sector T—TreatmentWorks

Comment: Clarify that treatmentworks smaller than 1.0 MGD are not



defined as industrial activities and,therefore, are not subject to the permit.

Response: The final permit languagehas been modified to be consistent withthe industrial definition of§ 122.26(b)(14)(ix). The requirements ofSector T are intended to apply only tothose treatment works with a designflow of 1.0 MGD or more, or required tohave an approved pretreatmentprogram.

Section 8 Retention of RecordsComment: Clarify the Retention of

Records language.Response: EPA has clarified the

Retention of Records language used inthis permit. Part 8.1 states that thepermittee will retain, for three (3) yearsafter the permit expires or is terminated,the SWPPP and all documents/reportsneeded to complete their Notice ofIntent form. In addition, Part 9.16.2.1addresses the retention of records forthe permit monitoring requirements forthree (3) years from the date of sample,measurement, evaluation or inspection,or report. Permittees are required tosubmit Discharge Monitoring Reportsfor compliance and/or analyticalmonitoring.

Section 9 Standard Permit ConditionsComment a: Several comments were

received on Part 9.12.1 for requiringcoverage under an individual permit oran alternative general permit.Commenters suggest that the permitteebe allowed to appeal a Director’sdecision; provide for determination ofnon eligibility and semblance of suretyavailable by a permittee whodemonstrates eligibility and compliancewith the MSGP; and authorizeautomatic transfer provided all stormwater permitting conditions andobligations are met.

Response a: EPA may modify, revokeand reissue, or terminate a permitduring its term. Causes for modification,revocation and reissuance, andtermination are set forth in 40 CFR§ 122.62 and 122.64. Specific causesmay include: noncompliance by thepermittee with any condition of thepermit; failure in the application orduring the permit issuance process todisclose fully all relevant facts;determination that the permitteddischarge endangers human health orthe environment and can only beregulated to acceptable levels by permitmodification or termination; or there isa change in any condition that requireseither a temporary or a permanentreduction or elimination of anydischarges controlled by the permit. Inaddition, EPA recently published a finalrule which revises certain regulations

pertaining to the NPDES program,including the procedures for appealingan EPA determination on NPDESpermits. See Amendments to Streamlinethe National Pollutant DischargeElimination System ProgramRegulations; Round II, 65 Fed. Reg.30886 (May 15, 2000). Included in therule are revisions to the permit appealsprocess that replace evidentiary hearingprocedures with direct appeal to theEnvironmental Appeals Board (EAB).The website for the EAB is ‘‘http://www.epa.gov/eab/’’. The webpage has afrequently asked question section,‘‘http://www.epa.gov/eab/eabfaq.htm’’.Questions 1 through 9 deal with filingissues, which the commenter can referto for instructions on how to proceed infiling an appeal with EAB. EPA does notallow automatic transfer fromindividual permits into other individualor general permits since EPA needs tomaintain adequate records of permitteesand make periodic evaluations of theadequacy of their measures to complywith permit requirements.

Comment b: EPA should extendcoverage to facilities wishing to applyafter the expiration date of the MSGPuntil the permit is reissued.

Response b: Where EPA fails toreissue a permit prior to the expirationof a previous permit, EPA has theauthority to administratively extend thepermit for facilities already covered.However, EPA does not have theauthority to provide coverage to ‘‘new’’facilities seeking coverage under anexpired permit. This concern is notapplicable in this instance to the MSGPsince the MSGP–2000 was issued beforethe MSGP–1995 expired.

Section 13 Permit ConditionsApplicable to Specific States, IndianCountry Lands

Comment: The Agency should notrequire compliance with provisions ofstate rules that it cannot specificallyidentify. For example, EPA requirescompliance with state anti-degradationprovisions. The Agency provides noassistance with regard to how a smallbusiness might somehow ascertain whatthose provisions are, who has them, andhow they might apply to the facility’sdischarge. See 65 Fed. Reg. at 17021.The Agency must specify precisely howa company would obtain appropriatedata and how it should apply that datato its operations. Without this necessaryguidance, this new provision should beremoved from the final permit.

Response: The permit states thatdischarges are not covered if theyviolate, or contribute to the violation of,a state water quality standard. An anti-degradation policy is one component of

a state’s water quality standardsprogram. The permittee is responsiblefor checking to ensure compliance withthese provisions. Facility operators cancheck with the EPA official listed in thispermit to obtain the name of theappropriate state contact.

Section I.A General Opposition toProposed Changes

Comment: A commenter objected toseveral of the proposed modifications tothe ‘‘Limitations on Coverage’’provisions in the Proposed MSGP–2000,including the proposed revisions to theEndangered Species Act requirements(Section 1.2.3.6), the addition of theantidegradation provision (Section1.2.3.9), the addition of the impairedwaters and TMDL provisions (Section1.2.3.8), and the addition of thecompliance with water qualitystandards provisions in Section 3.3.

Response: The Agency acknowledgesthe comment. Justifications for each ofthe positions cited by the commenterare provided in the fact sheetaccompanying the permit. Specificobjections to these provisions areaddressed elsewhere in the commentresponse document.

Section I.B General Support toProposed Changes

Comment a: Several commenterssupported EPA’s continued use of ageneral NPDES permit for regulatingstorm water discharges associated withindustrial activity. The commentersindicated that this was an efficient andeffective means for achieving the goalsof the Clean Water Act.

Response a: EPA agrees with thecommenters regarding theappropriateness of general permits forthe majority of industrial storm waterdischarges. The issuance of the finalMSGP is consistent with thesecomments.

Comment b: A commenter supportedthe proposal to authorize incidentalwindblown mist discharges fromcooling towers as an authorized non-storm water discharge under the MSGP.

Response b: These discharges areincluded in the final MSGP consistentwith the recommendation of thecommenter.

Comment c: A commenter supportedthe provision in the proposed MSGP toallow termination of permit coveragebased on the ‘‘no exposure exemption’’(40 CFR 122.26(g)) provided underEPA’s Phase II storm water regulationsof December 8, 1999 (64 Fed. Reg.68722).

Response c: Although the no exposureexemption would be available whetheror not it is specifically included in the



MSGP, EPA has retained the provisionin the final MSGP to highlight itsavailability for those facilities whichqualify.

Section I.C Fact Sheet

Comment a: It is imperative that EPAconduct an environmental justiceanalysis for the MSGP to ensure that thepermit is consistent with the goals ofEPA’s Environmental Justice Strategy ofApril 3, 1995, the President’s 1994Executive Order on EnvironmentalJustice and Title VI of the Civil RightsAct. The notice of intent (NOI) mustinclude demographic information. EPAmust seek comments of minority andlow-income communities regarding theMSGP.

Response a: EPA disagrees with thecommenter that an environmentaljustice analysis is necessary prior to thereissuance of the MSGP. Regarding TitleVI requirements, EPA has recentlyproposed guidance (65 Fed. Reg. 39649,June 27, 2000) for assisting recipients ofFederal funding which administerenvironmental programs (such as stateenvironmental agencies), as well asguidance for investigating allegeddisparate environmental impactsstemming from permitting programsadministered by these agencies. Theguidance is also appropriate for EPApermits, such as the MSGP.

The Title VI guidance encouragespermitting authorities to integrateenvironmental justice into theirpermitting programs. However, anenvironmental justice analysis is notrequired for every permit issued by astate permitting authority or by EPA. Noinformation was provided by thecommenter that a disparate impact onminorities would exist as a result of theMSGP. The MSGP includes numerouseffluent limitations and other conditionswhich should be protective of waterquality for all neighborhoods in whichpermitted facilities are present. EPAdoes intend to integrate environmentaljustice considerations explicitly into itspermitting programs as outlined in theTitle VI guidance. However, this willlikely be a longer term process(extending beyond the time frame forreissuance of the MSGP) given the manycomplexities of the issue.

EPA’s Environmental Justice Strategyof April 3, 1995 (developed pursuant tothe President’s 1994 Executive Order)has similar goals as Title VI of the CivilRights Act. Again, however, anenvironmental justice analysis is notrequired for every permit issuance. Theintegration of the goals of theEnvironmental Justice Strategy into theNPDES permit program will also take

time given the many complexities of theenvironmental justice issue.

EPA is committed to implementingthe Executive Order on EnvironmentalJustice. As a practical matter,environmental justice concerns arecommunity specific. EPA will workwith a specific community that mayexpress concerns related to a specificsource or other environmental burdens.If and when a community raises suchissues, EPA can then consider a propercourse of action. In the case of theMSGP which will largely permitexisting facilities, EPA will engage thecommunity that has raised the issueand, if appropriate, work with the Stateand local agencies to address theirconcerns. If violations of any applicablestandards are identified, EPA canpursue possible enforcement actions.The MSGP also provides that analternate general permit could be issuedfor any geographic area which may beidentified in the future as subject todisparate environmental impacts.

EPA has public noticed its intent toreissue the MSGP and has requestedcomments throughout the areaspotentially affected by the permit,including areas where minority andlow-income communities are present.EPA believes that its outreach activitieshave been sufficient for the permittingaction which was proposed. However,EPA’s Environmental Justice Strategyalso provides for additional outreachactivities in the future which mayinclude outreach to minority and low-income communities specificallyregarding the MSGP.

EPA disagrees that demographicinformation should be required with theNOI. The NOI does include locationinformation for industrial facilitiesseeking coverage under the permit.Using this information it is possible tolocate facilities covered by the permitrelative to the locations of differentdemographic groups. As such, it is notnecessary for the NOI to includedemographic information.

Comment b: A commenter expressedconcern that some non-storm waterdischarges may be improperlycharacterized as storm water by certainfacilities. The commenter recommendedthat EPA carefully review permitapplications and conduct inspections toensure that such discharges are treatedas point source discharges and notcovered by the MSGP.

Response b: Point source dischargeswould violate the Clean Water Actunless they are authorized by a separateNPDES permit. The MSGP also requiresthat operators review their facilities forthe presence of unpermitted non-stormwater discharges which are not

authorized by the MSGP. When suchdischarges are located, the MSGPrequires that the discharges bepermitted or terminated. Thisrequirement should minimize thepossibility that inappropriate non-stormwater discharges are discharged underthe MSGP. As recommended by thecommenter, EPA does conduct periodicinspections of facilities permitted underthe NPDES permit program to evaluatethe compliance status of a facility withthe requirements of the Clean WaterAct, including the presence of anyunpermitted discharges. Although thepermit application for the MSGP (thenotice of intent) does not specificallyaddress the issue of non-storm waterdischarges, EPA believes that the otherrequirements of the MSGP, along withEPA’s inspection program, adequatelyaddress the commenter’s concern.

Section II.A Organization and ClarityComment a: Virtually all commenters

supported EPA’s effort to make theMSGP smaller and easier to understand.Several comments did express concernthat the reorganization and clarificationof the permit may have resulted in somesubstantial changes in permitrequirements that may not have beenidentified and explained in thepreamble to the proposed permit. Theissue of whether or not explanation andguidance contained in the 1995 MSGPpreamble could still be relied upon wasalso raised.

Response a: EPA went to great lengthsto make the permit shorter and easier tounderstand and believes all substantivechanges were identified and discussedin the preamble to the proposed permit.Responses to specific comments onareas where a commenter felt thatadequate explanation for changes wasnot included in the proposal areprovided in responses to that comment.With regard to the more specificexplanation of sector-specific activities,etc. in the preamble to the 1995 MSGP,this information was incorporated byreference into the proposal of today’spermit and may still be relied upon tothe extent it does not conflict with theMSGP–2000 documents or issuperceded by later guidance.Commenters noted several instanceswhere EPA unintentionally changedrequirements through the reformatting.EPA has corrected the permit andidentified these instances throughoutthe comment response document.

Comment b: Based on EPA’s use ofincorporation by reference in theproposed permit’s preamble to avoidreprinting material from the 1995MSGP’s preamble, one commenterexpressed concern that the requirement



in Part 4.7 to have a copy of the finalpermit with the Storm Water PollutionPrevention Plan would be difficult if theentire permit was not in a singlepackage. This commenter also wasconcerned that references to multipleInternet sites for more informationwould further compound this problem.The commenter further suggested that acopy of the permit and relevantguidance be included with the NOI‘‘confirmation’’ letter sent by EPA inresponse to a complete NOI. Anothercommenter supported making allrelevant information available in asingle document.

Response b: The entire permit,appropriate addendums, the preamble‘‘fact sheet,’’ and comment responsesummary are being published today inthe Federal Register and will, therefore,be easily available from several Internetsites and from Federal DepositoryLibraries. The information not repeatedin the proposed permit notice wasprimarily background and fact sheetinformation from the preamble to the1995 MSGP. While the preamble andresponse to comments sections of thefinal permit notice will undoubtedly bevaluable to many permittees, the Part4.7 requirement to have a copy of thepermit language with the Storm WaterPollution Prevention Plan refers only tothe permit language itself, includingaddendums. Based on experience withthe previous permit, EPA believes thebenefits of keeping the size andcomplexity of the permit to manageable(i.e., less intimidating, easier to use)level far outweigh the benefit of makingall supporting and guidanceinformation, much of which will applyto only a small portion of potentialpermittees, available in a singledocument. EPA does expect that forconvenience, many permittees willsimply attach a copy of the entireFederal Register notice of the finalpermit to comply with Part 4.7.

EPA believes the referencesthroughout the permit and preamble tovarious Internet sites is a sensiblealternative to publishing information,only a small part of which may applyto any one facility or which will bechanging over time and quickly becomeoutdated. For example, due to periodicupdates that must be made to theendangered species list based on newspecies being listed or old ones delisted,the county-species list was notpublished with the final permit. Thisomission saves tax dollars onpublication, keeps the size of the permitpackage down (the current list woulddouble the size of the permit while anyone facility only needs to look at a pageor so of information), and avoids the

inadvertent use of an outdated specieslist that could result not only in failureto consider potential adverse effects onan endangered species, but also negatea discharger’s permit coverage. EPArelies heavily on electronic distributionof documents and guidance, but will beable to provide hard copy or telephone-based information to those who have noaccess to the Internet or FederalDepository Libraries.

As noted above, the complete permithas been printed and EPA intends tomake guidance available, primarilythrough the Internet. The suggestion toinclude a copy of the permit andguidance with the NOI ‘‘confirmation’’letter is impractical since most of thisinformation would have been necessaryto develop the Storm Water PollutionPrevention Plan that must be developedbefore the NOI can be submitted.

Section III Geographic Coverage ofProposed MSGP

Comment: Several commenters andattendees of meetings on the proposedpermit identified an inconsistencybetween Part 6.J.3 of the permit, wheremine dewatering discharges fromconstruction sand and gravel, industrialsand, and crushed stone mines wereapparently eligible only in Arizona andboth the previous permit and thepreamble to the proposed MSGP–2000where such discharges were also eligiblein all of the permits for Region 1, 2, 6,and 10. One commenter referred topages 17025 and 17034 of the preambleto the proposed permit in support oftheir belief that the proposed permit hadbeen intended to provide coverage inRegions 1, 2, 6, and 10 and in Arizona.

Response: The typographical error inPart 6.J.3 has been corrected. Assupported by item 4 on page 17025 anditem 2 on page 17034 of the FederalRegister notice of the proposed permit(65 FR 17025 and 17034), coverage formine dewatering discharges fromconstruction sand and gravel, industrialsand, and crushed stone mines in notonly Arizona, but also Regions 1, 2, 6,and 10 was intended.

Section V.A Historic PreservationComment a: It would be more in

keeping with balancing the agency’sCWA mandate and NHPA obligation tonot preclude general permit coverage forthose discharges that may affect historicproperties. Instead, require the generalpermittee to notify the agency of theexistence of a listed historic propertythat will be affected along with anypreventive or mitigation measures, ifnecessary, that it plans to implement.EPA could then decide if any furtherconsideration or action is warranted,

including any comment by the Council.The obligations established under § 106are placed upon the agency, not on thepermittee.

Response a: EPA agrees andacknowledges that NHPA Section 106imposes obligations only on federalagencies and not on third parties. EPA’saction in issuing permits, however,triggers NHPA Section 106. In order toissue a general permit, EPA includedhistoric preservation-related applicationand eligibility provisions in order toensure that it could ‘‘filter’’ outpermitting activities that mightotherwise trigger advanced proceduresunder NHPA Section 106. Section110(k) of the Act prohibits a Federalagency from granting a loan, loanguarantee, permit, license or otherassistance to an applicant who intendsto avoid requirements of section 106 (64FR 95 May 18, 1999). To meet thisresponsibility, EPA requires theapplicant to do one of the following: (1)Determine that historic properties arenot in the path of permit activities, (2)determine that permit activities have noimpact on historic properties, or (3) thepermittee reaches agreement withappropriate authorities on measures tomitigate or prevent adverse effects.Thus, it is quite possible for facilitieshaving an impact on historic propertiesto be covered by the MSGP.Authorization to discharge under theMSGP is a privilege, not a right, whichcarries with it certain procedural andtiming advantages for the permittee.Therefore, it is incumbent upon thepermittee, not EPA, to conduct whateverinvestigations and consultations arenecessary consistent with EPA’sobligation to satisfy NHPA provisions.

Comment b: The notice states that theprovisions in Part 1.2.3.7, are ‘‘likely tochange as a result of consultations’’under the NHPA. The procedures setforth in Addendum B are described asbeing ‘‘models’’ of what the NHPAguidance ‘‘may look like.’’ Theseprovisions are critical for permittees todetermine their eligibility for coverageunder MSGP–2000, and any substantivechanges in these areas should be subjectto review and comment by the regulatedcommunity before they are adopted.

Response b: There are no changes tothese provisions as a result of NHPAconsultations.

Comment c: Part 2.1.2.2, which dealswith discharges that are authorizedunder the 1995 MSGP, but not clearlyeligible for coverage under this permit,does not allow adequate transition timefor those permittees who do not haveup-to-date determinations pursuant tothe NHPA.



Response c: Within 90 days thepermittee must apply for MSGPcoverage and certify his compliancewith other permit provisions. He thenhas up to 180 additional days of interimcoverage under the MSGP while heconducts the consultation anddetermines whether he meets thecriteria for coverage under the MSGP.EPA believes that 270 days is asufficient period to conduct andconclude this consultation and takewhatever action is necessary to ensurecontinued permit coverage.

Comment d: EPA states that, ‘‘Forexisting dischargers * * * a simplevisual inspection may be sufficient* * * ’’ (emphasis added). Thisstatement is somewhat disingenuousbecause a ‘‘simple visual inspection’’ israrely sufficient to determine historiceligibility of an area because manyhistoric resources are often locatedunderground. EPA should providereasonable guidance worded specificallyto shield permittees from liability.

Response d: EPA believes that, forexisting dischargers who do not need toconstruct BMPs for permit coverage, asimple visual inspection may besufficient to determine whether historicproperties are affected. However, forfacilities which are new industrial stormwater dischargers and for existingfacilities which are planning toconstruct BMPs for permit eligibility,applicants should conduct furtherinquiry to determine whether historicproperties may be affected by the stormwater discharge or BMPs to control thedischarge. In such instances, applicantsshould first determine whether there areany historic properties or places listedon the National Register or if any areeligible for listing on the register (e.g.,they are ‘‘eligible for listing’’). Thus, theAgency does not imply that a visualinspection is always sufficient. Ininstances of uncertainty, the permitteeis encouraged to consult withauthorities who can advise on thelikelihood of historic properties aboveor below ground.

Given the Agency’s obligation tocomply with the NHPA and its efforts tocoordinate that obligation with theimplementation of general permits, thehistoric preservation-related eligibilityrestrictions cannot provide an ironcladshield from liability. The permitguidance provides a common senseapproach to an historic propertyassessment. Facility operators areencouraged to consult with localauthorities who can advise on thelikelihood of historic properties at thefacility.

Comment e: Portions of the text arereproduced and other portions not

reproduced in columns 1 and 2 of page17018 of the notice. See 65 F.R. at17018. Due to this problem, thecommenter is unable to provide anycomments on EPA’s proposed newchanges to the MSGP since he isuncertain what EPA intends orproposes. The commenter suggests thatEPA fix the language related to theproposed MSGP and re-issue thatcorrection for public review andcomment.

Response e: EPA apologizes for thetyping error which resulted in a numberof sentences being listed twice on p.1018. Despite this confusion, EPAbelieves the intent of the section is clearand does not require reproposal.

Section V.B Endangered SpeciesComment a: The term ‘‘unacceptable

effects’’ is used almost interchangeablywith ‘‘likely to adversely affect’’ (See 65Fed. Reg. 17051), which is similarlyundefined in the permit and inpertinent regulation. The correct termfor purposes of ESA compliance is the‘‘no jeopardy’’ standard set forth inSection 7 of the ESA (17 U.S.C§ 1536(a)(2)).

Response a: EPA agrees with thecommenter regarding the term ‘‘avoidunacceptable effects.’’ Therefore, EPAhas deleted the term and uses the ‘‘nojeopardy’’ language as stated in part1.2.3.6.6.

Comment b: The definition of‘‘discharge-related activities’’ is so all-encompassing that it could includevirtually all activities at a mine, fromdrilling and blasting to loading, haulingand dumping and equipmentmaintenance, in addition to anyactivities that are part of a Storm WaterPollution Prevention Plan (SWPPP).There is no justification for arequirement to certify ESA compliancefor all of these activities in order toobtain coverage under the MSGP. Thisrequirement clearly exceeds EPA’sauthority under the Clean Water Act.

Response b: The endangered speciesprovision covers only those activitiesthat are associated with storm waterindustrial activity. The phrase‘‘discharge-related activities’’ isintended to clarify that EPA considers abroad range of activities related to stormwater discharges to be covered by thepermit and, therefore, subject to ESAand NHPA provisions. This broader listof activities could result inenvironmental impairment if notaddressed through a SWPPP. Since thepermit covers this broad range, andEPA’s permit authority is subject to ESAprovisions, then this broader range ofactivities is subject to the ‘‘no jeopardy’’finding. BMPs, whether already in place

or added, which serve to satisfy thecriteria for coverage under the MSGP,are thus subject to the endangeredspecies provisions.

Comment c: While transitionaldischarge authorization is available forup to 270 days from the date ofpublication of the permit in the FederalRegister, that transitional coverage isonly available if the permittee submitsan application for an alternative permit(most likely an individual permit)within 90 days after publication. Sinceformal Section 7 consultation isnominally a 135-day process (as statedin the Construction General Permit, see63 Fed. Reg. 7872), permittees, in orderto ensure continuous coverage, wouldbe required to prepare and submit anapplication for an individual permitbefore they knew whether they wereeligible for coverage under MSGP–2000.This is an unnecessary burden, on boththe permittee and the agency. EPAshould extend these time limits—forsubmission of an application for analternative permit to 180 days, and fortransitional coverage to one year.

Response c: EPA will retain therequirement that all applicants mustsubmit their Notice of Intent (NOI) in 90days. Those applicants who are enteringinto endangered species consultationsor adverse impact investigations couldapply for extensions up to 180 days andbe covered by an interim permit untiltheir application is completed. EPAbelieves that 270 days is a sufficientperiod to conduct and conclude thisconsultation and take whatever action isnecessary to ensure continued permitcoverage. The County Species list isavailable on EPA’s web site or bycontacting a local official. EPA willupdate its web site list every 90 days.

Comment d: EPA indicates that theproposed species-related requirementscould change, before final issuance,based on consultation with the Fish andWildlife Service. The public will nothave an opportunity to participate inthat process, including throughcommenting on any additionalrequirements suggested by the Service.If the Service does suggest anysubstantial changes in MSGP–2000, thepublic should have an opportunity toreview and comment on those changesbefore EPA makes a decision as towhether to incorporate them into thefinal permit.

Response d: There are no changes tothese provisions as a result of NHPAand ESA consultations, except that,based on comments to the proposedpermit, EPA has deleted the inclusion ofproposed species on the endangeredspecies list.



Comment e: The duty triggered by thesection of the Endangered Species Act(ESA) upon which EPA relies falls notupon the discharger but upon EPA.Thus under EPA’s proposal, it would beEPA’s duty to assess the impact of eachdischarger applying for coverage, and ifthis provision is not removed, EPA losesthe benefit of the general permit. Theaction of adopting the general permititself triggers EPA’s duty, and so EPA,not the discharger, must assess ESAimpacts now, not after the fact of thepermit.

Response e: EPA is bound by the ESAand attempted to coordinate generalpermit implementation with its ESAobligations. Authorization to dischargeunder the MSGP is a privilege whichcarries with it certain procedural andtiming advantages for the permittee.Therefore, it is incumbent upon thepermittee, not EPA, to conduct whateverinvestigations and consultations arenecessary to satisfy the ESA-relatedeligibility provisions. Since EPA cannotpredetermine which facilities will applyfor coverage under the MSGP, it isimpossible for EPA to conduct the site-specific assessments required under theESA at the time of general permitissuance.

Comment f: Despite previousconsultation on the problems of earlierMSGP drafts, certain problems persist,including the gray area language thathas fueled citizen suits againstpermittees. Not only has the agencyfailed to adequately address this issue,it has increased the liability potential byincreasing the requirements forpermittees to comply with other agencyrules. EPA should clarify language toeliminate the potential for liability forpermittees and should reduce the costand paperwork burdens for compliancewith ESA and NHPA.

Response f: Given the operation of theregulatory innovation, the ‘‘generalpermit,’’ EPA cannot provide anironclad shield from liability in the waythe commenter proposes. The permitguidance provides a common senseapproach to endangered species andhistoric property assessments. Facilityoperators are encouraged to consultwith local authorities who can advise onthe likelihood of endangered orthreatened species, critical habitat, orhistoric properties at the facility. EPAbelieves the additional burdenassociated with the expanded NOI formis minimal because permittees arerequired to make the findings which arereflected on the form. The additionalinformation provides greater assurancethat the assessment has been conducted,but does not in itself constitute therequirement for the assessment. EPA

acknowledges that, until such time asthe revised form has been cleared byOMB, permittees will continue to usethe current NOI form (as modifiedslightly to conform to changes madeelsewhere to the permit).

Comment g: The endangered speciessection of the permit relating toendangered species is cumbersome andappears to go beyond the intent of theClean Water Act and beyond the EPA’sauthority set in the CWA.

Response g: EPA acknowledges thecomment, but disagrees. EPA believesthese provisions are essential to carryout its responsibility not to issue apermit which could jeopardize anendangered or threatened species, orcritical habitat. EPA has consulted withthe U.S. Fish and Wildlife Service andthe National Marine Fisheries Service toensure compliance with the EndangeredSpecies Act. The ‘‘discharge-relatedactivities’’ restriction on eligibility alsoimplements the Agency’s obligationsunder NHPA Section 106.

Comment h: The permit should clarifythat coverage of the MSGP, andcertification by the permittee, needaddress only new impacts resultingfrom new changes in operations forwhich discharges are covered andauthorized by the MSGP. In otherwords, the ‘‘baseline’’ for assessment ofeffects or impacts should be the date ofreissuance of the MSGP or, if later,initiation of new activities to be coveredby the MSGP.

Response h: All activities covered bythe permit, whether new or existing, aresubject to the provisions. It isinappropriate to interpret that theseprovisions apply only to new activities.

Comment i: The endangered speciessection suggests that a potentialpermittee utilize ‘‘due diligence’’ indetermining whether or not a potentialimpact to an endangered or threatenedspecies may exist. This language is toovague and subjective—differinginterpretations what constitutes duediligence exist. This is particularly truewhen dealing with an issue as complexas impact to endangered species or theirhabitats, where the expertise necessaryto make this determination is usuallybeyond the reach of most industrialoperators. It is likely that this couldbecome the focal point of efforts toblock permit issuance by those withdiffering agendas. Further clarificationof what is required under ‘‘duediligence’’ is required.

Response i: EPA believes that thelanguage must provide flexibility toreflect the case-by-case decisions whichmust be made. In response to thecommenter’s concern, EPA has replacedthe ‘‘due diligence’’ phrase with ‘‘best

judgment.’’ Consultations with localendangered species officials is advisedif the permittee is uncertain how toapply these provisions to his facility.

Comment j: Only those species thathave been listed should be identified onthis list and used in the determinationof permit coverage; not those that havenot gone through the entire listingprocess.

Response j: EPA acknowledges thecomment and has revised the languageto exclude proposed listingrequirements.

Comment k: In this section, anapplicant is expected to determinewhether endangered species are ‘‘inproximity’’ to the stormwater dischargesor discharge-related activities at thefacility. In proximity is described asbeing ‘‘in the path or down gradient’’ orin the ‘‘immediate vicinity of ornearby,’’ the facility. These definitionsare far too vague, and could refer to thepresence of species located aconsiderable distance from a facility,not merely those located close enoughto a facility to be affected by thatfacility’s stormwater discharge. Thissection requires clanfication.

Response k: EPA has retained thislanguage from the 1995 MSGP. EPAbelieves that the language must provideflexibility to reflect the case-by-casedecisions which must be made.Consultations with local endangeredspecies officials is advised if thepermittee is uncertain how to applythese provisions to his facility.

Comment l: This section provides that‘‘where there are concerns that coveragefor a particular discharger is notsufficiently protective of listed species(and presumably those proposed forlisting as well) the Services (as well asany other interested parties) maypetition EPA to require that thedischarger obtain an individual NPDESpermit and conduct an individualsection 7 consultation as appropriate.’’It is clear that this will provide ampleopportunity to those who would seek todelay or deny permit issuance, even inthose circumstances where an actualimpact to species or habitat does notexist. This procedure should be a formalone in which the permit remains inforce until EPA, after careful andrigorous scientific evaluation of thepotential impact, determines whether ornot an impact exists and, if so, whetheror not an alternative permit iswarranted.

Response l: Opportunity for publicinput is an essential component of anygovernment regulatory program. As thecommenter suggests, the permit wouldremain in effect until such time as EPA



concludes that the activity is no longereligible for coverage under the permit.

Section V.C 303(d)Comment a: Several commenters

challenged Parts 1.2.3.8. of the permitbecause they believe it inaccuratelyapplies 40 CFR 122.4(i) regardingcompliance with water qualitystandards to discharges covered by ageneral permit. Several commentersbelieve that one doesn’t have toconsider 40 CFR 122.4(i) if they onlyadd an outfall and similarly onecommenter believes that newdischargers under Phase 2 do not haveto consider 40 CFR 122.4(i).Commenters stated that any provisionsadded to the reissued MSGP regardingimpaired waters or TMDLs arepremature until the new TMDL rule isfinal. It seems that the major concern isthat previously unpermitted dischargeswould be disallowed coverage underthis Part.

Response a: EPA, in Sections 1.2.3.8.1and 1.2.3.8.2, was merely conditioninga discharger’s eligibility for coverageunder the MSGP upon meeting certainexisting conditions and requirements inEPA’s NPDES regulations which applyin all applicable circumstancesinvolving both individual and generalpermits. In doing so, EPA intended tomerely restate those existing conditionsand requirements as eligibilityrequirements under the MSGP.Specifically, EPA’s intention in section1.2.3.8.1 was to condition a newdischarger’s eligibility for coverageunder the MSGP upon meeting theexisting regulatory conditions under 40CFR 122.4(i). A new discharger,therefore would not be eligible forcoverage under the MSGP if itsdischarge would ‘‘cause or contribute toa violation of a water quality standard.’’As mentioned, this regulation isapplicable to all new dischargersirrespective of the type of permit theyare seeking coverage under; there is nolanguage in this regulation that exemptsnew dischargers seeking coverage undera general permit. EPA, in section1.2.3.8.1 of the MSGP, did not intend tocreate any confusion or change anyexisting interpretation of the currentregulatory language referred to in thatsection. To avoid confusion EPA istherefore amending the language insection 1.2.3.8.1 to state that ‘‘you arenot authorized to discharge if yourdischarge is prohibited under 40 CFR122.4(i).’’

EPA’s intention in section 1.2.3.8.2was to condition a discharger’seligibility for coverage under the MSGPupon meeting the existing regulatoryrequirements under existing 40 CFR

122.44(d)(1)(vii)(B). This section ofEPA’s regulations requires permittingauthorities to develop effluent limits inpermits that are ‘‘consistent with theassumptions and requirements of anyavailable wasteload allocation for thedischarge prepared by the State andapproved by EPA pursuant to 40 CFR130.7’’ (EPA’s existing TMDLregulations). This requirement appliesto all NPDES permits both individualand general permits.

Comment b: One commenterexpressed confusion about what ismeant by ‘‘new discharges’’ as this termis not defined in 40 CFR 122.2.

Response b: The final permit willomit the term ‘‘new discharge’’ since itis not necessary for the requirement andit has caused confusion. Today’s permitwill change the term ‘‘new discharge’’ tosimply ‘‘discharge’’ in the first sentenceof Part 1.2.3.8.1.

Comment c: Eligibility restrictions ofthe permit should be limited to thosedischarges of pollutants actually listedin a TMDL.

Response c: Section 1.2.3.8.2 of theMSGP contains the eligibilityrequirement that discharges beconsistent with an EPA established orapproved TMDL. EPA agrees with thecommenter’s suggestion that Section1.2.3.8.2 should clearly state that suchrequirement is only applicable tofacilities discharging the pollutant forwhich the TMDL is established. EPA istherefore, adding this language toSection 1.2.3.8.2.

Comment d: Discharges to 303(d)listed or 303(e) listed waters should bemonitored for contaminants that impairor threaten water quality; however,monitoring requirements should berelaxed for other contaminants that donot impair or threaten receiving waterquality. Several commenters wantedeither exclusive or additionalmonitoring of discharges to impairedwaters for pollutants of concern in lieuof the eligibility requirements based onwhether or not a facility causes orcontributes to the impairment.

Response d: EPA acknowledges thatthe MSGP may not contain monitoringrequirements for a pollutant for whicha waterbody is listed as impaired. Thisdoes not eliminate the burden of thedischarger in determining that itseffluent does not cause or contribute toa violation of water quality standards.Section 1.2.3.8.1 in the MSGP is aneligibility provision which restatesexisting regulatory requirements, it doesnot create new restrictions on anydischargers. If a discharger cannot meetthe eligibility requirements, then thatdischarger is not authorized to dischargeunder the MSGP. Under existing

regulations, EPA has the discretion toestablish whatever eligibilityrequirements that it believes areappropriate. Section 1.2.3.8.1 is aneligibility provision that does no morethan restate existing regulatoryrequirements as a condition of beingauthorized to discharge under thepermit. It does not dictate, establish orrestrict the use of any particularframework, effluent limits or permitconditions within the permit itself ordescribe or restate any newinterpretation of the underlyingregulations which it refers to.

Comment e: Several commenters werenot clear how to determine orimplement loadings imposed byTMDLs. Further they requested thatloadings based on the TMDL beexcluded from the MSGP and addressedseparately so that the regulatedcommunity could have an opportunityto comment on them. One commenterstated that the eligibility requirement ofPart 1.2.3.8. is not appropriate becausethere was no opportunity to commenton the TMDL.

Response e: It is not necessary that alldischargers receive individualwasteload allocations. EPA’s regulationsat 40 CFR 130.2 define a wasteloadallocation as the portion of the receivingwater’s loading capacity that is allocatedto one of its existing or future pointsources of pollution. EPA hasinterpreted this regulation to mean thateach point source must be given anindividual wasteload allocation when itis feasible to calculate such a wasteloadallocation. EPA believes that states mayfind it infeasible to calculate individualwasteload allocations for all pointsources covered by a specific generalpermit. In that case, the TMDL wouldestablish individual wasteloadallocations for dischargers subject toindividual permits whereas dischargerssubject to a general permit would beaccounted for in the aggregate under asingle wasteload allocation specific tothe general permit under which they areauthorized to discharge.

In addition, wasteload allocations canbe expressed in different ways,including, percent loading reductions.See 40 CFR 130.2(i) ‘‘* * * TMDLs canbe expressed in terms of either mass pertime, toxicity, or other appropriatemeasures. * * *’’ Effluent limitationsmust be consistent with (but notidentical to) the wasteload allocations inTMDLs. See 40 CFR 122.44(d)(1)(vii)(B).Effluent limitations for point sourcedischarges of storm water may benarrative limitations that are expressedin terms of best management practices(BMPs). This policy is consistent withEPA’s approach in its Interim Permitting



Approach For Water Quality-BasedEffluent Limitations in Storm WaterPermits (September 1996, EPA 833–D–96–001). This interim approach allowslimits to be expressed in the form ofBMPs as a means of satisfying therequirement that limits derive from andcomply with water quality standardsand are consistent with an EPAapproved or established TMDL.

All dischargers who discharge thepollutant for which the waterbody isimpaired must be accounted for in theTMDL. Every point source dischargerlocated on the impaired waterbody anddischarging the pollutant for which thewaterbody is impaired must beaccounted for under a wasteloadallocation. The State may choose,however, to give a discharger awasteload allocation that would notrequire any reduction in loading. Inother words, all facilities dischargingthe pollutant for which the waterbody isimpaired must be subject to a wasteloadallocation but all facilities subject to awasteload allocation may not berequired to reduce their loads.

Comment f: Several commentersrequested guidance on how toadequately evaluate a discharge’seligibility under Part 1.2.3.8 and 1.2.3.9of the permit.

Response f: EPA intends the analysisto be similar to what a permittee underthe previous MSGP had to do inaccordance with Part I.B.3.f. of thatpermit. The applicant must availhimself of all discharge characterizationdata or estimation of discharge characterand determine compliance. If thepermittee is able to evaluate eligibilityon his own because he has access toState Water Quality Standards, 303(d)lists, TMDLs etc. (all of which areavailable either from the permit issuingauthority or in some cases, online) thenhe can make his determination,document the determination process inhis pollution prevention plan, and signthe NOI. In other cases, the Director maynotify him that he is not eligible forcoverage if such a determination ismade independently, and may requirean application for an individual permit.

Comment g: One commenterrequested confirmation that Part1.2.3.8.1 applies to facilities constructedafter August 13, 1979 that have not yetbeen issued an NPDES permit.

Response g: Part 1.2.3.8.1 applies todischarges, not facilities, that havebegun after August 13, 1979 that havenot yet been authorized by an NPDESpermit.

Section V.D—AntidegradationComment a: The proposed

requirements do not accurately reflect

States’ anti-degradation policy.Commenters stated that anti-degradationdoes not hold a permittee accountableuntil a State’s policy is interpreted intoa permit. The State’s review of thegeneral permit under the CWA 401 isthe extent of applicable anti-degradationreview. Therefore, delete Part 1.2.3.9.since an individual discharger applyingfor general permit coverage cannotdetermine how the State’s anti-degradation policy, especially regardingthe Tier 2 ‘‘high quality water’’provisions, will be implemented at aparticular facility.

Response a: EPA, in Sections 1.2.3.8.1and 1.2.3.8.2, was merely conditioninga discharger’s eligibility for coverageunder the MSGP upon meeting certainexisting conditions and requirements inEPA’s NPDES regulations which applyin all applicable circumstancesinvolving both individual and generalpermits. In doing so, EPA intended tomerely restate those existing conditionsand requirements as eligibilityrequirements under the MSGP.Specifically, EPA’s intention in section1.2.3.8.1 was to condition a newdischarger’s eligibility for coverageunder the MSGP upon meeting theexisting regulatory conditions under 40CFR 122.4(i). A new discharger,therefore would not be eligible forcoverage under the MSGP if itsdischarge would ‘‘cause or contribute toa violation of a water quality standard.’’As mentioned, this regulation isapplicable to all new dischargersirrespective of the type of permit theyare seeking coverage under; there is nolanguage in this regulation that exemptsnew dischargers seeking coverage undera general permit. EPA, in section1.2.3.8.1 of the MSGP, did not intend tocreate any confusion or change anyexisting interpretation of the currentregulatory language referred to in thatsection. To avoid confusion EPA istherefore amending the language insection 1.2.3.8.1 to state that ‘‘you arenot authorized to discharge if yourdischarge is prohibited under 40 CFR122.4(i).’’

EPA acknowledges that the MSGPmay not contain monitoringrequirements for a pollutant for whicha waterbody is listed as impaired. Thisdoes not eliminate the burden of thedischarger in determining that itseffluent does not cause or contribute toa violation of water quality standards.Section 1.2.3.8.1 in the MSGP is aneligibility provision which restatesexisting regulatory requirements, it doesnot create new restrictions on anydischargers. If a discharger cannot meetthe eligibility requirements, then thatdischarger is not authorized to discharge

under the MSGP. Under existingregulations, EPA has the discretion toestablish whatever eligibilityrequirements that it believes areappropriate. Again, section 1.2.3.8.1 isan eligibility provision that does nomore than restate existing regulatoryrequirements as a condition of beingauthorized to discharge under thepermit. It does not dictate, establish orrestrict the use of any particularframework, effluent limits or permitconditions within the permit itself ordescribe or restate any newinterpretation of the underlyingregulations which it refers to.

EPA’s intention in section 1.2.3.8.2was to condition a discharger’seligibility for coverage under the MSGPupon meeting the existing regulatoryrequirements under existing 40 CFR122.44(d)(1)(vii)(B). This section ofEPA’s regulations requires permittingauthorities to develop effluent limits inpermits that are ‘‘consistent with theassumptions and requirements of anyavailable wasteload allocation for thedischarge prepared by the State andapproved by EPA pursuant to 40 CFR130.7’’ (EPA’s existing TMDLregulations). This requirement appliesto all NPDES permits both individualand general permits.

Wasteload allocations can beexpressed in different ways, including,percent loading reductions. See 40 CFR130.2(i) ‘‘* * *TMDLs can be expressedin terms of either mass per time,toxicity, or other appropriate measures* * *.’’ Effluent limitations must beconsistent with (but not identical to) thewasteload allocations in TMDLs. See 40CFR 122.44(d)(1)(vii)(B). Effluentlimitations for point source dischargesof storm water may be narrativelimitations that are expressed in termsof best management practices (BMPs).This policy is consistent with EPA’sapproach in its Interim PermittingApproach For Water Quality-BasedEffluent Limitations in Storm WaterPermits (September 1996, EPA 833–D–96–001). This interim approach allowslimits to be expressed in the form ofBMPs as a means of satisfying therequirement that limits derive from andcomply with water quality standardsand are consistent with an EPAapproved or established TMDL.

The commenter correctly recognizesthe difficulty in determining whatdefines ‘‘necessary to accommodateimportant economic or socialdevelopment’’ in accordance with 40CFR Section 131.12(a)(2). By statute,this determination involves publicparticipation, the assurance that waterquality will be protected, and severalother factors. EPA would have to modify



the permit for each discharge inquestion in order to comply with 40CFR Section 131.12(a)(2). Individualconsiderations such as these arecontrary to the concept of a generalpermit. In addition, public participationwould be impossible since the permitissuing authority would not know aboutthe particular discharge to tier 2 watersbefore a NOI was submitted. Therefore,a facility operator must seek coverageunder an individual permit to dischargeto tier 2 waters under 40 CFR Section131.12(a)(2)’s allowable degradationprovisions to satisfy the requirementsfor public participation and protectionof water quality. The only dischargesallowed coverage under today’s permitare those which do not degrade the useof a tier 2 water below its existinglevels, even though those existing levelsexceed levels necessary to supportpropagation of fish, shellfish andwildlife and recreation in and on thewater.

Comment b: While the eligibilityrequirements disallow the discharge tocause and contribute to the impairedwater, the permit doesn’t requiremonitoring for the pollutant of concern.This presents the potential for thepermit issuing authority to determinethat a discharge causes or contributes ata later date than the submittal of theNOI, effectively creating a violation ofthe permit without the permittee beingable to know of it or prevent it.

Response b: There will be situationswhere an NOI is accepted by the permitissuing authority and coverage providedto a facility that did not meet theeligibility requirements. Othersituations include changes, such as theapproval of a TMDL, which may causea discharge to no longer be eligible.Upon learning of these types ofsituations, the Director may eitherrequire the permittee to submit anapplication for an individual NPDESpermit, take an enforcement action,allow the facility to eliminate theconcern, or any combination of theseactions.

Comment c: The eligibilityrequirements require the permittees topredict the final requirements of theTMDL rule and the final loadings ofTMDLs approved in the future. Part1.2.3.8.1 shouldn’t be included in thepermit because it inaccurately applies122.4(i) to general permittees.

Response c: EPA, in Sections 1.2.3.8.1and 1.2.3.8.2, was merely conditioninga discharger’s eligibility for coverageunder the MSGP upon meeting certainexisting conditions and requirements inEPA’s NPDES regulations which applyin all applicable circumstancesinvolving both individual and general

permits. In doing so, EPA intended tomerely restate those existing conditionsand requirements as eligibilityrequirements under the MSGP.Specifically, EPA’s intention in section1.2.3.8.1 was to condition a newdischarger’s eligibility for coverageunder the MSGP upon meeting theexisting regulatory conditions under 40CFR 122.4(i). A new discharger,therefore would not be eligible forcoverage under the MSGP if itsdischarge would ‘‘cause or contribute toa violation of a water quality standard.’’As mentioned, this regulation isapplicable to all new dischargersirrespective of the type of permit theyare seeking coverage under; there is nolanguage in this regulation that exemptsnew dischargers seeking coverage undera general permit. EPA, in section1.2.3.8.1 of the MSGP, did not intend tocreate any confusion or change anyexisting interpretation of the currentregulatory language referred to in thatsection. To avoid confusion EPA istherefore amending the language insection 1.2.3.8.1 to state that ‘‘you arenot authorized to discharge if yourdischarge is prohibited under 40 CFR122.4(i).’’

EPA’s intention in section 1.2.3.8.2was to condition a discharger’seligibility for coverage under the MSGPupon meeting the existing regulatoryrequirements under existing 40 CFR122.44(d)(1)(vii)(B). This section ofEPA’s regulations requires permittingauthorities to develop effluent limits inpermits that are ‘‘consistent with theassumptions and requirements of anyavailable wasteload allocation for thedischarge prepared by the State andapproved by EPA pursuant to 40 CFR130.7’’ (EPA’s existing TMDLregulations). This requirement appliesto all NPDES permits both individualand general permits.

Comment d: The final permit needs tobe clear that the requirements of Part1.2.3.8.2 only apply to the pollutant ofconcern in the TMDL actually beingdischarged by the facility. This idea isin Part 1.2.3.8.1. and should be includedin 1.2.3.8.2 as well. Similarly, EPAshould lift the new source and newdischarger restrictions if there is not astorm water component of the approvedTMDL. The final permit should clarifythat a facility may not have a specificallocation in an approved TMDL and assuch may still be eligible for the generalpermit.

Response d: Section 1.2.3.8.2 of theMSGP contains the eligibilityrequirement that discharges beconsistent with an EPA established orapproved TMDL. EPA agrees with thecommenter’s suggestion that Section

1.2.3.8.2 should clearly state that suchrequirement is only applicable tofacilities discharging the pollutant forwhich the TMDL is established. EPA istherefore, adding this language toSection 1.2.3.8.2.

Comment e: The eligibilityrequirements in Part 1.2.3.9 defeat theconcept of efficiency of a general permitand should be removed. EPA does nothave the authority to require theapplicant to assess if they support theuse classification of the receiving waterbecause it increases the cost of applyingfor general permit coverage which hasnot been evaluated by EPA under theUnfunded Mandates Reform Act.Furthermore, the duty to determinewhether or not a discharge supports theuse classification of a receiving water isthe permit issuing authority’sresponsibility.

Response e: The concept of thegeneral permit is to reduce theadministrative burden on EPA and theregulated community by issuing onepermit for many facilities that wouldotherwise all have exactly the sameconditions in their individual permits. Ifa facility is not like other ones where itwould have different permit conditionsit should not apply for the generalpermit in question. This general permitonly applies to facilities that support theuse classification of the receivingwaters. If they do not, EPA is notobligated to change the general permitto include them. The applicant mustseek alternate permit coverage. It is thepermit issuing authority’s responsibilityto ensure that the conditions of thegeneral permit support useclassifications. It is not theirresponsibility to ensure that eachindividual discharge authorized by thepermit supports the use. The eligibilityrequirements are there to indicate thetype of facility that can be coveredunder the permit. The efficiencyintended by a general permit is toreduce the number of individualpermits and to make application forNPDES permit easier for those whoqualify for the coverage under thegeneral permit.

Comment f: The final permit needs tobe clear that a facility may not have aspecific allocation in an approvedTMDL and as such may still be eligiblefor the general permit.

Response f: EPA agrees in part withthe commenter that there may becircumstances under which it is notnecessary that all dischargers receiveindividual wasteload allocations. EPA’sregulations at 40 CFR 130.2 define awasteload allocation as the portion ofthe receiving water’s loading capacitythat is allocated to one of its existing or



future point sources of pollution. EPAhas interpreted this regulation to meanthat each point source must be given anindividual wasteload allocation when itis feasible to calculate such a wasteloadallocation. EPA believes that states mayfind it infeasible to calculate individualwasteload allocations for all pointsources covered by a specific generalpermit. In that case, the TMDL wouldestablish individual wasteloadallocations for dischargers subject toindividual permits, whereas dischargerssubject to a general permits would beaccounted for in the aggregate under asingle wasteload allocation specific tothe general permit under which they areauthorized to discharge.

Comment g: Lift the new source/newdischarger restriction if there is not astorm water component of the approvedTMDL.

Response g: EPA, in Sections 1.2.3.8.1and 1.2.3.8.2, was merely conditioninga discharger’s eligibility for coverageunder the MSGP upon meeting certainexisting conditions and requirements inEPA’s NPDES regulations which applyin all applicable circumstancesinvolving both individual and generalpermits. In doing so, EPA intended tomerely restate those existing conditionsand requirements as eligibilityrequirements under the MSGP.Specifically, EPA’s intention in section1.2.3.8.1 was to condition a newdischarger’s eligibility for coverageunder the MSGP upon meeting theexisting regulatory conditions under 40CFR 122.4(i). A new discharger,therefore would not be eligible forcoverage under the MSGP if itsdischarge would ‘‘cause or contribute toa violation of a water quality standard.’’As mentioned, this regulation isapplicable to all new dischargersirrespective of the type of permit theyare seeking coverage under; there is nolanguage in this regulation that exemptsnew dischargers seeking coverage undera general permit. EPA, in section1.2.3.8.1 of the MSGP, did not intend tocreate any confusion or change anyexisting interpretation of the currentregulatory language referred to in thatsection. To avoid confusion EPA istherefore amending the language insection 1.2.3.8.1 to state that ‘‘you arenot authorized to discharge if yourdischarge is prohibited under 40 CFR122.4(i).’’

Section V.E Discharges Not PreviouslyCovered by an Individual Permit

Comment: One commenter requestedclarification of the permit requirementat Part 1.2.3.3.2.3 to include any specificstorm water BMPs from the oldindividual permit in the Storm Water

Pollution Prevention Plan whentransferring from an individual permitto the MSGP. The commenterinterpreted this condition to mean thatonly those specific storm water BMPsfrom the old individual permit (andareas associated with outfalls from theold permit) needed to be included in thePlan, and noted an apparentinconsistency on page 17021, Item F, ofthe preamble which states that the Planmust address the entire facility.

Response: When transferring from anindividual permit to the MSGP, therequirement at Part 1.2.3.3.2.3 toinclude any specific storm water BMPsfrom the old individual permit in theStorm Water Pollution Prevention Planis in addition to and not in lieu of thebasic requirements in Part 4. However,the BMPs brought over from the oldindividual permit may satisfy one ormore of the ‘‘basic’’ Storm WaterPollution Prevention Plan requirementsunder Part 4 and/or the sector-specificrequirements under Part 6. There couldbe areas at a facility (e.g., employeeparking lots) that do not need to beaddressed under the permit (andSWPPP) unless the runoff from suchareas commingles with storm waterassociated with industrial activity (orwas previously permitted).

Section VI.A NotificationRequirements

Comment a: The commentersupported the use of electronic filing ofNOIs, but expressed concern thatfacilities without Internet access wouldbe at a disadvantage.

Response a: It is not the intention ofEPA to only accept electronicsubmittals. Electronic submittal isanother alternative which, hopefully,will be available to the regulatedcommunity in the near future.

Comment b: The commenter does notsupport any changes to the NOI form,and expects any changes to comply withthe Paperwork Reduction Act.

Response b: Any changes to the NOIform that result in an increase in burdenfor the applicant must first be reviewedand approved by the Office ofManagement and Budget. Part of thisreview includes compliance with therequirements of the PaperworkReduction Act. Changes to the NOI formpublished in today’s permit werelimited to those that provideclarification in information, as well asthose changes that reflect changes in thestorm water permits issued by EPA. EPAhas determined that these changes donot represent an increase in burden forcompleting the NOI form. As noted inSection 2.2, the more extensive changeslisted in the March 30, 2000 proposal

need to complete their OMB reviewbefore they can be included in the NOIform.

Comment c: A commenter supportedinclusion of the no exposurecertification form as an addendum tothe MSGP–2000.

Response c: EPA agrees that providingthe form with the permit is aconvenience for facilities qualifying forthe no exposure exemption. Thecertification form is an addendum to thepermit.

Section VI.B Special ConditionsComment a: The Agency is shifting its

responsibility regarding meetingminimum technology standards inNPDES permits to the discharger.

Response a: EPA expects that when afacility submits an NOI they are familiarwith both the permit and their facility.They should be able to determine theireligibility. The permitting authority mayconcur with the facility’s assessment, ornot. EPA does not believe that it hasshifted its responsibility on this matter.

Comment b: There was a request toclarify the requirements in the MSGP–2000 regarding co-located facilities.

Response b: A facility is consideredco-located if there is a second industrialactivity occurring which meets thedefinition of storm water dischargeassociated with industrial activity. Forexample, a facility operates an autosalvage yard and also has an area onsitefor scrap recycling. The facility as awhole would meet the requirements forSector M—Auto salvage. The area wherescrap recycling occurs would meet therequirements for Sector N—ScrapRecycling. Any storm water dischargesfrom the scrap recycling area needs tomeet the requirements for both sectors.The second activity may or may not berelated to the primary industrialactivity. The determination as towhether something is co-located rests inthe definition of storm water dischargesassociated with industrial activity. If asecond activity exists at a facility whichmeets one of the categories in thedefinition, then the facility has co-located industrial activities.

Section VI.C Common PollutionPrevention Plan Requirements

Comment a: A commenter expressedconcern about various interpretationsand implementation of the storm waterprogram, including incorporation ofeffluent limits, and stressed ‘‘* * * It isimperative that the Agency maintainsthat SWPPP requirements be interpretedand implemented in a practicable andeconomically feasible manner.’’

Response a: EPA believes that properimplementation of storm water BMPS



will achieve compliance with waterquality standards. EPA is responsible forimplementation of the storm waterprogram in eight states, variousterritories, including Puerto Rico andDistrict of Columbia; and various IndianCountry lands throughout the country.For the remaining 42 states, the stateagency is responsible for programimplementation. They have theauthority to interpret and implement theprogram as appropriate for their state. Itcontinues to be EPA’s policy not toinclude effluent limitations in stormwater permits. However, a state maychoose to follow a different policy thanEPA’s.

Comment b: There is not a specificmention of catch basin inserts or fillerson the listing of BMPs.

Response b: In discussions concerningBMPs, EPA attempted to provide someexamples of various types of BMPs. Byno means is the listing intended to beall inclusive. EPA acknowledges thatthere are other BMPs, such as catchbasin inserts or fillers, that were notmentioned in discussions but may beappropriate in various circumstances.

Section VI.E Monitoring and ReportingRequirements

Comment a: Monitoring results are anunreliable indicator of a dischargeproblem and they do not provideconfirmation of a problem. Permitteescannot use results to support facilitymanagement.

Response a: EPA believes that sinceanalytic monitoring has been performedby substantial numbers of permitteesonly during the fourth year of the 1995MSGP (many facilities complying withmonitoring requirements in the fourthyear were covered under the earlierbaseline general permit during thesecond monitoring year and,consequently, had no equivalentmonitoring requirement), it is prematureto make any final conclusions regardingthe value of the Agency’s acquisition ofthe monitoring data or to considerdropping the monitoring. In essence, thefourth-year monitoring data set EPAreceived represents the baseline ofpollutant discharge information underthe sector-specific industrial generalstorm water permit. Several rounds ofmonitoring significantly enhances theutility of the results for evaluating theeffectiveness of management practices atthe site as well as for the industry sectoras a whole. EPA commits to using datafrom the 1995 and 2000 permits toevaluate the effectiveness ofmanagement practices on an industrysector basis and to evaluate the need forchanges in monitoring protocols for thenext permit.

EPA acknowledges that, consideringthe small number of samples requiredper monitoring year (four), and thevagaries of storm water discharges, itmay be difficult to determine or confirmthe existence of a discharge problem asa commenter claimed. When viewed asan indicator, analytic levelsconsiderably above benchmark valuescan serve as a flag to the operator thathis SWPPP needs to be reevaluated andthat pollutant loads may need to bereduced. Conversely, analytic levelsbelow or near benchmarks can confirmto the operator that his SWPPP is doingits intended job. EPA believes there ispresently no alternative that providesstakeholders with an equivalentindicator of program effectiveness.

Comment b: Monitoring results arenot necessarily an indicator of BMPeffectiveness and EPA never justifiedthat they are.

Response b: While not practicable forEPA to require an increase inmonitoring, operators are encouraged tosample more frequently to improve thestatistical validity of their results.Unless the proper data acquisitionprotocol for making a valid BMPeffectiveness determination is rigorouslyfollowed, any other method used toassess BMP effectiveness would bequalitative, and therefore less reliable.The least subjective approach, and mostbeneficial to operators and stakeholders,EPA believes, remains a combination ofvisual and analytic monitoring, usinganalyte benchmark levels to targetpotential problems. Statisticaluncertainties inherent in the monitoringresults will necessitate both operatorsand EPA exercising best professionaljudgment in interpreting the results.When viewed as an indicator, analyticlevels considerably above benchmarkvalues can serve as a flag to the operatorthat his SWPPP needs to be reevaluatedand that pollutant loads may need to bereduced. Conversely, analytic levelsbelow or near benchmarks can confirmto the operator that his SWPPP is doingits intended job.

Comment c: Alternate test methodscan be used for determiningeffectiveness of BMPs at a facility, andbenchmarks will need modifying toaccount for variability in test methods.

Response c: A technically valid,deterministic investigation of BMPeffectiveness would necessarily involvecollecting discharge pollutant load databefore and after the BMP. Theconstraints inherent in monitoringpreclude requiring this kind ofinvestigation. All other methods used tomake an assessment of SWPPP/BMPeffectiveness are qualitative. The leastsubjective approach, and most

beneficial to operators and stakeholders,EPA believes, is a combination of visualand analytic monitoring, using analytebenchmark levels (or ‘‘targets’’) as anindicator of potential problems.Vagaries of storm discharges andstatistical concerns will necessitateoperators and EPA exercising bestprofessional judgment in interpretingthe results of any monitoring. Whenviewed as an indicator, analytic levelsconsiderably above benchmark valuescan serve as a flag to the operator thathis SWPPP needs to be reevaluated andthat pollutant loads may need to bereduced. Conversely, analytic levelsbelow or near benchmarks can confirmto the operator that his SWPPP is doingits intended job.

Comment d: (a) The presumption ofan impact on water quality standards bystorm water is inappropriate given theepisodic nature of storms. (b) EPArecognizes that during a storm, waterquality standards will not always bemet, so EPA shouldn’t rely on waterquality standards at a discharge point todetermine if a facility is in compliance.(c) Monitoring has marginal value inassessing and protecting water quality.

Response d: (a) It is true that manyimpacts of storm water are short-termand that many pollutants are not reallytoxic or bioaccumulative. A short termwater quality standard violation is notnecessarily going to persist long enoughto be toxic. (b) In the absence ofestablishing discharge pollutant loadsthat correlate directly to a receivingwater, as would be done for anindividual permit, EPA settled onbenchmark levels which would, undernearly all scenarios, be protective ofwater quality standards. Recognizing theshortcomings of these generic pollutantlevels, EPA only intends for them to beused as indicators of possible problemsand as a flag to reevaluate the SWPPP—not as a trigger to begin mandatorySWPPP or operational revisions unless,after employing BPJ, the operator deemssuch revisions are necessary. (c) Whileend-of-pipe/end-of-property analyticmonitoring for storm water may notreflect potential impacts to waterquality, EPA does not intend to use thedata for that purpose.

Comment e: EPA needs to reevaluatethe validity of benchmark values.

Response e: Universal benchmarklevels cannot be established; the nextbest thing would be storm waterpollutant loadings vis-a-vis watersegment-specific TMDLs. But whenused as a target or indicator, withoutrequiring specific corrective actionsbeyond using BPJ to reassess presentconditions and make any changesdeemed necessary, the present



benchmarks are adequate. In specificsituations operators may reasonablyconclude, after analyzing monitoringresults above benchmarks, their presentSWPPPs/BMPs are adequatelyprotective of water quality, or that otherconditions such as discharging to low-quality, ephemeral streams may obviatethe need for SWPPP/BMP revisions.

Comment f: Monitoring divertsresources from more effectiveimplementation of SWPPPs. EPA shouldfocus on pollution prevention, instead.

Response f: In developing themonitoring requirements, i.e., pollutantsof concern, monitoring waivers, etc.,along with providing sampling andmonitoring guidances, EPA endeavoredto make the financial burden as minimalas possible. Four quarterly samples is aminimal data set for evaluating theeffectiveness of SWPPPs. Those leastable to afford expansive monitoringprograms, i.e., small businesses, likelyhave few outfalls to begin with. EPAbelieves that if monitoring is required ata facility, it should be planned for andbudgeted as a cost of doing business.

Comment g: Permittees fearbenchmark limits would be viewed aseffluent limitations.

Response g: EPA agrees thatbenchmark limits are not effluentlimitations and should not be used, inand of themselves, as the basis forissuing an enforcement violation.

Comment h: Storm water dischargevariability can be caused byatmospheric/dry deposition, run on andfate in transport; facilities withstructural leachate are at a disadvantagevis-a-vis those without the problem.

Response h: EPA acknowledges thepotential for adding pollutants to afacility’s discharges from external orstructural sources. A permittee is,nonetheless, still legally responsible forthe quality of all discharges from his/hersite—but not from pollutants that maybe introduced outside the boundaries ofhis/her property or the areas where his/hers structures, industrial activities ormaterials are located. Anything thatincreases the pollutant load in therunoff prior to leaving the site, whetheroriginating from air deposition, run-onfrom nearby sites, or leachate from on-site structures, remains theresponsibility of the permittee. This wasaffirmed in the ruling by theEnvironmental Appeals Board againstthe General Motors Corp. CPC-PontiacFiero Plant in December 1997.

Comment i: Allow pollutant creditsfor background sources of pollution.

Response i: Pollutant credits forbackground sources of pollution isunfeasible for storm water. Either EPAor the permittee would have to

determine the pollutant loads of boththe run-on and runoff to calculatepollutant credits. Resources areinsufficient to implement this practice.

Comment j: Differences in monitoringresults may result from changes inbusiness conditions; changes inpersonnel doing monitoring can makeobservations/discharge examinationsunreliable.

Response j: EPA published guidanceon both monitoring and samplingprocedures (available from EPA’s Officeof Water Resource Center) tostandardize data collection practices.

Comment k: The same person cannotalways do monitoring. Having to rely ondifferent people is bad for consistencyin recording observations and makingdischarge examinations.

Response k: EPA requires thatpersonnel implementing the SWPPP beprovided training as an element of theSWPPP. This training must coverprogram elements to ensure the qualityand validity of all information collected.

Comment l: Sampling can bedangerous.

Response l: EPA provides waivers andoptions such that extreme weather orperilous conditions are accounted for.

Comment m: Determining whether astorm qualifies to be monitored isdifficult.

Response m: EPA has always definedwhat constitutes a storm event worthyof monitoring. Modern weatherforecasting is making it easier toanticipate and plan for qualifyingstorms.

Comment n: Monitoring in remotewest or arid/semi-arid areas is difficultand burdensome.

Response n: EPA has always hadaccommodations and waivers for lack ofqualifying storm events. See EPAResponse o below.

Comment o: EPA should reduceanalytic monitoring and visualmonitoring based on average rainfall(similar to Phase II regulations).

Response o: EPA already allowspermittees to skip monitoring in anyquarter in which no qualifying stormevents occur.

Comment p: Some discharges (in thewest) occur only infrequently andsometimes only to isolated, ephemeralstreams (which may have no indigenousbiota).

Response p: Ephemeral streams maystill eventually flow into permanentwaters of the U.S.; hence, protectivemeasures may still be needed to protectwater quality. If there are truly no waterquality standards established for anephemeral stream and the outflow doesnot feed another water body, then it’slikely there would not be a ‘‘point

source discharge’’ and no permit wouldbe required. Only those point sourcedischarges to waters of the U.S. need tobe included in a SWPPP.

Comment q: Continuation ofmonitoring is not justified, especiallyfor mining sectors.

Response q: EPA believes that sinceanalytic monitoring has been performedby substantial numbers of permitteesonly during the fourth year of the 1995MSGP (many facilities complying withmonitoring requirements in the fourthyear were covered under the earlierbaseline general permit during thesecond monitoring year and,consequently, had no equivalentmonitoring requirement), it is prematureto make any final conclusions regardingthe value of the Agency’s acquisition ofthe monitoring data or to considerdropping the monitoring. In essence, thefourth-year monitoring data set EPAreceived represents the baseline ofpollutant discharge information underthe sector-specific industrial generalstorm water permit. Several rounds ofmonitoring significantly enhance theutility of the results for evaluating theeffectiveness of management practices atthe site as well as for the industry sectoras a whole. EPA commits to using datafrom the 1995 and 2000 permits toevaluate the effectiveness ofmanagement practices on an industrysector basis and to evaluate the need forchanges in monitoring protocols for thenext permit.

EPA acknowledges that, consideringthe small number of samples requiredper monitoring year (four), and thevagaries of storm water discharges, itmay be difficult to determine or confirmthe existence of a discharge problem asa commenter claimed. When viewed asan indicator, analytic levelsconsiderably above benchmark valuescan serve as a flag to the operator thathis SWPPP needs to be reevaluated andthat pollutant loads may need to bereduced. Conversely, analytic levelsbelow or near benchmarks can confirmto the operator that his SWPPP is doingits intended job. EPA believes there ispresently no alternative that providesstakeholders with an equivalentindicator of program effectiveness.

Comment r: EPA has not providedguidance on monitoring snow meltevents.

Response r: EPA does not have anyspecific guidance on this matter at thepresent time. Guidance may bedeveloped in the future. In the interim,however, EPA believes that facilitiesshould be able to obtain reasonablyrepresentative samples using their bestjudgment. Two important points mustbe considered to ensure the snow melt



sample is representative: (1) The meltedrunoff must come in contact with anypollutants of concern present and not beoverly ‘‘contaminated’’ withconcentrated surficial deposits ofhydrocarbons, dirt, salt, etc., and (2) themelted runoff must have characteristicsthat approximate those of a monitor-qualifying rain storm (0.1 inch runoffvolume, sampled within the first 1⁄2 upto 1 hour).

Comment s: (a) In addition tomonitoring results, EPA should alsorequire submission of a description ofstorm water controls beingimplemented. (b) EPA should requirefacilities to monitor for pollutantssimilar to what would be done under anindividual permit (to ensure BMPs arebeing implemented). (c) Monitoring willaid the permittee, permitting authorityand the public in understanding thesources and toxicity of storm water at asite.

Response s: (a) EPA already requiresthat all BMPs and other controls bedescribed in the SWPPP, includinginspections, maintenance, etc. Any BMPchanges or additions must be added toan updated SWPPP, so EPA will notrequire this information be formallysubmitted. If EPA needs to inspect afacility or determine an enforcementissue, the facility’s SWPPP will bereviewed for BMP information. (b)Customizing a facility’s monitoringrequirements is tantamount to writingan individual permit for the facility,which would require the sameapplication package as for an individualpermit. This is an option for thosefacilities where discharges or receivingwaters are a concern but, otherwise,EPA believes the requirements of thepresent general permit with theidentified pollutants of concern issufficient for a large majority offacilities. (c) EPA agrees that monitoringcan be used as an indicator of potentialproblems or toxicity concerns.

Comment t: Submit DischargeMonitoring Reports (DMRs) along withNOIs to prove compliance. If no DMRswere submitted under the currentMSGP, require quarterly monitoring forall five years of MSGP–2000.

Response t: DMR and NOI submissiondeadlines have not coincided in the pastand, from a regulatory perspective, it isnot feasible to link them. Past instancesof non-compliance are an enforcementissue with established penalties in theCFRs, but these instances do notautomatically preclude future permitcoverage nor can EPA include separate‘‘penalties’’ such as 5-year monitoring inthe permit for them.

Comment u: Analytic monitoring maybe good for general info, which may be

of use to the facility and regulatoryagency, but it should not be requiredunder the permit. Only visualmonitoring should be required. Onecommenter indicated that analyticmonitoring may be good for watershed-wide indications of general trends.

Response u: EPA believes that sinceanalytic monitoring has been performedby substantial numbers of permitteesonly during the fourth year of the 1995MSGP (many facilities complying withmonitoring requirements in the fourthyear were covered under the earlierbaseline general permit during thesecond monitoring year and,consequently, had no equivalentmonitoring requirement), it is prematureto make any final conclusions regardingthe value of the Agency’s acquisition ofthe monitoring data or to considerdropping the monitoring. In essence, thefourth-year monitoring data set EPAreceived represents the baseline ofpollutant discharge information underthe sector-specific industrial generalstorm water permit. Several rounds ofmonitoring significantly enhance theutility of the results for evaluating theeffectiveness of management practices atthe site as well as for the industry sectoras a whole. EPA commits to using datafrom the 1995 and 2000 permits toevaluate the effectiveness ofmanagement practices on an industrysector basis and to evaluate the need forchanges in monitoring protocols for thenext permit.

EPA acknowledges that, consideringthe small number of samples requiredper monitoring year (four), and thevagaries of storm water discharges, itmay be difficult to determine or confirmthe existence of a discharge problem.When viewed as an indicator, analyticlevels considerably above benchmarkvalues can serve as a flag to the operatorthat his SWPPP needs to be reevaluatedand that pollutant loads may need to bereduced. Conversely, analytic levelsbelow or near benchmarks can confirmto the operator that his SWPPP is doingits intended job. EPA believes there ispresently no alternative that providesstakeholders with an equivalentindicator of program effectiveness. Atechnically valid, deterministicinvestigation of BMP effectivenesswould necessarily involve collectingdischarge pollutant load data before andafter the BMP. The constraints inherentin monitoring preclude requiring thiskind of investigation. All other methodsused to make an assessment of SWPPP/BMP effectiveness are qualitative.Quarterly visual monitoring of stormwater discharges has always been apermit requirement, for many of thesame reasons why commenters favor it,

and will continue to be so. The leastsubjective approach, and mostbeneficial to operators and stakeholders,EPA believes, is a combination of visualand analytic monitoring, using analytebenchmark levels (or ‘‘targets’’) as anindicator of potential problems.Variability of storm discharges andstatistical concerns will necessitateoperators and EPA exercising bestprofessional judgement in interpretingthe results of any monitoring.

Monitoring in impaired water bodieswould focus attention on the problemwater bodies and possible pollutantsources. However, not all impairedwater bodies and their impairmentshave been determined. The goal ofEPA’s storm water program is also toprotect and maintain water quality, notjust remediate impaired waters, sofocusing on impaired waters only doesnot fulfill all the program’sresponsibilities.

Comment v: If monitoring results arebelow the benchmark, facilities shouldnot be required to monitor unless thereare major changes to the facility.

Response v: Several rounds ofmonitoring significantly enhances theutility of the results for evaluating theeffectiveness of management practices atthe site as well as for the industry sectoras a whole. EPA is keeping themonitoring requirement for all specifiedsectors at least one more time to providestakeholders with continued assurancethat SWPPPs are being implemented,concerted efforts to protect water qualityare ongoing, and a mechanism is inplace to indicate potential problems.The previous second year monitoringwaiver for facilities with pollutantlevels below the benchmark level isbeing retained.

Comment w: Substantially identicaloutfalls reduces burden and is beneficialto SWPPP implementation.

Response w: Noted.

Visual MonitoringComment x: Numerous commenters

supported dropping analytic monitoringfrom the MSGP–2000 in favor of justrequiring quarterly visual monitoring.Commenters claimed visual monitoringis adequate to ensure compliance andenvironmental protection (especiallycoupled with training), and is leastburdensome.

Response x: Quarterly visualmonitoring of storm water dischargeshas always been a permit requirement,for many of the same reasons whycommenters favor it, and will continueto be so. EPA will also be retaininganalytic monitoring because we believethe best way to ensure SWPPPeffectiveness and protection of water



quality is through a combination ofvisual and analytic monitoring. Thereasons for not adopting visualmonitoring only are explained further inthe rationale for justifying quarterlyanalytic monitoring.

Comment y: Operators need flexibilityto collect representative samples forvisual monitoring.

Response y: EPA believes the samerepresentative sample reductionprovided for analytic monitoring isinappropriate for the quarterly visualmonitoring. A visual examination of alldischarges is the least that operators cando to ensure all discharges are clean andwould provide greater confirmation tothemselves and other stakeholders thatthe representative discharge samplereduction claimed for analyticmonitoring is, in fact, justified.

Comment z: Support visualmonitoring with use of field test kits,which are cheaper and easier than 40CFR 136.

Response z: Field test kits have notyet been confirmed as being as reliableas currently required analyticalmethods. Therefore, EPA is not allowingthe use of kits in place of currentlyrequired analytical methods at this time.

Comment aa: Make visual evaluationsstandard.

Response aa: EPA has standardprotocols for storm water sampling (thestorm water sampling guidance can beobtained from EPA’s Office of WaterResource Center at 202–260–7786) andthe permit describes the examinationprocedures, parameters to be examined,meaning of results, etc.

Comment bb: Visual monitoringshould be reduced commensurately inarid climates.

Response bb: EPA already allowspermittees to document in theirmonitoring records that no dischargeoccurred during a monitoring quarter.

Annual Reporting

Comment cc: One option suggested bycommenters was for an annual report,possibly using a standardized form, tobe submitted to EPA detailing thepermittee’s SWPPP highlights andrevisions/additions, inspections,compliance evaluations, visualmonitoring results, etc. One commentagainst this option stated that thevolume of data submitted would be toogreat for the Agency to evaluate. Otheropponents to this option indicated thatthe reports would not contain enoughinformation to evaluate SWPPPeffectiveness, ensure water qualityprotection, or provide the informationnecessary to make long-termmanagement plans. Commenters insupport of the annual report concept

held that it would provide a record ofthe permittee’s commitment to stormwater control, was better for evaluatingSWPPP effectiveness, and wouldprovide information to EPA todetermine if sampling or a siteinspection is needed.

Response cc: Information on SWPPPhighlights and revisions/additions,inspections, compliance evaluations,visual monitoring results, etc. is alreadyrequired to be documented in a facility’sSWPPP, which, if deemed necessary,must be provided to EPA on demand. Ifno monitoring data were available, anannual report could be used to ensurethat a facility is implementing itsSWPPP. The reports could also be usedto prioritize sites for inspection.However, EPA agrees that it would bevery burdensome to review all thereports and very difficult to assess theeffectiveness of a facility’s SWPPP basedon that review alone. The subjectivityinherent in annual reporting makes it anundesirable substitute for analyticmonitoring. Documenting the kind ofinformation in the annual report isalready a SWPPP requirement and is,therefore, available to operators forassessing and improving their stormwater programs. For these reasons, EPAwill not require reports containingessentially the same informationrequired in SWPPPs to be submitted inlieu of analytic monitoring.

Group Monitoring

Comment dd: Commenters alsosuggested group monitoring. In thisoption a consortium of like permitteeswould do sampling at one facility,possibly on a rotating basis. The sampleresults would represent all the facilitiesin the consortium. A variation of groupmonitoring is for the consortium toretain a consultant to do representativesampling and provide storm waterprogram guidance and evaluations.Supporters of this concept said it mayallow for comparisons of effectivenessof different SWPPP practices (e.g.,sweeping vs. catchment basin for solidscontrol). One commenter pointed outthat the feasibility of the group conceptis suspect due to the fact that individualfacilities may have different topography,soil and other natural conditions.

Response dd: EPA believes thattechnically valid BMP comparisonscould be done under this type ofprogram. However, it would be difficultand very resource-intensive for EPA toestablish criteria for group eligibilityand then monitor to ensure that groupsmet these criteria.

Watershed Monitoring

Comment ee: Commenters suggestedconducting watershed monitoring ratherthan monitoring at the facility. Thisoption involves replacing themonitoring of discrete storm waterdischarges with ambient receiving watermonitoring on a watershed basis.

Response ee: Watershed monitoring isinvaluable to making real conclusionsregarding storm water impacts of waterquality, and will be employed in makingtotal maximum daily load (TMDL)determinations. However, watershedmonitoring cannot replace facility-specific storm water dischargemonitoring to determine the loadscontributed by the facilities and toevaluate the effectiveness of the SWPPP.

Monitoring Only in Impaired Waters

Comment ff: Several commenterssupported requiring monitoring only inimpaired water bodies and forpollutants that cause the impairment.

Response ff: Although this optionwould focus attention on the problemwater bodies and possible pollutantsources, EPA and a commenter pointout that not all impaired water bodiesand their impairments have beendetermined. The goal of EPA’s stormwater program is also to protect andmaintain water quality, not justremediate impaired waters, so focusingon impaired waters only does not fulfillall the program’s responsibilities.

Section VII Cost Estimates forCommon Permit Requirements

Comment: EPA incorrectly estimatedcosts associated with the original MSGP.The new permit imposes even morecosts. EPA must better estimate thesecosts, especially for small businesses.EPA should conduct a RegulatoryFlexibility Analysis as well as performa Small Business RegulatoryEnforcement Fairness Act (SBREFA)consultation.

Response: The Regulatory FlexibilityAct (RFA), as amended by the SmallBusiness Regulatory EnforcementFairness Act (SBREFA) generallyrequires an agency to prepare aregulatory flexibility analysis for anyrule subject to notice and commentrulemaking requirements under theAdministrative Procedure Act or anyother statute. Under section 605(b) ofthe RFA, however, if the head of anagency certifies that a rule will not havea significant economic impact on asubstantial number of small entities, thestatute does not require the agency toprepare a regulatory flexibility analysis.

The MSGP–2000 provides facilitiesthe option of obtaining a general permit



rather than applying for individualpermits; it does not extend coverage ofthe existing NPDES regulations.Therefore, the costs associated withobtaining a permit were alreadyaddressed when the NPDES regulationswere issued. Furthermore, the MSGP–2000 is intended to reduce costs byproviding a streamlined procedure forobtaining permit coverage. For thesereasons, there was no requirement onEPA to conduct a separate analysis tosupport the MSGP–2000.

X. Economic Impact (Executive Order12866)

Under Executive Order 12866 [58 FR51735 (October 4, 1993)], the Agencymust determine whether the regulatoryaction is ‘‘significant’’ and thereforesubject to OMB review and therequirements of the Executive Order.The Order defines ‘‘significantregulatory action’’ as one that is likelyto result in a rule that may have anannual effect on the economy of $100million or more or adversely affect in amaterial way the economy, a sector ofthe economy, productivity, competition,jobs, the environment, public health orsafety, or State, local, or tribalgovernments or communities; create aserious inconsistency or otherwiseinterfere with an action taken orplanned by another agency; materiallyalter the budgetary impact ofentitlements, grants, user fees, or loanprograms or the rights and obligations ofrecipients thereof; or raise novel legal orpolicy issues arising out of legalmandates, the President’s priorities, orthe principles set forth in the ExecutiveOrder.

EPA has determined that the reissuedMSGP is not a ‘‘significant regulatoryaction’’ under the terms of ExecutiveOrder 12866 and is therefore not subjectto formal OMB review prior to proposal.

XI. Unfunded Mandates Reform ActSection 201 of the Unfunded

Mandates Reform Act (UMRA), PublicLaw 104–4, generally requires Federalagencies to assess the effects of their‘‘regulatory actions’’ on State, local, andtribal governments and the privatesector. UMRA uses the term ‘‘regulatoryactions’’ to refer to regulations. (See,e.g., UMRA section 201, ‘‘Each agencyshall * * * assess the effects of Federalregulatory actions * * * (other than tothe extent that such regulationsincorporate requirements specificallyset forth in law)’’ (emphasis added)).UMRA section 102 defines ‘‘regulation’’by reference to 2 U.S.C. 658 which inturn defines ‘‘regulation’’ and ‘‘rule’’ byreference to section 601(2) of theRegulatory Flexibility Act (RFA). That

section of the RFA defines ‘‘rule’’ as‘‘any rule for which the agencypublishes a notice of proposedrulemaking pursuant to section 553(b) of[the Administrative Procedure Act(APA)], or any other law * * * ’’

As discussed in the RFA section ofthis notice, NPDES general permits arenot ‘‘rules’’ under the APA and thus notsubject to the APA requirement topublish a notice of proposedrulemaking. NPDES general permits arealso not subject to such a requirementunder the CWA. While EPA publishes anotice to solicit public comment ondraft general permits, it does sopursuant to the CWA section 402(a)requirement to provide ‘‘an opportunityfor a hearing.’’ Thus, NPDES generalpermits are not ‘‘rules’’ for RFA orUMRA purposes.

EPA has determined that today’sMSGP reissuance does not result inexpenditures of $100 million or morefor State, local and Tribal governments,in the aggregate, or the private sector inany one year.

The Agency also believes that thefinal MSGP will not significantly noruniquely affect small governments. ForUMRA purposes, ‘‘small governments’’is defined by reference to the definitionof ‘‘small governmental jurisdiction’’under the RFA. (See UMRA section102(1), referencing 2 U.S.C. 658, whichreferences section 601(5) of the RFA.)‘‘Small governmental jurisdiction’’means governments of cities, counties,towns, etc., with a population of lessthan 50,000, unless the agencyestablishes an alternative definition.

Today’s final MSGP also will notuniquely affect small governmentsbecause compliance with the finalpermit conditions affects smallgovernments in the same manner as anyother entities seeking coverage underthe final permit.

XII. Paperwork Reduction ActEPA has reviewed the requirements

imposed on regulated facilities resultingfrom the final MSGP under thePaperwork Reduction Act of 1980, 44U.S.C. 3501 et seq. The informationcollection requirements of the MSGPhave already been approved in previoussubmissions made for the NPDES permitprogram under the provisions of theCWA.

XIII. Regulatory Flexibility ActThe Agency has determined that the

final MSGP being published today is notsubject to the Regulatory Flexibility Act(‘‘RFA’’), which generally requires anagency to conduct a regulatoryflexibility analysis of any significantimpact the rule will have on a

substantial number of small entities. Byits terms, the RFA only applies to rulessubject to notice-and-commentrulemaking requirements under theAdministrative Procedure Act (‘‘APA’’)or any other statute. Today’s final MSGPis not subject to notice and commentrequirements under the APA or anyother statute because the APA defines‘‘rules’’ in a manner that excludespermits. See APA section 551(4), (6),and (8).

APA section 553 does not requirepublic notice and opportunity forcomment for interpretative rules orgeneral statements of policy. In additionto finalizing the new MSGP, today’snotice repeats for the convenience of thereader an interpretation of existingregulations promulgated almost twentyyears ago. The action would impose nonew or additional requirements.

Authorization to Discharge Under theNational Pollutant DischargeElimination System

In compliance with the provisions ofthe Clean Water Act, as amended, (33U.S.C. 1251 et seq.), operators ofdischarges associated with industrialactivities that submit a complete Noticeof Intent in accordance with Part 2.2 fora discharge that is located in an areaspecified in Part 1.1 and eligible forpermit coverage under Part 1.2 areauthorized to discharge pollutants towaters of the United States inaccordance with the conditions andrequirements set forth herein.

This permit becomes effective onOctober 30, 2000.

This permit and the authorization todischarge expire at midnight, October30, 2005.



Signed and issued this 15th day ofSeptember, 2000.Linda M. Murphy,Director, Office of Ecosystem Protection,Region 1.

Signed and issued this 15th day ofSeptember, 2000.Kathleen C. Callahan,Director, Division of Environmental Planningand Protection, Region 2.

Signed and issued this 15th day ofSeptember, 2000.Joseph T. Piotrowski,Acting Director, Water Protection Division,Region 3.

Signed and issued this 12th day ofSeptember, 2000.Douglas Mundrick,Acting Deputy Division Director, WaterManagement Division, Region 4.

Signed and issued this 27th day ofSeptember, 2000.Sam Becker,Acting Director, Water Quality ProtectionDivision, Region 6.

Signed and issued this 2d day of October,2000.Stephen S. Tuber,Acting Assistant Regional Administrator,Office of Partnerships and RegulatoryAssistance, Region 8.

Signed and issued this 28th day ofSeptember, 2000.Alexis Strauss,Director, Water Division, Region 9.

Signed and issued this 14th day ofSeptember, 2000.Michael A. Bussell,Deputy Director, Office of Water, Region 10.

NPDES Multi-Sector General Permitsfor Storm Water Discharges AssociatedWith Industrial Activities

Table of Contents

1. Coverage Under This Permit1.1 Permit Area1.2 Eligibility1.3 How to Obtain Authorization Under

This Permit1.4 Terminating Coverage1.5 Conditional Exclusion for No

Exposure2. Notice of Intent Requirements

2.1 Notice of Intent (NOI) Deadlines2.2 Contents of Notice of Intent (NOI)2.3 Use of NOI Form2.4 Where to Submit2.5 Additional Notification

3. Special Conditions3.1 Hazardous Substances or Oil3.2 Additional Requirements for Salt

Storage3.3 Discharge Compliance With Water

Quality Standards4. Storm Water Pollution Prevention Plans

4.1 Storm Water Pollution PreventionPlan Requirements

4.2 Contents of Plan4.3 Maintenance4.4 Non-Storm Water Discharges

4.5 Documentation of Permit EligibilityRelated to Endangered Species

4.6 Documentation of Permit EligibilityRelated to Historic Places

4.7 Copy of Permit Requirements4.8 Applicable State, Tribal or Local

Plans4.9 Comprehensive Site Compliance

Evaluation4.10 Maintaining Updated SWPPP4.11 Signature, Plan Review and Making

Plans Available4.12 Additional Requirements for Storm

Water Discharges Associated WithIndustrial Activity From FacilitiesSubject to EPCRA Section 313 ReportingRequirements

5. Monitoring Requirements and NumericLimitations

5.1 Types of Monitoring Requirementsand Limitations

5.2 Monitoring Instructions5.3 General Monitoring Waivers5.4 Monitoring Required by the Director5.5 Reporting Monitoring Results

6. Sector-Specific Requirements for IndustrialActivity

6.A Sector A—Timber Products6.B Sector B—Paper and Allied Products

Manufacturing6.C Sector C—Chemical and Allied

Products Manufacturing6.D Sector D—Asphalt Paving and

Roofing Materials and LubricantManufacturers

6.E Sector D—Glass, Clay, Cement,Concrete, and Gypsum Products

6.F Sector F—Primary Metals6.G Sector G—Metal Mining (Ore Mining

and Dressing)6.H Sector H—Coal Mines and Coal

Mining Related Facilities6.I Sector I—Oil and Gas Extraction and

Refining6.J Sector J—Mineral Mining and

Dressing6.K Sector K—Hazardous Waste

Treatment, Storage or Disposal Facilities6.L Sector L—Landfills, Land Application

Sites and Open Dumps6.M Sector M—Automobile Salvage

Yards6.N Sector N—Scrap Recycling and Waste

Recycling Facilities6.O Sector O—Steam Electric Generating

Facilities6.P Sector P—Land Transportation and

Warehousing6.Q Sector Q—Water Transportation6.R Sector R—Ship and Boat Building or

Repair Yards6.S Sector S—Air Transportation6.T Sector T—Treatment Works6.U Sector U—Food and Kindred

Products6.V Sector V—Textile Mills, Apparel and

Other Fabric Products6.W Sector W—Furniture and Fixtures6.X Sector X—Printing and Publishing6.Y Sector Y—Rubber, Miscellaneous

Plastic Products and MiscellaneousManufacturing Industries

6.Z Sector Z—Leather Tanning andFinishing

6.AA Sector AA—Fabricated MetalProducts

6.AB Sector AB—TransportationEquipment, Industrial or CommercialMachinery

6.AC Sector AC—Electronic, ElectricalEquipment and Components,Photographic and Optical Goods

6.AD Storm Water Discharges DesignatedBy the Director As Requiring Permits

7. Reporting7.1 Reporting Results of Monitoring7.2 Additional Reporting for Dischargers

to a Large or Medium MunicipalSeparate Storm Sewer System

7.3 Miscellaneous Reports8. Retention of Records

8.1 Documents8.2 Accessibility8.3 Addresses8.4 State, Tribal, and Other Agencies

9. Standard Permit Conditions9.1 Duty to Comply9.2 Continuation of the Expired General

Permit9.3 Need to Halt or Reduce Activity Not

a Defense9.4 Duty to Mitigate9.5 Duty to Provide Information9.6 Other Information9.7 Signatory Requirements9.8 Penalties for Falsification of Reports9.9 Oil and Hazardous Substance

Liability9.10 Property Rights9.11 Severability9.12 Requiring Coverage Under an

Individual Permit or an AlternativeGeneral Permit

9.13 State/Tribal Environmental Laws9.14 Proper Operation and Maintenance9.15 Inspection and Entry9.16 Monitoring and Records9.17 Permit Actions

10. Reopener Clause10.1 Water Quality Protection10.2 Procedures for Modification or

Revocation11. Transfer or Termination of Coverage

11.1 Transfer of Permit Coverage11.2 Notice of Termination (NOT)11.3 Addresses11.4 Facilities Eligible for ‘‘No Exposure’’

Exemption for Storm Water Permitting12. Definitions13. Permit Conditions Applicable to Specific

State, Indian Country Lands, orTerritories

Addendum A—Endangered SpeciesGuidance

Addendum B—Historic Properties GuidanceAddendum C—New Source Environmental

AssessmentsAddendum D—Notice of Intent FormAddendum E—Notice of Termination FormAddendum F—No Exposure Certification

Form

Note: In the Spirit of the Agency’s‘‘Readable Regulations’’ policy, this permitwas written as much as practicable in a morereader-friendly, plain language format thatshould make it easier for people less familiarwith traditional EPA permits and regulationsto read and understand the permitrequirements. Terms like ‘‘you’’ and ‘‘your’’are used to refer to the party(ies) that areoperators of a discharge, applicants,permittees, etc. Terms like ‘‘must’’ are used



instead of ‘‘shall.’’ Phrasing such as ‘‘If you.* * * ’’ is used to identify conditions thatmay not apply to all permittees.

1. Coverage Under This Permit

1.1 Permit AreaThe permit language is structured as

if it were a single permit, with State,Indian country land or other area-specific conditions contained in Part 13.

Permit coverage is actually provided bylegally separate and distinctlynumbered permits, all of which arecontained herein, and which cover eachof the areas listed in Parts 1.1.1 through1.1.10.

Note: EPA can only provide permitcoverage for areas and classes of dischargesnot within the scope of a State’s NPDESauthorization. For discharges not described

in an area of coverage below, please contactthe appropriate State NPDES permittingauthority to obtain a permit.

1.1.1 EPA Region 1: CT, MA, ME, NH,RI, VT

The states of Connecticut, RhodeIsland, and Vermont are the NPDESPermitting Authority for the majority ofdischarges within their respective states.

Permit No. Areas of coverage/where EPA is permitting authority

CTR05*##I ...................................... Indian country lands within the State of Connecticut.MAR05*### ..................................... Commonwealth of Massachusetts, except Indian country lands.MAR05*##I ...................................... Indian country lands within the Commonwealth of Massachusetts.MER05*### ..................................... State of Maine, except Indian country lands.MER05*##I ...................................... Indian country lands within the State of Maine.NHR05*### ..................................... State of New Hampshire.RIR05*##I ........................................ Indian country lands within the State of Rhode Island.VTR05*##F ..................................... Federal Facilities in the State of Vermont.

1.1.2 EPA Region 2: NJ, NY, PR, VIThe state of New York is the NPDES Permitting Authority for the majority of discharges within that state. New

Jersey and the Virgin Islands are the NPDES Permitting Authority for all discharges within their respective states.


PRR05*### ..................................... The Commonwealth of Puerto Rico.

1.1.3 EPA REGION 3: DE, DC, MD, PA, VA, WVThe state of Delaware is the NPDES Permitting Authority for the majority of discharges within that state. Maryland,

Pennsylvania, and Virginia, West Virginia are the NPDES Permitting Authority for all discharges within these states.


DCR05*### ..................................... The District of Columbia.DER05*##F ..................................... Federal Facilities in the State of Delaware.

1.1.4 EPA Region 4: AL, FL, GA, KY, MS, NC, SC, TNThe states of Alabama, Florida, Mississippi, and North Carolina are the NPDES Permitting Authority for the majority

of discharges within their respective states. Georgia, Kentucky, South Carolina and Tennessee are the NPDES PermittingAuthority for all discharges within their respective states.


ALR05*##I ....................................... Indian country lands within the State of Alabama.FLR05*##I ....................................... Indian country lands within the State of Florida.MSR05*##I ...................................... Indian country lands within the State of Mississippi.NCR05*##I ...................................... Indian country lands within the State of North Carolina.

1.1.5 EPA Region 5: IL, IN, MI, MN, OH, WICoverage Not Available.

1.1.6 EPA Region 6: AR, LA, OK, TX, NM (Except See Region 9 for Navajo Lands, and See Region 8 for Ute MountainReservation Lands)

The states of Louisiana, Oklahoma, and Texas are the NPDES Permitting Authority for the majority of dischargeswithin their respective states. Arkansas is the NPDES Permitting Authority for all discharges within that state.


LAR05*##I ....................................... Indian country lands within the State of Louisiana.NMR05*### ..................................... The State of New Mexico, except Indian country lands.NMR05*##I ...................................... Indian country lands within the State of New Mexico, except Navajo Reservation Lands that are covered

under Arizona permit AZR05*##I listed in Part 1.1.9 and Ute Mountain Reservation Lands that are cov-ered under Colorado permit COR05*##I listed in Part 1.1.8.

OKR05*##I ...................................... Indian country lands within the State of Oklahoma.OKR05*##F ..................................... Facilities in the State of Oklahoma not under the jurisdiction of the Oklahoma Department of Environmental

Quality, except those on Indian country lands. EPA-jurisdiction facilities include SIC codes 1311, 1381,1382, 1389 and 5171 and point source (but not non-point source) discharges associated with agriculturalproduction, services, and silviculture.




TXR05*##F ..................................... Facilities in the State of Texas not under the jurisdiction of the Texas Natural Resource ConservationCommission, except those on Indian country lands. EPA-jurisdiction facilities include SIC codes 1311,1321, 1381, 1382, and 1389 (other than oil field service company ‘‘home base’’ facilities).

TXR05*##I ....................................... Indian country lands within the State of Texas.

1.1.7 EPA Region 7: IA, KS, MO, NE

Coverage Not Available.

1.1.8 EPA Region 8: CO, MT, ND, SD, WY, UT (Except See Region 9 for Goshute Reservation and Navajo ReservationLands), the Ute Mountain Reservation in NM, and the Pine Ridge Reservation in NE

The states of Colorado, Montana, North Dakota, South Dakota, Utah, and Wyoming are the NPDES Permitting Authorityfor the majority of discharges within their respective states.


COR05*##F ..................................... Federal Facilities in the State of Colorado, except those located on Indian country lands which are coveredunder Colorado permit CORO5*##I below.

COR05*##I ...................................... Indian country lands within the State of Colorado, including the portion of the Ute Mountain Reservation lo-cated in New Mexico.

MTR05*##I ...................................... Reserved.NDR05*##I ...................................... Indian country lands within the State of North Dakota, including that portion of the Standing Rock Reserva-

tion located in South Dakota except Indian country within the former boundaries of the Lake TraverseReservation that is covered under South Dakota permit SDR05*##I listed below.

SDR05*##I ...................................... Indian country lands within the State of South Dakota, including the portion of the Pine Ridge Reservationlocated in Nebraska and the portion of Indian country within the former boundaries of the Lake TraverseReservation located in North Dakota except for the Standing Rock Reservation that is covered underNorth Dakota permit NDR05*##I listed above.

UTR05*##I ...................................... Indian country lands within the State of Utah, except Goshute and Navajo Reservation lands that are cov-ered under Arizona permit AZR05*##I (Goshute) listed in Part 1.1.9 and Nevada permit NVR05*##I(Navajo) listed in Part 1.1.9.

WYR05*##I ..................................... Indian country lands within the State of Wyoming.

1.1.9 EPA Region 9: CA, HI, NV, Guam, American Samoa, the Commonwealth of the Northern Mariana Islands,the Goshute Reservation in UT and NV, the Navajo Reservation in UT, NM, and AZ, the Duck Valley Reservation

in ID, and the Fort McDermitt Reservation in OR

The states of California and Nevada are the NPDES Permitting Authority for the majority of discharges withintheir respective states. Hawaii is the NPDES Permitting Authority for all discharges within that state.


ASR05*### ..................................... The Island of American Samoa.AZR05*### ...................................... The State of Arizona, except Indian country lands.AZR05*##I ....................................... Indian country lands within the State of Arizona, including Navajo Reservation lands in New Mexico and

Utah.CAR05*##I ...................................... Indian country lands within the State of California.GUR05*### ..................................... The Island of Guam.JAR05*### ...................................... Johnston Atoll.MWR05*### .................................... Midway Island and Wake Island.NIR05*### ....................................... Commonwealth of the Northern Mariana Islands.NVR05*##I ...................................... Indian country lands within the State of Nevada, including the Duck Valley Reservation in Idaho, the Fort

McDermitt Reservation in Oregon and the Goshute Reservation in Utah.

1.1.10 Region 10: AK, ID (Except See Region 9 for Duck Valley Reservation Lands), OR (Except See Region 9 forFort McDermitt Reservation), WA

The states of Oregon and Washington are the NPDES Permitting Authority for the majority of discharges withintheir respective states. The 1995 Multi-Sector General Permit was issued in the State of Alaska on February 9, 1996(61 FR 5247) and the terms and conditions of the 1995 permit are effective for facilities in Alaska through February9, 2001. EPA will reissue this permit for the State of Alaska at a future date.


AKR05*##I ...................................... Indian country lands within Alaska.IDR05*### ....................................... The State of Idaho, except Indian country lands.IDR05*##I ........................................ Indian country lands within the State of Idaho, except Duck Valley Reservation lands which are covered

under Nevada permit NVR05*##I listed in Part 1.1.9.ORR05*##I ...................................... Indian country lands within the State of Oregon except Fort McDermitt Reservation lands that are covered

under Nevada permit NVR05*##I listed in Part 1.1.9.WAR05*##I ..................................... Indian country lands within the State of Washington.WAR05*##F .................................... Federal Facilities in the State of Washington, except those located on Indian country lands.



1.2 Eligibility

You must maintain permit eligibility to discharge under this permit. Any discharges that are not compliant withthe eligibility conditions of this permit are not authorized by the permit and you must either apply for a separatepermit to cover those ineligible discharges or take necessary steps to make the discharges eligible for coverage.

1.2.1 Facilities Covered

Your permit eligibility is limited to discharges from facilities in the ‘‘sectors’’ of industrial activity based on StandardIndustrial Classification (SIC) codes and Industrial Activity Codes summarized in Table 1–1. References to ‘‘sectors’’in this permit (e.g., sector-specific monitoring requirements, etc.) refer to these sectors.

TABLE 1–1.—SECTORS OF INDUSTRIAL ACTIVITY COVERED BY THIS PERMIT

SIC code or activity code 1 Activity represented

Sector A: Timber Products

2411 ................................................ Log Storage and Handling (Wet deck storage areas only authorized if no chemical additives are used inthe spray water or applied to the logs).

2421 ................................................ General Sawmills and Planning Mills.2426 ................................................ Hardwood Dimension and Flooring Mills.2429 ................................................ Special Product Sawmills, Not Elsewhere Classified.2431–2439 (except 2434) ............... Millwork, Veneer, Plywood, and Structural Wood (see Sector W).2448, 2449 ...................................... Wood Containers.2451, 2452 ...................................... Wood Buildings and Mobile Homes.2491 ................................................ Wood Preserving.2493 ................................................ Reconstituted Wood Products.2499 ................................................ Wood Products, Not Elsewhere Classified.

Sector B: Paper and Allied Products

2611 ................................................ Pulp Mills.2621 ................................................ Paper Mills.2631 ................................................ Paperboard Mills.2652–2657 ...................................... Paperboard Containers and Boxes.2671–2679 ...................................... Converted Paper and Paperboard Products, Except Containers and Boxes.

Sector C: Chemical and Allied Products

2812–2819 ...................................... Industrial Inorganic Chemicals.2821–2824 ...................................... Plastics Materials and Synthetic Resins, Synthetic Rubber, Cellulosic and Other Manmade Fibers Except

Glass.2833–2836 ...................................... Medicinal chemicals and botanical products; pharmaceutical preparations; in vitro and in vivo diagnostic

substances; biological products, except diagnostic substances.2841–2844 ...................................... Soaps, Detergents, and Cleaning Preparations; Perfumes, Cosmetics, and Other Toilet Preparations.2851 ................................................ Paints, Varnishes, Lacquers, Enamels, and Allied Products.2861–2869 ...................................... Industrial Organic Chemicals.2873–2879 ...................................... Agricultural Chemicals.2873 ................................................ Facilities that Make Fertilizer Solely from Leather Scraps and Leather Dust.2891–2899 ...................................... Miscellaneous Chemical Products.3952 (limited to list) ........................ Inks and Paints, Including China Painting Enamels, India Ink, Drawing Ink, Platinum Paints for Burnt Wood

or Leather Work, Paints for China Painting, Artist’s Paints and Artist’s Watercolors.

Sector D: Asphalt Paving and Roofing Materials and Lubricants

2951, 2952 ...................................... Asphalt Paving and Roofing Materials.2992, 2999 ...................................... Miscellaneous Products of Petroleum and Coal.

Sector E: Glass Clay, Cement, Concrete, and Gypsum Products

3211 ................................................ Flat Glass.3221, 3229 ...................................... Glass and Glassware, Pressed or Blown.3231 ................................................ Glass Products Made of Purchased Glass.3241 ................................................ Hydraulic Cement.3251–3259 ...................................... Structural Clay Products.3261–3269 ...................................... Pottery and Related Products.3271–3275 ...................................... Concrete, Gypsum and Plaster Products.3291–3299 ...................................... Abrasive, Asbestos, and Miscellaneous Nonmetallic Mineral Products.

Sector F: Primary Metals

3312–3317 ...................................... Steel Works, Blast Furnaces, and Rolling and Finishing Mills.3321–3325 ...................................... Iron and Steel Foundries.3331–3339 ...................................... Primary Smelting and Refining of Nonferrous Metals.3341 ................................................ Secondary Smelting and Refining of Nonferrous Metals.3351–3357 ...................................... Rolling, Drawing, and Extruding of Nonferrous Metals.



TABLE 1–1.—SECTORS OF INDUSTRIAL ACTIVITY COVERED BY THIS PERMIT—Continued


3363–3369 ...................................... Nonferrous Foundries (Castings).3398, 3399 ...................................... Miscellaneous Primary Metal Products.

Sector G: Metal Mining (Ore Mining and Dressing)

1011 ................................................ Iron Ores.1021 ................................................ Copper Ores.1031 ................................................ Lead and Zinc Ores.1041, 1044 ...................................... Gold and Silver Ores.1061 ................................................ Ferroalloy Ores, Except Vanadium.1081 ................................................ Metal Mining Services.1094, 1099 ...................................... Miscellaneous Metal Ores.

Sector H: Coal Mines and Coal Mining Related Facilities

1221–1241 ...................................... Coal Mines and Coal Mining-Related Facilities.

Sector I: Oil and Gas Extraction and Refining

1311 ................................................ Crude Petroleum and Natural Gas.1321 ................................................ Natural Gas Liquids.1381–1389 ...................................... Oil and Gas Field Services.2911 ................................................ Petroleum Refineries.

Sector J: Mineral Mining and Dressing

1411 ................................................ Dimension Stone.1422–1429 ...................................... Crushed and Broken Stone, Including Rip Rap.1442, 1446 ...................................... Sand and Gravel1455, 1459 ...................................... Clay, Ceramic, and Refractory Materials.1474–1479 ...................................... Chemical and Fertilizer Mineral Mining.1481 ................................................ Nonmetallic Minerals Services, Except Fuels.1499 ................................................ Miscellaneous Nonmetallic Minerals, Except Fuels.

Sector K: Hazardous Waste Treatment, Storage, or Disposal Facilities

HZ ................................................... Hazardous Waste Treatment Storage or Disposal.

Sector L: Landfills and Land Application Sites

LF .................................................... Landfills, Land Application Sites, and Open Dumps.

Sector M: Automobile Salvage Yards

5015 ................................................ Automobile Salvage Yards.

Sector N: Scrap Recycling Facilities

5093 ................................................ Scrap Recycling Facilities.

Sector O: Steam Electric Generating Facilities

SE ................................................... Steam Electric Generating Facilities.

Sector P: Land Transportation and Warehousing

4011, 4013 ...................................... Railroad Transportation.4111–4173 ...................................... Local and Highway Passenger Transportation.4212–4231 ...................................... Motor Freight Transportation and Warehousing.4311 ................................................ United States Postal Service.5171 ................................................ Petroleum Bulk Stations and Terminals.

Sector Q: Water Transportation

4412–4499 ...................................... Water Transportation.

Sector R: Ship and Boat Building or Repairing Yards

3731,3732 ....................................... Ship and Boat Building or Repairing Yards.

Sector S: Air Transportation

4512–4581 ...................................... Air Transportation Facilities.



TABLE 1–1.—SECTORS OF INDUSTRIAL ACTIVITY COVERED BY THIS PERMIT—Continued


Sector T: Treatment Works

TW ................................................... Treatment Works.

Sector U: Food and Kindred Products

2011–2015 ...................................... Meat Products.2021–2026 ...................................... Dairy Products.2032 ................................................ Canned, Frozen and Preserved Fruits, Vegetables and Food Specialties.2041–2048 ...................................... Grain Mill Products.2051–2053 ...................................... Bakery Products.2061–2068 ...................................... Sugar and Confectionery Products.2074–2079 ...................................... Fats and Oils.2082–2087 ...................................... Beverages.2091–2099 ...................................... Miscellaneous Food Preparations and Kindred Products.2111–2141 ...................................... Tobacco Products.

Sector V: Textile Mills, Apparel, and Other Fabric Product Manufacturing, Leather and Leather Products

2211–2299 ...................................... Textile Mill Products.2311–2399 ...................................... Apparel and Other Finished Products Made From Fabrics and Similar Materials.3131–3199 (except 3111) ............... Leather and Leather Products, except Leather Tanning and Finishing (see Sector Z).

Sector W: Furniture and Fixtures

2434 ................................................ Wood Kitchen Cabinets.2511–2599 ...................................... Furniture and Fixtures.

Sector X: Printing and Publishing

2711–2796 ...................................... Printing, Publishing, and Allied Industries.

Sector Y: Rubber, Miscellaneous Plastic Products, and Miscellaneous Manufacturing Industries.

3011 ................................................ Tires and Inner Tubes.3021 ................................................ Rubber and Plastics Footwear.3052, 3053 ...................................... Gaskets, Packing, and Sealing Devices and Rubber and Plastics Hose and Belting.3061, 3069 ...................................... Fabricated Rubber Products, Not Elsewhere Classified.3081–3089 ...................................... Miscellaneous Plastics Products.3931 ................................................ Musical Instruments.3942–3949 ...................................... Dolls, Toys, Games and Sporting and Athletic Goods.3951–3955 (except 3952 facilities

as specified in Sector C).Pens, Pencils,and Other Artists’ Materials.

3961, 3965 ...................................... Costume Jewelry, Costume Novelties, Buttons, and Miscellaneous Notions, Except Precious Metal.3991–3999 ...................................... Miscellaneous Manufacturing Industries.

3411–3499 ...................................... Fabricated Metal Products, Except Machinery and Transportation Equipment.3911–3915 ...................................... Jewelry, Silverware, and Plated Ware.

Sector AB: Transportation Equipment, Industrial or Commercial Machinery

3511–3599 (except 3571–3579) ..... Industrial and Commercial Machinery (except Computer and Office Equipment) (see Sector AC).3711–3799 (except 3731, 3732) ..... Transportation Equipment (except Ship and Boat Building and Repairing) (see Sector R).

Sector AC: Electronic, Electrical, Photographic, and Optical Goods

3571–3579 ...................................... Computer and Office Equipment.3612–3699 ...................................... Electronic, Electrical Equipment and Components, except Computer Equipment.3812 ................................................ Measuring, Analyzing and Controlling Instrument; Photographic and Optical Goods.

Sector AD: Non-Classified Facilities

N/A .................................................. Other storm water discharges designated by the Director as needing a permit (see 40 CFR 122.26(g)(1)(I))or any facility discharging storm water associated with industrial activity not described by any of SectorsA–AC. Note: Facilities may not elect to be covered under Sector AD. Only the Director may assign a fa-cility to Sector AD.

1 A complete list of SIC codes (and conversions from the newer North American Industry Classification System (NAICS)) can be obtained fromthe Internet at http://www.census.gov/epcd/www/naics.html or in paper form from various locations in the document entitled ‘‘Handbook of Stand-ard Industrial Classifications,’’ Office of Management and Budget, 1987. Industrial activity codes are provided on the Multi-Sector General PermitNotice of Intent (NOI) application form (EPA Form Number 3510–6).



1.2.1.1 Co-located Activities. If youhave co-located industrial activities on-site that are described in a sector(s)other than your primary sector, youmust comply with all other applicablesector-specific conditions found in Part6 for the co-located industrial activities.The extra sector-specific requirementsare applied only to those areas of yourfacility where the extra-sector activitiesoccur. An activity at a facility is notconsidered co-located if the activity,when considered separately, does notmeet the description of a category ofindustrial activity covered by the stormwater regulations, and identified by theMSGP–2000 SIC code list. For example,unless you are actually haulingsubstantial amounts of freight ormaterials with your own truck fleet orare providing a trucking service tooutsiders, simple maintenance ofvehicles used at your facility is unlikelyto meet the SIC code group 42description of a motor freighttransportation facility. Even thoughSector P may not apply, the runoff fromyour vehicle maintenance facility wouldlikely still be considered storm waterassociated with industrial activity. As

such, your SWPPP must still address therunoff from the vehicle maintenancefacility—although not necessarily withthe same degree of detail as required bySector P—but you would not berequired to monitor as per Sector P.

If runoff from co-located activitiescommingles, you must monitor thedischarge as per the requirements of allapplicable sectors (regardless of theactual location of the discharge). If youcomply with all applicable requirementsfrom all applicable sections of Part 6 forthe co-located industrial activities, thedischarges from these co-locatedactivities are authorized by this permit.

1.2.2 Discharges Covered

1.2.2.1 Allowable Storm WaterDischarges. Subject to compliance withthe terms and conditions of this permit,you are authorized to dischargepollutants in:

1.2.2.1.1 Discharges of storm waterrunoff associated with industrialactivities as defined in 40 CFR 122.26(b)(14)(i–ix and xi) from the sectors ofindustry described in Table 1–1, andthat are specifically identified by outfallor discharge location in the Storm Water

Pollution Prevention Plan (see Part4.2.2.3.7);

1.2.2.1.2 Non-storm waterdischarges as noted in Part 1.2.2.2 orotherwise specifically allowed by thepermit;

1.2.2.1.3 Discharges subject to aneffluent guideline listed in Table 1–2that also meet all other eligibilityrequirements of the permit. Interimcoverage is also available for dischargessubject to a new storm water effluentlimitation guideline promulgated afterthe effective date of this permit.Discharges subject to a New SourcePerformance Standard (NSPS) effluentguideline must also meet therequirements of Part 1.2.4.;

1.2.2.1.4 Discharges designated bythe Director as needing a storm waterpermit under 40 CFR 122.26(a)(1)(v) orunder 122.26(a)(9) and 122.26(g)(1)(i);and

1.2.2.1.5 Discharges comprised of adischarge listed in Parts 1.2.2.1.1 to1.2.2.1.4 above commingled with adischarge authorized by a differentNPDES permit and/or a discharge thatdoes not require NPDES permitauthorization.

TABLE 1–2.—EFFLUENT GUIDELINES APPLICABLE TO DISCHARGES THAT MAY BE ELIGIBLE FOR PERMIT COVERAGE

Effluent guideline

New sourceperformancestandards in-cluded in ef-fluent guide-

lines?

Sectorswith affected

facilities

Runoff from material storage piles at cement manufacturing facilities [40 CFR Part 411 Subpart C (establishedFebruary 23, 1977)].

Yes ............... E

Contaminated runoff from phosphate fertilizer manufacturing facilities [40 CFR Part 418 Subpart A (establishedApril 8, 1974)].

Yes ............... C

Coal pile runoff at steam electric generating facilities [40 CFR Part 423 (established November 19, 1982)] .......... Yes ............... ODischarges resulting from spray down or intentional wetting of logs at wet deck storage areas [40 CFR Part 429,

Subpart I (established January 26, 1981)].Yes ............... A

Mine dewatering discharges at crushed stone mines [40 CFR part 436, Subpart B] ............................................... No ................ JMine dewatering discharges at construction sand and gravel mines [40 CFR part 436, Subpart C] ....................... No ................ JMine dewatering discharges at industrial sand mines [40 CFR part 436, Subpart D] .............................................. No ................ JRunoff from asphalt emulsion facilities [40 CFR Part 443 Subpart A (established July 24, 1975)] .......................... Yes ............... DRunoff from landfills, [40 CFR Part 445, Subpart A and B (established February 2, 2000] ..................................... Yes ............... K & L

1.2.2.2 Allowable Non-Storm WaterDischarges. You are also authorized forthe following non-storm waterdischarges, provided the non-stormwater component of your discharge is incompliance with Part 4.4.2 (non-stormwater discharges):

1.2.2.2.1 Discharges from firefighting activities;

1.2.2.2.2 Fire hydrant flushings;1.2.2.2.3 Potable water including

water line flushings;1.2.2.2.4 Uncontaminated air

conditioning or compressor condensate;1.2.2.2.5 Irrigation drainage;1.2.2.2.6 Landscape watering

provided all pesticides, herbicides, and

fertilizer have been applied inaccordance with manufacturer’sinstructions;

1.2.2.2.7 Pavement wash waterswhere no detergents are used and nospills or leaks of toxic or hazardousmaterials have occurred (unless allspilled material has been removed);

1.2.2.2.8 Routine external buildingwash down which does not usedetergents;

1.2.2.2.9 Uncontaminated groundwater or spring water;

1.2.2.2.10 Foundation or footingdrains where flows are notcontaminated with process materialssuch as solvents;

1.2.2.2.11 Incidental windblownmist from cooling towers that collectson rooftops or adjacent portions of yourfacility, but NOT intentional dischargesfrom the cooling tower (e.g., ‘‘piped’’cooling tower blowdown or drains).

1.2.3 Limitations on Coverage

1.2.3.1 Prohibition on DischargesMixed with Non-Storm Water. You arenot authorized for discharges that aremixed with sources of non-storm water.This exclusion does not apply todischarges identified in Part 1.2.2.2,provided the discharges are incompliance with Part 4.4.2 (Storm



Water Pollution Prevention Planrequirements for authorized non-stormwater discharges), and to any dischargeexplicitly authorized by the permit.

1.2.3.2 Storm Water DischargesAssociated with Construction Activity.You are not authorized for storm waterdischarges associated with constructionactivity as defined in 40 CFR122.26(b)(14)(x) or 40 CFR122.26(b)(15).

1.2.3.3 Discharges Currently orPreviously Covered by Another Permit.You are not authorized for thefollowing:

1.2.3.3.1 Storm water dischargesassociated with industrial activity thatare currently covered under anindividual permit or an alternativegeneral permit.

1.2.3.3.2 Discharges previouslycovered by an individual permit oralternative general permit (except the1992 ‘‘Baseline’’ or the 1995 Multi-Sector NPDES General Permits forStorm Water Discharges AssociatedWith Industrial Activity) that hasexpired, or been terminated at therequest of the permittee unless:

1.2.3.3.2.1 The individual permitdid not contain numeric water quality-based limitations developed for thestorm water component of thedischarge; and

1.2.3.3.2.2 The permittee includesany specific BMPs for storm waterrequired under the individual permit inthe SWPPP required under Part 4 of thispermit.

1.2.3.3.3 Storm water dischargesassociated with industrial activity fromfacilities where any NPDES permit hasbeen or is in the process of beingdenied, terminated, or revoked by theDirector (other than in a replacementpermit issuance process). Upon request,the Director may waive this exclusion ifoperator of the facility has since passedto a different owner/operator and newcircumstances at the facility justify awaiver.

1.2.3.4 Discharges Subject toEffluent Limitations Guidelines. You arenot authorized for discharges subject toany effluent limitation guideline that isnot included in Table 1–2. Fordischarges subject to a New SourcePerformance Standard (NSPS) effluentguideline identified in Table 1–2, youmust comply with Part 1.2.4 prior tobeing eligible for permit coverage.

1.2.3.5 Discharge Compliance withWater Quality Standards. You are notauthorized for storm water dischargesthat the Director determines will cause,or have reasonable potential to cause orcontribute to, violations of water qualitystandards. Where such determinationshave been made, the Director may notify

you that an individual permitapplication is necessary in accordancewith Part 9.12. However, the Directormay authorize your coverage under thispermit after you have includedappropriate controls andimplementation procedures designed tobring your discharges into compliancewith water quality standards in yourStorm Water Pollution Prevention Plan.

1.2.3.6 Endangered and ThreatenedSpecies or Critical Habitat Protection.You are not authorized for dischargesthat do not avoid unacceptable effectson Federally listed endangered andthreatened (‘‘listed’’) species ordesignated critical habitat (‘‘criticalhabitat’’).

Caution: Additional endangered andthreatened species have been listed andcritical habit designated since the 1995MSGP was issued. Even if you werepreviously covered by the 1995 MSGP, youmust determine eligibility for this permitthrough the processes described below and inAddendum A. Where applicable, you mayincorporate information from your previousendangered species analysis in yourdocumentation of eligibility for this permit.

1.2.3.6.1 Coverage under this permitis available only if your storm waterdischarges, allowable non-storm waterdischarges, and discharge-relatedactivities are not likely to jeopardize thecontinued existence of any species thatare listed as endangered or threatened(‘‘listed’’) under the ESA or result in theadverse modification or destruction ofhabitat that is designated or proposed tobe designated as critical under the ESA(‘‘critical habitat’’). Submission of asigned NOI will be deemed to alsoconstitute your certification ofeligibility.

1.2.3.6.2 ‘‘Discharge-relatedactivities’’ include: activities whichcause, contribute to, or result in stormwater point source pollutant discharges;and measures to control storm waterdischarges including the siting,construction and operation of bestmanagement practices (BMPs) tocontrol, reduce or prevent storm waterpollution.

1.2.3.6.3 Determining Eligibility:You must use the most recentEndangered and Threatened SpeciesCounty-Species List available from EPAand the process in Addendum A (ESAScreening Process) to determine youreligibility PRIOR to submittal of yourNOI. As of the effective date of thispermit, the most current version of theList is located on the EPA Office ofWater Web site at http://www.epa.gov/owm/esalst2.htm. You must meet one ormore of the criteria in 1.2.3.6.3.1through 1.2.3.6.3.5 below for the entireterm of coverage under the permit. You

must include a certification of eligibilityand supporting documentation on theeligibility determination in your StormWater Pollution Prevention Plan.

1.2.3.6.3.1 Criteria A: Noendangered or threatened species orcritical habitat are in proximity to yourfacility or the point where authorizeddischarges reach the receiving water; or

1.2.3.6.3.2 Criteria B: In the courseof a separate federal action involvingyour facility (e.g., EPA processingrequest for an individual NPDES permit,issuance of a CWA § 404 wetlandsdredge and fill permit, etc.), formal orinformal consultation with the Fish andWildlife Service and/or the NationalMarine Fisheries Service (the‘‘Services’’) under section 7 of theEndangered Species Act (ESA) has beenconcluded and that consultation:

(a) Addressed the effects of yourstorm water discharges, allowable non-storm water discharges, and discharge-related activities on listed species andcritical habitat and

(b) The consultation resulted in eithera no jeopardy opinion or a writtenconcurrence by the Service on a findingthat your storm water discharges,allowable non-storm water discharges,and discharge-related activities are notlikely to adversely affect listed speciesor critical habitat; or

1.2.3.6.3.3 Criteria C: Your activitiesare authorized under section 10 of theESA and that authorization addressesthe effects of your storm waterdischarges, allowable non-storm waterdischarges, and discharge-relatedactivities on listed species and criticalhabitat; or

1.2.3.6.3.4 Criteria D: Using bestjudgement, you have evaluated theeffects of your storm water discharges,allowable non-storm water discharges,and discharge-related activities on listedendangered or threatened species andcritical habitat and do not have reasonto believe listed species or criticalhabitat would be adversely affected.

1.2.3.6.3.5 Criteria E: Your stormwater discharges, allowable non-stormwater discharges, and discharge-relatedactivities were already addressed inanother operator’s certification ofeligibility under Part 1.2.3.6.3.1 through1.2.3.6.3.4 which included yourfacility’s activities. By certifyingeligibility under this Part, you agree tocomply with any measures or controlsupon which the other operator’scertification was based;

1.2.3.6.4 The Director may requireany permittee or applicant to providedocumentation of the permittee orapplicant’s determination of eligibilityfor this permit using the procedures inAddendum A where EPA or the Fish



1 NSPS apply only to discharges from thosefacilities or installations that were constructed afterthe promulgation of NSPS. For example, stormwater discharges from areas where the productionof asphalt paving and roofing emulsions occurs aresubject to NSPS only if the asphalt emulsion facilitywas constructed after July 24, 1975.

2 The provisions specified in Part 1.2.2.3 and Part1.2.4 related to documenting New Source reviewsare requirements of Federal programs under theNational Environmental Policy Act of 1969 and willnot apply to such facilities in the event thatauthority for the NPDES program has been assumedby the State/Tribe agency and administration of thispermit has been transferred to the State/Tribe.

and Wildlife and/or National MarineFisheries Services determine that thereis a potential impact on endangered orthreatened species or a critical habitat.

1.2.3.6.5 You are not authorized todischarge if the discharges or discharge-related activities cause a prohibited‘‘take’’ of endangered or threatenedspecies (as defined under section 3 ofthe Endangered Species Act and 50 CFR17.3), unless such takes are authorizedunder sections 7 or 10 of theEndangered Species Act.

1.2.3.6.6 You are not authorized forany discharges where the discharges ordischarge-related activities are likely tojeopardize the continued existence ofany species that are listed as endangeredor threatened under the ESA or result inthe adverse modification or destructionof habitat that is designated or proposedto be designated as critical under theESA.

1.2.3.6.7 The Endangered SpeciesAct (ESA) provisions upon which part1.2.3.6 is based do not apply to state-issued permits. Should administrationof all or a portion of this permit betransfer to a State as a result of that Stateassuming the NPDES program pursuantto Clean Water Act § 402(b), Part 1.2.3.6will not apply to any new NOIssubmitted to the State after the Stateassumes administration of the permit(unless otherwise provided in the stateprogram authorization agreement).Likewise, any other permit conditionsbased on Part 1.2.3.6 will no longerapply to new NOIs accepted by theNPDES-authorized state.

1.2.3.7 Storm water Discharges andStorm Water Discharge-RelatedActivities with Unconsidered AdverseEffects on Historic Properties.

1.2.3.7.1 Determining Eligibility: Inorder to be eligible for coverage underthis permit, you must be in compliancewith the National Historic PreservationAct. Your discharges may be authorizedunder this permit only if:

1.2.3.7.1.1 Criteria A: Your stormwater discharges, allowable non-stormwater discharges, and discharge-relatedactivities do not affect a property that islisted or is eligible for listing on theNational Register of Historic Places asmaintained by the Secretary of theInterior; or

1.2.3.7.1.2 Criteria B: You haveobtained and are in compliance with awritten agreement with the StateHistoric Preservation Officer (SHPO) orTribal Historic Preservation Officer(THPO) that outlines all measures youwill undertake to mitigate or preventadverse effect to the historic property.

1.2.3.7.2 Addendum B of this permitprovides guidance and references to

assist you with determining your permiteligibility concerning this provision.

1.2.3.8 Discharges to Water Quality-Impaired or Water Quality-LimitedReceiving Waters.

1.2.3.8.1 You are not authorized todischarge if your discharge is prohibitedunder 40 CFR 122.4(i).

1.2.3.8.2 You are not authorized todischarge any pollutant into any waterfor which a Total Maximum Daily Load(TMDL) has been either established orapproved by the EPA unless yourdischarge is consistent with that TMDL.

1.2.3.9 Storm Water DischargesSubject to Anti-degradation WaterQuality Standards. You are notauthorized for discharges that do notcomply with your State or Tribe’s anti-degradation policy for water qualitystandards. State and Tribal anti-degradation policies can be obtainedfrom the appropriate State or Tribalenvironmental office or their Internetsites.

1.2.4 Discharges Subject to NewSource Performance Standards(NSPS)1 2

1.2.4.1 Documentation of NewSource Review. If you have adischarge(s) subject to a NSPS effluentguideline, you must obtain and retainthe following on site prior to thesubmittal of your Notice of Intent:

1.2.4.1.1 Documentation from EPAof ‘‘No Significant Impact’’ or

1.2.4.1.2 A completedEnvironmental Impact Statement inaccordance with an environmentalreview conducted by EPA pursuant to40 CFR 6.102(a)(6).

1.2.4.2 Initiating a New SourceReview. If the Agency’s decision has notbeen obtained, you may use the formatand procedures specified in AddendumC to submit information to EPA toinitiate the process of the environmentalreview.

To maintain eligibility, you mustimplement any mitigation required ofthe facility as a result of the NationalEnvironmental Policy Act (NEPA)review process. Failure to implementmitigation measures upon which theAgency’s NEPA finding is based is

grounds for termination of permitcoverage.

1.2.4.3 NEPA Requirements afterState Assumption of this Permit. TheNational Environmental Policy Act(NEPA) provisions upon which part1.2.4 is based do not apply to state-issued permits. Should administrationof all or a portion of this permit betransfer to a State as a result of that Stateassuming the NPDES program pursuantto Clean Water Act § 402(b), Part 1.2.4will not apply to any new NOIssubmitted to the State after the Stateassumes administration of the permit.Likewise, any other permit conditionsbased on Part 1.2.4 will no longer applyto new NOIs accepted by the NPDES-authorized state.

1.3 How To Obtain AuthorizationUnder This Permit

1.3.1 Basic EligibilityYou may be authorized under this

permit only if you have a discharge ofstorm water associated with industrialactivity from your facility. In order toobtain authorization under this permit,you must:

1.3.1.1 Meet the Part 1.2 eligibilityrequirements; and

1.3.1.2 Develop and implement aStorm Water Pollution Prevention Plan(SWPPP) (see definition in Part 12)according to the requirements in Part 4of this permit.

1.3.1.3 Submit a complete Notice ofIntent (NOI) in accordance with therequirements of Part 2 of this permit.Any new operator at a facility, includingthose who replace an operator who haspreviously obtained permit coverage,must submit an NOI to be covered fordischarges for which they are theoperator.

1.3.2 Effective Date of PermitCoverage

Unless notified by the Director to thecontrary, if you submit a correctlycompleted NOI in accordance with therequirements of this permit, you areauthorized to discharge under the termsand conditions of this permit two (2)days after the date the NOI ispostmarked (but in no event, earlierthan the effective date of the permit).The Director may deny coverage underthis permit and require submission of anapplication for an individual NPDESpermit based on a review of your NOIor other information (see Part 9.12).Authorization to discharge is notautomatically granted two days after theNOI is mailed if your NOI is materiallyincomplete (e.g., critical information leftoff, NOI unsigned, etc.) or if yourdischarge(s) is not eligible for coverageby the permit.



1.4 Terminating Coverage

1.4.1 Submitting a Notice ofTermination

If you wish to terminate coverageunder this permit, you must submit aNotice of Termination (NOT) inaccordance with Part 11 of this permit.You must continue to comply with thispermit until you submit an NOT. Yourauthorization to discharge under thepermit terminates at midnight of the daythe NOT is signed.

1.4.2 When to Submit an NOT

You must submit an NOT withinthirty (30) days after one or more of thefollowing conditions have been met:

1.4.2.1 A new owner/operator hasassumed responsibility for the facility

1.4.2.2 You have ceased operationsat the facility and there no longer aredischarges of storm water associatedwith industrial activity from the facilityand you have already implementednecessary sediment and erosion controlsas required by Part 4.2.7.2.2.1

1.4.3 Discharges After the NOT IsSubmitted

Enforcement actions may be taken ifyou submit an NOT without meetingone or more of these conditions, unlessyou have obtained coverage under analternate permit or have satisfied therequirements of Part 1.5.

1.5 Conditional Exclusion for NoExposure

If you are covered by this permit, butlater are able to file a ‘‘no exposure’’certification to be excluded frompermitting under 40 CFR 122.26(g), youare no longer authorized by nor requiredto comply with this permit. If you areno longer required to have permitcoverage due to a ‘‘no exposure’’exclusion, you are not required tosubmit a Notice of Termination.

2. Notice of Intent Requirements

2.1 Notice of Intent (NOI) Deadlines

Your NOI must be submitted inaccordance with the deadlines in Table2–1. You must meet all applicableeligibility conditions of Part 1.2 beforeyou submit your NOI.

TABLE 2.–1—DEADLINES FOR NOISUBMITTAL

Category Deadline

1. Existing dischargescovered under the1995 MSGP (seealso Part 2.1.2—In-terim Coverage).

December 29, 2000.

TABLE 2.–1—DEADLINES FOR NOISUBMITTAL—Continued

Category Deadline

2. New discharges .... Two (2) days prior tocommencing oper-ation of the facilitywith discharges ofstorm water associ-ated with industrialactivity.

3. New owner/oper-ator of existing dis-charges.

Two (2) days prior totaking operationalcontrol of the facil-ity.

4. Continued cov-erage when thepermit expires in2005.

See Part 9.2

Only one NOI need be submitted tocover all of your activities at the facility(e.g., you do not need to submit aseparate NOI for each separate type ofindustrial activity located at a facility orindustrial complex, provided yourSWPPP covers each area for which youare an operator).

2.1.1 Submitting a Late NOI

You are not prohibited fromsubmitting an NOI after the datesprovided in Table 2–1. If a late NOI issubmitted, your authorization is only fordischarges that occur after permitcoverage is granted. The Agencyreserves the right to take appropriateenforcement actions for anyunpermitted discharges.

2.1.2 Interim Permit Coverage for1995 MSGP Permittees

If you had coverage for your facilityunder the 1995 MSGP, you may beeligible for continued coverage underthis permit on an interim basis.

2.1.2.1 Discharges Authorized Underthe 1995 MSGP. If permit coverage foryour facility under the 1995 MSGP waseffective as of the date the 1995 MSGPexpired (or the date this permit replacedthe 1995 MSGP if earlier), yourauthorization is automaticallycontinued into this replacement permiton an interim basis for up to ninety (90)days from the effective date of thepermit. Interim coverage will terminateearlier than the 90 days when an NOIhas been submitted and coverage eithergranted or denied; or after submittal ofan NOT.

2.1.2.2 Discharges Authorized Underthe 1995 MSGP, But Not Clearly Eligiblefor Coverage Under This Permit. If youwere previously covered by the 1995MSGP, but cannot meet (or cannotimmediately determine if you meet) theeligibility requirements of this permit,you may nonetheless be authorized

under this permit for a period not toexceed 270 days from the date thispermit is published in the FederalRegister, provided you submit anapplication for an alternative permitwithin 90 days from the permitpublication date.

2.1.2.3 Interim Coverage PermitRequirements. While you are operatingunder interim coverage status, youmust:

2.1.2.3.1 Submit a complete NOI(see Part 2.2) by the deadlines listed inTable 2–1 or Part 2.1.2.2 above.

2.1.2.3.2 Comply with the terms andconditions of the 1995 MSGP.

2.1.2.3.3 Update your Storm WaterPollution Prevention Plan to complywith the requirements of this permitwithin 90 days after the effective date ofthis permit.

2.2 Contents of Notice of Intent (NOI)Your NOI for coverage under this

permit must include the followinginformation:

2.2.1 Permit Selection2.2.1.1 If you were covered under

the previous MSGP, provide the permitnumber assigned to your facility.

2.2.2 Owner/Operator Information2.2.2.1 The name, address, and

telephone number of the operator (e.g.,your company, etc.) filing the NOI forpermit coverage;

2.2.3 Facility Information2.2.3.1 The name (or other

identifier), address, county, andlatitude/longitude of the facility forwhich the NOI is submitted;

2.2.3.2 An indication of whether youare a Federal, State, Tribal, private, orother public entity;

2.2.3.3 An indication of whether thefacility is located on Indian countrylands;

2.2.3.4 Certification that a StormWater Pollution Prevention Plan(SWPPP) meeting the requirements ofPart 4 has been developed (includingattaching a copy of this permit to theplan;

2.2.3.5 The name of the receivingwater(s);

2.2.3.6 The name of the municipaloperator if the discharge is through amunicipal separate storm sewer system,unless you are the owner/operator ofthat municipal separate storm sewersystem;

2.2.3.7 Identification of applicablesector(s) in this permit, as designated inTable 1–1, that cover the dischargesassociated with industrial activity youwish to cover under this permit;

2.2.3.8 Up to four 4-digit StandardIndustrial Classification (SIC) codes or



the 2-letter Activity Codes for hazardouswaste treatment, storage, or disposalactivities (HZ); land/disposal facilitiesthat receive or have received anyindustrial waste (LF); steam electricpower generating facilities (SE); ortreatment works treating domesticsewage (TW) that best represent theprincipal products produced or servicesrendered by your facility and major co-located activities;

2.2.4 Eligibility Screening2.2.4.1 Based on the instructions in

Addendum A, whether any listed orproposed threatened or endangeredspecies, or designated critical habitat,are in proximity to the storm waterdischarges or storm water discharge-related activities to be covered by thispermit;

2.2.4.2 Whether any historicproperty listed or eligible for listing onthe National Register of Historic Placesis located on the facility or in proximityto the discharge;

2.2.4.3 A signed and datedcertification, signed by a authorizedrepresentative of your facility andmaintained with your SWPPP, asdetailed in Part 9.7 that certifies thefollowing:

‘‘I certify under penalty of law that I haveread and understand the Part 1.2 eligibilityrequirements for coverage under the multi-sector storm water general permit includingthose requirements relating to the protectionof endangered or threatened species orcritical habitat. To the best of my knowledge,the storm water and allowable non-stormdischarges authorized by this permit (anddischarged related activities), pose nojeopardy to endangered or threatened speciesor critical habitat, or are otherwise eligiblefor coverage under Part 1.2.3.6 of the permit.To the best of my knowledge, I further certifythat such discharges and discharge relatedactivities do not have an effect on propertieslisted or eligible for listing on the NationalRegister or Historic Places under the NationalHistoric Preservation Act, or are otherwiseeligible for coverage under Part 1.2.3.7 of thepermit. I understand that continued coverageunder the multi-sector storm water generalpermit is contingent upon maintainingeligibility as provided for in Part 1.2’’

2.3 Use of NOI FormYou must submit the information

required under Part 2.2 on the latestversion of the NOI form (or photocopythereof) contained in Addendum D.Your NOI must be signed and dated inaccordance with Part 9.7 of this permit.

Note: If EPA notifies dischargers (eitherdirectly, by public notice, or by makinginformation available on the Internet) ofother NOI form options that become availableat a later date (e.g., electronic submission offorms), you may take advantage of thoseoptions to satisfy the NOI use and submittalrequirements of Part 2.

2.4 Where To Submit

Your NOI must be signed inaccordance with Part 9.7 of this permitand submitted to the Director of theNPDES Permitting Program at thefollowing address: Storm Water Noticeof Intent (4203), US EPA, 1200Pennsylvania Avenue NW, Washington,DC 20460.

2.5 Additional Notification

If your facility discharges through alarge or medium municipal separatestorm sewer system (MS4), or into aMS4 that has been designated by thepermitting authority, you must alsosubmit a signed copy of the NOI to theoperator of that MS4 upon request bythe MS4 operator.

3. Special Conditions

3.1 Hazardous Substances or Oil

You must prevent or minimize thedischarge of hazardous substances or oilin your discharge(s) in accordance withthe Storm Water Pollution PreventionPlan for your facility. This permit doesnot relieve you of the reportingrequirements of 40 CFR 110, 40 CFR 117and 40 CFR 302 relating to spills orother releases of oils or hazardoussubstances.

3.1.1 Single Releases and Spills

Where a release containing ahazardous substance or oil in an amountequal to or in excess of a reportablequantity established under either 40CFR 110, 40 CFR 117 or 40 CFR 302,occurs during a 24 hour period:

3.1.1.1 You must notify the NationalResponse Center (NRC) (800–424–8802;in the Washington, DC, metropolitanarea call 202–426–2675) in accordancewith the requirements of 40 CFR 110, 40CFR 117 and 40 CFR 302 as soon as heor she has knowledge of the discharge;

3.1.1.2 You must modify your StormWater Pollution Prevention Planrequired under Part 4 within 14calendar days of knowledge of therelease to: provide a description of therelease, the circumstances leading to therelease, and the date of the release. Inaddition, you must review your plan toidentify measures to prevent thereoccurrence of such releases and torespond to such releases, and you mustmodify your plan where appropriate.

3.1.2 Anticipated Discharges

Anticipated discharges containing ahazardous substance in an amount equalto or in excess of reporting quantitiesare those caused by events occurringwithin the scope of the relevantoperating system. If your facilities has(or will have) more than one anticipated

discharge per year containing ahazardous substance in an amount equalto or in excess of a reportable quantity,you must:

3.1.2.1 Submit notifications of thefirst release that occurs during acalendar year (or for the first year of thispermit, after submittal of an NOI); and

3.1.2.2 Provide a written descriptionin the SWPPP of the dates on whichsuch releases occurred, the type andestimate of the amount of materialreleased, and the circumstances leadingto the releases. In addition, your SWPPPmust address measures to minimizesuch releases.

3.1.2.3 Where a discharge of ahazardous substance or oil in excess ofreporting quantities is caused by a non-storm water discharge (e.g., a spill of oilinto a separate storm sewer), thatdischarge is not authorized by theMSGP and you must report thedischarge as required under 40 CFR Part110, 40 CFR Part 117, or 40 CFR Part302 (see Part 3.1.1. above). In the eventof a spill, the requirements of Section311 of the CWA and other applicableprovisions of Sections 301 and 402 ofthe CWA continue to apply.

3.2 Additional Requirements for SaltStorage

If you have storage piles of salt usedfor deicing or other commercial orindustrial purposes, they must beenclosed or covered to prevent exposureto precipitation (except for exposureresulting from adding or removingmaterials from the pile). Piles do notneed to be enclosed or covered wherestorm water from the pile is notdischarged to waters of the UnitedStates or the discharges from the pilesare authorized under another permit.

3.3 Discharge Compliance With WaterQuality Standards

Your discharges must not be causingor have the reasonable potential to causeor contribute to a violation of a waterquality standard. Where a discharge isalready authorized under this permitand is later determined to cause or havethe reasonable potential to cause orcontribute to the violation of anapplicable water quality standard, theDirector will notify you of suchviolation(s). You must take all necessaryactions to ensure future discharges donot cause or contribute to the violationof a water quality standard anddocument these actions in the StormWater Pollution Prevention Plan. Ifviolations remain or re-occur, thencoverage under this permit may beterminated by the Director, and analternative general permit or individualpermit may be issued. Compliance with



this requirement does not preclude anyenforcement activity as provided by theClean Water Act for the underlyingviolation.

4. Storm Water Pollution PreventionPlans

4.1 Storm Water Pollution PreventionPlan Requirements

You must prepare a Storm WaterPollution Prevention Plan (SWPPP) foryour facility before submitting yourNotice of Intent for permit coverage.Your SWPPP must be prepared inaccordance with good engineeringpractices. Use of a registeredprofessional engineer for SWPPPpreparation is not required by thepermit, but may be independentlyrequired under state law and/or localordinance. Your SWPPP must:

4.1.1 Identify potential sources ofpollution which may reasonably beexpected to affect the quality of stormwater discharges from your facility;

4.1.2 Describe and ensureimplementation of practices which youwill use to reduce the pollutants instorm water discharges from the facility;and

4.1.3 assure compliance with theterms and conditions of this permit.

Note: At larger installations such asmilitary bases where there are well-definedindustrial versus non-industrial areas, theSWPPP required under this Part need onlyaddress those areas with discharges of stormwater associated with industrial activity. (e.g.,under this permit, a U.S. Air Force Basewould need to address the vehiclemaintenance areas associated with the‘‘airport’’ portion of the base in the SWPPP,but would not need to address a car washthat served only the on-base housing areas.)

4.2 Contents of Plan

4.24.2.1 Pollution Prevention TeamYou must identify the staff

individual(s) (by name or title) thatcomprise the facility’s storm waterPollution Prevention Team. YourPollution Prevention Team isresponsible for assisting the facility/plant manager in developing,implementing, maintaining and revisingthe facility’s SWPPP. Responsibilities ofeach staff individual on the team mustbe listed.

4.2.2 Site DescriptionYour SWPPP must include the

following:4.2.2.1 Activities at Facility.

description of the nature of theindustrial activity(ies) at your facility;

4.2.2.2 General Location Map. ageneral location map (e.g., U.S.G.S.quadrangle, or other map) with enoughdetail to identify the location of your

facility and the receiving waters withinone mile of the facility;

4.2.2.3 A legible site map identifyingthe following:

4.2.2.3.1 Directions of storm waterflow (e.g, use arrows to show whichways storm water will flow);

4.2.2.3.2 Locations of all existingstructural BMPs;

4.2.2.3.3 Locations of all surfacewater bodies;

4.2.2.3.4 Locations of potentialpollutant sources identified under 4.2.4and where significant materials areexposed to precipitation;

4.2.2.3.5 Locations where majorspills or leaks identified under 4.2.5have occurred;

4.2.2.3.6 Locations of the followingactivities where such activities areexposed to precipitation: fuelingstations, vehicle and equipmentmaintenance and/or cleaning areas,loading/unloading areas, locations usedfor the treatment, storage or disposal ofwastes, and liquid storage tanks;

4.2.2.3.7 Locations of storm wateroutfalls and an approximate outline ofthe area draining to each outfall;

4.2.2.3.8 Location and description ofnon-storm water discharges;

4.2.2.3.9 Locations of the followingactivities where such activities areexposed to precipitation: processing andstorage areas; access roads, rail cars andtracks; the location of transfer ofsubstance in bulk; and machinery;

4.2.2.3.10 Location and source ofrunoff from adjacent propertycontaining significant quantities ofpollutants of concern to the facility (anevaluation of how the quality of thestorm water running onto your facilityimpacts your storm water dischargesmay be included).

4.2.3 Receiving Waters and Wetlands

You must provide the name of thenearest receiving water(s), includingintermittent streams, dry sloughs,arroyos and the areal extent anddescription of wetland or other ‘‘specialaquatic sites ‘‘ (see Part 12 fordefinition) that may receive dischargesfrom your facility.

4.2.4 Summary of Potential PollutantSources

You must identify each separate areaat your facility where industrialmaterials or activities are exposed tostorm water. Industrial materials oractivities include, but are not limited to,material handling equipment oractivities, industrial machinery, rawmaterials, intermediate products, by-products, final products, or wasteproducts. Material handling activitiesinclude the storage, loading and

unloading, transportation, orconveyance of any raw material,intermediate product, final product orwaste product. For each, separate areaidentified, the description must include:

4.2.4.1 Activities in Area. A list ofthe activities (e.g., material storage,equipment fueling and cleaning, cuttingsteel beams); and

4.2.4.2 Pollutants. A list of theassociated pollutant(s) or pollutantparameter(s) (e.g., crankcase oil, iron,biochemical oxygen demand, pH, etc.)for each activity. The pollutant list mustinclude all significant materials thathave been handled, treated, stored ordisposed in a manner to allow exposureto storm water between the time of three(3) years before being covered under thispermit and the present.

4.2.5 Spills and LeaksYou must clearly identify areas where

potential spills and leaks, which cancontribute pollutants to storm waterdischarges, can occur, and theiraccompanying drainage points. Forareas that are exposed to precipitationor that otherwise drain to a storm waterconveyance at the facility to be coveredunder this permit, you must provide alist of significant spills and leaks oftoxic or hazardous pollutants thatoccurred during the three (3) yearperiod prior to the date of thesubmission of a Notice of Intent (NOI). Your list must be updated if significantspills or leaks occur in exposed areas ofyour facility during the time you arecovered by the permit.

Significant spills and leaks include,but are not limited to releases of oil orhazardous substances in excess ofquantities that are reportable underCWA § 311 (see 40 CFR 110.10 and 40CFR 117.21) or section 102 of theComprehensive EnvironmentalResponse, Compensation and LiabilityAct (CERCLA). Significant spills mayalso include releases of oil or hazardoussubstances that are not in excess ofreporting requirements.

4.2.6 Sampling DataYou must provide a summary of

existing storm water discharge samplingdata taken at your facility. All stormwater sampling data collected duringthe term of this permit must also besummarized and included in this part ofthe SWPPP.

4.2.7 Storm Water Controls4.2.7.1 Description of Existing and

Planned BMPs. Describe the type andlocation of existing non-structural andstructural best management practices(BMPs) selected for each of the areaswhere industrial materials or activities



are exposed to storm water. All the areasidentified in Part 4.2.4 should have aBMP(s) identified for the area’sdischarges. For areas where BMPs arenot currently in place, describeappropriate BMPs that you will use tocontrol pollutants in storm waterdischarges. Selection of BMPs shouldtake into consideration:

4.2.7.1.1 The quantity and nature ofthe pollutants, and their potential toimpact the water quality of receivingwaters;

4.2.7.1.2 Opportunities to combinethe dual purposes of water qualityprotection and local flood controlbenefits (including physical impacts ofhigh flows on streams—e.g., bankerosion, impairment of aquatic habitat,etc.);

4.2.7.1.3 Opportunities to offset theimpact of impervious areas of thefacility on ground water recharge andbase flows in local streams (taking intoaccount the potential for ground watercontamination—See ‘‘User’s Guide tothe MSGP–2000’’ section ongroundwater considerations).

4.2.7.2 BMP Types to be Considered.The following types of structural, non-structural and other BMPs must beconsidered for implementation at yourfacility. Describe how each is, or will be,implemented. This requirement mayhave been fulfilled with the area-specific BMPs identified under Part4.2.7.2, in which case the previousdescription is sufficient. However, manyof the following BMPs may be moregeneralized or non site-specific andtherefore not previously considered. Ifyou determine that any of these BMPsare not appropriate for your facility, youmust include an explanation of whythey are not appropriate. The BMPexamples listed below are not intendedto be an exclusive list of BMPs that youmay use. You are encouraged to keepabreast of new BMPs or newapplications of existing BMPs to findthe most cost effective means of permitcompliance for your facility. If BMPs arebeing used or planned at the facilitywhich are not listed here (e.g., replacinga chemical with a less toxic alternative,adopting a new or innovative BMP,etc.), include descriptions of them inthis section of the SWPPP.

4.2.7.2.1 Non-Structural BMPs.4.2.7.2.1.1 Good Housekeeping: You

must keep all exposed areas of thefacility in a clean, orderly mannerwhere such exposed areas couldcontribute pollutants to storm waterdischarges. Common problem areasinclude: around trash containers,storage areas and loading docks.Measures must also include: a schedulefor regular pickup and disposal of

garbage and waste materials; routineinspections for leaks and conditions ofdrums, tanks and containers.

4.2.7.2.1.2 Minimizing Exposure:Where practicable, industrial materialsand activities should be protected by astorm resistant shelter to preventexposure to rain, snow, snowmelt, orrunoff.

Note: Eliminating exposure at all industrialareas may make the facility eligible for the 40CFR 122.26(g) ‘‘No Exposure’’ exclusion fromneeding to have a permit.

4.2.7.2.1.3 Preventive Maintenance:You must have a preventivemaintenance program which includestimely inspection and maintenance ofstorm water management devices, (e.g.,cleaning oil/water separators, catchbasins) as well as inspecting, testing,maintaining and repairing facilityequipment and systems to avoidbreakdowns or failures that may resultin discharges of pollutants to surfacewaters.

4.2.7.2.1.4 Spill Prevention andResponse Procedures: You mustdescribe the procedures which will befollowed for cleaning up spills or leaks.Those procedures, and necessary spillresponse equipment, must be madeavailable to those employees that maycause or detect a spill or leak. Whereappropriate, you must explain existingor planned material handlingprocedures, storage requirements,secondary containment, and equipment(e.g., diversion valves), which areintended to minimize spills or leaks atthe facility. Measures for cleaning uphazardous material spills or leaks mustbe consistent with applicable RCRAregulations at 40 CFR Part 264 and 40CFR Part 265.

4.2.7.2.1.5 Routine FacilityInspections: In addition to or as part ofthe comprehensive site evaluationrequired under Part 4.9, you must havequalified facility personnel inspect allareas of the facility where industrialmaterials or activities are exposed tostorm water. The inspections mustinclude an evaluation of existing stormwater BMPs. Your SWPPP must identifyhow often these inspections will beconducted. You must correct anydeficiencies in implementation of yourSWP3 you find as soon as practicable,but not later than within 14 days of theinspection. You must document in yourSWPPP the results of your inspectionsand the corrective actions you took inresponse to any deficiencies oropportunities for improvement that youidentify.

4.2.7.2.1.6 Employee Training: Youmust describe the storm water employeetraining program for the facility. The

description should include the topics tobe covered, such as spill response, goodhousekeeping and material managementpractices, and must identify periodicdates (e.g., every 6 months during themonths of July and January) for suchtraining. You must provide employeetraining for all employees that work inareas where industrial materials oractivities are exposed to storm water,and for employees that are responsiblefor implementing activities identified inthe SWPPP (e.g., inspectors,maintenance people). The employeetraining should inform them of thecomponents and goals of your SWPPP.

4.2.7.2.2 Structural BMPs.4.2.7.2.2.1 Sediment and Erosion

Control: You must identify the areas atyour facility which, due to topography,land disturbance (e.g., construction), orother factors, have a potential forsignificant soil erosion. You mustdescribe the structural, vegetative, and/or stabilization BMPs that you will beimplementing to limit erosion.

4.2.7.2.2.2 Management of Runoff:You must describe the traditional stormwater management practices (permanentstructural BMPs other than those whichcontrol the generation or source(s) ofpollutants) that currently exist or thatare planned for your facility. Thesetypes of BMPs typically are used todivert, infiltrate, reuse, or otherwisereduce pollutants in storm waterdischarges from the site. All BMPs thatyou determine are reasonable andappropriate, or are required by a Stateor local authority; or are necessary tomaintain eligibility for the permit (seePart 1.2.3—Limitations on Coverage)must be implemented and maintained.Factors to consider when you areselecting appropriate BMPs shouldinclude: (1) The industrial materials andactivities that are exposed to stormwater, and the associated pollutantpotential of those materials andactivities; and (2) the beneficial andpotential detrimental effects on surfacewater quality, ground water quality,receiving water base flow (dry weatherstream flow), and physical integrity ofreceiving waters. (See ‘‘User’s Guide tothe MSGP–2000’’ for Considerations inSelection of BMPs) Structural measuresshould be placed on upland soils,avoiding wetlands and floodplains, ifpossible. Structural BMPs may require aseparate permit under section 404 of theCWA before installation begins.

4.2.7.2.2.3 Example BMPs: BMPsyou could use include but are notlimited to: storm water detentionstructures (including wet ponds); stormwater retention structures; flowattenuation by use of open vegetatedswales and natural depressions;



infiltration of runoff onsite; andsequential systems (which combineseveral practices).

4.2.7.2.3 Other Controls. No solidmaterials, including floatable debris,may be discharged to waters of theUnited States, except as authorized by apermit issued under section 404 of theCWA. Off-site vehicle tracking of raw,final, or waste materials or sediments,and the generation of dust must beminimized. Tracking or blowing of raw,final, or waste materials from areas of noexposure to exposed areas must beminimized. Velocity dissipation devicesmust be placed at discharge locationsand along the length of any outfallchannel if they are necessary to providea non-erosive flow velocity from thestructure to a water course.

4.3 Maintenance

All BMPs you identify in your SWPPPmust be maintained in effectiveoperating condition. If site inspectionsrequired by Part 4.9 identify BMPs thatare not operating effectively,maintenance must be performed beforethe next anticipated storm event, or asnecessary to maintain the continuedeffectiveness of storm water controls. Ifmaintenance prior to the nextanticipated storm event isimpracticable, maintenance must bescheduled and accomplished as soon aspracticable. In the case of non-structuralBMPs, the effectiveness of the BMPmust be maintained by appropriatemeans (e.g., spill response suppliesavailable and personnel trained, etc.).

4.4 Non-Storm Water Discharges

4.4.1 Certification of Non-StormWater Discharges

4.4.1.1 Your SWPPP must include acertification that all discharges (i.e.,outfalls) have been tested or evaluatedfor the presence of non-storm water. Thecertification must be signed inaccordance with Part 9.7 of this permit,and include:

4.4.1.1.1 The date of any testingand/or evaluation;

4.4.1.1.2 Identification of potentialsignificant sources of non-storm water atthe site;

4.4.1.1.3 A description of the resultsof any test and/or evaluation for thepresence of non-storm water discharges;

4.4.1.1.4 A description of theevaluation criteria or testing methodused; and

4.4.1.1.5 A list of the outfalls oronsite drainage points that were directlyobserved during the test.

4.4.1.2 You do not need to sign anew certification if one was alreadycompleted for either the 1992 baseline

Industrial General Permit or the 1995Multi-sector General Permit and youhave no reason to believe conditions atthe facility have changed.

4.4.1.3 If you are unable to providethe certification required (testing fornon-storm water discharges), you mustnotify the Director 180 days aftersubmitting an NOI to be covered by thispermit. If the failure to certify is causedby the inability to perform adequatetests or evaluations, such notificationmust describe:

4.4.1.3.1 Reason(s) why certificationwas not possible;

4.4.1.3.2 The procedure of any testattempted;

4.4.1.3.3 The results of such test orother relevant observations; and

4.4.1.3.4 Potential sources of non-storm water discharges to the stormsewer.

4.4.1.4 A Copy of the notificationmust be included in the SWPPP at thefacility. Non-storm water discharges towaters of the United States which arenot authorized by an NPDES permit areunlawful, and must be terminated.

4.4.2 Allowable Non-Storm WaterDischarges

4.4.2.1 Certain sources of non-stormwater are allowable under this permit(see 1.2.2.2—Allowable Non-StormWater Discharges). In order for thesedischarges to be allowed, your SWPPPmust include:

4.4.2.1.1 Identification of eachallowable non-storm water source;

4.4.2.1.2 The location where it islikely to be discharged; and

4.4.2.1.3 Descriptions of appropriateBMPs for each source.

4.4.2.2 Except for flows from firefighting activities, you must identify inyour SWPPP all sources of allowablenon-storm water that are dischargedunder the authority of this permit.

4.4.2.3 If you include mist blownfrom cooling towers amongst yourallowable non-storm water discharges,you must specifically evaluate thepotential for the discharges to becontaminated by chemicals used in thecooling tower and determined that thelevels of such chemicals in thedischarges would not cause orcontribute to a violation of an applicablewater quality standard afterimplementation of the BMPs you haveselected to control such discharges.

4.5 Documentation of PermitEligibility Related to EndangeredSpecies

Your SWPPP must includedocumentation supporting yourdetermination of permit eligibility withregard to Part 1.2.3.6 (EndangeredSpecies), including:

4.5.1 Information on whether listedendangered or threatened species, orcritical habitat, are found in proximityto your facility;

4.5.2 Whether such species may beaffected by your storm water dischargesor storm water discharge-relatedactivities;

4.5.3 Results of your Addendum Aendangered species screeningdeterminations; and

4.5.4 A description of measuresnecessary to protect listed endangeredor threatened species, or critical habitat,including any terms or conditions thatare imposed under the eligibilityrequirements of Part 1.2.3.6. If you failto describe and implement suchmeasures, your discharges are ineligiblefor coverage under this permit.

4.6 Documentation of PermitEligibility Related to Historic Places

Your SWPPP must includedocumentation supporting yourdetermination of permit eligibility withregard to Part 1.2.3.7 (Historic Places),including:

4.6.1 Information on whether yourstorm water discharges or storm waterdischarge-related activities would havean effect on a property that is listed oreligible for listing on the NationalRegister of Historic Places;

4.6.2 Where effects may occur, anywritten agreements you have made withthe State Historic Preservation Officer,Tribal Historic Preservation Officer, orother Tribal leader to mitigate thoseeffects;

4.6.3 Results of your Addendum Bhistoric places screeningdeterminations; and

4.6.4 Description of measuresnecessary to avoid or minimize adverseimpacts on places listed, or eligible forlisting, on the National Register ofHistoric Places, including any terms orconditions that are imposed under theeligibility requirements of Part 1.2.3.7 ofthis permit. If you fail to describe andimplement such measures, yourdischarges are ineligible for coverageunder this permit.

4.7 Copy of Permit RequirementsYou must include a copy of this

permit in your SWPPP.Note: The confirmation of coverage letter

you receive from the NOI Processing Centerassigning your permit number IS NOT yourpermit—it merely acknowledges that yourNOI has been accepted and you have beenauthorized to discharge subject to the termsand conditions of today’s permit.

4.8 Applicable State, Tribal or LocalPlans

Your SWPPP must be consistent (andupdated as necessary to remain



consistent) with applicable State, Tribaland/or local storm water, wastedisposal, sanitary sewer or septic systemregulations to the extent these apply toyour facility and are more stringent thanthe requirements of this permit.

4.9 Comprehensive Site ComplianceEvaluation

4.9.1 Frequency and InspectorsYou must conduct facility inspections

at least once a year. The inspectionsmust be done by qualified personnelprovided by you. The qualifiedpersonnel you use may be either yourown employees or outside consultantsthat you have hired, provided they areknowledgeable and possess the skills toassess conditions at your facility thatcould impact storm water quality andassess the effectiveness of the BMPs youhave chosen to use to control the qualityof your storm water discharges. If youdecide to conduct more frequentinspections, your SWPPP must specifythe frequency of inspections.

4.9.2 Scope of the ComplianceEvaluation

Your inspections must include allareas where industrial materials oractivities are exposed to storm water, asidentified in 4.2.4, and areas wherespills and leaks have occurred withinthe past 3 years. Inspectors should lookfor: (a) Industrial materials, residue ortrash on the ground that couldcontaminate or be washed away instorm water; (b) leaks or spills fromindustrial equipment, drums, barrels,tanks or similar containers; (c) offsitetracking of industrial materials orsediment where vehicles enter or exitthe site; (d) tracking or blowing of raw,final, or waste materials from areas of noexposure to exposed areas and (e) forevidence of, or the potential for,pollutants entering the drainage system.Results of both visual and any analyticalmonitoring done during the year mustbe taken into consideration during theevaluation. Storm water BMPsidentified in your SWPPP must beobserved to ensure that they areoperating correctly. Where dischargelocations or points are accessible, theymust be inspected to see whether BMPsare effective in preventing significantimpacts to receiving waters. Wheredischarge locations are inaccessible,nearby downstream locations must beinspected if possible.

4.9.3 Follow-Up ActionsBased on the results of the inspection,

you must modify your SWPPP asnecessary (e.g., show additional controlson map required by Part 4.2.2.3; revisedescription of controls required by Part

4.2.7 to include additional or modifiedBMPs designed to correct problemsidentified. You must complete revisionsto the SWPPP within 14 calendar daysfollowing the inspection. If existingBMPs need to be modified or ifadditional BMPs are necessary,implementation must be completedbefore the next anticipated storm event,if practicable, but not more than twelve(12) weeks after completion of thecomprehensive site evaluation.

4.9.4 Compliance Evaluation ReportYou must insure a report

summarizing the scope of theinspection, name(s) of personnel makingthe inspection, the date(s) of theinspection, and major observationsrelating to the implementation of theSWPPP is completed and retained aspart of the SWPPP for at least threeyears from the date permit coverageexpires or is terminated. Majorobservations should include: thelocation(s) of discharges of pollutantsfrom the site; location(s) of BMPs thatneed to be maintained; location(s) ofBMPs that failed to operate as designedor proved inadequate for a particularlocation; and location(s) whereadditional BMPs are needed that did notexist at the time of inspection. You mustretain a record of actions taken inaccordance with Part 4.9 of this permitas part of the Storm Water PollutionPrevention Plan for at least three yearsfrom the date that permit coverageexpires or is terminated. The inspectionreports must identify any incidents ofnon-compliance. Where an inspectionreport does not identify any incidents ofnon-compliance, the report mustcontain a certification that the facility isin compliance with the Storm WaterPollution Prevention Plan and thispermit. Both the inspection report andany reports of follow-up actions must besigned in accordance with Part 9.7(reporting) of this permit.

4.9.5 Credit As a Routine FacilityInspection

Where compliance evaluationschedules overlap with inspectionsrequired under Part 4.2.7.2.1.5, yourannual compliance evaluation may alsobe used as one of the Part 4.2.7.5 routineinspections.

4.10 Maintaining Updated SWPPPYou must amend the Storm Water

Pollution Prevention Plan whenever:4.10.1 there is a change in design,

construction, operation, or maintenanceat your facility which has a significanteffect on the discharge, or potential fordischarge, of pollutants from yourfacility;

4.10.2 During inspections,monitoring, or investigations by you orby local, State, Tribal or Federal officialsit is determined the SWPPP isineffective in eliminating orsignificantly minimizing pollutantsfrom sources identified under 4.2.4, oris otherwise not achieving the generalobjectives of controlling pollutants indischarges from your facility.

4.11 Signature, Plan Review andMaking Plans Available

4.11.1 You must sign your SWPPPin accordance with Part 9.7, and retainthe plan on-site at the facility coveredby this permit (see Part 8 for recordsretention requirements).

4.11.2 You must keep a copy of theSWPPP on-site or locally available tothe Director for review at the time of anon-site inspection. You must make yourSWPPP available upon request to theDirector, a State, Tribal or local agencyapproving storm water managementplans, or the operator of a municipalseparate storm sewer receivingdischarge from the site. Also, in theinterest of the public’s right to know,you must provide a copy of your SWPPPto the public if requested in writing todo so.

4.11.3 The Director may notify youat any time that your SWPPP does notmeet one or more of the minimumrequirements of this permit. Thenotification will identify provisions ofthis permit which are not being met, aswell as the required modifications.Within thirty (30) calendar days ofreceipt of such notification, you mustmake the required changes to theSWPPP and submit to the Director awritten certification that the requestedchanges have been made.

4.11.4 You must make the SWPPPavailable to the USFWS or NMFS uponrequest.

4.12 Additional Requirements forStorm Water Discharges AssociatedWith Industrial Activity From FacilitiesSubject to EPCRA Section 313Reporting Requirements

Potential pollutant sources for whichyou have reporting requirements underEPCRA 313 must be identified in yoursummary of potential pollutant sourcesas per Part 4.2.4. Note this additionalrequirement only applies to you if youare subject to reporting requirementsunder EPCRA 313.

5. Monitoring Requirements andNumeric Limitations

There are five individual and separatecategories of monitoring requirementsand numeric limitations that yourfacility may be subject to under this



permit. The monitoring requirementsand numeric limitations applicable toyour facility depend on a number offactors, including: (1) The types ofindustrial activities generating stormwater runoff from your facility, and (2)the state or tribe where your facility islocated. Part 6 identifies monitoringrequirements applicable to specificsectors of industrial activity. Part 13contains additional requirements thatapply only to facilities located in aparticular State or Indian country land.You must review Parts 5, 6 and 13 of thepermit to determine which monitoringrequirements and numeric limitationsapply to your facility. Unless otherwisespecified, limitations and monitoringrequirements under Parts 5, 6, and 13are additive.

Sector-specific monitoringrequirements and limitations areapplied discharge by discharge atfacilities with co-located activities.Where storm water from the co-locatedactivities are co-mingled, the monitoringrequirements and limitations areadditive. Where more than one numericlimitation for a specific parameterapplies to a discharge, compliance withthe more restrictive limitation isrequired. Where monitoringrequirements for a monitoring quarteroverlap (e.g., need to monitor TSS 1/year for a limit and also 1/quarter forbenchmark monitoring), you may use asingle sample to satisfy both monitoringrequirements.

5.1 Types of Monitoring Requirementsand Limitations

5.1.1 Quarterly Visual Monitoring

The requirements and procedures forquarterly visual monitoring areapplicable to all facilities covered underthis permit, regardless of your facility’ssector of industrial activity.

5.1.1.1 You must perform anddocument a quarterly visualexamination of a storm water dischargeassociated with industrial activity fromeach outfall, except dischargesexempted below. The visualexamination must be made duringdaylight hours (e.g., normal workinghours). If no storm event resulted inrunoff from the facility during amonitoring quarter, you are excused

from visual monitoring for that quarterprovided you document in yourmonitoring records that no runoffoccurred. You must sign and certify thedocumentation in accordance with Part9.7.

5.1.1.2 Your visual examinationsmust be made of samples collectedwithin the first 30 minutes (or as soonthereafter as practical, but not to exceed1 hour) of when the runoff or snowmeltbegins discharging from your facility.The examination must documentobservations of color, odor, clarity,floating solids, settled solids, suspendedsolids, foam, oil sheen, and otherobvious indicators of storm waterpollution. The examination must beconducted in a well lit area. Noanalytical tests are required to beperformed on the samples. All suchsamples must be collected from thedischarge resulting from a storm eventthat is greater than 0.1 inches inmagnitude and that occurs at least 72hours from the previously measurable(greater than 0.1 inch rainfall) stormevent. The 72-hour storm interval iswaived when the preceding measurablestorm did not yield a measurabledischarge, or if you are able todocument that less than a 72-hourinterval is representative for local stormevents during the sampling period.Where practicable, the same individualshould carry out the collection andexamination of discharges for the entirepermit term. If no qualifying stormevent resulted in runoff from the facilityduring a monitoring quarter, you areexcused from visual monitoring for thatquarter provided you document in yourmonitoring records that no qualifyingstorm event occurred that resulted instorm water runoff during that quarter.You must sign and certify thedocumentation in accordance with Part9.7.

5.1.1.3 You must maintain yourvisual examination reports onsite withthe Storm Water Pollution PreventionPlan. The report must include theexamination date and time, examinationpersonnel, the nature of the discharge (i.e.,runoff or snow melt), visual quality ofthe storm water discharge (includingobservations of color, odor, clarity,floating solids, settled solids, suspendedsolids, foam, oil sheen, and other

obvious indicators of storm waterpollution), and probable sources of anyobserved storm water contamination.

5.1.1.4 Inactive and Unstaffed Sites:When you are unable to conduct visualstorm water examinations at an inactiveand unstaffed site, you may exercise awaiver of the monitoring requirement aslong as the facility remains inactive andunstaffed. If you exercise this waiver,you must maintain a certification withthe Storm Water Pollution PreventionPlan stating that the site is inactive andunstaffed and that performing visualexaminations during a qualifying eventis not feasible. You must sign andcertify the waiver in accordance withPart 9.7.

5.1.2 Benchmark Monitoring ofDischarges Associated With SpecificIndustrial Activities

Table 5–1 identifies the specificindustrial sectors subject to theBenchmark Monitoring requirements ofthis permit and the industry-specificpollutants of concern. You must refer tothe tables found in the individualSectors in Part 6 for BenchmarkMonitoring Cut-Off Concentrations. Ifyour facility has co-located activities(see Part 1.2.1.1) described in more thanone sector in Part 6, you must complywith all applicable benchmarkmonitoring requirements from eachsector.

The results of benchmark monitoringare primarily for your use to determinethe overall effectiveness of your SWPPPin controlling the discharge ofpollutants to receiving waters.Benchmark values, included in Part 6 ofthis permit, are not viewed as effluentlimitations. An exceedance of abenchmark value does not, in and ofitself, constitute a violation of thispermit. While exceedance of abenchmark value does not automaticallyindicate that violation of a water qualitystandard has occurred, it does signalthat modifications to the SWPPP may benecessary. In addition, exceedance ofbenchmark values may identify facilitiesthat would be more appropriatelycovered under an individual, oralternative general permit where morespecific pollution prevention controlscould be required.

TABLE 5–1.—INDUSTRY SECTORS/SUB-SECTORS SUBJECT TO BENCHMARK MONITORING

MSGP sector 1 Industry sub-sector Required parameters for benchmark monitoring

A ........................................................ General Sawmills and Planing Mills .........................Wood Preserving Facilities .......................................Log Storage and Handling .......................................Hardwood Dimension and Flooring Mills .................

COD, TSS, Zinc.Arsenic, Copper.TSS.COD, TSS.

B ........................................................ Paperboard Mills ...................................................... COD.



TABLE 5–1.—INDUSTRY SECTORS/SUB-SECTORS SUBJECT TO BENCHMARK MONITORING—Continued

MSGP sector 1 Industry sub-sector Required parameters for benchmark monitoring

C ........................................................ Industrial Inorganic Chemicals .................................Plastics, Synthetic Resins, etc. ................................

Aluminum, Iron, Nitrate + Nitrite N.Zinc.

Soaps, Detergents, Cosmetics, Perfumes ............... Nitrate + Nitrite N, Zinc.Agricultural Chemicals .............................................. Nitrate + Nitrite N, Lead, Iron, Zinc, Phosphorus.

D ........................................................ Asphalt Paving and Roofing Materials ..................... TSS.E ........................................................ Clay Products ...........................................................

Concrete Products ....................................................Aluminum.TSS, Iron.

F ......................................................... Steel Works, Blast Furnaces, and Rolling and Fin-ishing Mills.

Iron and Steel Foundries ..........................................Non-Ferrous Rolling and Drawing ............................Non-Ferrous Foundries (Castings) ...........................

Aluminum, Zinc.

Aluminum, TSS, Copper, Iron, Zinc.Copper, Zinc.Copper, Zinc.

G 2 ...................................................... Copper Ore Mining and Dressing ............................ COD, TSS, Nitrate + Nitrite NH ........................................................ Coal Mines and Coal-Mining Related Facilities ....... TSS, Aluminum, IronJ ......................................................... Dimension Stone, Crushed Stone, and Nonmetallic

Minerals (except fuels).Sand and Gravel Mining ..........................................

TSS.

Nitrate + Nitrite N, TSS.K ........................................................ Hazardous Waste Treatment Storage or Disposal .. Ammonia, Magnesium, COD, Arsenic, Cadmium,

Cyanide, Lead, Mercury, Selenium, Silver.L ......................................................... Landfills, Land Application Sites, and Open Dumps Iron, TSS.M ........................................................ Automobile Salvage Yards ....................................... TSS, Aluminum, Iron, Lead.N ........................................................ Scrap Recycling ....................................................... Copper, Aluminum, Iron, Lead, Zinc, TSS, COD.O ........................................................ Steam Electric Generating Facilities ........................ Iron.Q ........................................................ Water Transportation Facilities ................................ Aluminum, Iron, Lead, Zinc.S ........................................................ Airports with deicing activities 3 ................................ BOD, COD, Ammonia, pH.U ........................................................ Grain Mill Products ...................................................

Fats and Oils ............................................................TSS.BOD, COD, Nitrate + Nitrite N, TSS.

Y ........................................................ Rubber Products ...................................................... Zinc.AA ...................................................... Fabricated Metal Products Except Coating .............

Fabricated Metal Coating and Engraving ................Iron, Aluminum, Zinc, Nitrate + Nitrite N.Zinc, Nitrate + Nitrite N.

1 Table does not include parameters for compliance monitoring under effluent limitations guidelines.2 See Sector G (Part 6.G) for additional monitoring discharges from waste rock and overburden piles from active ore mining or dressing facili-

ties.3 Monitoring requirement is for airports with deicing activities that utilize more than 100 tons of urea or more than 100,000 gallons of ethylene

glycol per year.

5.1.2.1 Monitoring Periods forBenchmark Monitoring. Unlessotherwise specified in Part 6,benchmark monitoring periods areOctober 1, 2001 to September 30, 2002(year two of the permit) and October 1,2003 to September 30, 2004 (year fourof the permit). If your facility fallswithin a Sector(s) required to conductbenchmark monitoring, you mustmonitor quarterly (4 times a year)during at least one, and potentially both,monitoring periods; unless otherwisespecified in the sector-specificrequirements of Part 6. Depending onthe results of the 2001–2002 monitoringyear, you may not be required toconduct benchmark monitoring in the2003–2004 monitoring year (see Part5.1.2.2).

5.1.2.2 Benchmark Monitoring Year2003–2004 Waivers for Facilities TestingBelow Benchmark Values. All of theprovisions of Part 5.1.2.2 are available topermittees except as noted in Part 6.Waivers from benchmark monitoring are

available to facilities whose dischargesare below benchmark values, thus thereis an incentive for facilities to improvethe effectiveness of their SWPPPs ineliminating discharges of pollutants andavoid the cost of monitoring.

On both a parameter by parameter andoutfall by outfall basis, you are notrequired to conduct sector-specificbenchmark monitoring in the 2003–2004 monitoring year provided:

• You collected samples for all fourquarters of the 2001–2002 monitoringyear and the average concentration wasbelow the benchmark value in Part 6;and

• You are not subject to a numericlimitation or State/Tribal-specificmonitoring requirement for thatparameter established in Part 5.2 or Part13; and

• You include a certification in theSWPPP that based on current potentialpollutant sources and BMPs used,discharges from the facility arereasonably expected to be essentiallythe same (or cleaner) compared to when

the benchmark monitoring for the 2001–2002 monitoring year was done.

5.1.2.3 Inactive and Unstaffed Sites.If you are unable to conduct benchmarkmonitoring at an inactive and unstaffedsite, you may exercise a waiver of themonitoring requirement as long as thefacility remains inactive and unstaffed.If you exercise this waiver, you mustmaintain a certification with your StormWater Pollution Prevention Plan statingthat the site is inactive and unstaffedand that performing benchmarkmonitoring during a qualifying stormevent is not feasible. You must sign andcertify the waiver in accordance withPart 9.7.

5.1.3 Coal Pile Runoff

5.1.3.1 If your facility has dischargesof storm water from coal storage piles,you must comply with the limitationsand monitoring requirements of Table5–2 for all discharges containing thecoal pile runoff, regardless of yourfacility’s sector of industrial activity.



TABLE 5–2.—NUMERIC LIMITATIONS FOR COAL PILE RUNOFF

Parameter Limit Monitoring frequency Sample type

Total Suspended Solids (TSS) ................. 50 mg/L, max ........................................... 1/year ....................................................... Grab.pH .............................................................. 6.0–9.0 min. and max .............................. 1/year ....................................................... Grab.

5.1.3.2 You must not dilute coal pilerunoff with storm water or other flowsin order to meet this limitation.

5.1.3.3 If your facility is designed,constructed and operated to treat thevolume of coal pile runoff that isassociated with a 10-year, 24-hourrainfall event, any untreated overflow ofcoal pile runoff from the treatment unitis not subject to the 50 mg/L limitationfor total suspended solids.

5.1.3.4 You must collect and analyzeyour samples in accordance with Part5.2.2. Results of the testing must beretained and reported in accordancewith Part 8 and 9.16.

5.1.4 Compliance Monitoring forDischarges Subject to NumericalEffluent Limitation Guidelines

Table 1–2 of Part 1.2.2.1.3 of thepermit identifies storm water dischargessubject to effluent limitation guidelinesthat are authorized for coverage underthe permit. Facilities subject to stormwater effluent limitation guidelines arerequired to monitor such discharges toevaluate compliance with numericaleffluent limitations. Industry-specificnumerical limitations and compliancemonitoring requirements are describedin Part 6 of the permit.

5.1.5 Monitoring for LimitationsRequired by a State or Tribe

Unless otherwise specified in Part 13(state/tribal-specific permit conditions),you must sample once per year for anypermit limit established as a result of astate or tribe’s conditions forcertification of this permit under CWA§ 401.

5.2 Monitoring Instructions

5.2.1 Monitoring PeriodsIf you are required to conduct

monitoring on an annual or quarterlybasis, you must collect your sampleswithin the following time periods(unless otherwise specified in Part 6):

• The monitoring year is fromOctober 1 to September 30

• If your permit coverage waseffective less than one month from theend of a quarterly or yearly monitoringperiod, your first monitoring periodstarts with the next respectivemonitoring period. (e.g., if permitcoverage begins June 5th, you would notneed to start quarterly sampling untilthe July—September quarter, but you

would only have from June 5th toSeptember 30th to complete that year’sannual monitoring )

5.2.2 Collection and Analysis ofSamples

You must assess your samplingrequirements on an outfall by outfallbasis. You must collect and analyzeyour samples in accordance with therequirements of Part 9.16.

5.2.2.1 When and How to Sample.Take a minimum of one grab samplefrom the discharge associated withindustrial activity resulting from a stormevent with at least 0.1 inch ofprecipitation (defined as a ‘‘measurable’’event), providing the interval from thepreceding measurable storm is at least72 hours. The 72-hour storm interval iswaived when the preceding measurablestorm did not yield a measurabledischarge, or if you are able todocument that less than a 72-hourinterval is representative for local stormevents during the sampling period.

Take the grab sample during the first30 minutes of the discharge. If it is notpracticable to take the sample duringthe first 30 minutes, sample during thefirst hour of discharge and describe whya grab sample during the first 30minutes was impracticable. Submit thisinformation on or with the dischargemonitoring report (see Part 7.1). If thesampled discharge commingles withprocess or non-process water, attempt tosample the storm water discharge beforeit mixes with the non-storm water.

To get help with monitoring, consultthe Guidance Manual for the Monitoringand Reporting Requirements of theNPDES Storm Water Multi-SectorGeneral Permit which can be downloaded from the EPA Web Site atwww.epa.gov/OWM/sw/industry/index.htm. It can also be ordered fromthe Office of Water Resource Center bycalling 202–260–7786.

5.2.3 Storm Event DataAlong with the results of your

monitoring, you must provide the dateand duration (in hours) of the stormevent(s) samples; rainfall measurementsor estimates (in inches) of the stormevent that generated the sampled runoff;the duration between the storm eventsamples and the end of the previousmeasurable (greater than 0.1 inchrainfall) storm event; and an estimate of

the total volume (in gallons) of thedischarge samples.

5.2.4 Representative Outfalls—Essential Identical Discharges

If your facility has two (2) or moreoutfalls that you believe dischargesubstantially identical effluents, basedon similarities of the industrialactivities, significant materials or stormwater management practices occurringwithin the outfalls’ drainage areas, youmay test the effluent of just one of theoutfalls and report that the quantitativedata also applies to the substantiallyidentical outfall(s). For this to bepermissible, you must describe in theStorm Water Pollution Prevention Planand include in the Discharge MonitoringReport the following: locations of theoutfalls; why the outfalls are expected todischarge substantially identicaleffluents; estimates of the size of thedrainage area (in square feet) for each ofthe outfalls; and an estimate of therunoff coefficient of the drainage areas(low: under 40 percent; medium: 40 to65 percent; high: above 65 percent).Note: Page 107 of the NPDES StormWater Sampling Guidance Document(EPA 800/B–92–001) lists criteria forsubstantially identical outfalls (availableon EPA’s web site at http://www.epa.gov/owm/sw/industry/).

5.3 General Monitoring Waivers

Unless specifically stated otherwise,the following waivers may be applied toany monitoring required under thispermit.

5.3.1 Adverse Climatic ConditionsWaiver

When adverse weather conditionsprevent the collection of samples, takea substitute sample during a qualifyingstorm event in the next monitoringperiod, or four samples per monitoringyear when weather conditions do notallow for samples to be spaced evenlyduring the year. Adverse conditions(i.e., those which are dangerous orcreate inaccessibility for personnel) mayinclude such things as local flooding,high winds, electrical storms, orsituations which otherwise makesampling impracticable such as droughtor extended frozen conditions.



5.3.2 Alternative Certification of ‘‘NotPresent or No Exposure’’

You are not subject to the analyticalmonitoring requirements of Part 5.1.2provided:

5.3.2.1 You make a certification fora given outfall, or on a pollutant-by-pollutant basis in lieu of monitoringrequired under Part 5.1.2, that materialhandling equipment or activities, rawmaterials, intermediate products, finalproducts, waste materials, by-products,industrial machinery or operations, orsignificant materials from pastindustrial activity that are located inareas of the facility within the drainagearea of the outfall are not presentlyexposed to storm water and are notexpected to be exposed to storm waterfor the certification period; and

5.3.2.2 Your certification is signedin accordance with Part 9.7, retained inthe Storm Water Pollution PreventionPlan, and submitted to EPA inaccordance with Part 7. In the case ofcertifying that a pollutant is not present,the permittee must submit thecertification along with the monitoringreports required Part 7; and

5.3.2.3 If you cannot certify for anentire period, you must submit the dateexposure was eliminated and anymonitoring required up until that date;and

5.3.2.4 No numeric limitation orState-specific monitoring requirementfor that parameter is established in Part5 or Part 13.

5.4 Monitoring Required by theDirector

The Director may provide writtennotice to any facility, including thoseotherwise exempt from the samplingrequirements of Parts 5, 6 and 12,requiring discharge sampling for aspecific monitoring frequency forspecific parameters. Any such noticewill briefly state the reasons for themonitoring, parameters to be monitored,frequency and period of monitoring,sample types, and reportingrequirements.

5.5 Reporting Monitoring Results

Deadlines and procedures forsubmitting monitoring reports arecontained in Part 7.

6. Sector-Specific Requirements forIndustrial Activity

You only need to comply with theadditional requirements of Part 6 that

apply to the sector(s) of industrialactivity at your facility. These sector-specific requirements are in addition tothe ‘‘basic’’ requirements specified inParts 1–5 and 7–13 of this permit.

6.A Sector A—Timber Products

6.A.1 Covered Storm WaterDischarges

The requirements in Part 6.A apply tostorm water discharges associated withindustrial activity from Timber Productsfacilities as identified by the SIC Codesspecified under Sector A in Table 1–1of Part 1.2.1.

6.A.2 Industrial Activities Covered bySector A

The types of activities that permitteesunder Sector A are primarily engaged inare:

6.A.2.1 Cutting timber andpulpwood (those that have log storage orhandling areas);

6.A.2.2 Mills, including merchant,lath, shingle, cooperage stock, planing,plywood and veneer;

6.A.2.3 Producing lumber and woodbasic materials;

6.A.2.4 Wood preserving;6.A.2.5 Manufacturing finished

articles made entirely of wood or relatedmaterials except wood kitchen cabinetmanufacturers (covered under Part6.23);

6.A.2.6 Manufacturing woodbuildings or mobile homes.

6.A.3 Special Coverage Conditions

6.A.3.1 Prohibition of Discharges.(See also Part 1.2.3.1) Not covered bythis permit: storm water discharges fromareas where there may be contact withthe chemical formulations sprayed toprovide surface protection. Thesedischarges must be covered by aseparate NPDES permit.

6.A.3.2 Authorized Non-StormWater Discharges. (See also Part 1.2.3.1)Also authorized by this permit,provided the non-storm watercomponent of the discharge is incompliance with SWPPP requirementsin Part 4.2.7 (Controls): discharges fromthe spray down of lumber and woodproduct storage yards where nochemical additives are used in the spraydown waters and no chemicals areapplied to the wood during storage.

6.A.4 Storm Water PollutionPrevention Plan (SWPPP) Requirements

In addition to the followingrequirements, you must also complywith the requirements listed in Part 4.

6.A.4.1 Drainage Area Site Map.(See also Part 4.2.2.3) Also identifywhere any of the following may beexposed to precipitation/surface runoff:processing areas; treatment chemicalstorage areas; treated wood and residuestorage areas; wet decking areas; drydecking areas; untreated wood andresidue storage areas; and treatmentequipment storage areas.

6.A.4.2 Inventory of ExposedMaterials. (See also Part 4.2.4) Wheresuch information exists, if your facilityhas used chlorophenolic, creosote orchromium-copper-arsenic formulationsfor wood surface protection orpreserving, identify the following: areaswhere contaminated soils, treatmentequipment and stored materials stillremain, and the management practicesemployed to minimize the contact ofthese materials with storm water runoff.

6.A.4.3 Description of Storm WaterManagement Controls. (See also Part4.2.7). Describe and implementmeasures to address the followingactivities/sources: log, lumber and woodproduct storage areas; residue storageareas; loading and unloading areas;material handling areas; chemicalstorage areas; and equipment/vehiclemaintenance, storage and repair areas. Ifyour facility performs wood surfaceprotection/preservation activities,address the specific BMPs for theseactivities.

6.A.4.4 Good Housekeeping. (Seealso Part 4.2.7.2.1.1). In areas wherestorage, loading/unloading and materialhandling occur, perform goodhousekeeping to limit the discharge ofwood debris; minimize the leachategenerated from decaying woodmaterials; and minimize the generationof dust.

6.A.4.5 Inspections. (See also Part4.2.7.2.1.5). If your facility performswood surface protection/preservationactivities, inspect processing areas,transport areas and treated wood storageareas monthly to assess the usefulnessof practices to minimize the deposit oftreatment chemicals on unprotectedsoils and in areas that will come incontact with storm water discharges.

6.A.5 Monitoring and ReportingRequirements (See also Part 5)



TABLE A–1.—SECTOR-SPECIFIC NUMERIC LIMITATIONS AND BENCHMARK MONITORING

[Sector of permit affected/supplemental requirements]

Subsector(Discharge may be subject to requirements for more

than one sector/subsector)Parameter Benchmark monitoring cut-

off concentration 1 Numeric limitation 2

General Sawmills and Planning Mills (SIC 2421) ........... Chemical Oxygen Demand(COD).

120.0 mg/L.

Total Suspended Solids(TSS).

100 mg/L.

Total Zinc ........................... 0.117 mg/L.Wood Preserving (SIC 2491) .......................................... Total Arsenic ..................... 0.16854 mg/L.

Total Copper ...................... 0.0636 mg/L.Log Storage and Handling (SIC 2411) ............................ Total Suspended Solids

(TSS).100 mg/L.

Wet Decking Discharges at Log Storage and HandlingAreas (SIC 2411).

pH ...................................... ............................................ 6.0–9.0 s.u.

Debris (woody materialsuch as bark, twigs,branches, heartwood, orsapwood).

............................................ No Discharge of debristhat will not pass througha 2.54 cm (1″) diameterround opening.

Hardwood Dimension and Flooring Mills; Special Prod-ucts Sawmills, not elsewhere classified; Millwork, Ve-neer, Plywood and Structural Wood; Wood Con-tainers; Wood Buildings and Mobile Homes; Recon-stituted Wood Products; and Wood Products Facilitiesnot elsewhere classified (SIC Codes 2426, 2429,2431–2439 (except 2434), 2448, 2449, 2451, 2452,2593, and 2499).

Chemical Oxygen Demand(COD).

120.0 mg/L.


100.0 mg/L.

1 Monitor once/quarter for the year 2 and year 4 monitoring years.2 Monitor once per year for each monitoring year.

6.B Sector B—Paper and AlliedProducts Manufacturing

6.B.1 Covered Storm WaterDischarges

The requirements in Part 6.B apply tostorm water discharges associated withindustrial activity from Paper andAllied Products Manufacturing facilitiesas identified by the SIC Codes specified

under Sector B in Table 1–1 of Part1.2.1.

6.B.2 Industrial Activities Covered bySector B

The types of activities that permitteesunder Sector B are primarily engaged inare:

6.B.2.1 Manufacture of pulps fromwood and other cellulose fibers andfrom rags;

6.B.2.2 Manufacture of paper andpaperboard into converted products, i.e.paper coated off the paper machine,paper bags, paper boxes and envelopes;

6.B.2.3 Manufacture of bags ofplastic film and sheet.

6.B.3 Monitoring and ReportingRequirements (See also Part 5)

TABLE B–1.—SECTOR-SPECIFIC NUMERIC EFFLUENT LIMITATIONS AND BENCHMARK MONITORING

Subsector(Discharges may be subject to requirements for more

than one sector/subsector)Parameter Benchmark monitoring and

cutoff concentration 1 Numeric limitation

Part of Permit Affected/Supplemental Requirements

Paperboard Mills (SIC Code 2631) ................................. COD ................................... 120.0 mg/L.

1 Monitor once/quarter for the year 2 and year 4 monitoring years

6.C Sector C—Chemical and AlliedProducts Manufacturing

6.C.1 Covered Storm WaterDischarges

The requirements in Part 6.C apply tostorm water discharges associated withindustrial activity from Chemical andAllied Products Manufacturing facilitiesas identified by the SIC Codes specifiedunder Sector C in Table 1–1 of Part1.2.1.

6.C.2 Industrial Activities Covered bySector C

The requirements listed under thisPart apply to storm water dischargesassociated with industrial activity froma facility engaged in manufacturing thefollowing products:

6.C.2.1 basic industrial inorganicchemicals;

6.C.2.2 plastic materials andsynthetic resins, synthetic rubbers, and

cellulosic and other human made fibers,except glass;

6.C.2.3 soap and other detergents,including facilities producing glycerinfrom vegetable and animal fats and oils;speciality cleaning, polishing andsanitation preparations; surface activepreparations used as emulsifiers,wetting agents and finishing agents,including sulfonated oils; and perfumes,cosmetics and other toilet preparations;



6.C.2.4 paints (in paste and readymixed form); varnishes; lacquers;enamels and shellac; putties, woodfillers, and sealers; paint and varnishremovers; paint brush cleaners; andallied paint producers;

6.C.2.5 industrial organic chemicals;6.C.2.6 industrial and household

adhesives, glues, caulking compounds,sealants, and linoleum, tile and rubbercements from vegetable, animal orsynthetic plastic materials; explosives;printing ink, including gravure, screenprocess and lithographic inks;miscellaneous chemical preparationssuch as fatty acids, essential oils, gelatin(except vegetable), sizes, bluing, laundrysours, writing and stamp pad ink,industrial compounds such as boilerand heat insulating compounds, andchemical supplies for foundries;

6.C.2.7 ink and paints, includingchina painting enamels, indian ink,drawing ink, platinum paints for burntwood or leather work, paints for chinapainting, artists’ paints and artists’water colors;

6.C.2.8 nitrogenous and phosphaticbasic fertilizers, mixed fertilizers,

pesticides and other agriculturalchemicals.

6.C.3 Limitations on Coverage6.C.3.1 Prohibition of Non-Storm

Water Discharges. (See also Part 1.2.3.3)Not covered by this permit: non-stormwater discharges containing inks, paintsor substances (hazardous,nonhazardous, etc.) resulting from anonsite spill, including materialscollected in drip pans; washwater frommaterial handling and processing areas;and washwater from drum, tank orcontainer rinsing and cleaning.

6.C.4 Storm Water PollutionPrevention Plan (SWPPP) Requirements


6.C.4.1 Drainage Area Site Map. (Seealso Part 4.2.2.3) Also identify whereany of the following may be exposed toprecipitation/surface runoff: processingand storage areas; access roads, rail carsand tracks; areas where substances aretransferred in bulk; and operatingmachinery.

6.C.4.2 Potential Pollutant Sources.(See also Part 4.2.4) Describe the

following sources and activities thathave potential pollutants associatedwith them: loading, unloading andtransfer of chemicals; outdoor storage ofsalt, pallets, coal, drums, containers,fuels, fueling stations; vehicle andequipment maintenance/cleaning areas;areas where the treatment, storage ordisposal (on- or off-site) of waste/wastewater occur; storage tanks andother containers; processing and storageareas; access roads, rail cars and tracks;areas where the transfer of substances inbulk occurs; and areas where machineryoperates.

6.C.4.3 Good HousekeepingMeasures. (See also Part 4.2.7.2.1.1) Aspart of your good housekeepingprogram, include a schedule for regularpickup and disposal of garbage andwaste materials, or adopt otherappropriate measures to reduce thepotential for discharging storm waterthat has contacted garbage or wastematerials. Routinely inspect thecondition of drums, tanks andcontainers for potential leaks.

6.C.5 Monitoring and ReportingRequirements (See also Part 5)

TABLE C–1.—SECTOR-SPECIFIC NUMERIC EFFLUENT LIMITATIONS AND BENCHMARK MONITORING





Phosphate Subcategory of the Fertilizer ManufacturingPoint Source Category (40 CFR § 418.10)—applies toprecipitation runoff, that during manufacturing orprocessing, comes into contact with any raw mate-rials, intermediate product, finished product, by-prod-ucts or waste product (SIC 2874).

Total Phosphorus (as P) ... ............................................ 105.0 mg/L, daily max.35 mg/L, 30-day avg.

Fluoride .............................. ............................................ 75.0 mg/L, daily max.25.0 mg/L, 30-day avg.

Agricultural Chemicals (2873–2879) ............................... Nitrate plus Nitrite NitrogenTotal Recoverable Lead ....Total Recoverable Iron ......Total Recoverable Zinc .....Phosphorus .......................

0.68 mg/L.0.0816 mg/L. .....................1.0 mg/L. ...........................0.117 mg/L. .......................2.0 mg/L. ...........................

Industrial Inorganic Chemicals (2812–2819) ................... Total Recoverable Alu-minum

Total Recoverable Iron. .....

0.75 mg/L1.0 mg/L ............................0.68 mg/L ..........................

Nitrate plus Nitrite Nitrogen

Soaps, Detergents, Cosmetics, and Perfumes (SIC2841–2844).

Nitrate plus Nitrite NitrogenTotal Recoverable Zinc .....

0.68 mg/L.0.117 mg/L..

Plastics, Synthetics, and Resins (SIC 2821–2824) ........ Total Recoverable Zinc ..... 0.117 mg/L.

1 Monitor once/quarter for the year 2 and year 4 Monitoring Years.2 Monitor once/year for each Monitoring Year.

6.D Sector D—Asphalt Paving andRoofing Materials and LubricantManufacturers

6.D.1 Covered Storm WaterDischarges

The requirements in Part 6.D apply tostorm water discharges associated withindustrial activity from Asphalt Paving

and Roofing Materials and LubricantManufacturers facilities as identified bythe SIC Codes specified under Sector Din Table 1–1 of Part 1.2.1.

6.D.2 Industrial Activities Covered bySector D

The types of activities that permitteesunder Sector D are primarily engaged inare:

6.D.2.1 manufacturing asphaltpaving and roofing materials;



6.D.2.2 portable asphalt plantfacilities;

6.D.2.3 manufacturing lubricatingoils and greases.

6.D.3 Limitations on Coverage

The following storm water dischargesassociated with industrial activity arenot authorized by this permit:

6.D.3.1 discharges from petroleumrefining facilities, including those thatmanufacture asphalt or asphalt productsthat are classified as SIC code 2911;

6.D.3.2 discharges from oil recyclingfacilities;

6.D.3.3 discharges associated withfats and oils rendering.

6.D.4 Storm Water PollutionPrevention Plan (SWPPP) Requirements


6.D.4.1 Inspections. (See also Part4.2.7.2.1.5) Inspect at least once permonth, as part of the maintenance

program, the following areas: Materialstorage and handling areas, liquidstorage tanks, hoppers/silos, vehicle andequipment maintenance, cleaning andfueling areas, material handlingvehicles, equipment and processingareas. Ensure appropriate action is takenin response to the inspection byimplementing tracking or follow upprocedures.

6.D.5 Monitoring and ReportingRequirements. (See also part 5)

TABLE D–1.—SECTOR-SPECIFIC NUMERIC LIMITATIONS AND BENCHMARK MONITORING



off concentration 1 Numeric Limitation 2

Sector of Permit Affected/Supplemental Requirements

Asphalt Paving and Roofing Materials (SIC 2951, 2952) Total Suspended Solids(TSS).

100mg/L.

Discharges from areas where production of asphaltpaving and roofing emulsions occurs (SIC 2951,2952).

TSS .................................... ............................................ 23.0 mg/L, daily max15.0 mg/L 30-day avg.

Oil and Grease .................. ............................................ 15.0 mg/L daily max.10mg/L, 30-day avg.

pH ...................................... ............................................ 6.0–9.0


6.E Sector E—Glass, Clay, Cement,Concrete, and Gypsum Products

6.E.1 Covered Storm Water DischargesThe requirements in Part 6.E apply to

storm water discharges associated withindustrial activity from Glass, Clay,Cement, Concrete, and GypsumProducts facilities as identified by theSIC Codes specified under Sector E inTable 1–1 of part 1.2.1.

6.E.2 Industrial Activities Covered bySector E

The requirements listed under thispermit apply to storm water dischargesassociated with industrial activity froma facility engaged in eithermanufacturing the following products orperforming the following activities:

6.E.2.1 flat, pressed, or blown glassor glass containers;

6.E.2.2 hydraulic cement;6.E.2.3 clay products including tile

and brick;6.E.2.4 pottery and porcelain

electrical supplies;6.E.2.5 concrete products;6.E.2.6 gypsum products;6.E.2.7 minerals and earths, ground

or otherwise treated;6.E.2.8 non-clay refractories:6.E.2.9. lime manufacturing6.E.2.10 cut stone and stone

products

6.E.2.11 asbestos products6.E.2.12 mineral wool and mineral

wool insulation products.

6.E.3 Storm Water PollutionPrevention Plan (SWPPP) Requirements


6.E.3.1 Drainage Area Site Map. (Seealso Part 4.2.2.3) Identify the locationsof the following, as applicable: baghouse or other dust control device;recycle/sedimentation pond, clarifier orother device used for the treatment ofprocess wastewater, and the areas thatdrain to the treatment device.

6.E.3.2 Good HousekeepingMeasures. (See also Part 4.2.2.3) Withgood housekeeping prevent or minimizethe discharge of: spilled cement;aggregate (including sand or gravel);kiln dust; fly ash; settled dust; or othersignificant material in storm water frompaved portions of the site that areexposed to storm water. Consider usingregular sweeping or other equivalentmeasures to minimize the presence ofthese materials. Indicate in your SWPPPthe frequency of sweeping or equivalentmeasures. Determine the frequency fromthe amount of industrial activityoccurring in the area and the frequencyof precipitation, but it must be

performed at least once a week ifcement, aggregate, kiln dust, fly ash orsettled dust are being handled/processed. You must also prevent theexposure of fine granular solids(cement, fly ash, kiln dust, etc.) to stormwater where practicable, by storingthese materials in enclosed silos/hoppers, buildings or under othercovering.

6.E.3.3 Inspections. (See also Part4.2.7.2.1.5) Perform inspections whilethe facility is in operation and includeall of the following areas exposed tostorm water: material handling areas,above ground storage tanks, hoppers orsilos, dust collection/containmentsystems, truck wash down/equipmentcleaning areas.

6.E.3.4 Certification. (See also Part4.4.1) For facilities producing ready-mixconcrete, concrete block, brick orsimilar products, include in the non-storm water discharge certification adescription of measures that insure thatprocess waste water resulting from truckwashing, mixers, transport buckets,forms or other equipment are dischargedin accordance with NPDESrequirements or are recycled.

6.E.4 Monitoring and ReportingRequirements. (See also Part 5)



TABLE E–1.—SECTOR-SPECIFIC NUMERIC LIMITATIONS AND BENCHMARK MONITORING



off concentration 1 Numeric limitaiton 2


Clay Product Manufacturers ............................................(SIC 3245–3259,3261–3269) ..........................................

Total Recoverable Alu-minum.

0.75 mg/L

Concrete and Gypsum Product Manufacturers (SIC3271–3275).

TSS ....................................Total Recoverable Iron ......

100 mg/L1.0 mg/L

Cement Manufacturing Facility, Material Storage Runoff:Any discharge composed of runoff that derives fromthe storage of materials including raw materials, inter-mediate products, finished products, and waste mate-rials that are used in or derived from the manufactureof cement.

Total Suspended Solids(TTS≤.

50 mg/L daily max..

pH ...................................... ............................................ 6.0–9.0 S.U.


6.F Sector F—Primary Metals

6.F.1 Covered Storm Water Discharges

The requirements in Part 6.F apply tostorm water discharges associated withindustrial activity from Primary Metalsfacilities as identified by the SIC Codesspecified under Sector F in Table 1–1 ofPart 1.2.1.

6.F.2 Industrial Activities Covered bySector F

The types of activities under this Partare facilities primarily engaged in are:

6.F.2.1 Steel works, blast furnaces,and rolling and finishing millsincluding: steel wire drawing and steelnails and spikes; cold-rolled steel sheet,strip, and bars; and steel pipes andtubes;

6.F.2.2 Iron and steel foundries,including: gray and ductile iron,malleable iron, steel investment, andsteel foundries not elsewhere classified;

6.F.2.3 Primary smelting andrefining of nonferrous metals, including:primary smelting and refining of copper,and primary production of aluminum;

6.F.2.4 Secondary smelting andrefining of nonferrous metals;

6.F.2.5 Rolling, drawing, andextruding of nonferrous metals,including: rolling, drawing, andextruding of copper; rolling, drawingand extruding of nonferrous metalsexcept copper and aluminum; anddrawing and insulating of nonferrouswire;

6.F.2.6 Nonferrous foundries(castings), including: aluminum die-casting, nonferrous die-casting, exceptaluminum, aluminum foundries, copperfoundries, and nonferrous foundries,except copper and aluminum;

6.F.2.7 Miscellaneous primary metalproducts, not elsewhere classified,including: metal heat treating, and

primary metal products not elsewhereclassified;

Activities covered include but are notlimited to storm water dischargesassociated with cooking operations,sintering plants, blast furnaces, smeltingoperations, rolling mills, castingoperations, heat treating, extruding,drawing, or forging all types of ferrousand nonferrous metals, scrap and ore.

6.F.3 Storm Water PollutionPrevention Plan (SWPPP) Requirements


6.F.3.1 Drainage Area Site Map. (Seealso Part 4.2.2.3) Also identify whereany of the following activities may beexposed to precipitation/surface runoff:storage or disposal of wastes such asspent solvents/baths, sand, slag/dross;liquid storage tanks/drums; processingareas including pollution controlequipment (e.g., baghouses); and storageareas of raw material such as coal, coke,scrap, sand, fluxes, refractories or metalin any form. In addition, indicate wherean accumulation of significant amountsof particulate matter could occur fromsuch sources as furnace or ovenemissions, losses from coal/cokehandling operations, etc., and whichcould result in a discharge of pollutantsto waters of the United States.

6.F.3.2 Inventory of ExposedMaterial. (See also Part 4.2.4) Include inthe inventory of materials handled atthe site that potentially may be exposedto precipitation/runoff, areas wheredeposition of particulate matter fromprocess air emissions or losses duringmaterial handling activities are possible.

6.F.3.3 Good HousekeepingMeasures. (See also Part 4.2.7.2.1.1) Aspart of your good housekeepingprogram, include: a cleaning/

maintenance program for all imperviousareas of the facility where particulatematter, dust or debris may accumulate,especially areas where material loading/unloading, storage, handling andprocessing occur; the paving of areaswhere vehicle traffic or material storageoccur but where vegetative or otherstabilization methods are not practicable(institute a sweeping program in theseareas too). For unstabilized areas wheresweeping is not practicable, considerusing storm water management devicessuch as sediment traps, vegetative bufferstrips, filter fabric fence, sedimentfiltering boom, gravel outlet protectionor other equivalent measures thateffectively trap or remove sediment.

6.F.3.4 Inspections. (See also Part4.2.7.2.1.5) Conduct inspectionsroutinely, or at least on a quarterlybasis, and address all potential sourcesof pollutants, including (if applicable):air pollution control equipment (e.g.,baghouses, electrostatic precipitators,scrubbers and cyclones) for any signs ofdegradation (e.g., leaks, corrosion orimproper operation) that could limittheir efficiency and lead to excessiveemissions. Consider monitoring air flowat inlets/outlets (or use equivalentmeasures) to check for leaks (e.g.,particulate deposition) or blockage inducts. Also inspect all process andmaterial handling equipment (e.g.,conveyors, cranes and vehicles) forleaks, drips or the potential loss ofmaterial; and material storage areas (e.g.,piles, bins or hoppers for storing coke,coal, scrap or slag, as well as chemicalsstored in tanks/drums) for signs ofmaterial losses due to wind or stormwater runoff.

6.F.4 Monitoring and ReportingRequirements. (See also Part 5)



TABLE F–1.—SECTOR-SPECIFIC NUMERIC EFFLUENT LIMITATIONS AND BENCHMARK MONITORING

Sector of permit affected/supplemental requirements—

Subsector (Discharges may be subject to requirementsfor more than one sector/subsector) Parameter Benchmark monitoring cutoff

concentration 1Numeric limi-

tation

Steel Works, Blast Furnaces, and Rolling and Fin-ishing Mills (SIC 3312–3317).

Total Recoverable Aluminum ..................Total Recoverable Zinc ...........................

0.75 mg/L0.117 mg/L.

Iron and Steel Foundries (SIC 3321–3325) .................. Total Recoverable Aluminum ..................Total Suspended Solids ..........................Total Recoverable Copper ......................Total Recoverable Iron ............................Total Recoverable Zinc ...........................

0.75 mg/L.100 mg/L0.0636 mg/L1.0 mg/L0.117 mg/L.

Rolling, Drawing, and Extruding of Non-Ferrous Metals(SIC 3351–3357).

Total Recoverable Copper ......................Total Recoverable Zinc ...........................

0.0636 mg/L0.117 mg/L.

Non-Ferrous Foundries (SIC 3363–3369) ..................... Total Recoverable Copper ......................Total Recoverable Zinc ...........................

0.636 mg/L.0.117 mg/L.

1 Monitor once/quarter for the year 2 and year 4 Monitoring Years.

6.G Sector G—Metal Mining (OreMining and Dressing)

6.G.1 Covered Storm WaterDischarges

The requirements in Part 6.G apply tostorm water discharges associated withindustrial activity from active,temporarily inactive and inactive metalmining and ore dressing facilities,including mines abandoned on FederalLands, as identified by the SIC Codesspecified under Sector G in Table 1–1 ofPart 1.2.1. Coverage is required forfacilities that discharge storm watercontaminated by contact with or thathas come into contact with, anyoverburden, raw material, intermediateproduct, finished product, byproduct, orwaste product located on the site of theoperation.

6.G.1.1 Covered Discharges fromInactive Facilities: All storm waterdischarges.

6.G.1.2 Covered Discharges fromActive and Temporarily InactiveFacilities: Only the storm waterdischarges from the following areas arecovered: waste rock/overburden piles ifcomposed entirely of storm water andnot combining with mine drainage;topsoil piles; offsite haul/access roads;onsite haul/access roads constructed ofwaste rock/overburden/spent ore ifcomposed entirely of storm water andnot combining with mine drainage;onsite haul/access roads not constructedof waste rock/overburden/spent oreexcept if mine drainage is used for dustcontrol; runoff from tailings dams/dikeswhen not constructed of waste rock/tailings and no process fluids arepresent; runoff from tailings dams/dikeswhen constructed of waste rock/tailingsif and no process fluids are present ifcomposed entirely of storm water andnot combining with mine drainage;concentration building if no contactwith material piles; mill site if no

contact with material piles; office/administrative building and housing ifmixed with storm water from industrialarea; chemical storage area; dockingfacility if no excessive contact withwaste product that would otherwiseconstitute mine drainage; explosivestorage; fuel storage; vehicle/equipmentmaintenance area/building; parkingareas (if necessary); power plant; truckwash areas if no excessive contact withwaste product that would otherwiseconstitute mine drainage; unreclaimed,disturbed areas outside of active miningarea; reclaimed areas released fromreclamation bonds prior to December17, 1990; and partially/inadequatelyreclaimed areas or areas not releasedfrom reclamation bonds.

6.G.2 Industrial Activities Covered bySector G

Note: ‘‘metal mining’’ will connote any ofthe separate activities listed in Part 6.G.2.The types of activities that permittees underSector G are primarily engaged in are:

6.G.2.1 exploring for metallicminerals (ores), developing mines andthe mining of ores;

6.G.2.2 ore dressing andbeneficiating, whether performed at co-located, dedicated mills or separate (i.e.,custom) mills.

6.G.3 Limitations on Coverage6.G.3.1 Prohibition of Storm Water

Discharges.Storm water discharges not

authorized by this permit: dischargesfrom active metal mining facilitieswhich are subject to effluent limitationguidelines for the Ore Mining andDressing Point Source Category (40 CFRPart 440).

Note: discharges that come in contact withoverburden/waste rock are subject to 40 CFRPart 440, providing: the discharges drain toa point source (either naturally or as a resultof intentional diversion) and they combinewith ‘‘mine drainage’’ that is otherwise

regulated under the Part 440 regulations.Discharges from overburden/waste rock canbe covered under this permit if they arecomposed entirely of storm water, do notcombine with sources of mine drainage thatare subject to 40 CFR Part 440, and meetother eligibility criteria contained in Part1.2.2.1.

6.G.3.2 Prohibition of Non-StormWater Discharges.

Not authorized by this permit: aditdrainage and contaminated springs orseeps (see also the standard Limitationson Coverage in Part 1.2.3).

6.G.4 Definitions

6.G.4.1 Mining Operation—typicallyconsists of three phases, any one ofwhich individually qualifies as a‘‘mining activity.’’ The phases are theexploration and construction phase, theactive phase, and the reclamation phase.

6.G.4.2 Exploration andConstruction Phase—entails explorationand land disturbance activities todetermine the financial viability of asite. Construction includes the buildingof site access roads and removal ofoverburden and waste rock to exposemineable minerals.

6.G.4.3 Active Phase—activitiesincluding each step from extractionthrough production of a salable product.

6.G.4.4 Reclamation Phase—activities intended to return the land toits pre-mining use

The following definitions are notintended to supercede the definitions ofactive and inactive mining facilitiesestablished by 40 CFR 122.26(b)(14)(iii).

6.G.4.5 Active Metal MiningFacility—a place where work or otheractivity related to the extraction,removal or recovery of metal ore isbeing conducted. For surface mines, thisdefinition does not include any landwhere grading has returned the earth toa desired contour and reclamation hasbegun.



6.G.4.6 Inactive Metal MiningFacility—a site or portion of a sitewhere metal mining and/or millingoccurred in the past but is not an activefacility as defined above, and where theinactive portion is not covered by anactive mining permit issued by theapplicable State or Federal governmentagency.

6.G.4.7 Temporarily Inactive MetalMining Facility—a site or portion of asite where metal mining and/or millingoccurred in the past but currently arenot being actively undertaken, and thefacility is covered by an active miningpermit issued by the applicable State orFederal government agency.

6.G.5 Clearing, Grading andExcavation Activities

Clearing, grading and excavationactivities being conducted as part of theexploration and construction phase of amining operation cannot be coveredunder this permit if these activities willdisturb one or more acre of land.Instead, coverage for these activitiesmust be under the latest version ofEPA’s General Permit for Storm WaterDischarges from Construction Activities(the ‘‘Construction General Permit;’’Federal Register, Vol. 63, p. 7858 andfor Region 6, Federal Register, Vol. 63,p. 36490), or an individual constructionpermit. If the area of disturbance duringthe initial phase is less than one acre,you must continue to comply with therequirements of the MSGP–2000.

6.G.5.1 Requirements for ActivitiesDisturbing 5 or More Acres of Earth. Ifthe one-acre limit as defined in Part6.G.5 is attained, coverage for theseactivities must be under the latestversion of EPA’s Construction GeneralPermit (or individual permit). You mustfirst obtain and comply with theConstruction General Permit’srequirements before submitting theseparate Construction General PermitNotice of Intent (NOI) form (EPA Form3510–9). The February 17, 1998 versionof the permit can be downloaded fromthe EPA’s Web Site at www.epa.gov/owm/sw/construction/cgp/cgp-nat.pdfand Region 6’s July 6, 1998 version ofthe permit at www.epa.gov/owm/sw/construction/cgp/cgp-reg6.pdf orobtained from the Office of WaterResource Center at (202) 260–7786. TheNOI form is also available from the WebSite at www.epa.gov/owm/sw/construction/connoi.pdf or from yourEPA Regional office at the address listedunder Part 8.3. Discharges incompliance with the provisions of theConstruction General Permit are alsoauthorized under the MSGP.

6.G.5.2 Cessation of Earth DisturbingActivities. If exploration phase clearing,

grading and excavation activities arecompleted and no further miningactivities will occur at the site, you mustcomply with the requirements forterminating the Construction GeneralPermit, i.e., stabilize and revegetate thedisturbed land, submit a Notice ofTermination, etc. If active miningactivities will ensue, you must apply forcoverage under the MSGP–2000 for yourstorm water discharges and be preparedto implement any new requirementsprior to beginning the active phase. It isrecommended you terminate yourcoverage under the ConstructionGeneral Permit, but it is not mandatorythat you do so. If you choose not toterminate your construction GeneralPermit, you will be responsible forcomplying with all permit conditions ofthe construction permit in addition tothose of the MSGP–2000. The Notice ofTermination form is Addendum E tothis permit and is available at http://www.epa.gov/owm/sw/industry/msgp/notform.pdf.

6.G.6 Storm Water PollutionPrevention Plan (SWPPP) Requirements


6.G.6.1 SWPPP Requirements forActive and Temporarily Inactive MetalMining Facilities.

6.G.6.1.1 Nature of IndustrialActivities. (See also Part 4.2.2.1 ) Brieflydescribe the mining and associatedactivities that can potentially affect thestorm water discharges covered by thispermit, including: the total acreagewithin the mine site; the estimatedacreage of disturbed land; the estimatedacreage of land proposed to be disturbedthroughout the life of the mine; and ageneral description of the location of thesite relative to major transportationroutes and communities.

6.G.6.1.2 Site Map. (See also Part4.2.2.3) Also identify the locations ofthe following (as appropriate): mining/milling site boundaries; access and haulroads; outline of the drainage areas ofeach storm water outfall within thefacility and indicate the types ofdischarges from the drainage areas;equipment storage, fueling andmaintenance areas; materials handlingareas; outdoor manufacturing, storage ormaterial disposal areas; chemicals andexplosives storage areas; overburden,materials, soils or waste storage areas;location of mine drainage (where waterleaves mine) or other process water;tailings piles/ponds (includingproposed ones); heap leach pads; off-sitepoints of discharge for mine drainage/process water; surface waters; andboundary of tributary areas that are

subject to effluent limitationsguidelines.

6.G.6.1.3 Potential PollutantSources. (See also Part 4.2.4) For eacharea of the mine/mill site where stormwater discharges associated withindustrial activities occur, identify thetypes of pollutants (e.g., heavy metals,sediment) likely to be present insignificant amounts. Consider thesefactors: the mineralogy of the ore andwaste rock (e.g., acid forming); toxicityand quantity of chemicals used,produced or discharged; the likelihoodof contact with storm water; vegetationof site (if any); history of significantleaks/spills of toxic or hazardouspollutants. Also include a summary ofany existing ore or waste rock/overburden characterization data andtest results for potential generation ofacid rock. If any new data is acquireddue to changes in ore type being mined,update your SWPPP with thisinformation.

6.G.6.1.4 Site Inspections. (See alsoPart 4.2.7.2.1.5) Inspect active miningsites at least monthly. Inspecttemporarily inactive sites at leastquarterly unless adverse weatherconditions make the site inaccessible.

6.G.6.1.5 Employee Training. (Seealso Part 4.2.7.2.1.6) Conduct employeetraining at least annually at activemining and temporarily inactive sites.

6.G.6.1.6 Controls. (See also Part4.2.7) Consider each of the followingBMPs. The potential pollutantsidentified in Part 6.G.6.1.3 shalldetermine the priority andappropriateness of the BMPs selected. Ifyou determine that one or more of theseBMPs are not appropriate for yourfacility, explain why it is notappropriate. If BMPs are implementedor planned but are not listed here (e.g.,substituting a less toxic chemical for amore toxic one), include descriptions ofthem in your SWPPP.

6.G.6.1.6.1 Storm Water Diversions.Consider diverting storm water awayfrom potential pollutant sources. BMPoptions: interceptor/diversion controls(e.g., dikes, swales, curbs or berms);pipe slope drains; subsurface drains;conveyance systems (e.g., channels orgutters, open top box culverts andwaterbars; rolling dips and road sloping;roadway surface water deflector, andculverts); or their equivalents.

6.G.6.1.6.2 Sediment and ErosionControl. (See also Part 4.2.7.2.2.1) Atactive and temporarily inactive sitesconsider a range of erosion controlswithin the broad categories of: flowdiversion (e.g., swales); stabilization(e.g., temporary or permanent seeding);and structural controls (e.g., sedimenttraps, dikes, silt fences).



6.G.6.1.6.3 Management of Runoff.(See also Part 4.2.7.2.2.2) Consider thepotential pollutant sources given in Part6.G.6.1.3 when determining reasonableand appropriate measures for managingrunoff.

6.G.6.1.6.4 Capping. When cappingis necessary to minimize pollutantdischarges in storm water, identify thesource being capped and the materialused to construct the cap.

6.G.6.1.6.5 Treatment. If treatmentof storm water (e.g., chemical orphysical systems, oil/water separators,artificial wetlands, etc.) from active andtemporarily inactive sites is necessary toprotect water quality, describe the typeand location of treatment used.

6.G.6.1.6.6 Certification of DischargeTesting. (See also Part 4.4.1) Test orevaluate for the presence of specificmining-related non-storm waterdischarges such as seeps or aditdischarges or discharges subject toeffluent limitations guidelines (e.g., 40CFR Part 440), such as mine drainage orprocess water. Alternatively (ifapplicable), you may certify in yourSWPPP that a particular dischargecomprised of commingled storm waterand non-storm water is covered under aseparate NPDES permit; and that permitsubjects the non-storm water portion toeffluent limitations prior to anycommingling. This certification shallidentify the non-storm water discharges,the applicable NPDES permit(s), theeffluent limitations placed on the non-storm water discharge by the permit(s),and the points at which the limitationsare applied.

6.G.6.2 SWPPP Requirements forInactive Metal Mining Facilities.

6.G.6.2.1 Nature of IndustrialActivities. (See also Part 4.2.2.1) Brieflydescribe the mining and associatedactivities that took place at the site thatcan potentially affect the storm waterdischarges covered by this permit.Include: approximate dates of operation;total acreage within the mine and/orprocessing site; estimate of acres ofdisturbed earth; activities currentlyoccurring onsite (e.g., reclamation); ageneral description of site location withrespect to transportation routes andcommunities.

6.G.6.2.2 Site Map. (See also Part4.2.2.3) See Part 6.G.6.1.2 forrequirements.

6.G.6.2.3 Potential PollutantSources. (See also Part 4.2.4) See Part6.G.6.1.3 for requirements.

6.G.6.2.4 Controls. (See also Part4.2.7) Consider each of the followingBMPs. The potential pollutantsidentified in Part 6.G.6.2.3 shalldetermine the priority andappropriateness of the BMPs selected. Ifyou determine that one or more of theseBMPs are not appropriate for yourfacility, explain why it is notappropriate. If BMPs are implementedor planned but are not listed here (e.g.,substituting a less toxic chemical for amore toxic one), include descriptions ofthem in your SWPPP. The non-structural controls in the generalrequirements at Part 4.2.7.2.1 are notrequired for inactive facilities.

6.G.6.2.4.1 Storm Water Diversions.See Part 6.G.6.1.6.2 for requirements.

6.G.6.2.4.2 Sediment and ErosionControl. (See also Part 4.2.7.2.2.1) SeePart 6.G.6.1.6 for requirements.

6.G.6.2.4.3 Management of Runoff.(See also Part 4.2.7.2.2.2)

Also consider the potential pollutantsources as described in Part 6.G.6.2.3(Summary of Potential PollutantSources) when determining reasonableand appropriate measures for managingrunoff.

6.G.6.2.4.4 Capping. See Part6.G.6.1.7 for requirements.

6.G.6.2.4.5 Treatment. See Part6.G.6.1.8 for requirements.

6.G.6.2.5 Comprehensive SiteCompliance Evaluation. (See also Part4.9)

Annual site compliance evaluationsmay be impractical for inactive miningsites due to remote location/inaccessibility of the site; in which caseconduct the evaluation at least onceevery 3 years. Document in the SWPPPwhy annual compliance evaluations arenot possible. If the evaluations will beconducted more often than every 3years, specify the frequency ofevaluations.

6.G.7 Monitoring and ReportingRequirements. (See also Part 5)

6.G.7.1 Analytic Monitoring forCopper Ore Mining and DressingFacilities. Active copper ore mining anddressing facilities must sample andanalyze storm water discharges for thepollutants listed in Table G–1.

TABLE G–1.—SECTOR-SPECIFIC NUMERIC EFFLUENT LIMITATIONS AND BENCHMARK MONITORING FOR COPPER OREMINING AND DRESSING FACILITIES



off concentration 1 Numeric limitation


Copper Ore Mining and Dressing Facilities ....................(SIC 1021) .......................................................................


Nitrate plus Nitrite NitrogenChemical Oxygen Demand

(COD).

100 mg/L.0.68 mg/L.120 mg/L.


6.G.7.2 Analytic MonitoringRequirements for Discharges FromWaste Rock and Overburden Piles atActive Ore Mining and DressingFacilities.For discharges from wasterock and overburden piles, performanalytic monitoring at least once withinthe first year of permit coverage for theparameters listed in Table G–2, andtwice annually thereafter for any

parameters measured above thebenchmark value (based on the initialsampling event) listed in Table G–2.Permittees must also conduct analyticmonitoring twice annually for theparameters listed in Table G–3. Thetwice annual samples must be collectedonce between January 1 and June 30 andonce between July 1 and December 31,with at least 3 months separating the

storm events. The director may,however, notify you that you mustperform additional monitoring toaccurately characterize the quality andquantity of pollutants discharged fromyour waste rock/overburden piles.Monitoring requirements for dischargesfrom waste rock and overburden pilesare not eligible for the waivers in Part5.3.2.



TABLE G–2.—SECTOR-SPECIFIC NUMERIC EFFLUENT LIMITATIONS AND BENCHMARK MONITORING FOR DISCHARGES FROMWASTE ROCK AND OVERBURDEN PILES FROM ACTIVE ORE MINING OR DRESSING FACILITIES

Part of permit affected/supplemental requirements—

Subsector (Discharges may be subject to requirementsfor more than one sector/subsector) Parameter Benchmark monitoring cutoff

concentration 1Numericlimitation

Iron Ores; Copper Ores; Lead and Zinc Ores; Gold andSilver Ores; Ferroalloy Ores Except Vanadium; Mis-cellaneous Metal Ores (SIC Codes 1011, 1021, 1031,1041, 1044, 1061, 1081, 1094, 1099).

Total Suspended Solids (TSS) ...............Turbidity (NTUs) ......................................pH ............................................................Hardness (as CaCO3) .............................

100 mg/L.5 NTUs above background.6.0–9.0 standard units.no benchmark value.

See above, as applicable ................................................. Antimony, Total .......................................Arsenic, Total ..........................................Beryllium, Total .......................................Cadmium, Total (hardness dependent) ..Copper, Total (hardness dependent) ......Iron, Total ................................................Lead, Total (hardness dependent) ..........Manganese, Total ...................................Mercury, Total .........................................Nickel, Total (hardness dependent) ........Selenium, Total .......................................Silver, Total (hardness dependent) .........Zinc, Total (hardness dependent) ...........

0.636 mg/L.0.16854 mg/L.0.13 mg/L.0.0159 mg/L.0.0636 mg/L.1.0 mg/L.0.0816 mg/L.1.0 mg/L.0.0024 mg/L.1.417 mg/L.0.2385 mg/L.0.318 mg/L.0.117 mg/L.

1 Monitor at least once during the first year of permit coverage, and twice annually thereafter for any parameter that exceeds the benchmarkvalue. Facilities that monitored for the full list of Table G–2 parameters during the previous permit need not sample the entire list again, howeverthey must continue twice annual monitoring for parameters that exceeded the benchmark values in the initial sampling event.

6.G.7.2.1 Additional AnalyticMonitoring Requirements for DischargesFrom Waste Rock and Overburden Piles.

Table G–3 contains additionalmonitoring requirements for specific ore

mine categories. Perform the monitoringtwice annually using the scheduleestablished in Part 6.G.7.2. The initialsampling event for a pollutant

parameter required in Table G–2satisfies the requirement for the firstsample of any pollutant measurement inTable G–3.

TABLE G–3.—ADDITIONAL MONOTORING REQUIREMENTS FOR DISCHARGES FROM WASTE ROCK AND OVERBURDEN PILESFROM ACTIVE ORE MINING OR DRESSING FACILITIES

Supplemental requirements—

Type of Ore mined

Pollutants of concern

Total sus-pended solids

(TSS)pH Metals, total

Tungsten Ore ...................................................................... X X Arsenic, Cadmium (H), Copper (H), Lead (H), Zinc (H).Nickel Ore ........................................................................... X X Arsenic, Cadmium (H), Copper (H), Lead (H), Zinc (H).Aluminum Ore ..................................................................... X X Iron.Mercury Ore ........................................................................ X X Nickel (H).Iron Ore ............................................................................... X X Iron (Dissolved).Platinum Ore ....................................................................... ........................ ............ Cadmium (H), Copper (H), Mercury, Lead (H), Zinc (H).Titanium Ore ....................................................................... X X Iron, Nickel (H), Zinc (H).Vanadium Ore ..................................................................... X X Arsenic, Cadmium (H), Copper (H), Zinc (H).Copper, Lead, Zinc, Gold, Silver and Molybdenum ........... X X Arsenic, Cadmium (H), Copper (H), Lead, Mercury, Zinc

(H).Uranium, Radium and Vanadium ........................................ X X Chemical Oxygen Demand, Arsenic, Radium (Dissolved

and Total), Uranium, Zinc (H).

Note: (H) indicates that hardness must also be measured when this pollutant is measured.

6.G.7.2.2 Reporting RequirementsStorm Water Discharges From WasteRock And Overburden Piles From ActiveOre Mining or Dressing Facilities. Fromactive ore mining and dressing facilities,

submit monitoring results for eachoutfall discharging storm water fromwaste rock and overburden piles, orcertifications in accordance with Part 7.Submit monitoring reports on discharge

monitoring report (DMR) formspostmarked no later than January 28 ofthe next year after the samples werecollected.



TABLE G–4.—APPLICABILITY OF THE MULTI-SECTOR GENERAL PERMIT TO STORM WATER RUNOFF FROM ACTIVE ORE(METAL) MINING AND DRESSING SITES

Discharge/source of discharge Note/comment

Piles

Waste rock/overburden ................................................................................................................... If composed entirely of storm water and notcombining with mine drainage. See Notebelow.

Topsoil

Roads constructed of waste rock or spent ore

Onsite haul roads ............................................................................................................................ If composed entirely of storm water and notcombining with mine drainage. See Notebelow.

Offsite haul/access roads

Roads not constructed of waste rock or spent ore

Onsite haul roads ............................................................................................................................ Except if ‘‘mine drainage’’ is used for dust con-trol.

Offsite haul/access roads

Milling/concentrating

Runoff from tailings dams/dikes when constructed of waste rock/tailings ..................................... Except if process fluids are present and only ifcomposed entirely of storm water and notcombining with mine drainage. See Notebelow.

Runoff from tailings dams/dikes when not constructed of waste rock/tailings ............................... Except if process fluids are present.Concentration building ..................................................................................................................... If storm water only and no contact with piles.Mill site ............................................................................................................................................. If storm water only and no contact with piles.

Ancillary areas

Office/administrative building and housing ...................................................................................... If mixed with storm water from the industrialarea.

Chemical storage areaDocking facility ................................................................................................................................. Except if excessive contact with waste product

that would otherwise constitute ‘‘mine drain-age’’.

Explosive storageFuel storage (oil tanks/coal piles)Vehicle/equipment maintenance area/buildingParking areas .................................................................................................................................. But coverage unnecessary if only employee

and visitor-type parking.Power plantTruck wash area .............................................................................................................................. Except when excessive contact with waste

product that would otherwise constitute‘‘mine drainage’’.

Reclamation-related areas

Any disturbed area (unreclaimed) ................................................................................................... Only if not in active mining area.Reclaimed areas released from reclamation bonds prior to Dec. 17 1990.Partially/inadequately reclaimed areas or areas not released from reclamation bond.

Note: Storm water runoff from these sources are subject to the NPDES program for storm water unless mixed with discharges subject to the40 CFR Part 440 that are not regulated by another permit prior to mixing. Non-storm water discharges from these sources are subject to NPDESpermitting and may be subject to the effluent limitation guidelines under 40 CFR Part 440.

Discharges from overburden/waste rock and overburden/waste rock-related areas are not subject to 40 CFR Part 440 unless: (1) it drains nat-urally (or is intentionally diverted) to a point source; and (2) combines with ‘‘mine drainage’’ that is otherwise regulated under the Part 440 regu-lations. For such sources, coverage under this permit would be available if the discharge composed entirely of storm water does not combinewith other sources of mine drainage that are not subject to 40 CFR Part 440, as well as meeting other eligibility criteria contained in Part I.B. ofthe permit. Permit applicants bear the initial responsibility for determining the applicable technology-based standard for such discharges. EPArecommends that permit applicants contact the relevant NPDES permit issuance authority for assistance to determine the nature and scope ofthe ‘‘active mining area’’ on a mine-by-mine basis, as well as to determine the appropriate permitting mechanism for authorizing such discharges.



6.H Sector H—Coal Mines and CoalMining Related Facilities

6.H.1 Covered Storm WaterDischarges

The requirements in Part 6.H apply tostorm water discharges associated withindustrial activity from Coal Mines andCoal Mining Related facilities asidentified by the SIC Codes specifiedunder Sector H in Table 1–1 of Part1.2.1.

6.H.2 Industrial Activities Covered bySector H

Storm water discharges from thefollowing portions of coal mines may beeligible for this permit:

6.H.2.1 Haul roads (nonpublic roadson which coal or coal refuse isconveyed);

6.H.2.2 Access roads (nonpublicroads providing light vehicular trafficwithin the facility property and topublic roadways);

6.H.2.3 Railroad spurs, siding andinternal haulage lines (rail lines used forhauling coal within the facility propertyand to offsite commercial railroad linesor loading areas);

6.H.2.4 Conveyor belts, chutes andaerial tramway haulage areas (areasunder and around coal or refuseconveyer areas, including transferstations); and

6.H.2.5 Equipment storage andmaintenance yards, coal handlingbuildings and structures, and inactivecoal mines and related areas (abandonedand other inactive mines, refusedisposal sites and other mining-relatedareas).

6.H.3 Limitation on Coverage6.H.3.1 Prohibition of Non-Storm

Water Discharges. (See also Part 1.2.2.2)Not covered by this permit: dischargesfrom pollutant seeps or undergrounddrainage from inactive coal mines andrefuse disposal areas that do not resultfrom precipitation events; anddischarges from floor drains inmaintenance buildings and other similar

drains in mining and preparation plantareas.

6.H.3.2 Discharges Subject to StormWater Effluent Guidelines. (See also Part1.2.3.4) Not authorized by this permit:storm water discharges subject to anexisting effluent limitation guideline at40 CFR Part 434.

6.H.4 Storm Water PollutionPrevention Plan (SWPPP) Requirements

In addition to the followingrequirements, you must also complywith the requirements listed in Part 4 ofthe MSGP.

6.H.4.1 Other ApplicableRegulations. Most active coal mining-related areas (SIC Codes 1221–1241) aresubject to sediment and erosion controlregulations of the U.S. Office of SurfaceMining (OSM) that enforces the SurfaceMining Control and Reclamation Act(SMCRA). OSM has granted authority tomost coal producing states to implementSMCRA through State SMCRAregulations. All SMCRA requirementsregarding control of storm water-relatedpollutant discharges must be addressedin the SWPPP (directly or by reference).

6.H.4.2 Drainage Area Site Map.(See also Part 4.2.2.3) Also identifywhere any of the following may beexposed to precipitation/surface runoff:all applicable mining related areasdescribed in Part 6.H.2; acidic spoil,refuse or unreclaimed disturbed areas,and liquid storage tanks containingpollutants such as caustics, hydraulicfluids and lubricants.

6.H.4.3 Potential Pollutant Sources.(See also Part 4.2.4) Describe thefollowing sources and activities thathave potential pollutants associatedwith them: truck traffic on haul roadsand resulting generation of sedimentsubject to runoff and dust generation;fuel or other liquid storage; pressurelines containing slurry, hydraulic fluidor other potential harmful liquids; andloading or temporary storage of acidicrefuse/spoil.

6.H.4.4 Good HousekeepingMeasures. (See also Part 4.2.7.2.1.1) Aspart of your good housekeepingprogram, consider: using sweepers;covered storage; watering haul roads tominimize dust generation; andconserving vegetation (where possible)to minimize erosion.

6.H.4.5 Preventive Maintenance.(See also Part 4.2.7.2.1.3) Also performinspections of storage tanks andpressure lines of fuels, lubricants,hydraulic fluid or slurry to preventleaks due to deterioration or faultyconnections; or other equivalentmeasures.

6.H.4.6 Inspections of ActiveMining-Related Areas and InactiveAreas Under SMCRA Bond Authority.(See also Part 4.2.7.2.1.5) Performquarterly inspections of areas coveredby this permit, corresponding with theinspections, as performed by SMCRAinspectors, of all mining-related areasrequired by SMCRA. Also maintain therecords of the SMCRA authorityrepresentative.

6.H.4.7 Sediment and ErosionControl. (See also Part 4.2.7.2.2.1) Asindicated in Part 6.H.4.1 above, SMCRArequirements regarding sediment anderosion control measures are primaryrequirements of the SWPPP for mining-related areas subject to SMCRAauthority.

6.H.4.8 Comprehensive SiteCompliance Evaluation. (See also Part4.9.2) Include in your evaluationprogram, inspections for pollutantsentering the drainage system fromactivities located on or near coalmining-related areas. Among the areasto be inspected: haul and access roads;railroad spurs, sliding and internalhauling lines; conveyor belts, chutesand aerial tramways; equipment storageand maintenance yards; coal handlingbuildings/structures; and inactive minesand related areas.

6.H.6 Monitoring and ReportingRequirements. (See also Part 5)

TABLE H–1.—SECTOR-SPECIFIC NUMERIC EFFLUENT LIMITATIONS AND BENCHMARK MONITORING

Subsector(Discharges may be subject to requirements

for more than one sector/subsector)Parameter Benchmark monitoring

cutoff concentration 1 Numeric limitation


Coal Mines and Related Areas ........................(SIC 1221–1241) ..............................................

Total Recoverable Aluminum ..........................Total Recoverable Iron ...................................Total Suspended Solids ..................................

0.75 mg/L.1.0 mg/L.100 mg/L..




6.I Sector I—Oil and Gas Extractionand Refining

6.I.1 Covered Storm Water Discharges

The requirements in Part 6.I apply tostorm water discharges associated withindustrial activity from Oil and GasExtraction and Refining facilities asidentified by the SIC Codes specifiedunder Sector I in Table 1–1 of Part 1.2.1.

6.I.2 Industrial Activities Covered BySector I

The types of activities that permitteesunder Sector I are primarily engaged inare:

6.I.2.1 Oil and gas exploration,production, processing or treatmentoperations, or transmission facilities;

6.I.2.2 Extraction and production ofcrude oil, natural gas, oil sands andshale; the production of hydrocarbonliquids and natural gas from coal; andassociated oil field service, supply andrepair industries.

6.I.3 Limitations On Coverage

6.I.3.1 Prohibition of Storm WaterDischarges. This permit does notauthorize contaminated storm waterdischarges from petroleum refining ordrilling operations that are subject tonationally established BAT or BPTguidelines found at 40 CFR Parts 419and 435, respectively. Note: mostcontaminated discharges at petroleumrefining and drilling facilities aresubject to these effluent guidelines andare not eligible for coverage by thispermit.

6.I.3.2 Prohibition of Non-StormWater Discharges. Not authorized bythis permit: discharges of vehicle andequipment washwater, including tankcleaning operations.

Alternatively, washwater dischargesmust be authorized under a separateNPDES permit, or be discharged to asanitary sewer in accordance withapplicable industrial pretreatmentrequirements.

6.I.4 Storm Water PollutionPrevention Plan (SWPPP) Requirements


6.I.4.1 Drainage Area Site Map. (Seealso Part 4.2.2.3) Identify where any ofthe following may be exposed toprecipitation/surface runoff: ReportableQuantity (RQ) releases; locations usedfor the treatment, storage or disposal ofwastes; processing areas and storageareas; chemical mixing areas;construction and drilling areas; all areassubject to the effluent guidelinesrequirements for ‘‘No Discharge’’ inaccordance with 40 CFR 435.32; and the

structural controls to achievecompliance with the ‘‘No Discharge’’requirements.

6.I.4.2 Potential Pollutant Sources.(See also Part 4.2.4)

Also describe the following sourcesand activities that have potentialpollutants associated with them:chemical, cement, mud or gel mixingactivities; drilling or mining activities;and equipment cleaning andrehabilitation activities. In addition,include information about the RQrelease that triggered the permitapplication requirements; the nature ofrelease (e.g., spill of oil from a drumstorage area); the amount of oil orhazardous substance released; amountof substance recovered; date of therelease; cause of the release (e.g., poorhandling techniques and lack ofcontainment in the area); areas affectedby the release (i.e., land and water);procedure to clean up release; actions orprocedures implemented to prevent orimprove response to a release; andremaining potential contamination ofstorm water from release (taking intoaccount human health risks, the controlof drinking water intakes and thedesignated uses of the receiving water).

6.I.4.3 Inspections. (See also Part4.2.7.2.1.5)

6.I.4.3.1 Inspection Frequency.Inspect all equipment and areasaddressed in the SWPPP at a minimumof 6-month intervals. Routinely (but notless than quarterly) inspect equipmentand vehicles which store, mix(including all on and offsite mixingtanks) or transport chemicals/hazardousmaterials (including those transportingsupplies to oil field activities).

6.I.4.3.2 Temporarily orPermanently Inactive Oil and GasExtraction Facilities. For these facilitiesthat are remotely located and unstaffed,perform the inspections at leastannually.

6.I.4.4 Sediment and ErosionControl. (See also Part 4.2.7.2.2.1)Unless covered by the General Permitfor Construction Activity, the additionalsediment and erosion controlrequirements for well drillings, andsand/shale mining areas include thefollowing:

6.I.4.4.1 Site Description: Alsoinclude: a description of the nature ofthe exploration activity; estimates of thetotal area of site and area disturbed dueto exploration activity; an estimate ofrunoff coefficient of the site; sitedrainage map, including approximateslopes; and the name of all receivingwaters. All sediment and erosioncontrol measures must be inspectedonce every seven days.

6.I.4.4.2 Vegetative Controls:Describe and implement vegetativepractices designed to preserve existingvegetation where attainable and re-vegetate open areas as soon aspracticable after grade drilling. Considerthe following (or equivalent measures):temporary or permanent seeding,mulching, sod stabilization, vegetativebuffer strips, tree protection practices.Begin implementing appropriatevegetative practices on all disturbedareas within 14 days following the lastactivity in that area.

6.I.4.5 Good HousekeepingMeasures. (See also Part 4.2.7.2.1.1)

6.I.4.5.1 Vehicle and EquipmentStorage Areas. Confine vehicles/equipment awaiting or havingundergone maintenance to designatedareas (as marked on site map). Describeand implement measures to minimizecontaminants from these areas (e.g., drippans under equipment, indoor storage,use of berms or dikes, or otherequivalent measures).

6.I.4.5.2 Material and ChemicalStorage Areas. Maintain these areas ingood conditions to preventcontamination of storm water. Plainlylabel all hazardous materials.

6.I.4.5.3 Chemical Mixing Areas.(See also Part 4.4)

Describe and implement measuresthat prevent or minimize contaminationof storm water runoff from chemicalmixing areas.

6.J Sector J—Mineral Mining andDressing

6.J.1 Covered Storm Water DischargesThe requirements in Part 6.J apply to

storm water discharges associated withindustrial activity from active andinactive mineral mining and dressingfacilities as identified by the SIC Codesspecified under Sector J in Table 1–1 ofPart 1.2.1.

6.J.2 Industrial Activities Covered bySector J

The types of activities that permitteesunder Sector J are primarily engaged inare:

6.J.2.1 exploring for minerals (e.g.,stone, sand, clay, chemical and fertilizerminerals, non-metallic minerals, etc.),developing mines and the mining ofminerals; and

6.J.2.2 mineral dressing, and non-metallic mineral services.

6.J.3 Limitations on CoverageNot authorized by this permit: most

storm water discharges subject to anexisting effluent limitation guideline at40 CFR part 436. The exceptions to thislimitation and which are thereforecovered by the MSGP–2000 are mine



dewatering discharges composedentirely of storm water or ground waterseepage from: construction sand andgravel, industrial sand, and crushedstone mining facilities in Regions 1, 2,3, 6, 8, 9, and 10.

6.J.4 Definitions6.J.4.1 Mining Operation—typically

consists of three-phases, any one ofwhich individually qualifies as a‘‘mining activity.’’ The phases are theexploration and construction phase, theactive phase and the reclamation phase.

6.J.4.2 Exploration and ConstructionPhase—entails exploration and landdisturbance activities to determine thefinancial viability of a site. Constructionincludes the building of site accessroads and removal of overburden andwaste rock to expose mineable minerals.

6.J.4.3 Active Phase—activitiesincluding each step from extractionthrough production of a salable product.

6.J.4.4 Reclamation phase—activities intended to return the land toits pre-mining state.

Note: The following definitions are notintended to supercede the definitions ofactive and inactive mining facilitiesestablished by 40 CFR 122.26(b)(14)(iii).

6.J.4.5 Active Mineral MiningFacility—a place where work or otheractivity related to the extraction,removal or recovery of minerals is beingconducted. This definition does notinclude any land where grading hasreturned the earth to a desired contourand reclamation has begun.

6.J.4.6 Inactive Mineral MiningFacility—a site or portion of a sitewhere mineral mining and/or dressingoccurred in the past but is not an activefacility as defined above, and where theinactive portion is not covered by anactive permit issued by the applicableState or Federal government agency.

6.J.4.7 Temporarily Inactive MineralMining Facility—a site or portion of asite where mineral mining and/ordressing occurred in the past butcurrently are not being activelyundertaken, and the facility is coveredby an active mining permit issued by

the applicable State or Federalgovernment agency.

6.J.5 Clearing, Grading andExcavation Activities

Clearing, grading and excavationactivities being conducted as part of theexploration and construction phase of amineral mining operation cannot becovered under this permit if theseactivities will disturb one or more acreof land. Instead, coverage for theseactivities must be under the latestversion of EPA’s General Permit forStorm Water Discharges fromConstruction Activities (the‘‘Construction General Permit;’’ FederalRegister, Vol. 63, p. 7858) and, forRegion 6, Federal Register, Vol. 63, p.36490), or an individual constructionpermit. If the area of disturbance duringthe initial phase is less than one acre,you must continue to comply with therequirements of the MSGP–2000.

6.J.5.1 Obtaining Coverage Underthe Construction General Permit. If theone-acre limit as described in Part 6.J.5is attained, coverage for these activitiesmust be under the latest version ofEPA’s Construction General Permit (orindividual permit). You must firstobtain and comply with theConstruction General Permit’srequirements before submitting theseparate Construction General PermitNotice of Intent (NOI) form (EPA Form3510–9). The February 17, 1998 versionof the permit can be downloaded fromthe EPA’s Web Site at http://www.epa.gov/owm/sw/construction/cgp/cgp-nat.pdf or obtained from theOffice of Water Resource Center at (202)260–7786. The NOI form is alsoavailable from the Web Site at http://www.epa.gov/owm/sw/construction/connoi.pdf or from your EPA Regionaloffice at the address listed under Part8.3. Discharges in compliance with theprovisions of the Construction GeneralPermit are also authorized under theMSGP.

6.J.5.2 Cessation of Exploration andConstruction Activities. If exploration

phase clearing, grading and excavationactivities are completed and no furthermining activities will occur at the site,you must comply with the requirementsfor terminating the Construction GeneralPermit, i.e., stabilize and revegetate thedisturbed land, submit a Notice ofTermination, etc. If active miningoperations will ensue, you must applyfor coverage under the MSGP–2000 foryour storm water discharges and beprepared to implement any newrequirements prior to beginning theactive phase. It is recommended youterminate your coverage under theconstruction general permit, but you arenot required to do so. If you choose tonot terminate, you will be responsiblefor complying with all permitconditions of the construction permit inaddition to those of the MSGP–2000.The Notice of Termination form isavailable in Addendum F to this permitand at http://www.epa.gov/owm/sw/industry/msgp/notform.pdf.

6.J.6 Storm Water PollutionPrevention Plan (SWPPP) Requirements


6.J.6.1 Inspections. (See also Part4.2.7.2.1.5) Conduct quarterly visualinspections of all BMPs at active miningfacilities. At temporarily or permanentlyinactive facilities, perform annualinspections. Include in your inspectionprogram: assessment of the integrity ofstorm water discharge diversions,conveyance systems, sediment controland collection systems and containmentstructures; inspections to determine ifsoil erosion has occurred at, or as aresult of vegetative BMPs, serratedslopes and benched slopes; inspectionsof material handling and storage areasand other potential sources of pollutionfor evidence of actual or potentialdischarges of contaminated storm water.

6.J.7 Monitoring and ReportingRequirements. (See also Part 5)

TABLE J–1.—SECTOR-SPECIFIC NUMERIC EFFLUENT LIMITATIONS AND BENCHMARK MONITORING





Mine Dewatering Activities at Construction Sand andGravel; Industrial Sand; and Crushed Stone MiningFacilities (SIC 1422–1429, 1442, 1446).

Total Suspended Solids ....pH ......................................

............................................ 25 mg/L, monthly avg. 45mg/L, daily max

6.0–9.0Sand and Gravel Mining (SIC 1442, 1446) ..................... Nitrate plus Nitrogen .........

Total Suspended Solids ....0.68 mg/L.100 mg/L.



TABLE J–1.—SECTOR-SPECIFIC NUMERIC EFFLUENT LIMITATIONS AND BENCHMARK MONITORING—Continued




Dimension and Crushed Stone and Nonmetallic Min-erals (except fuels) (SIC 1411, 1422–1429, 1481,1499).

Total Suspended Solids .... 100 mg/L.

1 Monitor once/quarter for the year 2 and year 4 Monitoring Years.2 Monitor once/year for Each Monitoring Year.

6.K Sector K—Hazardous WasteTreatment, Storage or DisposalFacilities

6.K.1 Covered Storm Water DischargesThe requirements in Part 6.K apply to

storm water discharges associated withindustrial activity from HazardousWaste Treatment, Storage or Disposalfacilities as identified by the ActivityCode specified under Sector K in Table1–1 of Part 1.2.1.

6.K.2 Industrial Activities Covered bySector K

This permit authorizes storm waterdischarges associated with industrialactivity from facilities that treat, store ordispose of hazardous wastes, includingthose that are operating under interimstatus or a permit under subtitle C ofRCRA.

6.K.3 Limitations on CoverageFor facilities located in Region 6,

coverage is limited to Hazardous WasteTreatment Storage or Disposal Facilities(TSDF’s) that are self-generating orhandle residential wastes only and tothose facilities that only store hazardouswastes and do not treat or dispose.Those permits are issued by EPA Region6 for Louisiana (LAR05*###), NewMexico (NMR05*###), Oklahoma(OKR05*###), and Federal IndianReservations in these States(LAR05*##F, NMR05*##F, OKR05*##F,or TXR05*##F). Coverage under thispermit is not available to commercialhazardous waste disposal/treatmentfacilities located in Region 6 thatdispose and treat on a commercial basisany produced hazardous wastes (nottheir own) as a service to generators.

6.K.3.1 Prohibition of Non-StormWater Discharges. (See also Part 1.2.3.1)Not authorized by this permit: leachate,gas collection condensate, drained freeliquids, contaminated ground water,

laboratory-derived wastewater andcontact washwater from washing truckand railcar exteriors and surface areaswhich have come in direct contact withsolid waste at the landfill facility.

6.K.4 Definitions6.K.4.1 Contaminated storm water—

storm water which comes in directcontact with landfill wastes, the wastehandling and treatment areas, or landfillwastewater as defined in Part 6.K.4.5.Some specific areas of a landfill thatmay produce contaminated storm waterinclude (but are not limited to): theopen face of an active landfill withexposed waste (no cover added); theareas around wastewater treatmentoperations; trucks, equipment ormachinery that has been in directcontact with the waste; and wastedumping areas.

6.K.4.2 Drained free liquids—aqueous wastes drained from wastecontainers (e.g., drums, etc.) prior tolandfilling.

6.K.4.3 Land treatment facility—afacility or part of a facility at whichhazardous waste is applied onto orincorporated into the soil surface; suchfacilities are disposal facilities if thewaste will remain after closure.

6.K.4.4 Landfill—an area of land oran excavation in which wastes areplaced for permanent disposal, that isnot a land application or land treatmentunit, surface impoundment,underground injection well, waste pile,salt dome formation, a salt bedformation, an underground mine or acave as these terms are defined in 40CFR 257.2, 258.2 and 260.10.

6.K.4.5 Landfill wastewater—asdefined in 40 CFR Part 445 (LandfillsPoint Source Category) all wastewaterassociated with, or produced by,landfilling activities except for sanitarywastewater, non-contaminated stormwater, contaminated groundwater, and

wastewater from recovery pumpingwells. Landfill wastewater includes, butis not limited to, leachate, gas collectioncondensate, drained free liquids,laboratory derived wastewater,contaminated storm water and contactwashwater from washing truck,equipment, and railcar exteriors andsurface areas which have come in directcontact with solid waste at the landfillfacility.

6.K.4.6 Leachate—liquid that haspassed through or emerged from solidwaste and contains soluble, suspended,or miscible materials removed fromsuch waste.

6.K.4.7 Non-contaminated stormwater—storm water which does notcome into direct contact with landfillwastes, the waste handling andtreatment areas, or landfill wastewateras defined in Part 6.K.4.5. Non-contaminated storm water includesstorm water which flows off the cap,cover, intermediate cover, daily cover,and/or final cover of the landfill.

6.K.4.8 Pile—any non-containerizedaccumulation of solid, nonflowinghazardous waste that is used fortreatment or storage and that is not acontainment building.

6.K.4.9 Surface impoundment—afacility or part of a facility which is anatural topographic depression, man-made excavation or diked area formedprimarily of earthen materials (althoughit may be lined with man-madematerials), which is designed to hold anaccumulation of liquid wastes or wastescontaining free liquids, and which is notan injection well. Examples of surfaceimpoundments are holding, storage,settling, and aeration pits, ponds andlagoons.

6.K.5 Numeric Limitations,Monitoring and ReportingRequirements. (See also Part 5)



TABLE K–1.—SECTOR-SPECIFIC NUMERIC EFFLUENT LIMITATIONS AND BENCHMARK AND COMPLIANCE MONITORING





ALL—Industrial Activity Code ..........................................‘‘HZ’’ (Note: permit coverage limited in some States) ....

Ammonia ........................... 19.0 mg/L

Total Recoverable Magne-sium.

0.0636 mg/L


120.0 mg/L

Total Recoverable Arsenic 0.16854 mg/LTotal Recoverable Cad-

mium.0.0159 mg/L

Total Cyanide .................... 0.0636 mg/LTotal Recoverable Lead .... 0.0816 mg/LTotal Recoverable Mercury 0.0024 mg/LTotal Recoverable Sele-

nium.0.2385 mg/L

Total Recoverable Silver ... 0.0318 mg/LALL—Industrial Activity Code ..........................................‘‘HZ’’ Subject to the Provisions of 40 CFR Part 445

Subpart A.

BOD5 ................................. ............................................ 220 mg/l, daily max.56 mg/l, monthly avg. max-

imum.TSS .................................... ............................................ 88 mg/l, daily max.

27 mg/l, monthly avg. max-imum.

Ammonia ........................... ............................................ 10 mg/l, daily maximum.4.9 mg/l, monthly avg.

maximum.Alpha Terpineol ................. ............................................ 0.042 mg/l, daily max.

0.019 mg/l, monthly avg.maximum.

Aniline ................................ ............................................ 0.024 mg/l, daily max.0.015 mg/l, monthly avg.

maximum.Benzoic Acid ...................... ............................................ 0.119 mg/l, daily max.


Naphthalene ...................... ............................................ 0.059 mg/l, daily max.0.022 mg/l, monthly avg.

maximum.p-Cresol ............................. ............................................ 0.024 mg/l, daily max.


Phenol ............................... ............................................ 0.048 mg/l, daily max.0.029 mg/l, monthly avg.

maximum.Pyridine .............................. ............................................ 0.072 mg/l, daily max.


Arsenic (Total) ................... ............................................ 1.1 mg/l, daily maximum.0.54 mg/l, monthly avg.

maximum.Chromium (Total) .............. ............................................ 1.1 mg/l, daily maximum.


Zinc (Total) ........................ ............................................ 0.535 mg/l, daily max.0.296 mg/l, monthly avg.

maximum.pH ...................................... ............................................ Within the range of 6–9 pH

units.

1 These benchmark monitoring cutoff concentrations apply to storm water discharges associated with industrial activity other than contaminatedstorm water discharges from landfills subject to the numeric effluent limitations set forth in Table K–1. Monitor once/quarter for the year 2 andyear 4 monitoring years.

2 As set forth at 40 CFR Part 445 Subpart A, these numeric limitations apply to contaminated storm water discharges from hazardous wastelandfills subject to the provisions of RCRA Subtitle C at 40 CFR Parts 264 (Subpart N) and 265 (Subpart N) except for any of the facilities de-scribed below:

(a) Landfills operated in conjunction with other industrial or commercial operations when the landfill only receives wastes generated by the in-dustrial or commercial operation directly associated with the landfill;

(b) Landfills operated in conjunction with other industrial or commercial operations when the landfill receives wastes generated by the industrialor commercial operation directly associated with the landfill and also receives other wastes provided the other wastes received for disposal aregenerated by a facility that is subject to the same provisions in 40 CFR Subchapter N as the industrial or commercial operation or the otherwastes received are of similar nature to the wastes generated by the industrial or commercial operation;



(c) Landfills operated in conjunction with Centralized Waste Treatment (CWT) facilities subject to 40 CFR Part 437 so long as the CWT facilitycommingles the landfill wastewater with other non-landfill wastewater for discharge. A landfill directly associated with a CWT facility is subject tothis part if the CWT facility discharges landfill wastewater separately from other CWT wastewater or commingles the wastewater from its landfillonly with wastewater from other landfills; or

(d) Landfills operated in conjunction with other industrial or commercial operations when the landfill receives wastes from public service activi-ties so long as the company owning the landfill does not receive a fee or other remuneration for the disposal service.

For the discharges subject to thenumeric effluent limitations, monitoringfor the specified parameters is requiredonce/year during each year of the termof the permit.

6.L Sector L—Landfills, LandApplication Sites and Open Dumps

6.L.1 Covered Storm Water DischargesThe requirements in Part 6.L apply to

storm water discharges associated withindustrial activity from Landfills andLand Application Sites and OpenDumps as identified by the ActivityCodes specified under Sector L in Table1–1 of Part 1.2.1.

6.L.2 Industrial Activities Covered bySector L

This permit may authorize stormwater discharges for Sector L facilitiesassociated with waste disposal atlandfills, land application sites andopen dumps that receive or havereceived industrial waste, includingsites subject to regulation under SubtitleD of RCRA.

6.L.3 Limitations on Coverage6.L.3.1 Prohibition of Non-Storm

Water Discharges. (See also Part 1.2.3.1)Not authorized by this permit:

leachate, gas collection condensate,drained free liquids, contaminatedground water, laboratory wastewater,and contact washwater from washingtruck and railcar exteriors and surfaceareas which have come in direct contactwith solid waste at the landfill facility.

6.L.4 Definitions6.L.4.1 Contaminated storm water—

storm water which comes in directcontact with landfill wastes, the wastehandling and treatment areas, or landfillwastewater. Some specific areas of alandfill that may produce contaminatedstorm water include (but are not limitedto): the open face of an active landfillwith exposed waste (no cover added);the areas around wastewater treatmentoperations; trucks, equipment ormachinery that has been in directcontact with the waste; and wastedumping areas.

6.L.4.2 Drained free liquids—aqueous wastes drained from wastecontainers (e.g., drums, etc.) prior tolandfilling.

6.L.4.3 Landfill wastewater—asdefined in 40 CFR Part 445 (LandfillsPoint Source Category) all wastewater

associated with, or produced by,landfilling activities except for sanitarywastewater, non-contaminated stormwater, contaminated groundwater, andwastewater from recovery pumpingwells. Landfill process wastewaterincludes, but is not limited to, leachate,gas collection condensate, drained freeliquids, laboratory derived wastewater,contaminated storm water and contactwashwater from washing truck,equipment and railcar exteriors andsurface areas which have come in directcontact with solid waste at the landfillfacility.

6.L.4.4 Leachate—liquid that haspassed through or emerged from solidwaste and contains soluble, suspendedor miscible materials removed fromsuch waste.

6.L.4.5 Non-contaminated stormwater—storm water which does notcome in direct contact with landfillwastes, the waste handling andtreatment areas, or landfill wastewater.Non-contaminated storm water includesstorm water which flows off the cap,cover, intermediate cover, daily cover,and/or final cover of the landfill.

6.L.5 Storm Water PollutionPrevention Plan (SWPPP) Requirements


6.L.5.1 Drainage Area Site Map. (Seealso Part 4.2.2.3)

Identify where any of the followingmay be exposed to precipitation/surfacerunoff: Active and closed landfill cellsor trenches, active and closed landapplication areas, locations where opendumping is occurring or has occurred,locations of any known leachate springsor other areas where uncontrolledleachate may commingle with runoff,leachate collection and handlingsystems.

6.L.5.2 Summary of PotentialPollutant Sources. (See also Part 4.2.4)

Describe the following sources andactivities that have potential pollutantsassociated with them: fertilizer,herbicide and pesticide application;earth/soil moving; waste hauling andloading/unloading; outdoor storage ofsignificant materials including daily,interim and final cover materialstockpiles as well as temporary wastestorage areas; exposure of active andinactive landfill and land applicationareas; uncontrolled leachate flows;

failure or leaks from leachate collectionand treatment systems.

6.L.5.3 Good HousekeepingMeasures. (See also Part 4.2.7.2.1.1)

As part of your good housekeepingprogram, consider providing protectedstorage areas for pesticides, herbicides,fertilizer and other significant materials.

6.L.5.4 Preventative MaintenanceProgram. (See also Part 4.2.7.1)

As part of your preventivemaintenance program, maintain: allcontainers used for outdoor chemical/significant materials storage to preventleaking; all elements of leachatecollection and treatment systems toprevent commingling of leachate withstorm water; the integrity andeffectiveness of any intermediate orfinal cover (including repairing thecover as necessary to minimize theeffects of settlement, sinking anderosion).

6.L.5.5 Inspections.6.L.5.5.1 Inspections of Active Sites.

(See also Part 4.2.7.2.1.5) Inspectoperating landfills, open dumps andland application sites at least once every7 days. Focus on areas of landfills thathave not yet been finally stabilized,active land application areas, areas usedfor storage of material/wastes that areexposed to precipitation, stabilizationand structural control measures,leachate collection and treatmentsystems, and locations where equipmentand waste trucks enter/exit the site.Ensure that sediment and erosioncontrol measures are operating properly.For stabilized sites and areas where landapplication has been completed, orwhere the climate is seasonally arid(annual rainfall averages from 0 to 10inches) or semi-arid (annual rainfallaverages from 10 to 20 inches), conductinspections at least once every month.

6.L.5.5.2 Inspections of InactiveSites. (See also Part 4.2.7.2.1.5) Inspectinactive landfills, open dumps and landapplication sites at least quarterly.Qualified personnel must inspectlandfill (or open dump) stabilizationand structural erosion control measuresand leachate collection and treatmentsystems, and all closed land applicationareas.

6.L.5.6 Recordkeeping and InternalReporting. Implement a tracking systemfor the types of wastes disposed of ineach cell or trench of a landfill or opendump. For land application sites, track



the types and quantities of wastesapplied in specific areas.

6.L.5.7 Non-Storm Water DischargeTest Certification. (See also Part 4.) Thedischarge test and certification mustalso be conducted for the presence ofleachate and vehicle washwater.

6.L.5.8 Sediment and ErosionControl Plan. (See also Part 4.2.7.2.2.1)Provide temporary stabilization (e.g.,consider temporary seeding, mulching

and placing geotextiles on the inactiveportions of stockpiles): for materialsstockpiled for daily, intermediate andfinal cover; for inactive areas of thelandfill or open dump; for any landfillor open dump area that have gotten finalcovers but where vegetation has yet toestablished itself; and where wasteapplication has been completed at landapplication sites but final vegetation hasnot yet been established.

6.L.5.9 Comprehensive SiteCompliance Evaluation. (See also Part4.9.2) Evaluate areas contributing to astorm water discharge associated withindustrial activities at landfills, opendumps and land application sites forevidence of, or the potential for,pollutants entering the drainage system.

6.L.6 Numeric Limitations,Monitoring and ReportingRequirements. (See also Part 5)

TABLE L–1.—SECTOR-SPECIFIC NUMERIC EFFLUENT LIMITATIONS AND BENCHMARK AND COMPLIANCE MONITORING




Section of Permit Affected/Supplemental Requirements

All Landfill, Land Application Sites and Open Dumps(Industrial Activity Code ‘‘LF’’).


100 mg/L.

All Landfill, Land Application Sites and Open Dumps,Except Municipal Solid Waste Landfill (MSWLF)Areas Closed in Accordance with 40 CFR 258.60 (In-dustrial Activity Code ‘‘LF’’).

Total Recoverable Iron ...... 1.0mg/L.

All Landfills Which are Subject to the Requirements of40 CFR Part 445 Subpart B (Industrial Activity Code‘‘LF’’).

BOD5 ................................. ............................................ 140 mg/1, daily max.37 mg/1, monthly ave max-

imumTSS .................................... ............................................ 88 mg/l, daily max.

27 mg/1, monthly ave max-imum.

Ammonia ........................... ............................................ 10 mg/1, daily max.4.9 mg/1, monthly ave

maximum.Alpha Terpineol ................. ............................................ 0.033 mg/1, daily max.

0.016 mg/1, monthly avemaximum.

Benzoic Acid ...................... ............................................ 0.12 mg/1, daily max.0.071 mg/1, monthly ave

maximum.p-Cresol ............................. ............................................ 0.025 mg/1, daily max.


Phenol ............................... ............................................ 0.026 mg/1, daily max.0.015 mg/1, monthly ave

maximum.Zinc (Total) ........................ ............................................ 0.20 mg/1, daily max.


pH ...................................... ............................................ Within the range of 6–9 pHunits.

1 These benchmark monitoring cutoff concentrations apply to storm water discharges associated with industrial activity other than contaminatedstorm water discharges from landfills subject to the numeric effluent limitations set forth in Table L–1. Monitor once/quarter for the year 2 andyear 4 monitoring years.

2 As set forth at 40 CFR Part 445 Subpart B, these numeric limitations apply to contaminated storm water discharges from MSWLFs whichhave not been closed in accordance with 40 CFR 258.60, and contaminated storm water discharges from those landfills which are subject to theprovisions of 40 CFR Part 257 except for discharges from any of facilities described in (a) through (d) below:

(a) landfills operated in conjunction with other industrial or commercial operations when the landfill only receives wastes generated by the in-dustrial or commercial operation directly associated with the landfill;

(b) landfills operated in conjunction with other industrial or commercial operations when the landfill receives wastes generated by the industrialor commercial operation directly associated with the landfill and also receives other wastes provided the other wastes received for disposal aregenerated by a facility that is subject to the same provisions in 40 CFR Subchapter N as the industrial or commercial operation or the otherwastes received are of similar nature to the wastes generated by the industrial or commercial operation;

(c) landfills operated in conjunction with Centralized Waste Treatment (CWT) facilities subject to 40 CFR Part 437 so long as the CWT facilitycommingles the landfill wastewater with other non-landfill wastewater for discharge. A landfill directly associated with a CWT facility is subject tothis part if the CWT facility discharges landfill wastewater separately from other CWT wastewater or commingles the wastewater from its landfillonly with wastewater from other landfills; or

(d) landfills operated in conjunction with other industrial or commercial operations when the landfill receives wastes from public service activi-ties so long as the company owning the landfill does not receive a fee or other remuneration for the disposal service.



For the discharges subject to thenumeric effluent limitations, monitoringfor the specified parameters is requiredonce/year during each year of the termof the permit.

6.M Sector M—Automobile SalvageYards

6.M.1 Covered Storm WaterDischarges

The requirements in Part 6.M apply tostorm water discharges associated withindustrial activity from AutomobileSalvage Yards as identified by theActivity Code specified under Sector Min Table 1–1 of Part 1.2.1.

6.M.2 Industrial Activities Covered bySector M

The types of activities that permitteesunder Sector M are primarily engaged inare dismantling or wrecking used motorvehicles for parts recycling/resale andfor scrap.

6.M.3 Storm Water PollutionPrevention Plan (SWPPP) Requirements


6.M.3.1 Drainage Area Site Map.(See also Part 4.2.2.3) Indicate the

location of each monitoring point, andestimate the total acreage used forindustrial activity including, but notlimited to, dismantling, storage andmaintenance of used motor vehicleparts. Also identify where any of thefollowing may be exposed toprecipitation/surface runoff:Dismantling areas; parts (e.g., engineblocks, tires, hub caps, batteries, hoods,mufflers) storage areas; liquid storagetanks and drums for fuel and otherfluids.

6.M.3.2 Potential Pollutant Sources.(See also Part 4.2.4) Assess the potentialfor the following to contributepollutants to storm water discharges:Vehicle storage areas; dismantling areas;parts storage area (e.g., engine blocks,tires, hub caps, batteries, hoods,mufflers); fueling stations.

6.M.3.3 Spill and Leak PreventionProcedures. (See also Part 4.2.7.2.1.4)Drain vehicles intended to bedismantled of all fluids upon arrival atthe site (or as soon thereafter asfeasible); or employ some otherequivalent means to prevent spills/leaks.

6.M.3.4 Inspections. (See also Part4.2.7.2.1.5) Immediately (or as soonthereafter as feasible) inspect vehicles

arriving at the site for leaks. Inspectquarterly for signs of leakage, allequipment containing oily parts,hydraulic fluids or any other types offluids. Also inspect quarterly for signsof leakage, all vessels and areas wherefluids are stored, including, but notlimited to, brake fluid, transmissionfluid, radiator water and antifreeze.

6.M.3.5 Employee Training. (Seealso Part 4.2.7.2.1.6) If applicable toyour facility, address the following areas(at a minimum) in your employeetraining program: Proper handling(collection, storage, and disposal) of oil,used mineral spirits, anti-freeze andsolvents.

6.M.3.6 Management of Runoff. (Seealso Part 4.2.7.2.2.2) Consider thefollowing management practices: Bermsor drainage ditches on the property line(to help prevent run-on fromneighboring properties); berms foruncovered outdoor storage of oily parts,engine blocks and above-ground liquidstorage; installation of detention ponds;and the installation of filtering devicesand oil/water separators.

6.M.4 Monitoring and ReportingRequirements. (See also Part 5)

TABLE M–1.—SECTOR-SPECIFIC NUMERIC LIMITATIONS AND BENCHMARK MONITORING





Automobile Salvage Yards (SIC 5015) ........................... Total Suspended Solids(TSS).


Total Recoverable Iron ......Total Recoverable Lead ....

100.0 mg/L.0.75 mg/L.1.0 mg/L.0.0816 mg/L.

1 Monitor once/quarter for the year 2 and year 4 monitoring years.

6.N Sector N—Scrap Recycling andWaste Recycling Facilities

6.N.1 Covered Storm WaterDischarges

The requirements in Part N apply tostorm water discharges associated withindustrial activity from Scrap Recyclingand Waste Recycling facilities asidentified by the SIC Codes specifiedunder Sector N in Table 1–1 of Part1.2.1.

6.N.2 Industrial Activities Covered bySector N

The types of activities that permitteesunder Sector N are primarily engaged inare:

6.N.2.1 processing, reclaiming andwholesale distribution of scrap and

waste materials such as ferrous andnonferrous metals, paper, plastic,cardboard, glass, animal hides;

6.N.2.2 reclaiming and recyclingliquid wastes such as used oil,antifreeze, mineral spirits and industrialsolvents.

6.N.3 Coverage Under This Permit

Separate permit requirements havebeen established for recycling facilitiesthat only receive source-separatedrecyclable materials primarily from non-industrial and residential sources (i.e.,common consumer products includingpaper, newspaper, glass, cardboard,plastic containers, aluminum and tincans). This includes recycling facilitiescommonly referred to as materialrecovery facilities (MRF).

6.N.3.1 Prohibition of Non-StormWater Discharges. (See also Part 1.2.2.2)Not covered by this permit: non-stormwater discharges from turningscontainment areas (see also Part6.N.5.1.3). Discharges from containmentareas in the absence of a storm event areprohibited unless covered by a separateNPDES permit.

6.N.4 Storm Water PollutionPrevention Plan (SWPPP) Requirements

In addition to the followingrequirements, you must also complywith the requirements listed in Part 4 ofthe MSGP. Part 6.N.4.1 contains arequirement that applies to all recyclingfacilities and is followed by Parts6.N.4.2 to 6.N.4.4.4, which haverequirements for specific types of



recycling facilities. Implement anddescribe in your SWPPP a program toaddress those items that apply. Includedare lists of BMP options which, alongwith any functional equivalents, shouldbe considered for implementation.Selection or deselection of a particularBMP or approach is up to the bestprofessional judgement of the operator,as long as the objective of therequirement is met.

6.N.4.1 Drainage Area Site Map.(See also Part 4.2.2.3)

Identify the locations of any of thefollowing activities or sources whichmay be exposed to precipitation/surfacerunoff: scrap and waste material storage,outdoor scrap and waste processingequipment, and containment areas forturnings exposed to cutting fluids.

6.N.4.2 Scrap and Waste RecyclingFacilities (Non-Source Separated, Non-Liquid Recyclable Materials).Requirements for facilities that receive,process and do wholesale distribution ofnon-liquid recyclable wastes (e.g.,ferrous and nonferrous metals, plastics,glass, cardboard and paper). Thesefacilities may receive both nonrecyclable and recyclable materials.This section is not intended for thosefacilities that only accept recyclablesfrom primarily non-industrial andresidential sources.

6.N.4.2.1 Inbound Recyclable andWaste Material Control Program.Minimize the chance of acceptingmaterials that could be significantsources of pollutants by conductinginspections of inbound recyclables andwaste materials. BMP options: (a)Provide information/education tosuppliers of scrap and recyclable wastematerials on draining and properlydisposing of residual fluids (e.g., fromvehicles and equipment engines,radiators and transmissions, oil filledtransformers and individual containersor drums), prior to delivery to yourfacility; (b) procedures to minimize thepotential of any residual fluids fromcoming into contact with precipitation/runoff; (c) procedures for acceptingscrap lead-acid batteries (additionalrequirements for the handling, storageand disposal or recycling of batteries arecontained in the scrap lead-acid batteryprogram provisions in N.5.1.6); (d)training targeted for those personnelengaged in the inspection andacceptance of inbound recyclablematerials. In addition, (e) liquid wastes,including used oil, must be stored inmaterially compatible and non-leakingcontainers and disposed or recycled inaccordance with RCRA.

6.N.4.2.2 Scrap and Waste MaterialStockpiles/Storage (Outdoor). Minimizecontact of storm water runoff with

stockpiled materials, processedmaterials and non-recyclable wastes.BMP options: (a) Permanent or semi-permanent covers; (b) to facilitatesettling or filtering of pollutants:sediment traps, vegetated swales andstrips, catch basin filters and sandfilters; (c) divert runoff away fromstorage areas via dikes, berms,containment trenches, culverts andsurface grading; (d) silt fencing; (e) oil/water separators, sumps and dryabsorbents for areas where potentialsources of residual fluids are stockpiled(e.g., automobile engine storage areas).

6.N.4.2.3 Stockpiling of TurningsExposed to Cutting Fluids (Outdoor).Minimize contact of surface runoff withresidual cutting fluids. BMP options(use singularly or in combination): (a)Store all turnings exposed to cuttingfluids under some form of permanent orsemi-permanent cover. Storm waterdischarges from these areas arepermitted provided the runoff is firsttreated by an oil/water separator or itsequivalent. Identify procedures tocollect, handle and dispose/recycleresidual fluids which may be present;(b) establish dedicated containmentareas for all turnings that have beenexposed to cutting fluids. Storm waterrunoff from these areas can bedischarged provided: The containmentareas are constructed of either concrete,asphalt or other equivalent types ofimpermeable material; there is a barrieraround the perimeter of the containmentareas (e.g., berms, curbing, elevatedpads, etc.) to prevent contact with stormwater run-on; there is a drainagecollection system for runoff generatedfrom containment areas; you have aschedule to maintain the oil/waterseparator (or its equivalent); and youidentify procedures for properlydisposing or recycling collected residualfluids.

6.N.4.2.4 Scrap and Waste MaterialStockpiles/Storage (Covered or IndoorStorage). Minimize contact of residualliquids and particulate matter frommaterials stored indoors or under coverwith surface runoff. BMP options: (a)Good housekeeping measures includingthe use of dry absorbent or wetvacuuming to contain or dispose/recycleresidual liquids originating fromrecyclable containers; (b) not allowingwashwater from tipping floors or otherprocessing areas to discharge to thestorm sewer system; (c) disconnect orseal off all floor drains connected to thestorm sewer system.

6.N.4.2.5 Scrap and RecyclableWaste Processing Areas. Minimizesurface runoff from coming in contactwith scrap processing equipment. Payattention to operations that generate

visible amounts of particulate residue(e.g., shredding) to minimize the contactof accumulated particulate matter andresidual fluids with runoff (i.e., throughgood housekeeping, preventivemaintenance, etc.). BMP options: (a)Regularly inspect equipment for spills/leaks, and malfunctioning/worn/corroded parts or equipment; (b) apreventive maintenance program forprocessing equipment; (c) use of dry-absorbents or other cleanup practices tocollect and dispose/recycle spilled/leaking fluids; (e) on unattendedhydraulic reservoirs over 150 gallons incapacity, install such protection devicesas low-level alarms or other equivalentdevices, or, alternatively, secondarycontainment that can hold the entirevolume of the reservoir; (f) containmentor diversion structures such as dikes,berms, culverts, trenches, elevatedconcrete pads, grading to minimizecontact of storm water runoff withoutdoor processing equipment or storedmaterials; (g) oil/water separators orsumps; (h) permanent or semi-permanent covers in processing areaswhere there are residual fluids andgrease; (i) retention/detention ponds orbasins; sediment traps, vegetated swalesor strips (for pollutant settling/filtration); (j) catch basin filters or sandfilters.

6.N.4.2.6 Scrap Lead-Acid BatteryProgram. Properly handle, store anddispose of scrap lead-acid batteries.BMP options: (a) Segregate scrap lead-acid batteries from other scrapmaterials; (b) proper handling, storageand disposal of cracked or brokenbatteries; (c) collect and dispose leakinglead-acid battery fluid; (d) minimize/eliminate (if possible) exposure of scraplead-acid batteries to precipitation orrunoff; (e) employee training for themanagement of scrap batteries.

6.N.4.2.7 Spill Prevention andResponse Procedures. (See also Part4.2.7.2.1.4) Minimize storm watercontamination at loading/unloadingareas, and from equipment or containerfailures. BMP options: (a) Preventionand response measures for areas that arepotential sources of fluid leaks/spills;(b) immediate containment and clean upof spills/leaks. If malfunctioningequipment is responsible for the spill/leak, repairs should also be conductedas soon as possible; (c) cleanupmeasures including the use of dryabsorbents. If this method is employed,there should be an adequate supply ofdry absorbent materials kept onsite andused absorbent must be properlydisposed of; (d) store drums containingliquids—especially oil and lubricants—either: Indoors, in a bermed area, inoverpack containers or spill pallets, or



in other containment devices; (e) installoverfill prevention devices on fuelpumps or tanks; (f) place drip pans orequivalent measures under leakingstationary equipment until the leak isrepaired. The drip pans should beinspected for leaks and potentialoverflow and all liquids must beproperly disposed of (as per RCRA); (g)install alarms and/or pump shut offsystems on outdoor equipment withhydraulic reservoirs exceeding 150gallons in the event of a line break.Alternatively, a secondary containmentsystem capable of holding the entirecontents of the reservoir plus room forprecipitation can be used.

6.N.4.2.8 Quarterly InspectionProgram. (See also Part 4.2.7.2.1.5)Inspect all designated areas of thefacility and equipment identified in theplan quarterly.

6.N.4.2.9 Supplier NotificationProgram. As appropriate, notify majorsuppliers which scrap materials will notbe accepted at the facility or are onlyaccepted under certain conditions.

6.N.4.3 Waste Recycling Facilities(Liquid Recyclable Materials).

6.N.4.3.1 Waste Material Storage(Indoor). Minimize/eliminate contactbetween residual liquids from wastematerials stored indoors and surfacerunoff. The plan may refer to applicableportions of other existing plans such asSPCC plans required under 40 CFR Part112. BMP options: (a) procedures formaterial handling (including labelingand marking); (b) clean up spills/leakswith dry-absorbent materials or a wetvacuum system; (c) appropriatecontainment structures (trenching,curbing, gutters, etc.); (d) a drainagesystem, including appurtenances (e.g.,pumps or ejectors, manually operatedvalves), to handle discharges from dikedor bermed areas. Drainage should bedischarged to an appropriate treatmentfacility, sanitary sewer system, orotherwise disposed of properly. Thesedischarges may require coverage undera separate NPDES wastewater permit orindustrial user permit under thepretreatment program.

6.N.4.3.2 Waste Material Storage(Outdoor). Minimize contact between

stored residual liquids and precipitationor runoff. The plan may refer toapplicable portions of other existingplans such as SPCC plans requiredunder 40 CFR Part 112. Discharges ofprecipitation from containment areascontaining used oil must also be inaccordance with applicable sections of40 CFR Part 112. BMP options: (a)appropriate containment structures (e.g.,dikes, berms, curbing, pits) to store thevolume of the largest tank withsufficient extra capacity forprecipitation; (b) drainage control andother diversionary structures; (c) forstorage tanks, provide corrosionprotection and/or leak detectionsystems; (d) use dry-absorbent materialsor a wet vacuum system to collect spills.

6.N.4.3.3 Trucks and Rail Car WasteTransfer Areas. Minimize pollutants indischarges from truck and rail carloading/unloading areas. Includemeasures to clean up minor spills/leaksresulting from the transfer of liquidwastes. BMP options: (a) containmentand diversionary structures to minimizecontact with precipitation or runoff; (b)use dry-clean up methods, wetvacuuming, roof coverings, or runoffcontrols.

6.N.4.3.4 Quarterly Inspections. (Seealso Part 4.2.7.2.1.5) At a minimum, theinspections must also include all areaswhere waste is generated, received,stored, treated or disposed and that areexposed to either precipitation or stormwater runoff.

6.N.4.4 Recycling Facilities (SourceSeparated Materials). The followingidentifies considerations for facilitiesthat receive only source-separatedrecyclables, primarily from non-industrial and residential sources.

6.N.4.4.1 Inbound RecyclableMaterial Control. Minimize the chanceof accepting non-recyclables (e.g.,hazardous materials) which could be asignificant source of pollutants byconducting inspections of inboundmaterials. BMP options: (a) information/education measures to inform suppliersof recyclables which materials areacceptable and which are not; (b)training drivers responsible for pickupof recycled material; (c) clearly marking

public drop-off containers regardingwhich materials can be accepted; (d)reject non-recyclable wastes orhousehold hazardous wastes at thesource; (e) procedures for handling anddisposal of non-recyclable material.

6.N.4.4.2 Outdoor Storage. Minimizeexposure of recyclables to precipitationand runoff. Use good housekeepingmeasures to prevent accumulation ofparticulate matter and fluids,particularly in high traffic areas. OtherBMP options: (a) provide totally-enclosed drop-off containers for thepublic; (b) install a sump/pump witheach container pit and treat or dischargecollected fluids to a sanitary sewersystem; (c) provide dikes and curbs forsecondary containment (e.g., aroundbales of recyclable waste paper); (d)divert surface water runoff away fromoutside material storage areas; (e)provide covers over containment bins,dumpsters, roll-off boxes; (f) store theequivalent one days’s volume ofrecyclable material indoors.

6.N.4.4.3 Indoor Storage andMaterial Processing. Minimize therelease of pollutants from indoor storageand processing areas. BMP options: (a)schedule routine good housekeepingmeasures for all storage and processingareas; (b) prohibit tipping floorwashwater from draining to the stormsewer system; (c) provide employeetraining on pollution preventionpractices.

6.N.4.4.4 Vehicle and EquipmentMaintenance. BMP options for thoseareas where vehicle and equipmentmaintenance are occurring outdoors: (a)prohibit vehicle and equipmentwashwater from discharging to thestorm sewer system; (b) minimize oreliminate outdoor maintenance areaswhenever possible; (c) establish spillprevention and clean-up procedures infueling areas; (d) avoid topping off fueltanks; (e) divert runoff from fuelingareas; (f) store lubricants and hydraulicfluids indoors; (g) provide employeetraining on proper handling, storage ofhydraulic fluids and lubricants.

6.N.5 Monitoring and ReportingRequirements. (See also Part 5)



TABLE N–1.—SECTOR-SPECIFIC NUMERIC EFFLUENT LIMITATIONS AND BENCHMARK MONITORING



off concentration1 Numeric limitation


Scrap Recycling Facility (SIC 5093) ............................... Chemical Oxygen Demand(COD).



Total Recoverable CopperTotal Recoverable Iron ......Total Recoverable Lead ....Total Recoverable Zinc .....

120 mg/L.100 mg/L.0.75 mg/L.0.0636 mg/L.1.0 mg/L.0.0816 mg/L.0.117 mg/L.


6.O Sector O—Steam ElectricGenerating Facilities

6.O.1 Covered Storm WaterDischarges

The requirements in Part 6.O apply tostorm water discharges associated withindustrial activity from Steam ElectricPower Generating Facilities as identifiedby the Activity Code specified underSector O in Table 1–1 of Part 1.2.1.

6.O.2 Industrial Activities Covered bySector O

This permit authorizes storm waterdischarges from the following industrialactivities at Sector O facilities:

6.O.2.1 Steam electric powergeneration using coal, natural gas, oil,nuclear energy, etc. to produce a steamsource, including coal handling areas;

6.O.2.2 Coal pile runoff, includingeffluent limitations established by 40CFR Part 423;

6.O.2.3 Dual fuel co-generationfacilities.

6.O.3 Limitations on Coverage6.O.3.1 Prohibition of Non-Storm

Water Discharges. Not covered by thispermit: non-storm water dischargessubject to effluent limitationsguidelines.

6.O.3.2 Prohibition of Storm WaterDischarges. Not covered by this permit:storm water discharges from ancillaryfacilities (e.g., fleet centers, gas turbinestations and substations) that are notcontiguous to a stream electric powergenerating facility; and heat capture co-generation facilities.

6.O.4 Storm Water PollutionPrevention Plan (SWPPP) Requirements


6.O.4.1 Drainage Area Site Map.(See also Part 4.2.2.3) Identify thelocations of any of the following

activities or sources which may beexposed to precipitation / surfacerunoff: storage tanks, scrap yards,general refuse areas; short and long termstorage of general materials (includingbut not limited to: supplies,construction materials, paintequipment, oils, fuels, used and unusedsolvents, cleaning materials, paint,water treatment chemicals, fertilizer andpesticides); landfills, construction sites;stock piles areas (e.g., coal or limestonepiles).

6.O.4.2 Good HousekeepingMeasures. (See also Part 4.2.7.2.1.1)

6.O.4.2.1 Fugitive Dust Emissions.Describe and implement measures thatprevent or minimize fugitive dustemissions from coal handling areas.Consider such procedures to minimizethe tracking of coal dust offsite asinstalling specially designed tires, orwashing vehicles in a designated areabefore they leave the site andcontrolling the wash water.

6.O.4.2.2 Delivery Vehicles. Describeand implement measures that prevent orminimize contamination of storm waterrunoff from delivery vehicles arriving atthe plant site. Consider the following:procedures to inspect delivery vehiclesarriving at the plant site and ensureoverall integrity of the body orcontainer; and procedures to deal withleakage / spillage from vehicles orcontainers.

6.O.4.2.3 Fuel Oil Unloading Areas.Describe and implement measures thatprevent or minimize contamination ofprecipitation / surface runoff from fueloil unloading areas. Consider, at aminimum (or their equivalents): usingcontainment curbs in unloading areas;having personnel familiar with spillprevention and response procedurespresent during deliveries to ensure thatany leaks / spills are immediatelycontained and cleaned up; using spilland overflow protection (e.g., drip pans,

drip diapers or other containmentdevices placed beneath fuel oilconnectors to contain potential spillageduring deliveries or from leaks at theconnectors).

6.O.4.2.4 Chemical Loading /Unloading. Describe and implementmeasures that prevent or minimizecontamination of precipitation / surfacerunoff from chemical loading /unloading areas. Consider, at aminimum (or their equivalents): usingcontainment curbs at chemical loading/ unloading areas to contain spill;having personnel familiar with spillprevention and response procedurespresent during deliveries to ensure thatany leaks / spills are immediatelycontained and cleaned up; and load /unload in covered areas and storechemicals indoors.

6.O.4.2.5 Miscellaneous Loading /Unloading Areas. Describe andimplement measures that prevent orminimize contamination ofprecipitation / surface runoff fromloading / unloading areas. Consider, ata minimum (or their equivalents):covering the loading area; grading,berming, or curbing around the loadingarea to divert run-on; or locating theloading / unloading equipment andvehicles so leaks are contained inexisting containment and flow diversionsystems.

6.O.4.2.6 Liquid Storage Tanks.Describe and implement measures thatprevent or minimize contamination ofsurface runoff from above ground liquidstorage tanks. Consider using, at aminimum (or their equivalents):protective guards around tank;containment curbs; spill and overflowprotection; and dry cleanup methods.

6.O.4.2.7 Large Bulk Fuel StorageTanks. Describe and implementmeasures that prevent or minimizecontamination of surface runoff fromlarge bulk fuel storage tanks. Consider,



at a minimum, using containment berms(or its equivalent). You must alsocomply with applicable State andFederal laws, including Spill PreventionControl and Countermeasures (SPCC).

6.O.4.2.8 Spill Reduction Measures.Describe and implement measures toreduce the potential for an oil /chemical spill or reference theappropriate Part of your SPCC plan. Ata minimum, visually inspect on aweekly basis, the structural integrity ofall above ground tanks, pipelines,pumps and other related equipment,and effect any necessary repairsimmediately.

6.O.4.2.9 Oil Bearing Equipment inSwitchyards. Describe and implementmeasures that prevent or minimizecontamination of surface runoff from oilbearing equipment in switchyard areas.Consider using level grades and gravelsurfaces to retard flows and limit thespread of spills or collecting runoff inperimeter ditches.

6.O.4.2.10 Residue HaulingVehicles. Inspect all residue haulingvehicles for proper covering over theload, adequate gate sealing and overallintegrity of the container body. Repairas soon as practicable, vehicles withoutload covering or adequate gate sealing,or with leaking containers or beds.

6.O.4.2.11 Ash Loading Areas.Describe and implement procedures toreduce or control the tracking of ash/residue from ash loading areas. Wherepracticable, clear the ash building floorand immediately adjacent roadways ofspillage, debris and excess water beforedeparture of each loaded vehicle.

6.O.4.2.12 Areas Adjacent toDisposal Ponds or Landfills. Describeand implement measures that prevent orminimize contamination of surfacerunoff from areas adjacent to disposalponds or landfills. Develop proceduresto reduce ash residue that may betracked on to access roads traveled byresidue handling vehicles, and reduceash residue on exit roads leading intoand out of residue handling areas.

6.O.4.2.13 Landfills, Scrap Yards,Surface Impoundments, Open Dumps,General Refuse Sites.

Address these areas in your SWPPPand include appropriate BMPs asreferred to in Part 4.

6.O.4.2.14 Vehicle MaintenanceActivities. For vehicle maintenanceactivities performed on the plant site,use the applicable BMPs outlined inPart 6.P.

6.O.4.2.15 Material Storage Areas.Describe and implement measures thatprevent or minimize contamination of

storm water runoff from material storageareas (including areas used fortemporary storage of miscellaneousproducts and construction materialsstored in lay-down areas). Considerusing (or their equivalents): Flat yardgrades; collecting runoff in gradedswales or ditches; erosion protectionmeasures at steep outfall sites (e.g.,concrete chutes, riprap, stilling basins);covering lay-down areas; storingmaterials indoors; and coveringmaterials temporarily withpolyethylene, polyurethane,polypropylene or hypalon. Storm waterrun-on may be minimized byconstructing an enclosure or building aberm around the area.

6.O.4.3 Comprehensive SiteCompliance Evaluation. (See also Part4.9.3) As part of your evaluation,inspect the following areas on amonthly basis: Coal handling areas,loading/unloading areas, switchyards,fueling areas, bulk storage areas, ashhandling areas, areas adjacent todisposal ponds and landfills,maintenance areas, liquid storage tanks,and long term and short term materialstorage areas.

6.O.5 Monitoring and ReportingRequirements. (See also Part 5)

TABLE O–1.—SECTOR-SPECIFIC NUMERIC EFFLUENT LIMITATIONS AND BENCHMARK MONITORING



off concentration 1 Numeric Limitation 2


Steam Electric Generating Facilities (Industrial ActivityCode ‘‘SE’’).

Total Recoverable Iron ...... 1.0 mg/L.

1 Monitor once/quarter for the year 2 and year 4 Monitoring Years.2 Note that the numeric effluent limitation guidelines for coal pile runoff at steam electric generating facilities have been adopted as a standard

numeric limits for all coal pile runoff. See Part 5.1.3.

6.P Sector P—Land Transportationand Warehousing

6.P.1 Covered Storm Water Discharges

The requirements in Part 6.P apply tostorm water discharges associated withindustrial activity from LandTransportation and Warehousingfacilities as identified by the ActivityCode specified under Sector P in Table1–1 of Part 1.2.1.

6.P.2 Industrial Activities Covered bySector P

The types of activities that permitteesunder Sector P are primarily engaged inare:

6.P.2.1 vehicle and equipmentmaintenance (vehicle and equipmentrehabilitation, mechanical repairs,painting, fueling and lubrication);

6.P.2.2 equipment cleaning.

6.P.3 Storm Water PollutionPrevention Plan (SWPPP) Requirements


6.P.3.1 Drainage Site Map. (See alsoPart 4.2.2.3) Identify the locations of anyof the following activities or sources:Fueling stations; vehicle/equipmentmaintenance or cleaning areas; storageareas for vehicle/equipment with actualor potential fluid leaks; loading/unloading areas; areas where treatment,storage or disposal of wastes occur;liquid storage tanks; processing areas;storage areas; and all monitoring areas.

6.P.3.2 Potential Pollutant Sources.(See also Part 4.2.4) Describe and assessthe potential for the following to

contribute pollutants to storm waterdischarges: Onsite waste storage ordisposal; dirt/gravel parking areas forvehicles awaiting maintenance; andfueling areas.

6.P.3.3 Good HousekeepingMeasures. (See also Part 4.2.7.2.1.1)

6.P.3.3.1 Vehicle and EquipmentStorage Areas. Confine the storage ofleaky or leak-prone vehicles/equipmentawaiting maintenance to designatedareas. Consider the following (or otherequivalent measures): The use of drippans under vehicles/equipment, indoorstorage of vehicles and equipment,installation of berms or dikes, use ofabsorbents, roofing or covering storageareas, and cleaning pavement surfacesto remove oil and grease.

6.P.3.3.2 Fueling Areas. Implementand describe measures that prevent or



minimize contamination of storm waterrunoff from fueling areas. Consider thefollowing (or other equivalentmeasures): Covering the fueling area;using spill/overflow protection andcleanup equipment; minimizing stormwater runon/runoff to the fueling area;using dry cleanup methods; and treatingand/or recycling collected storm waterrunoff.

6.P.3.3.3 Material Storage Areas.Maintain all material storage vessels(e.g., for used oil/oil filters, spentsolvents, paint wastes, hydraulic fluids)to prevent contamination of storm waterand plainly label them (e.g., ‘‘Used Oil,’’‘‘Spent Solvents,’’ etc.). Consider thefollowing (or other equivalentmeasures): storing the materials indoors;installing berms/dikes around the areas;minimizing runoff of storm water to theareas; using dry cleanup methods; andtreating and/or recycling collected stormwater runoff.

6.P.3.3.4 Vehicle and EquipmentCleaning Areas. Implement and describemeasures that prevent or minimizecontamination of storm water runofffrom all areas used for vehicle/equipment cleaning. Consider thefollowing (or other equivalentmeasures): performing all cleaningoperations indoors; covering thecleaning operation, ensuring that allwashwater drains to a proper collectionsystem (i.e., not the storm waterdrainage system unless NPDESpermitted); treating and/or recyclingcollected storm water runoff, or otherequivalent measures. Note: thedischarge of vehicle/equipmentwashwater, including tank cleaningoperations, are not authorized by thispermit and must be covered under aseparate NPDES permit or discharged toa sanitary sewer in accordance withapplicable industrial pretreatmentrequirements.

6.P.3.3.5 Vehicle and EquipmentMaintenance Areas. Implement anddescribe measures that prevent orminimize contamination of storm waterrunoff from all areas used for vehicle/equipment maintenance. Consider thefollowing (or other equivalentmeasures): performing maintenanceactivities indoors; using drip pans;keeping an organized inventory ofmaterials used in the shop; draining allparts of fluid prior to disposal;prohibiting wet clean up practices ifthese practices would result in thedischarge of pollutants to storm waterdrainage systems; using dry cleanupmethods; treating and/or recyclingcollected storm water runoff,minimizing run on/runoff of stormwater to maintenance areas.

6.P.3.3.6 Locomotive Sanding(Loading Sand for Traction) Areas.Consider the following (or otherequivalent measures): covering sandingareas; minimizing storm water run on/runoff; or appropriate sediment removalpractices to minimize the offsitetransport of sanding material by stormwater.

6.P.3.4 Inspections. (See also Part4.2.7.2.1.5) Inspect all the followingareas/activities: storage areas forvehicles/equipment awaitingmaintenance, fueling areas, indoor andoutdoor vehicle/equipmentmaintenance areas, material storageareas, vehicle/equipment cleaning areasand loading/unloading areas.

6.P.3.5 Employee Training. (See alsoPart 4.2.7.2.1.6) Train personnel at leastonce a year and address the following,as applicable: used oil and spent solventmanagement; fueling procedures;general good housekeeping practices;proper painting procedures; and usedbattery management.

6.P.3.6 Vehicle and EquipmentWashwater Requirements. (See also Part4.4) Attach to or reference in yourSWPPP, a copy of the NPDES permitissued for vehicle/equipment washwateror, if an NPDES permit has not beenissued, a copy of the pendingapplication. If an industrial user permitis issued under a pretreatment program,attach a copy to your SWPPP. In anycase, address all non-storm water permitconditions or pretreatment conditions inyour SWPPP. If washwater is handled inanother manner (e.g., hauled offsite),describe the disposal method and attachall pertinent documentation/information (e.g., frequency, volume,destination, etc.) in the plan.

6.Q Sector Q—Water Transportation

6.Q.1 Covered Storm WaterDischarges

The requirements in Part 6.Q apply tostorm water discharges associated withindustrial activity from WaterTransportation facilities as identified bythe Activity Code specified under SectorQ in Table 1–1 of Part 1.2.1.

6.Q.2 Industrial Activities Covered bySector Q

The requirements listed under thisPart apply to storm water dischargesassociated with the following activities:

6.Q.2.1 Water transportationfacilities classified in SIC Code majorgroup 44 that have vehicle (vessel)maintenance shops and/or equipmentcleaning operations including:

6.Q.2.1.1 Water transportationindustry includes facilities engaged inforeign or domestic transport of freight

or passengers in deep sea or inlandwaters;

6.Q.2.1.2 Marine cargo handlingoperations;

6.Q.2.1.3 Ferry operations;6.Q.2.1.4 Towing and tugboat

services;6.Q.2.1.5 Marinas.

6.Q.3 Limitations on Coverage6.Q.3.1 Prohibition of Non-Storm

Water Discharges. (See also Part 1.2.3.1)Not covered by this permit: bilge andballast water, sanitary wastes, pressurewash water and cooling wateroriginating from vessels.

6.Q.4 Storm Water PollutionPrevention Plan (SWPPP) Requirements


6.Q.4.1 Drainage Area Site Map.(See also Part 4.2.2.3) Identify whereany of the following may be exposed toprecipitation/surface runoff: fueling;engine maintenance/repair; vesselmaintenance/repair; pressure washing;painting; sanding; blasting; welding;metal fabrication; loading/unloadingareas; locations used for the treatment,storage or disposal of wastes; liquidstorage tanks; liquid storage areas (e.g.,paint, solvents, resins); and materialstorage areas (e.g., blasting media,aluminum, steel, scrap iron).

6.Q.4.2 Summary of PotentialPollutant Sources. (See also Part 4.2.4)Describe the following additionalsources and activities that havepotential pollutants associated withthem: outdoor manufacturing orprocessing activities (i.e., welding,metal fabricating); and significant dustor particulate generating processes (e.g.,abrasive blasting, sanding, painting).

6.Q.4.3 Good HousekeepingMeasures. (See also Part 4.2.7.2.1.1)

6.Q.4.3.1 Pressure Washing Area. Ifpressure washing is used to removemarine growth from vessels, thedischarge water must be permitted by aseparate NPDES permit. Describe in theSWPPP: the measures to collect orcontain the discharges from thepressures washing area; the method forthe removal of the visible solids; themethods of disposal of the collectedsolids; and where the discharge will bereleased.

6.Q.4.3.2 Blasting and PaintingArea. Implement and describe measuresto prevent spent abrasives, paint chipsand over spray from discharging into thereceiving water or the storm sewersystems. Consider containing allblasting/painting activities or use othermeasures to prevent or minimize thedischarge the contaminants (e.g.,



hanging plastic barriers or tarpaulinsduring blasting or painting operations tocontain debris). Where necessary,regularly clean storm water conveyancesof deposits of abrasive blasting debrisand paint chips. Detail in the SWPPPany standard operating practicesrelating to blasting/painting (e.g.,prohibiting uncontained blasting/painting over open water, or prohibitingblasting/painting during windyconditions which can rendercontainment ineffective).

6.Q.4.3.3 Material Storage Areas.Store and plainly label all containerizedmaterials (e.g., fuels, paints, solvents,waste oil, antifreeze, batteries) in aprotected, secure location away fromdrains. Implement and describemeasures to prevent or minimize thecontamination of precipitation/surfacerunoff from the storage areas. Specifywhich materials are stored indoors andconsider containment or enclosure forthose stored outdoors. If abrasiveblasting is performed, discus the storageand disposal of spent abrasive materialsgenerated at the facility. Considerimplementing an inventory control planto limit the presence of potentiallyhazardous materials onsite.

6.Q.4.3.4 Engine Maintenance andRepair Areas. Implement and describemeasures to prevent or minimize thecontamination of precipitation/surfacerunoff from all areas used for enginemaintenance and repair. Consider thefollowing (or their equivalents):performing all maintenance activitiesindoors; maintaining an organizedinventory of materials used in the shop;draining all parts of fluid prior todisposal; prohibiting the practice ofhosing down the shop floor; using drycleanup methods; and treating and/orrecycling storm water runoff collectedfrom the maintenance area.

6.Q.4.3.5 Material Handling Area.Implement and describe measures toprevent or minimize the contaminationof precipitation/surface runoff frommaterial handling operations and areas(e.g., fueling, paint and solvent mixing,disposal of process wastewater streamsfrom vessels). Consider the following (ortheir equivalents): covering fuelingareas; using spill/overflow protection;mixing paints and solvents in adesignated area (preferably indoors orunder a shed); and minimize runoff ofstorm water to material handling areas.

6.Q.4.3.6 Drydock Activities.Describe your procedures for routinelymaintaining/cleaning the drydock toprevent or minimize pollutants in stormwater runoff. Address the cleaning ofaccessible areas of the drydock prior toflooding, and final cleanup followingremoval of the vessel and raising thedock. Include procedures for cleaningup oil, grease or fuel spills occurring onthe drydock. Consider the following (ortheir equivalents): sweeping rather thanhosing off debris/spent blasting materialfrom accessible areas of the drydockprior to flooding, and having absorbentmaterials and oil containment boomsreadily available to contain/cleanup anyspills.

6.Q.4.3.7 General Yard Area.Implement and describe a schedule forroutine yard maintenance and cleanup.Regularly remove from the general yardarea: scrap metal, wood, plastic,miscellaneous trash, paper, glass,industrial scrap, insulation, weldingrods, packaging, etc.

6.Q.4.4 Preventative Maintenance.(See also Part 4.2.7.2.1.4) As part of yourpreventive maintenance program,perform timely inspection andmaintenance of storm watermanagement devices (e.g., cleaning oil/water separators and sediment traps to

ensure that spent abrasives, paint chipsand solids will be intercepted andretained prior to entering the stormdrainage system) as well as inspectingand testing facility equipment andsystems to uncover conditions thatcould cause breakdowns or failuresresulting in discharges of pollutants tosurface waters.

6.Q.4.5 Inspections. (See also Part4.2.7.2.1.5) Include the following areasin all monthly inspections: pressurewashing area; blasting, sanding andpainting areas; material storage areas;engine maintenance/repair areas;material handling areas; drydock area;and general yard area.

6.Q.4.6 Employee Training. (See alsoPart 4.2.7.2.1.6) As part of youremployee training program, address, ata minimum, the following activities (asapplicable): used oil management; spentsolvent management; disposal of spentabrasives; disposal of vesselwastewaters; spill prevention andcontrol; fueling procedures; generalgood housekeeping practices; paintingand blasting procedures; and usedbattery management.

6.Q.4.7 Comprehensive SiteCompliance Evaluation. (See also Part4.9) Conduct regularly scheduledevaluations at least once a year andaddress those areas contributing to astorm water discharge associated withindustrial activity (e.g., pressurewashing area, blasting/sanding areas,painting areas, material storage areas,engine maintenance/repair areas,material handling areas, and drydockarea). Inspect these sources for evidenceof, or the potential for, pollutantsentering the drainage system.

6.Q.5 Monitoring and ReportingRequirements. (See also Part 5)

TABLE Q–1.—SECTOR-SPECIFIC NUMERIC EFFLUENT LIMITATIONS AND BENCHMARK MONITORING





Water Transportation Facilities (SIC 4412–4499) ........... Total Recoverable Alu-minum..

Total Recoverable Iron. .....Total Recoverable Lead. ...Total Recoverable Zinc. ....

0.75 mg/L ..........................1.0 mg/L ............................0.0816 mg/L ......................0.117 mg/L ........................




3 According to the U.S. Coast Guard, a vessel 65feet or greater in length is referred to as a ship, anda vessel smaller than 65 feet is a boat.

6.R Sector R—Ship and Boat Buildingor Repair Yards

6.R.1 Covered Storm WaterDischarges

The requirements in Part 6.R apply tostorm water discharges associated withindustrial activity from Ship and BoatBuilding or Repair Yards as identifiedby the Activity Codes specified underSector R in Table 1–1 of Part 1.2.1.

6.R.2 Industrial Activities Covered bySector R

The types of activities that permitteesunder Sector R are primarily engaged inare:

6.R.2.1 Ship building and repairingand boat building and repairing 3

6.R.3 Limitations on Coverage6.R.3.1 Prohibition of Non-Storm

Water Discharges. (See also Part 1.2.3.1)Not covered by this permit: dischargescontaining bilge and ballast water,sanitary wastes, pressure wash waterand cooling water originating fromvessels.

6.R.4 Storm Water PollutionPrevention Plan (SWPPP) Requirements


6.R.4.1 Drainage Area Site Map. (Seealso Part 4.2.2.3) Identify where any ofthe following may be exposed toprecipitation/surface runoff: fueling;engine maintenance/repair; vesselmaintenance/repair; pressure washing;painting; sanding; blasting; welding;metal fabrication; loading/unloadingareas; locations used for the treatment,storage or disposal of wastes; liquidstorage tanks; liquid storage areas (e.g.,paint, solvents, resins); and materialstorage areas (e.g., blasting media,aluminum, steel, scrap iron).

6.R.4.2 Potential Pollutant Sources.(See also Part 4.2.4) Describe thefollowing additional sources andactivities that have potential pollutantsassociated with them (if applicable):outdoor manufacturing/processingactivities (e.g., welding, metalfabricating); and significant dust/particulate generating processes (e.g.,abrasive blasting, sanding, painting).

6.R.4.3 Good HousekeepingMeasures. (See also Part 4.2.7.2.1.1)

6.R.4.3.1 Pressure Washing Area. Ifpressure washing is used to removemarine growth from vessels, thedischarge water must be permitted as aprocess wastewater by a separateNPDES permit.

6.R.4.3.2 Blasting and Painting Area.Implement and describe measures toprevent spent abrasives, paint chips andover spray from discharging into thereceiving water or the storm sewersystems. Consider containing allblasting/painting activities or use othermeasures to prevent the discharge of thecontaminants (e.g., hanging plasticbarriers or tarpaulins during blasting orpainting operations to contain debris).Where necessary, regularly clean stormwater conveyances of deposits ofabrasive blasting debris and paint chips.Detail in the SWPPP any standardoperating practices relating to blasting/painting (e.g., prohibiting uncontainedblasting/painting over open water, orprohibiting blasting/painting duringwindy conditions which can rendercontainment ineffective).

6.R.4.3.3 Material Storage Areas.Store and plainly label all containerizedmaterials (e.g., fuels, paints, solvents,waste oil, antifreeze, batteries) in aprotected, secure location away fromdrains. Implement and describemeasures to prevent or minimize thecontamination of precipitation/surfacerunoff from the storage areas. Specifywhich materials are stored indoors andconsider containment or enclosure forthose stored outdoors. If abrasiveblasting is performed, discuss thestorage and disposal of spent abrasivematerials generated at the facility.Consider implementing an inventorycontrol plan to limit the presence ofpotentially hazardous materials onsite.

6.R.4.3.4 Engine Maintenance andRepair Areas. Implement and describemeasures to prevent or minimize thecontamination of precipitation/surfacerunoff from all areas used for enginemaintenance and repair. Consider thefollowing (or their equivalents):performing all maintenance activitiesindoors; maintaining an organizedinventory of materials used in the shop;draining all parts of fluid prior todisposal; prohibiting the practice ofhosing down the shop floor; using drycleanup methods; and treating and/orrecycling storm water runoff collectedfrom the maintenance area.

6.R.4.3.5 Material Handling Area.Implement and describe measures toprevent or minimize the contaminationof precipitation/surface runoff frommaterial handling operations and areas(e.g., fueling, paint and solvent mixing,disposal of process wastewater streamsfrom vessels). Consider the following (ortheir equivalents): covering fuelingareas; using spill/overflow protection;mixing paints and solvents in adesignated area (preferably indoors orunder a shed); and minimize runon ofstorm water to material handling areas.

6.R.4.3.6 Drydock Activities.Describe your procedures for routinelymaintaining/cleaning the drydock toprevent or minimize pollutants in stormwater runoff. Address the cleaning ofaccessible areas of the drydock prior toflooding, and final cleanup followingremoval of the vessel and raising thedock. Include procedures for cleaningup oil, grease or fuel spills occurring onthe drydock. Consider the following (ortheir equivalents): sweeping rather thanhosing off debris/spent blasting materialfrom accessible areas of the drydockprior to flooding, and having absorbentmaterials and oil containment boomsreadily available to contain/cleanup anyspills.

6.R.4.3.7 General Yard Area.Implement and describe a schedule forroutine yard maintenance and cleanup.Regularly remove from the general yardarea: scrap metal, wood, plastic,miscellaneous trash, paper, glass,industrial scrap, insulation, weldingrods, packaging, etc.

6.R.4.4 Preventative Maintenance.(See also Part 4.2.7.2.1.4) As part of yourpreventive maintenance program,perform timely inspection andmaintenance of storm watermanagement devices (e.g., cleaning oil/water separators and sediment traps toensure that spent abrasives, paint chipsand solids will be intercepted andretained prior to entering the stormdrainage system) as well as inspectingand testing facility equipment andsystems to uncover conditions thatcould cause breakdowns or failuresresulting in discharges of pollutants tosurface waters.

6.R.4.5 Inspections. (See also Part4.2.7.2.1.5) Include the following areasin all monthly inspections: pressurewashing area; blasting, sanding andpainting areas; material storage areas;engine maintenance/repair areas;material handling areas; drydock area;and general yard area.

6.R.4.6 Employee Training. (See alsoPart 4.2.7.2.1.6) As part of youremployee training program, address, ata minimum, the following activities (asapplicable): used oil management; spentsolvent management; disposal of spentabrasives; disposal of vesselwastewaters; spill prevention andcontrol; fueling procedures; generalgood housekeeping practices; paintingand blasting procedures; and usedbattery management.

6.R.4.7 Comprehensive SiteCompliance Evaluation. (See also Part4.9) Conduct regularly scheduledevaluations at least once a year andaddress those areas contributing to astorm water discharge associated withindustrial activity (e.g., pressure



washing area, blasting/sanding areas,painting areas, material storage areas,engine maintenance/repair areas,material handling areas, and drydockarea). They must be visually inspectedfor evidence of, or the potential for,pollutants entering the drainage system.

6.S Sector S—Air Transportation

6.S.1 Covered Storm Water Discharges

The requirements in Part 6.S apply tostorm water discharges associated withindustrial activity from AirTransportation facilities as identified bythe SIC Codes specified under Sector Sin Table 1–1 of Part 1.2.1.

6.S.2 Industrial Activities Covered bySector S

The types of activities that permitteesunder Sector S are primarily engaged inare:

6.S.2.1 Air transportation,scheduled, and air courier;

6.S.2.2 Air transportation, nonscheduled;

6.S.2.3 Airports; flying fields, exceptthose maintained by aviation clubs; andairport terminal services including: airtraffic control, except government;aircraft storage at airports; aircraftupholstery repair; airfreight handling atairports; airport hangar rental; airportleasing, if operating airport; airportterminal services; and hangaroperations.

6.S.2.4 Airport and aircraft serviceand maintenance including: aircraftcleaning and janitorial service; aircraftservicing/repairing, except on a factorybasis; vehicle maintenance shops;material handling facilities; equipmentclearing operations; and airport andaircraft deicing/anti-icing.

Note: ‘‘deicing’’ will generally be used toimply both deicing (removing frost, snow orice) and anti-icing (preventing accumulationof frost, snow or ice) activities, unlessspecific mention is made regarding anti-icingand/or deicing activities.

6.S.3 Limitations on Coverage

Only those portions of the facility thatare involved in vehicle maintenance(including vehicle rehabilitation,mechanical repairs, painting, fuelingand lubrication), equipment cleaningoperations or deicing operations areaddressed in Part 6.S.

6.S.3.1 Prohibition of Non-StormWater Discharges. (See also Part 1.2.3.1)Not covered by this permit: aircraft,ground vehicle, runway and equipmentwashwaters; and dry weather dischargesof deicing chemicals. These dischargesmust be covered by a separate NPDESpermit.

6.S.4 Special Conditions

6.S.4.1 Hazardous Substances orOil. (See also Part 3.1) Each individualpermittee is required to report spillsequal to or exceeding the reportablequantity (RQ) levels specified at 40 CFR110, 117 and 302 as described at Part3.2. If an airport authority is the solepermittee, then the sum total of all spillsat the airport must be assessed againstthe RQ. If the airport authority is a co-permittee with other deicing operatorsat the airport, such as numerousdifferent airlines, the assessed amountmust be the summation of spills by eachco-permittee. If separate, distinctindividual permittees exist at theairport, then the amount spilled by eachseparate permittee must be the assessedamount for the RQ determination.

6.S.5 Storm Water PollutionPrevention Plan (SWPPP) Requirements


(See also Part 4.1) If an airport’stenant has a SWPPP for discharges fromtheir own areas of the airport, thatSWPPP must be integrated with the planfor the entire airport. Tenants of theairport facility include air passenger orcargo companies, fixed based operatorsand other parties who have contractswith the airport authority to conductbusiness operations on airport propertyand whose operations result in stormwater discharges associated withindustrial activity.

6.S.5.1 Drainage Area Site Map. (Seealso Part 4.2.2.3) Identify where any ofthe following may be exposed toprecipitation/surface runoff: aircraft andrunway deicing operations; fuelingstations; aircraft, ground vehicle andequipment maintenance/cleaning areas;storage areas for aircraft, groundvehicles and equipment awaitingmaintenance.

6.S.5.2 Potential Pollutant Sources.(See also Part 4.2.4) Include in yourinventory of exposed materials adescription of the potential pollutantsources from the following activities:aircraft, runway, ground vehicle andequipment maintenance and cleaning;aircraft and runway deicing operations(including apron and centralized aircraftdeicing stations, runways, taxiways andramps). If you use deicing chemicals,you must maintain a record of the types(including the Material Safety DataSheets [MSDS]) used and the monthlyquantities, either as measured or, in theabsence of metering, as estimated to thebest of your knowledge. This includesall deicing chemicals, not just glycols

and urea (e.g., potassium acetate),because large quantities of these otherchemicals can still have an adverseimpact on receiving waters. Tenants orother fixed-based operations thatconduct deicing operations mustprovide the above information to theairport authority for inclusion in anycomprehensive airport SWPPPs.

6.S.5.3 Good HousekeepingMeasures. (See also 4.2.7)

6.S.5.3.1 Aircraft, Ground Vehicleand Equipment Maintenance Areas.Describe and implement measures thatprevent or minimize the contaminationof storm water runoff from all areas usedfor aircraft, ground vehicle andequipment maintenance (including themaintenance conducted on the terminalapron and in dedicated hangers).Consider the following practices (ortheir equivalents): performingmaintenance activities indoors;maintaining an organized inventory ofmaterial used in the maintenance areas;draining all parts of fluids prior todisposal; preventing the practice ofhosing down the apron or hanger floor;using dry cleanup methods; andcollecting the storm water runoff fromthe maintenance area and providingtreatment or recycling.

6.S.5.3.2 Aircraft, Ground Vehicleand Equipment Cleaning Areas. Cleanequipment only in the areas identifiedin the SWPPP and site map and clearlydemarcate these areas on the ground.Describe and implement measures thatprevent or minimize the contaminationof storm water runoff from cleaningareas.

6.S.5.3.3 Aircraft, Ground Vehicleand Equipment Storage Areas. Store allaircraft, ground vehicles and equipmentawaiting maintenance in designatedareas only. Consider the following BMPs(or their equivalents): storing aircraftand ground vehicles indoors; using drippans for the collection of fluid leaks;and perimeter drains, dikes or bermssurrounding the storage areas.

6.S.5.3.4 Material Storage Areas.Maintain the vessels of stored materials(e.g., used oils, hydraulic fluids, spentsolvents, and waste aircraft fuel) in goodcondition, to prevent or minimizecontamination of storm water. Alsoplainly label the vessels (e.g., ‘‘usedoil,’’ ‘‘Contaminated Jet A,’’ etc.).Describe and implement measures thatprevent or minimize contamination ofprecipitation/runoff from these areas.Consider the following BMPs (or theirequivalents): storing materials indoors;storing waste materials in a centralizedlocation; and installing berms/dikesaround storage areas.

6.S.5.3.5 Airport Fuel System andFueling Areas. Describe and implement



measures that prevent or minimize thedischarge of fuel to the storm sewer/surface waters resulting from fuelservicing activities or other operationsconducted in support of the airport fuelsystem. Consider the following BMPs(or their equivalents): implementingspill and overflow practices (e.g.,placing absorptive materials beneathaircraft during fueling operations); usingdry cleanup methods; and collectingstorm water runoff.

6.S.5.3.6 Source Reduction.Consider alternatives to the use of ureaand glycol-based deicing chemicals toreduce the aggregate amount of deicingchemicals used and/or lessen theenvironmental impact. Chemicaloptions to replace ethylene glycol,propylene glycol and urea include:potassium acetate; magnesium acetate;calcium acetate; anhydrous sodiumacetate.

6.S.5.3.6.1 Runway DeicingOperation: Evaluate, at a minimum,whether over-application of deicingchemicals occurs by analyzingapplication rates and adjusting asnecessary, consistent withconsiderations of flight safety. Alsoconsider these BMP options (or theirequivalents): metered application ofchemicals; pre-wetting dry chemicalconstituents prior to application;installing a runway ice detectionsystem; implementing anti-icingoperations as a preventive measureagainst ice buildup.

6.S.5.3.6.2 Aircraft DeicingOperations: As in Part 6.S.5.3.6.1,determine whether excessiveapplication of deicing chemicals occursand adjust as necessary, consistent withconsiderations of flight safety. EPA

intends for this evaluation to be carriedout by the personnel most familiar withthe particular aircraft and flightoperations in question (vice an outsideentity such as the airport authority).Consider using alternative deicing/anti-icing agents as well as containmentmeasures for all applied chemicals. Alsoconsider these BMP options (or theirequivalents) for reducing deicing fluiduse: forced-air deicing systems,computer-controlled fixed-gantrysystems, infrared technology, hot water,varying glycol content to airtemperature, enclosed-basket deicingtrucks, mechanical methods, solarradiation, hangar storage, aircraft covers,thermal blankets for MD–80s and DC–9s. Also consider using ice-detectionsystems and airport traffic flowstrategies and departure slot allocationsystems.

6.S.5.3.7 Management of Runoff.Where deicing operations occur,describe and implement a program tocontrol or manage contaminated runoffto reduce the amount of pollutants beingdischarged from the site. Consider theseBMP options (or their equivalents): adedicated deicing facility with a runoffcollection/recovery system; usingvacuum/collection trucks; storingcontaminated storm water/deicingfluids in tanks and releasing controlledamounts to a publicly owned treatmentworks; collecting contaminated runoffin a wet pond for biochemicaldecomposition (be aware of attractingwildlife that may prove hazardous toflight operations); and directing runoffinto vegetative swales or otherinfiltration measures. Also considerrecovering deicing materials when thesematerials are applied during non-

precipitation events (e.g., coveringstorm sewer inlets, using booms,installing absorptive interceptors in thedrains, etc.) to prevent these materialsfrom later becoming a source of stormwater contamination. Used deicing fluidshould be recycled whenever possible.

6.S.5.4 Inspections. (See also Part4.2.7.2.1.5) Specify the frequency ofinspections in your SWPPP. At aminimum they must be conductedmonthly during the deicing season (e.g.,October through April for most mid-latitude airports). If your facility needsto deice before or after this period,expand the monthly inspections toinclude all months during whichdeicing chemicals may be used. Also, ifsignificantly or deleteriously largequantities of deicing chemicals arebeing spilled or discharged, or if waterquality impacts have been reported,increase the frequency of yourinspections to weekly until such time asthe chemical spills/discharges orimpacts are reduced to acceptablelevels. The Director may specificallyrequire you to increase inspections andSWPPP reevaluations as necessary.

6.S.5.5 Comprehensive SiteCompliance Evaluation. (See also 4.9)

(See also Part 4.9)Using only qualified personnel,

conduct your annual site complianceevaluations during periods of actualdeicing operations, if possible. If notpracticable during active deicing or theweather is too inclement, conduct theevaluations when deicing operations arelikely to occur and the materials andequipment for deicing are in place.

6.S.6 Monitoring and ReportingRequirements. (See also Part 5)

TABLE S–1.—SECTOR-SPECIFIC NUMBERIC LIMITATIONS AND BENCHMARK MONITORING





Facilities at airports that use more than 100,000 gallonsof glycol-based deicing/anti-icing chemicals and/or100 tons or more of urea on an average annualbasis: monitor ONLY those outfalls from the airportfacility that collect runoff from areas where deicing/anti-icing activities occur (SIC 45XX).

Biochemical Oxygen De-mand (BOD5).

30 mg/L .............................Chemical Oxygen Demand

COD).

120.0mg/L.Ammonia19 mg/L.pH 6/0 to 9 s.u

1 Monitor once/quarter for the year 2 and year 4 monitoring years.

6.T Sector T—Treatment Works

6.T.1 Covered Storm WaterDischarges

The requirements in Part 6.T apply tostorm water discharges associated withindustrial activity from TreatmentWorks as identified by the Activity Code

specified under Sector T in Table 1–1 ofPart 1.2.1.

6.T.2 Industrial Activities Covered bySector T

The requirements listed under thisPart apply to all existing point source

storm water discharges associated withthe following activities:

6.T.2.1 treatment works treatingdomestic sewage or any other sewagesludge or wastewater treatment deviceor system used in the storage, treatment,recycling and reclamation of municipal



or domestic sewage; including landdedicated to the disposal of sewagesludge; that are located within theconfines of the facility with a designflow of 1.0 MGD or more; or required tohave an approved pretreatment programunder 40 CFR Part 403.

6.T.2.2 Not required to have permitcoverage: farm lands; domestic gardensor lands used for sludge managementwhere sludge is beneficially reused andwhich are not physically located withinthe facility; or areas that are incompliance with Section 405 of theCWA.

6.T.3 Limitations on Coverage

6.T.3.1 Prohibition of Non-StormWater Discharges. (See also Part 1.2.3.1)Not authorized by this permit: sanitaryand industrial wastewater; andequipment/vehicle washwater.

6.T.4 Storm Water PollutionPrevention Plan (SWPPP) Requirements


6.T.4.1 Site Map. (See also Part4.2.2.3.6) Identify where any of thefollowing may be exposed toprecipitation/surface runoff: grit,screenings and other solids handling,storage or disposal areas; sludge dryingbeds; dried sludge piles; compost piles;septage or hauled waste receivingstation; and storage areas for processchemicals, petroleum products,solvents, fertilizers, herbicides andpesticides.

6.T.4.2 Potential Pollutant Sources.(See also Part 4.2.4) Describe thefollowing additional sources andactivities that have potential pollutantsassociated with them, as applicable: grit,screenings and other solids handling,storage or disposal areas; sludge dryingbeds; dried sludge piles; compost piles;septage or hauled waste receivingstation; and access roads/rail lines.

6.T.4.3 Best Management Practices (BMPs).(See also Part 4.2.7.2) In addition to theother BMPs considered, consider thefollowing: routing storm water to thetreatment works; or covering exposedmaterials (i.e., from the following areas:grit, screenings and other solidshandling, storage or disposal areas;sludge drying beds; dried sludge piles;compost piles; septage or hauled wastereceiving station).

6.T.4.4 Inspections. (See also Part4.2.7.2.1.5) Include the following areasin all inspections: access roads/raillines; grit, screenings and other solidshandling, storage or disposal areas;sludge drying beds; dried sludge piles;

compost piles; septage or hauled wastereceiving station areas.

6.T.4.5 Employee Training. (See alsoPart 4.2.7.2.1.6) At a minimum, mustaddress the following areas whenapplicable to a facility: petroleumproduct management; process chemicalmanagement; spill prevention andcontrols; fueling procedures; generalgood housekeeping practices; properprocedures for using fertilizer,herbicides and pesticides.

6.T.4.6 Wastewater and WashwaterRequirements. (See also Part 4.4) Attachto your SWPPP a copy of all yourcurrent NPDES permits issued forwastewater, industrial, vehicle andequipment washwater discharges or, ifan NPDES permit has not yet beenissued, a copy of the pendingapplications. Address any requirements/conditions from the other permits, asappropriate, in the SWPPP. If thewashwater is handled in anothermanner, the disposal method must bedescribed and all pertinentdocumentation must be attached to theplan.

6.U Sector U—Food and KindredProducts

6.U.1 Covered Storm WaterDischarges

The requirements in Part 6.U apply tostorm water discharges associated withindustrial activity from Food andKindred Products facilities as identifiedby the SIC Codes specified in Table 1–1 of Part 1.2.1.

6.U.2 Industrial Activities Covered bySector U

The types of activities that permitteesunder Sector U are primarily engaged inare:

6.U.2.1 meat products;6.U.2.2 dairy products;6.U.2.3 canned, frozen and

preserved fruits, vegetables, and foodspecialties;

6.U.2.4 grain mill products;6.U.2.5 bakery products;6.U.2.6 sugar and confectionery

products;6.U.2.7 fats and oils;6.U.2.8 beverages;6.U.2.9 miscellaneous food

preparations and kindred products andtobacco products manufacturing.

6.U.3 Limitations on Coverage

Not covered by this permit: stormwater discharges identified under Part1.2.3 from industrial plant yards,material handling sites; refuse sites;sites used for application or disposal ofprocess wastewaters; sites used for

storage and maintenance of materialhandling equipment; sites used forresidential wastewater treatment,storage, or disposal; shipping andreceiving areas; manufacturingbuildings; and storage areas for rawmaterial and intermediate and finishedproducts. This includes areas whereindustrial activity has taken place in thepast and significant materials remain.‘‘Material handling activities’’ includethe storage, loading/unloading,transportation or conveyance of any rawmaterial, intermediate product, finishedproduct, by-product or waste product.

6.U.3.1 Prohibition of Non-StormWater Discharges. (See also Part 1.2.2.2)Not authorized by this permit:discharges subject to Part 1.2.2.2include discharges containing: boilerblowdown, cooling tower overflow andblowdown, ammonia refrigerationpurging and vehicle washing/clean-outoperations.

6.U.4 Storm Water PollutionPrevention Plan (SWPPP) Requirements


6.U.4.1 Drainage Area Site Map.(See also Part 4.2.2.3) Identify thelocations of the following activities ifthey are exposed to precipitation/runoff:vents/stacks from cooking, drying andsimilar operations; dry product vacuumtransfer lines; animal holding pens;spoiled product; and broken productcontainer storage areas.

6.U.4.2 Potential PollutantSources.(See also Part 4.2.4) Describe, inaddition to food and kindred productsprocessing-related industrial activities,application and storage of pest controlchemicals (e.g., rodenticides,insecticides, fungicides, etc.) used onplant grounds.

6.U.4.3 Inspections.(See also Part4.2.7.2.1.5) Inspect on a regular basis, ata minimum, the following areas wherethe potential for exposure to stormwater exists: loading and unloadingareas for all significant materials;storage areas including associatedcontainment areas; waste managementunits; vents and stacks emanating fromindustrial activities; spoiled productand broken product container holdingareas; animal holding pens; stagingareas; and air pollution controlequipment.

6.U.4.4 Employee Training.(See alsoPart 4.2.7.2.1.6) Address pest control inthe training program.

6.U.5 Monitoring and ReportingRequirements. (See also Part 5)



TABLE U–1. SECTOR-SPECIFIC NUMERIC EFFLUENT LIMITATIONS AND BENCHMARK MONITORING


than one Sector/Subsector)Parameter Benchmark monitoring cut-


Part or Permit Affected/Supplemental Requirements

Grain Mill Products (SIC 2041–2048) ............................. Total Suspended Solids(TSS).

100 mg/L.

Fats and Oils Products (SIC 2074–2079) ....................... Biochemical Oxygen De-mand (BOD5).

30 mg/L.


120 mg/L.

Nitrate plus Nitrate Nitro-gen.

0.68 mg/L.


100 mg/L.


6.V Sector V—Textile Mills, Appareland Other Fabric Products

6.V.1 Covered Storm WaterDischarges

The requirements in Part 6.V apply tostorm water discharges associated withindustrial activity from Textile Mills,Apparel, and Other Fabric ProductManufacturing as identified by theActivity Code specified under Sector Vin Table 1–1 of Part 1.2.1.

6.V.2 Industrial Activities Covered bySector V

The types of activities that permitteesunder Sector V are primarily engaged inare:

6.V.2.1 textile mill products, of andregarding facilities and establishmentsengaged in the preparation of fiber andsubsequent manufacturing of yarn,thread, braids, twine, and cordage, themanufacturing of broadwoven fabrics,narrow woven fabrics, knit fabrics, andcarpets and rugs from yarn;

6.V.2.2 processes involved in thedyeing and finishing of fibers, yarnfabrics, and knit apparel;

6.V.2.3 the integrated manufacturingof knit apparel and other finishedarticles of yarn;

6.V.2.4 the manufacturing of feltgoods (wool), lace goods, non-wovenfabrics, miscellaneous textiles, andother apparel products.

6.V.3 Limitations on Coverage6.V.3.1 Prohibition of Non-Storm

Water Discharges. (See also Part 1.2.3.1)Not authorized by this permit:discharges of wastewater (e.g.,wastewater resulting from wetprocessing or from any processesrelating to the production process);reused/recycled water; and waters usedin cooling towers. If you have thesetypes of discharges from your facility,you must cover them under a separateNPDES permit.

6.V.4 Storm Water PollutionPrevention Plan (SWPPP) Requirements


6.V.4.1 Potential Pollutant Sources.(See also Part 4.2.4) Describe thefollowing additional sources andactivities that have potential pollutantsassociated with them: industrial-specificsignificant materials and industrialactivities (e.g., backwinding, beaming,bleaching, backing bonding,carbonizing, carding, cut and sewoperations, desizing , drawing, dyeinglocking, fulling, knitting, mercerizing,opening, packing, plying, scouring,slashing, spinning, synthetic-feltprocessing, textile waste processing,tufting, turning, weaving, web forming,winging, yarn spinning, and yarntexturing).

6.V.4.2 Good HousekeepingMeasures. (See also Part 4.2.7.2.1.1)

6.V.4.2.1 Material Storage Area.Plainly label and store all containerizedmaterials (e.g., fuels, petroleumproducts, solvents, dyes, etc.) in aprotected area, away from drains.Describe and implement measures thatprevent or minimize contamination ofthe storm water runoff from such storageareas, including a description of thecontainment area or enclosure for thosematerials stored outdoors. Also consideran inventory control plan to preventexcessive purchasing of potentiallyhazardous substances. For storing emptychemical drums/containers, ensure thedrums/containers are clean (considertriple-rinsing) and there is no contact ofresiduals with precipitation/runoff.Collect and dispose of washwater fromthese cleanings properly.

6.V.4.2.2 Material Handling Area.Describe and implement measures thatprevent or minimize contamination ofstorm water runoff from materialhandling operations and areas. Consider

the following (or their equivalents): useof spill/overflow protection; coveringfueling areas; and covering/enclosingareas where the transfer of material mayoccur. Where applicable address thereplacement or repair of leakingconnections, valves, transfer lines andpipes that may carry chemicals, dyes orwastewater.

6.V.4.2.3 Fueling Areas. Describeand implement measures that prevent orminimize contamination of storm waterrunoff from fueling areas. Consider thefollowing (or their equivalents):covering the fueling area, using spilland overflow protection, minimizingrunon of storm water to the fuelingareas, using dry cleanup methods, andtreating and/or recycling storm waterrunoff collected from the fueling area.

6.V.4.2.4 Above Ground StorageTank Area. Describe and implementmeasures that prevent or minimizecontamination of the storm water runofffrom above ground storage tank areas,including the associated piping andvalves. Consider the following (or theirequivalents): regular cleanup of theseareas; preparation of the spillprevention control and countermeasureprogram, provide spill and overflowprotection; minimizing runoff of stormwater from adjacent areas; restrictingaccess to the area; insertion of filters inadjacent catch basins; providingabsorbent booms in unbermed fuelingareas; using dry cleanup methods; andpermanently sealing drains withincritical areas that may discharge to astorm drain.

6.V.4.3 Inspections. (See also Part4.2.7.2.1.5) Inspect, at least on amonthly basis, the following activitiesand areas (at a minimum): transfer andtransmission lines; spill prevention;good housekeeping practices;management of process waste products;all structural and non structuralmanagement practices.



6.V.4.4 Employee Training. (See alsoPart 4.2.7.2.1.6) As part of youremployee training program, address, ata minimum, the following activities (asapplicable): use of reused/recyclingwaters; solvents management; properdisposal of dyes; proper disposal ofpetroleum products and spentlubricants; spill prevention and control;fueling procedures; and general goodhousekeeping practices.

6.V.4.5 Comprehensive SiteCompliance Evaluation. (See also Part4.9) Conduct regularly scheduledevaluations at least once a year andaddress those areas contributing to astorm water discharge associated withindustrial activity for evidence of, or thepotential for, pollutants entering thedrainage system. Inspect, at a minimum,as appropriate: storage tank areas; wastedisposal and storage areas; dumpstersand open containers stored outside;materials storage areas; enginemaintenance and repair areas; materialhanding areas and loading dock areas.

6.W Sector W—Furniture andFixtures

6.W.1 Covered Storm WaterDischarges

The requirements in Part 6.W apply tostorm water discharges associated withindustrial activity from Furniture andFixtures facilities as identified by theActivity Code specified under Sector Win Table 1–1 of Part 1.2.1.

6.W.2 Industrial Activities Covered bySector W

The types of activities that permitteesunder Sector W are primarily engaged inthe manufacturing of:

6.W.2.1 wood kitchen cabinets;6.W.2.2 household furniture;6.W.2.3 office furniture;6.W.2.4 public buildings and related

furniture;6.W.2.5 partitions, shelving, lockers,

and office and store fixtures;6.W.2.6 miscellaneous furniture and

fixtures.

6.W.3 Storm Water PollutionPrevention Plan (SWPPP) Requirements


6.W.3.1 Drainage Area Site Map.(See also Part 4.2.2.3) Identify whereany of the following may be exposed toprecipitation/surface runoff: materialstorage (including tanks or other vesselsused for liquid or waste storage) areas;outdoor material processing areas; areaswhere wastes are treated, stored ordisposed; access roads; and rail spurs.

6.X Sector X—Printing and Publishing

6.X.1 Covered Storm WaterDischarges

The requirements in Part 6.X apply tostorm water discharges associated withindustrial activity from Printing andPublishing facilities as identified by theActivity Code specified under Sector Xin Table 1.1 of Part 1.2.1.

6.X.2 Industrial Activities Covered bySector X

The types of activities that permitteesunder Sector X are primarily engaged inare:

6.X.2.1 book printing;6.X.2.2 commercial printing and

lithographics;6.X.2.3 plate making and related

services;6.X.2.4 commercial printing,

gravure;6.X.2.5 commercial printing not

elsewhere classified.

6.X.3 Storm Water PollutionPrevention Plan Requirements


6.X.3.1 Drainage Area Site Map.(See also Part 4.2.2.3) Identify whereany of the following may be exposed toprecipitation/surface runoff: aboveground storage tanks, drums and barrelpermanently stored outside.

6.X.3.2 Potential Pollutant Sources.(See also Part 4.2.4) Describe thefollowing additional sources andactivities that have potential pollutantsassociated with them, as applicable:loading and unloading operations;outdoor storage activities; significantdust or particulate generating processes;and onsite waste disposal practices (e.g.,blanket wash). Also identify thepollutant or pollutant parameter (e.g.,oil and grease, scrap metal, etc.)associated with each pollutant source.

6.X.3.3 Good HousekeepingMeasures. (See also Part 4.2.7.2.1.1)

6.X.3.3.1 Material Storage Areas.Plainly label and store all containerizedmaterials (e.g., skids, pallets, solvents,bulk inks, and hazardous waste, emptydrums, portable/mobile containers ofplant debris, wood crates, steel racks,fuel oil, etc.) in a protected area, awayfrom drains. Describe and implementmeasures that prevent or minimizecontamination of the storm water runofffrom such storage areas, including adescription of the containment area orenclosure for those materials storedoutdoors. Also consider an inventorycontrol plan to prevent excessivepurchasing of potentially hazardoussubstances.

6.X.3.3.2 Material Handling Area.Describe and implement measures thatprevent or minimize contamination ofstorm water runoff from materialhandling operations and areas (e.g.,blanket wash, mixing solvents, loading/unloading materials). Consider thefollowing (or their equivalents): use ofspill/overflow protection; coveringfueling areas; and covering/enclosingareas where the transfer of materialsmay occur. Where applicable addressthe replacement or repair of leakingconnections, valves, transfer lines andpipes that may carry chemicals orwastewater.

6.X.3.3.3 Fueling Areas. Describeand implement measures that prevent orminimize contamination of storm waterrunoff from fueling areas. Consider thefollowing (or their equivalents):covering the fueling area, using spilland overflow protection, minimizingrunoff of storm water to the fuelingareas, using dry cleanup methods, andtreating and/or recycling storm waterrunoff collected from the fueling area.

6.X.3.3.4 Above Ground StorageTank Area. Describe and implementmeasures that prevent or minimizecontamination of the storm water runofffrom above ground storage tank areas,including the associated piping andvalves. Consider the following (or theirequivalents): regular cleanup of theseareas; preparation of the spillprevention control and countermeasureprogram, provide spill and overflowprotection; minimizing runoff of stormwater from adjacent areas; restrictingaccess to the area; insertion of filters inadjacent catch basins; providingabsorbent booms in unbermed fuelingareas; using dry cleanup methods; andpermanently sealing drains withincritical areas that may discharge to astorm drain.

6.X.3.4 Employee Training. (See alsoPart 4.2.7.2.1.6) As part of youremployee training program, address, ata minimum, the following activities (asapplicable): spent solvent management;spill prevention and control; used oilmanagement; fueling procedures; andgeneral good housekeeping practices.

6.Y Sector Y—Rubber, MiscellaneousPlastic Products and MiscellaneousManufacturing Industries

6.Y.1 Covered Storm WaterDischarges

The requirements in Part 6.Y apply tostorm water discharges associated withindustrial activity from Rubber,Miscellaneous Plastic Products andMiscellaneous Manufacturing Industriesfacilities as identified by the Activity



Code specified under Sector Y in Table1–1 of Part 1.2.1.

6.Y.2 Storm Water PollutionPrevention Plan (SWPPP) Requirements


6.Y.2.1 Potential Pollutant Sources.(See also Part 4.2.4) Review the use ofzinc at your facility and the possiblepathways through which zinc may bedischarged in storm water runoff.

6.Y.2.2 Controls for RubberManufacturers. (See also Part 4.2.7)Describe and implement specificcontrols to minimize the discharge ofzinc in your storm water discharges.Parts 6.Y.2.2.1 to 6.Y.2.2.5 give possiblesources of zinc to be reviewed and listsome specific BMPs to be considered forimplementation (or their equivalents).Some general BMP options to consider:using chemicals which are purchased inpre-weighed, sealed polyethylene bags;storing materials which are in use in

sealable containers; ensuring anairspace between the container and thecover to minimize ‘‘puffing’’ losseswhen the container is opened; and usingautomatic dispensing and weighingequipment.

6.Y.2.2.1 Inadequate Housekeeping.Review the handling and storage of zincbags at your facility. BMP options:employee training on the handling/storage of zinc bags; indoor storage ofzinc bags; cleanup zinc spills withoutwashing the zinc into the storm drain,and the use of 2,500-pound sacks of zincrather than 50- to 100-pound sacks;

6.Y.2.2.2 Dumpsters. Reducedischarges of zinc from dumpsters. BMPoptions: covering the dumpster; movingthe dumpster indoors; or provide alining for the dumpster.

6.Y.2.2.3 Malfunctioning DustCollectors or Baghouses: Review dustcollectors/baghouses as possible sourcesin zinc in storm water runoff. Replaceor repair, as appropriate, improperlyoperating dust collectors/baghouses.

6.Y.2.2.4 Grinding Operations.Review dust generation from rubber

grinding operations and, as appropriate,install a dust collection system.

6.Y.2.2.5 Zinc Stearate CoatingOperations. Detail appropriate measuresto prevent or clean up drips/spills ofzinc stearate slurry that may be releasedto the storm drain. BMP option: usingalternate compounds to zinc stearate.

6.Y.2.3 Controls for Plastic ProductsManufacturers. Describe and implementspecific controls to minimize thedischarge of plastic resin pellets in yourstorm water discharges. BMPs to beconsidered for implementation (or theirequivalents): minimizing spills;cleaning up of spills promptly andthoroughly; sweeping thoroughly; pelletcapturing; employee education anddisposal precautions.

6.Y.3 Monitoring and ReportingRequirements. (See also Part 5)

TABLE Y–1.—SECTOR-SPECIFIC NUMERIC EFFLUENT LIMITATIONS AND BENCHMARK MONITORING

Subsector Parameter Benchmark monitoring cut-off concentration Numeric limitations


Tires and Inner Tubes; Rubber Footwear; Gaskets,Packing and Sealing Devices; Rubber Hose and Belt-ing; and Fabricated Rubber Products, Not ElsewhereClassified (SIC 3011–3069, rubber.

Total Recoverable Zinc ..... 0.117 mg/L


6.Z Sector Z—Leather Tanning andFinishing

6.Z.1 Covered Storm WaterDischarges

The requirements in Part 6.Z apply tostorm water discharges associated withindustrial activity from Leather Tanningand Finishing facilities as identified bythe Activity Code specified under SectorZ in Table 1–1 of Part 1.2.1.

6.Z.2 Industrial Activities Covered bySector Z

The types of activities that permitteesunder Sector Z are primarily engagedare leather tanning, curry and finishing;

6.Z.3 Storm Water PollutionPrevention Plan (SWPPP) Requirements


6.Z.3.1 Drainage Area Site Map. (Seealso Part 4.2.2.3) Identify where any ofthe following may be exposed toprecipitation/surface runoff: processingand storage areas of the beamhouse,tanyard, and re-tan wet finishing and

dry finishing operations; and haulroads, access roads and rail spurs.

6.Z.3.2 Potential Pollutant Sources.(See also Part 4.2.4) At a minimum,describe the following additionalsources and activities that havepotential pollutants associated withthem (as appropriate): temporary orpermanent storage of fresh and brinecured hides; extraneous hide substancesand hair; leather dust, scraps, trimmingsand shavings; chemical drums, bags,containers and above ground tanks;empty chemical containers and bags;spent solvents; floor sweepings/washings; refuse, waste piles andsludge; and significant dust/particulategenerating processes (e.g., buffing).

6.Z.3.3 Good HousekeepingMeasures. (See also Part 4.2.7.2.1.1)

6.Z.3.3.1 Storage Areas for Raw,Semiprocessed or Finished TanneryByproducts. Pallets/bales of raw,semiprocessed or finished tannerybyproducts (e.g., splits, trimmings,shavings, etc.) should be stored indoorsor protected by polyethylene wrapping,tarpaulins, roofed storage, etc. Considerplacing materials on an impermeable

surface, and enclosing or putting berms(or equivalent measures) around thearea to prevent storm water runon/runoff.

6.Z.3.3.2 Material Storage Areas.Label storage containers of all materials(e.g., specific chemicals, hazardousmaterials, spent solvents, wastematerials). Describe and implementmeasures that prevent/minimize contactwith storm water.

6.Z.3.3.3 Buffing and Shaving Areas.Describe and implement measures thatprevent or minimize contamination ofstorm water runoff with leather dustfrom buffing/shaving areas. Considerdust collection enclosures, preventiveinspection/maintenance programs orother appropriate preventive measures.

6.Z.3.3.4 Receiving, Unloading, andStorage Areas. Describe and implementmeasures that prevent or minimizecontamination of storm water runofffrom receiving, unloading, and storageareas. If these areas are exposed,consider (or their equivalent): Coveringall hides and chemical supplies;diverting drainage to the process sewer;



or grade berming/curbing area toprevent runoff of storm water.

6.Z.3.3.5 Outdoor Storage ofContaminated Equipment. Describe andimplement measures that prevent orminimize contact of storm water withcontaminated equipment. Consider (ortheir equivalent): Covering equipment;diverting drainage to the process sewer;and cleaning thoroughly prior tostorage.

6.Z.3.3.6 Waste Management.Describe and implement measures thatprevent or minimize contamination ofstorm water runoff from waste storageareas. Consider (or their equivalent):Inspection/maintenance programs forleaking containers or spills; coveringdumpsters; moving waste managementactivities indoors; covering waste pileswith temporary covering material suchas tarpaulins or polyethylene; andminimizing storm water runoff byenclosing the area or building bermsaround the area.

6.AA Sector AA—Fabricated MetalProducts

6.AA.1 Covered Storm WaterDischarges

The requirements in Part 6.AA applyto storm water discharges associatedwith industrial activity from FabricatedMetal Products facilities as identified bythe Activity Code specified under SectorAA in Table 1–1 of Part 1.2.1.

6.AA.2 Industrial Activities Coveredby Sector AA

The types of activities that permitteesunder Sector AA are primarily engagedin are:

6.AA.2.1 Fabricated metal products;except for electrical related industries;

6.AA.2.2 Fabricated metal products;except machinery and transportationequipment;

6.AA.2.3 Jewelry, silverware, andplated ware.

6.AA.3 Storm Water PollutionPrevention Plan (SWPPP) Requirements


6.AA.3.1 Drainage Area Site Map.(See also Part 4.2.2.3) Identify whereany of the following may be exposed toprecipitation/surface runoff: Raw metalstorage areas; finished metal storageareas; scrap disposal collection sites;equipment storage areas; retention anddetention basins; temporary/permanentdiversion dikes or berms; right-of-way

or perimeter diversion devices;sediment traps/barriers; processingareas including outside painting areas;wood preparation; recycling; and rawmaterial storage.

6.AA.3.2 Spills and Leaks. (See alsoPart 4.2.5) When listing significantspills/leaks, pay attention to thefollowing materials at a minimum:Chromium, toluene, pickle liquor,sulfuric acid, zinc and other waterpriority chemicals and hazardouschemicals and wastes.

6.AA.3.3 Potential PollutantSources. (See also Part 4.2.4) Describethe following additional sources andactivities that have potential pollutantsassociated with them: Loading andunloading operations for paints,chemicals and raw materials; outdoorstorage activities for raw materials,paints, empty containers, corn cob,chemicals, and scrap metals; outdoormanufacturing or processing activitiessuch as grinding, cutting, degreasing,buffing, brazing, etc; onsite wastedisposal practices for spent solvents,sludge, pickling baths, shavings, ingotspieces, refuse and waste piles.

6.AA.3.4 Good HousekeepingMeasures. (See also Part 4.2.7.2.1.1)

6.AA.3.4.1 Raw Steel HandlingStorage. Describe and implementmeasures controlling or recovering scrapmetals, fines and iron dust. Includemeasures for containing materialswithin storage handling areas.

6.AA.3.4.2 Paints and PaintingEquipment. Describe and implementmeasures to prevent or minimizeexposure of paint and paintingequipment to storm water.

6.AA.3.5 Spill Prevention andResponse Procedures. (See also Part4.2.7.2.1.4) Ensure the necessaryequipment to implement a clean up isavailable to personnel. The followingareas should be addressed:

6.AA.3.5.1 Metal Fabricating Areas.Describe and implement measures formaintaining clean, dry, orderlyconditions in these areas. Consider theuse of dry clean-up techniques.

6.AA.3.5.2 Storage Areas for RawMetal. Describe and implementmeasures to keep these areas free ofcondition that could cause spills orleakage of materials. Consider thefollowing (or their equivalents):maintaining storage areas such thatthere is easy access in the event of aspill; and labeling stored materials toaid in identifying spill contents.

6.AA.3.5.3 Receiving, Unloading,and Storage Areas. Describe and

implement measures to prevent spillsand leaks; plan for quick remedial cleanup; and instruct employees on clean-uptechniques and procedures.

6.AA.3.5.4 Storage of Equipment.Describe and implement measures forpreparing equipment for storage and theproper storage of equipment. Considerthe following (or their equivalents):protecting with covers; storing indoors;and cleaning potential pollutants fromequipment to be stored outdoors.

6.AA.3.5.5 Metal Working FluidStorage Areas. Describe and implementmeasures for storage of metal workingfluids.

6.AA.3.5.6 Cleaners and RinseWater. Describe and implementmeasures: to control/cleanup spills ofsolvents and other liquid cleaners;control sand buildup and disbursementfrom sand-blasting operations; andprevent exposure of recyclable wastes.Substitute environmentally-benigncleaners when possible.

6.AA.3.5.7 Lubricating Oil andHydraulic Fluid Operations. Considerusing monitoring equipment or otherdevices to detect and control leaks/overflows. Consider installing perimetercontrols such as dikes, curbs, grass filterstrips or other equivalent measures.

6.AA.3.5.8 Chemical Storage Areas.Describe and implement proper storagemethods that prevent storm watercontamination and accidental spillage.Include a program to inspect containersand identify proper disposal methods.

6.AA.3.6 Inspections. (See also Part4.2.7.2.1.5) Include, at a minimum, thefollowing areas in all inspections: rawmetal storage areas; finished productstorage areas; material and chemicalstorage areas; recycling areas; loadingand unloading areas; equipment storageareas; paint areas; vehicle fueling andmaintenance areas.

6.AA.3.7 Comprehensive SiteCompliance Evaluation. (See also Part4.9.2) As part of your evaluation, alsoinspect: areas associated with thestorage of raw metals; storage of spentsolvents and chemicals; outdoor paintareas; and drainage from roof. Potentialpollutants include chromium, zinc,lubricating oil, solvents, aluminum, oiland grease, methyl ethyl ketone, steeland other related materials.

6.AA.4 Monitoring and ReportingRequirements

(See also Part 5)



TABLE AA–1.—SECTOR-SPECIFIC NUMERIC LIMITATIONS AND BENCHMARK MONITORING


than one sector/subsector)Parameter Benchmark, monitoring,

cutoff, concentration1 Numeric limitation


Fabricated Metal Products Except Coating (SIC 3411–3471, 3482–3499, 3911–3915).


0.75 mg/L.

Total Recoverable Iron ...... 1.0 mg/L.Total Recoverable Zinc ..... 0.117 mg/L.Nitrate plus Nitrite Nitrogen 0.68 mg/L.

Fabricated Metal Coating and Engraving (SIC 3479) ..... Total Recoverable Zinc ..... 0.117 mg/L.Nitrate plus Nitrite Nitrogen 0.68 mg/L.

1 Monitor once/quarter for the year 2 and year 4 Monitoring Years

6.AB Sector AB—TransportationEquipment, Industrial or CommercialMachinery

6.AB.1 Covered Storm WaterDischarges

The requirements in Part 6.AB applyto storm water discharges associatedwith industrial activity fromTransportation Equipment, Industrial orCommercial Machinery facilities asidentified by the Activity Code specifiedunder Sector AB in Table 1–1 of Part1.2.1.

6.AB.2 Industrial Activities Coveredby Sector AB

The types of activities that permitteesunder Sector AB are primarily engagedin are:

6.AB.2.1 Industrial and CommercialMachinery (except Computer and OfficeEquipment) (see Sector AC); and

6.AB.2.2 Transportation Equipment(except Ship and Boat Building andRepairing) (see Sector R).

6.AB.3 Storm Water Pollution Plan(SWPPP) Requirements


6.AB.3.1 Drainage Area Site Map.(See also Part 4.2.2.3) Identify whereany of the following may be exposed toprecipitation/surface runoff: vents andstacks from metal processing andsimilar operations.

6.AB.3.2 Non-Storm WaterDischarges. (See also Part 4.4) If yourfacility has a separate NPDES permit (orhas applied for a permit) authorizingdischarges of wastewater, attach a copyof the permit (or the application) to yourSWPPP. Any new wastewater permitsissued/reissued to you must thenreplace the old one in your SWPPP. Ifyou discharge wastewater, other thansolely domestic wastewater, to aPublicly Owned Treatment Works(POTW), you must notify the POTW ofthe discharge (identify the types of

wastewater discharged, including anystorm water). As proof of thisnotification, attach to your SWPPP acopy of the permit issued to yourfacility by the POTW or a copy of yournotification to the POTW.

6.AC Sector AC—Electronic, ElectricalEquipment and Components,Photographic and Optical Goods

6.AC.1 Covered Storm WaterDischarges

The requirements in Part 6.AC applyto storm water discharges associatedwith industrial activity from facilitiesthat manufacture Electronic, ElectricalEquipment and Components,Photographic and Optical Goods asidentified by the SIC Codes specified inTable 1–1 of Part 1.2.1.

6.AC.2 Industrial Activities Coveredby Sector AC

The types of manufacturing activitiesthat permittees under Sector AC areprimarily engaged in are:

6.AC.2.1 Measuring, analyzing, andcontrolling instruments;

6.AC.2.2 Photographic, medical andoptical goods;

6.AC.2.3 Watches and clocks; and6.AC.2.4 Computer and office

equipment.

6.AC.3 Additional Requirements

No additional sector-specificrequirements apply to this sector.

6.AD Storm Water DischargesDesignated by the Director as RequiringPermits

6.AD.1 Covered Storm WaterDischarges

Sector AD is used to provide permitcoverage for facilities designated by theDirector as needing a storm waterpermit, or any discharges of industrialactivity that do not meet the descriptionof an industrial activity covered bySectors A–AC. Therefore, almost anytype of storm water discharge could becovered under this sector. You must be

assigned to Sector AD by the Directorand may NOT choose sector AD as thesector describing your activities on yourown.

6.AD.1.1 Eligibility for PermitCoverage. Because this Sector onlycovers discharges designated by theDirector as needing a storm waterpermit (which is an atypicalcircumstance) or your facility’sindustrial activities were inadvertentlyleft out of Sectors A–AC, and yourfacility may or may not normally bedischarging storm water associated withindustrial activity, you must obtain theDirector’s written permission to use thispermit prior to submitting a Notice ofIntent. If you are authorized to use thispermit, you will be required to ensureyour discharges meet the basiceligibility provisions of this permit atPart 1.2.

6.AD.2 Storm Water PollutionPrevention Plan (SWPPP) Requirements

The Director will establish anyadditional Storm Water PollutionPrevention Plan requirements for yourfacility at the time of accepting yourNotice of Intent to be covered by thispermit. Additional requirements wouldbe based on the nature of activities atyour facility and your storm waterdischarges.

6.AD.3 Monitoring and ReportingRequirements

The Director will establish anyadditional monitoring and reportingrequirements for your facility at the timeof accepting your Notice of Intent to becovered by this permit. Additionalrequirements would be based on thenature of activities at your facility andyour storm water discharges.

7. Reporting

7.1 Reporting Results of MonitoringDepending on the types of monitoring

required for your facility, you may haveto submit the results of your monitoringor you may only have to keep the results



with your Storm Water PollutionPrevention Plan. You must follow thereporting requirements and deadlines inTable 7–1 that apply to the types ofmonitoring that apply to your facility.

If required by the conditions of thepermit that apply to your facility, youmust submit analytical monitoringresults obtained from each outfallassociated with industrial activity (or acertification as per 5.3.1) on a Discharge

Monitoring Report (DMR) form (oneform must be submitted for each stormevent sampled). An example of a formis found in the Guidance Manual for theMonitoring and Reporting Requirementsof the NPDES Storm Water Multi-SectorGeneral Permit. A copy of the DMR isalso available on the Internet at http://www.epa.gov/owm/sw/permits-and-forms/index.htm. The signed DMR must

be sent to: MSGP DMR (4203), US EPA,1200 Pennsylvania Avenue NW.,Washington, DC 20460.

Note: If EPA notifies dischargers (eitherdirectly, by public notice or by makinginformation available on the Internet) ofother DMR form options that becomeavailable at a later date (e.g., electronicsubmission of forms), you may takeadvantage of those options to satisfy the DMRuse and submission requirements of Part 7.

TABLE 7–1.—DMR/ALTERNATIVE CERTIFICATION SUBMISSION DEADLINES

Type of monitoring Reporting deadline (postmark)

Monitoring for Numeric Limitation ....................... Submit results by the 28th day of the month following the monitoring period.Benchmark Monitoring:

Monitoring Year 2001–2002 ........................ Save and submit all results for year in one package by January 28, 2003.Monitoring Year 2003–2004 ........................ Save and submit all results for year in one package by January 28, 2005.

Biannual Monitoring for Metal Mining Facilities(see Part 6.G).

Save and submit all results for year in one package by January 28 of the year following themonitoring year.

Visual Monitoring ................................................ Retain results with SWPPP—do not submit unless requested to do so by Permitting Authority.State/Tribal/Territory—Specific Monitoring ......... See Part 13 (conditions for specific States, Indian country, and Territories).

7.2 Additional Reporting forDischargers to a Large or MediumMunicipal Separate Storm SewerSystem

If you discharge storm waterdischarge associated with industrialactivity through a large or mediummunicipal separate storm sewer system(systems serving a population of100,000 or more), you must also submitsigned copies of your dischargemonitoring reports to the operator of themunicipal separate storm sewer systemin accordance with the dates providedin Table 7–1.

7.3 Miscellaneous Reports

You must submit any other reportsrequired by this permit to the Directorof the NPDES program at the address ofthe appropriate Regional Office listed inPart 8.3.

8. Retention of Records

8.1 Documents

In addition to the requirements of Part9.16.2, you must retain copies of StormWater Pollution Prevention Plans andall reports and certifications required bythis permit, and records of all data usedto complete the Notice of Intent to becovered by this permit, for a period ofat least three years from the date that thefacility’s coverage under this permitexpires or is terminated. This periodmay be extended by request of theDirector at any time.

8.2 Accessibility

You must retain a copy of the StormWater Pollution Prevention Planrequired by this permit (including acopy of the permit language) at the

facility (or other local locationaccessible to the Director, a State, Tribalor Territorial agency with jurisdictionover water quality protection; localgovernment officials; or the operator ofa municipal separate storm sewerreceiving discharges from the site) fromthe date of permit coverage to the dateof permit coverage ceases. You mustmake a copy of your Storm WaterPollution Prevention Plan available tothe public if requested to do so inwriting.

8.3 Addresses

Except for the submittal of NOIs andNOTs (see Parts 2.1 and 11.2,respectively), all writtencorrespondence concerning dischargesin any State, Indian country land,Territory, or from any Federal facilitycovered under this permit and directedto the EPA, including the submittal ofindividual permit applications, must besent to the address of the appropriateEPA Regional Office listed below:

8.3.1 Region 1: CT, MA, ME, NH, RI,VT

EPA Region 1, Office of EcosystemProtection, One Congress Street—CMU,Boston, MA 02114.

8.3.2 Region 2: NJ, NY, PR, VI

United States EPA, Region 2,Caribbean Environmental ProtectionDivision, Environmental ManagementBranch, Centro Europa Building, 1492Ponce de Leon Ave., Suite 417, SanJuan, PR 00907–4127.

8.3.3 Region 3: DE, DC, MD, PA, VA,WV

EPA Region 3, Water ProtectionDivision (3WP13), Storm WaterCoordinator, 1650 Arch Street,Philadelphia, PA 19103.

8.3.4 Region 4: AL, FL, GA, KY, MS,NC, SC, TN

Environmental Protection Agency,Region 4, Clean Water Act EnforcementSection, Water Programs EnforcementBranch, Water Management Division,Atlanta Federal Center, 61 ForsythStreet, SW., Atlanta, GA 30303.

8.3.5 Region 5: IL, IN, MI, MN, OH,WI

(Coverage Not Available Under ThisPermit.)

8.3.6 Region 6: AR, LA, OK, TX, NM(Except see Region 9 for Navajo lands,

and see Region 8 for Ute MountainReservation lands)

United States EPA, Region 6, StormWater Staff, Enforcement andCompliance Assurance Division (GEN–WC), EPA SW MSGP, P.O. Box 50625,Dallas, TX 75205.

8.3.7 Region 7:(Coverage Not Available Under This

Permit.)

8.3.8 Region 8: CO, MT, ND, SD, WY,UT

(Except see Region 9 for GoshuteReservation and Navajo Reservationlands), the Ute Mountain Reservation inNM, and the Pine Ridge Reservation inNE

United States EPA, Region 8,Ecosystems Protection Program (8EPR–



EP), Storm Water Staff, 999 18th Street,Suite 300, Denver, CO 80202–2466.

8.3.9 Region 9: AZ, CA, HI, NV,Guam, American Samoa, theCommonwealth of the NorthernMariana Islands, the GoshuteReservation in UT and NV, the NavajoReservation in UT, NM, and AZ, theDuck Valley Reservation in ID, FortMcDermitt Reservation in OR

United States EPA, Region 9, WaterManagement Division, WTR–5, StormWater Staff, 75 Hawthorne Street, SanFrancisco, CA 94105.

8.3.10 Region 10: ID, WA, OR

(Except see Region 9 for FortMcDermitt Reservation.)

United States EPA, Region 10, Officeof Water OW–130, 1200 6th Avenue,Seattle, WA 98101.

8.4 State, Tribal, and Other Agencies

See Part 13 for addresses of States orTribes that require submission ofinformation to their agencies.

9. Standard Permit Conditions

9.1 Duty To Comply

9.1.1 You must comply with allconditions of this permit. Any permitnoncompliance constitutes a violationof CWA and is grounds for enforcementaction; for permit termination,revocation and reissuance, ormodification; or for denial of a permitrenewal application.

9.1.2 Penalties for Violations ofPermit Conditions: The Director willadjust the civil and administrativepenalties listed below in accordancewith the Civil Monetary PenaltyInflation Adjustment Rule (FederalRegister: December 31, 1996, Volume61, Number 252, pages 69359–69366, ascorrected, March 20, 1997, Volume 62,Number 54, pages 13514–13517) asmandated by the Debt CollectionImprovement Act of 1996 for inflationon a periodic basis. This rule allowsEPA’s penalties to keep pace withinflation. The Agency is required toreview its penalties at least once everyfour years thereafter and to adjust themas necessary for inflation according to aspecified formula. The civil andadministrative penalties listed belowwere adjusted for inflation starting in1996.

9.1.2.1 Criminal Penalties.9.1.2.1.1 Negligent Violations.The CWA provides that any person

who negligently violates permitconditions implementing sections 301,302, 306, 307, 308, 318, or 405 of theAct is subject to a fine of not less than$2,500 nor more than $25,000 per day

of violation, or by imprisonment for notmore than 1 year, or both.

9.1.2.1.2 Knowing Violations. TheCWA provides that any person whoknowingly violates permit conditionsimplementing sections 301, 302, 306,307, 308, 318, or 405 of the Act issubject to a fine of not less than $5,000nor more than $50,000 per day ofviolation, or by imprisonment for notmore than 3 years, or both.

9.1.2.1.3 Knowing Endangerment.The CWA provides that any person whoknowingly violates permit conditionsimplementing sections 301, 302, 306,307, 308, 318, or 405 of the Act and whoknows at that time that he is placinganother person in imminent danger ofdeath or serious bodily injury is subjectto a fine of not more than $250,000, orby imprisonment for not more than 15years, or both.

9.1.2.1.4 False Statement. The CWAprovides that any person whoknowingly makes any false materialstatement, representation, orcertification in any application, record,report, plan, or other document filed orrequired to be maintained under the Actor who knowingly falsifies, tamperswith, or renders inaccurate, anymonitoring device or method requiredto be maintained under the Act, shallupon conviction, be punished by a fineof not more than $10,000 or byimprisonment for not more than twoyears, or by both. If a conviction is fora violation committed after a firstconviction of such person under thisparagraph, punishment shall be by afine of not more than $20,000 per dayof violation, or by imprisonment of notmore than 4 years, or by both. (Seesection 309(c)(4) of the Clean WaterAct.)

9.1.2.2 Civil Penalties. The CWAprovides that any person who violates apermit condition implementing sections301, 302, 306, 307, 308, 318, or 405 ofthe Act is subject to a civil penalty notto exceed $27,500 per day for eachviolation.

9.1.2.3 Administrative Penalties.The CWA provides that any person whoviolates a permit conditionimplementing sections 301, 302, 306,307, 308, 318, or 405 of the Act issubject to an administrative penalty, asfollows:

9.1.2.3.1 Class I Penalty. Not toexceed $11,000 per violation nor shallthe maximum amount exceed $27,500.

9.1.2.3.2 Class II Penalty. Not toexceed $11,000 per day for each dayduring which the violation continuesnor shall the maximum amount exceed$137,500.

9.2 Continuation of the ExpiredGeneral Permit

If this permit is not reissued orreplaced prior to the expiration date, itwill be administratively continued inaccordance with the AdministrativeProcedures Act and remain in force andeffect. Any permittee who was grantedpermit coverage prior to the expirationdate will automatically remain coveredby the continued permit until the earlierof:

9.2.1 Reissuance or replacement ofthis permit, at which time you mustcomply with the Notice of Intentconditions of the new permit tomaintain authorization to discharge; or

9.2.2 Your submittal of a Notice ofTermination; or

9.2.3 Issuance of an individualpermit for your discharges; or

9.2.4 A formal permit decision bythe Director not to reissue this generalpermit, at which time you must seekcoverage under an alternative generalpermit or an individual permit.

9.3 Need To Halt or Reduce ActivityNot a Defense

It shall not be a defense for apermittee in an enforcement action thatit would have been necessary to halt orreduce the permitted activity in order tomaintain compliance with theconditions of this permit.

9.4 Duty To MitigateYou must take all reasonable steps to

minimize or prevent any discharge inviolation of this permit which has areasonable likelihood of adverselyaffecting human health or theenvironment.

9.5 Duty To Provide InformationYou must furnish to the Director or an

authorized representative of the Directorany information which is requested todetermine compliance with this permitor other information.

9.6 Other InformationIf you become aware that you have

failed to submit any relevant facts orsubmitted incorrect information in theNotice of Intent or in any other reportto the Director, you must promptlysubmit such facts or information.

9.7 Signatory RequirementsAll Notices of Intent, Notices of

Termination, Storm Water PollutionPrevention Plans, reports, certificationsor information either submitted to theDirector or the operator of a large ormedium municipal separate stormsewer system, or that this permitrequires be maintained by you, must besigned as follows:



9.7.1 All notices of intent andnotices of termination must be signed asfollows:

9.7.1.1 For a corporation: By aresponsible corporate officer. For thepurpose of this section, a responsiblecorporate officer means: a president,secretary, treasurer, or vice-president ofthe corporation in charge of a principalbusiness function, or any other personwho performs similar policy ordecision-making functions for thecorporation; or the manager of one ormore manufacturing, production, oroperating facilities, provided, themanager is authorized to makemanagement decisions which governthe operation of the regulated facilityincluding having the explicit or implicitduty of making major capital investmentrecommendations, and initiating anddirecting other comprehensive measuresto assure long term environmentalcompliance with environmental lawsand regulations; the manager can ensurethat the necessary systems areestablished or actions taken to gathercomplete and accurate information forpermit application requirements; andwhere authority to sign documents hasbeen assigned or delegated to themanager in accordance with corporateprocedures;

9.7.1.2 For a partnership or soleproprietorship: By a general partner orthe proprietor, respectively; or

9.7.1.3 For a municipality, State,Federal, or other public agency: Byeither a principal executive officer orranking elected official. For purposes ofthis section, a principal executiveofficer of a Federal agency includes: (1)The chief executive officer of theagency, or (2) a senior executive officerhaving responsibility for the overalloperations of a principal geographicunit of the agency (e.g., RegionalAdministrators of EPA).

9.7.2 All reports required by thispermit and other information must besigned as follows:

9.7.2.1 All reports required by thispermit and other information requestedby the Director or authorizedrepresentative of the Director must besigned by a person described in Part9.7.1 or by a duly authorizedrepresentative of that person.

9.7.2.2 A person is a duly authorizedrepresentative only if the authorizationis made in writing by a person describedPart 9.7.1 and submitted to the Director.

9.7.2.3 The authorization mustspecify either an individual or aposition having responsibility for theoverall operation of the regulatedfacility or activity, such as the positionof manager, operator, superintendent, orposition of equivalent responsibility or

an individual or position having overallresponsibility for environmental mattersfor the company. (A duly authorizedrepresentative may thus be either anamed individual or any individualoccupying a named position).

9.7.3 Changes to Authorization. Ifthe information on the NOI filed forpermit coverage is no longer accuratebecause a different operator hasresponsibility for the overall operationof the facility, a new Notice of Intentsatisfying the requirements of Part 2must be submitted to the Director priorto or together with any reports,information, or applications to be signedby an authorized representative. Thechange in authorization must besubmitted within the time framespecified in Part 2.1, and sent to theaddress specified in Part 2.4.

9.7.4 Certification. Any personsigning documents under Part 9.7 mustmake the following certification:

I certify under penalty of law that thisdocument and all attachments were preparedunder my direction or supervision inaccordance with a system designed to assurethat qualified personnel properly gatheredand evaluated the information submitted.Based on my inquiry of the person or personswho manage the system, or those personsdirectly responsible for gathering theinformation, the information submitted is, tothe best of my knowledge and belief, true,accurate, and complete. I am aware that thereare significant penalties for submitting falseinformation, including the possibility of fineand imprisonment for knowing violations.

9.8 Penalties for Falsification ofReports

Section 309(c)(4) of the Clean WaterAct provides that any person whoknowingly makes any false materialstatement, representation, orcertification in any record or otherdocument submitted or required to bemaintained under this permit, includingreports of compliance or noncomplianceshall, upon conviction, be punished bya fine of not more than $10,000, or byimprisonment for not more than twoyears, or by both.

9.9 Oil and Hazardous SubstanceLiability

Nothing in this permit shall beconstrued to preclude the institution ofany legal action or relieve you from anyresponsibilities, liabilities, or penaltiesto which you are or may be subjectunder section 311 of the CWA or section106 of the ComprehensiveEnvironmental Response, Compensationand Liability Act of 1980 (CERCLA).

9.10 Property RightsThe issuance of this permit does not

convey any property rights of any sort,

nor any exclusive privileges, nor does itauthorize any injury to private propertynor any invasion of personal rights, norany infringement of Federal, State orlocal laws or regulations.

9.11 SeverabilityThe provisions of this permit are

severable, and if any provision of thispermit, or the application of anyprovision of this permit to anycircumstance, is held invalid, theapplication of such provision to othercircumstances, and the remainder ofthis permit shall not be affected thereby.

9.12 Requiring Coverage Under anIndividual Permit or an AlternativeGeneral Permit

9.12.1 Eligibility for this permit doesnot confer a vested right to coverageunder the permit.

The Director may require any personauthorized by this permit to apply forand/or obtain either an individualNPDES permit or an alternative NPDESgeneral permit. Any interested personmay petition the Director to take actionunder this paragraph. Where theDirector requires a permittee authorizedto discharge under this permit to applyfor an individual NPDES permit, theDirector will notify you in writing thata permit application is required. Thisnotification will include a briefstatement of the reasons for thisdecision, an application form, astatement setting a deadline for you tofile the application, and a statement thaton the effective date of issuance ordenial of the individual NPDES permitor the alternative general permit as itapplies to the individual permittee,coverage under this general permit willautomatically terminate. Applicationsmust be submitted to the appropriateRegional Office indicated in Part 8.3 ofthis permit. The Director may grantadditional time to submit theapplication upon request of theapplicant. If a permittee fails to submitin a timely manner an individualNPDES permit application as requiredby the Director under this paragraph,then the applicability of this permit tothe individual NPDES permittee isautomatically terminated at the end ofthe day specified by the Director forapplication submittal.

9.12.2 Any permittee authorized bythis permit may request to be excludedfrom the coverage of this permit byapplying for an individual permit. Insuch cases, you must submit anindividual application in accordancewith the requirements of 40 CFR122.26(c)(1)(ii), with reasons supportingthe request, to the Director at theaddress for the appropriate Regional



Office indicated in Part 8.3 of thispermit. The request may be granted byissuance of any individual permit or analternative general permit if the reasonscited by you are adequate to support therequest.

9.12.3 When an individual NPDESpermit is issued to a permitteeotherwise subject to this permit, or thepermittee is authorized to dischargeunder an alternative NPDES generalpermit, the applicability of this permitto the individual NPDES permittee isautomatically terminated on theeffective date of the individual permit orthe date of authorization of coverageunder the alternative general permit,whichever the case may be. When anindividual NPDES permit is denied toan owner or operator otherwise subjectto this permit, or the owner or operatoris denied for coverage under analternative NPDES general permit, theapplicability of this permit to theindividual NPDES permittee isautomatically terminated on the date ofsuch denial, unless otherwise specifiedby the Director.

9.12.4 The Director’s notificationthat coverage under an alternativepermit is required does not imply thatany discharge that did not or does notmeet the eligibility requirements of Part1.2 is or has been covered by thispermit.

9.13 State/Tribal Environmental Laws9.13.1 Nothing in this permit will be

construed to preclude the institution ofany legal action or relieve you from anyresponsibilities, liabilities, or penaltiesestablished pursuant to any applicableState/Tribal law or regulation underauthority preserved by section 510 ofthe Act.

9.13.2 No condition of this permitreleases you from any responsibility orrequirements under otherenvironmental statutes or regulations.

9.14 Proper Operation andMaintenance

You must at all times properly operateand maintain all facilities and systemsof treatment and control (and relatedappurtenances) which are installed orused by you to achieve compliance withthe conditions of this permit and withthe requirements of Storm WaterPollution Prevention Plans. Properoperation and maintenance alsoincludes adequate laboratory controlsand appropriate quality assuranceprocedures. Proper operation andmaintenance requires the operation ofbackup or auxiliary facilities or similarsystems, installed by a permittee onlywhen necessary to achieve compliancewith the conditions of this permit.

9.15 Inspection and Entry

You must allow the Director or anauthorized representative of EPA, theState/Tribe, or, in the case of a facilitywhich discharges through a municipalseparate storm sewer, an authorizedrepresentative of the municipal owner/operator or the separate storm sewerreceiving the discharge, upon thepresentation of credentials and otherdocuments as may be required by law,to:

9.15.1 Enter upon the your premiseswhere a regulated facility or activity islocated or conducted or where recordsmust be kept under the conditions ofthis permit;

9.15.2 Have access to and copy atreasonable times, any records that mustbe kept under the conditions of thispermit; and

9.15.3 Inspect at reasonable timesany facilities or equipment (includingmonitoring and control equipment).

9.16 Monitoring and Records

9.16.1 Representative Samples/Measurements. Samples andmeasurements taken for the purpose ofmonitoring must be representative of themonitored activity.

9.16.2 Retention of Records. 9.16.2.1 You must retain records of

all monitoring information, and copiesof all monitoring reports required bythis permit for at least three (3) yearsfrom the date of sample, measurement,evaluation or inspection, or report. Thisperiod may be extended by request ofthe Director at any time. Permitteesmust submit any such records to theDirector upon request.

9.16.2.2 You must retain the StormWater Pollution Prevention Plandeveloped in accordance with Part 4 ofthis permit, including the certificationrequired under Section 2.2.4.3 of thispermit, for at least 3 years after the lastmodification or amendment is made tothe plan.

9.16.3 Records Contents. Records ofmonitoring information must include:

9.16.3.1 The date, exact place, andtime of sampling or measurements;

9.16.3.2 The initials or name(s) ofthe individual(s) who performed thesampling or measurements;

9.16.3.3 The date(s) analyses wereperformed;

9.16.3.4 The time(s) analyses wereinitiated;

9.16.3.5 The initials or name(s) ofthe individual(s) who performed theanalyses;

9.16.3.6 References and writtenprocedures, when available, for theanalytical techniques or methods used;and

9.16.3.7 The results of suchanalyses, including the bench sheets,instrument readouts, computer disks ortapes, etc., used to determine theseresults.

9.16.4 Approved MonitoringMethods. Monitoring must be conductedaccording to test procedures approvedunder 40 CFR Part 136, unless other testprocedures have been specified in thispermit.

9.17 Permit Actions

This permit may be modified; revokedand reissued; or terminated for cause.Your filing of a request for a permitmodification; revocation and reissuance;or your submittal of a notification ofplanned changes or anticipated non-compliance does not automatically stayany permit condition.

10. Reopener Clause

10.1 Water Quality Protection

If there is evidence indicating that thestorm water discharges authorized bythis permit cause, have the reasonablepotential to cause, or contribute to aviolation of a water quality standard,you may be required to obtain anindividual permit or an alternativegeneral permit in accordance with Part3.3 of this permit, or the permit may bemodified to include different limitationsand/or requirements.

10.2 Procedures for Modification orRevocation

Permit modification or revocation willbe conducted according to 40 CFR122.62, 122.63, 122.64 and 124.5.

11. Transfer or Termination ofCoverage

11.1 Transfer of Permit Coverage

Automatic transfers of permitcoverage under 40 CFR 122.61(b) are notallowed for this general permit.

11.1.1 Transfer of coverage from oneoperator to a different operator (e.g.,facility sold to a new company): the newowner/operator must complete and filean NOI in accordance with Part 1.3 atleast 2 days prior to taking overoperational control of the facility. Theold owner/operator must file an NOT(Notice of Termination) within thirty(30) days after the new owner/operatorhas assumed responsibility for thefacility.

11.1.2 Simple name changes of thepermittee (e.g., Company ‘‘A’’ changesname to ‘‘ABC, Inc.’’ or Company ‘‘B’’buys out Company ‘‘A’’) may be done byfiling an amended NOI referencing thefacility’s assigned permit number andrequesting a simple name change.



11.2 Notice of Termination (NOT)

You must submit a completed Noticeof Termination (NOT) that is signed inaccordance with Part 9.7 when one ormore of the conditions contained in Part1.4 (Terminating Coverage) have beenmet. The NOT form found inAddendum E will be used unless it hasbeen replaced by a revised version bythe Director. The Notice of Terminationmust include the following information:

11.2.1 The NPDES permit numberfor the storm water discharge identifiedby the Notice of Termination;

11.2.2 An indication of whether thestorm water discharges associated withindustrial activity have been eliminated(i.e., regulated discharges of storm waterare being terminated); you are no longeran operator of the facility; or you haveobtained coverage under an alternativepermit;

11.2.3 The name, address andtelephone number of the permitteesubmitting the Notice of Termination;

11.2.4 The name and the streetaddress (or a description of location ifno street address is available) of thefacility for which the notification issubmitted;

11.2.5 The latitude and longitude ofthe facility; and

11.2.6 The following certification,signed in accordance with Part 9.7(signatory requirements) of this permit.For facilities with more than onepermittee and/or operator, you needonly make this certification for thoseportions of the facility where the youwere authorized under this permit andnot for areas where the you were not anoperator:

I certify under penalty of law that all stormwater discharges associated with industrialactivity from the identified facility thatauthorized by a general permit have beeneliminated or that I am no longer the operatorof the facility or construction site. Iunderstand that by submitting this notice oftermination, I am no longer authorized todischarge storm water associated withindustrial activity under this general permit,and that discharging pollutants in stormwater associated with industrial activity towaters of the United States is unlawful underthe Clean Water Act where the discharge isnot authorized by a NPDES permit. I alsounderstand that the submittal of this Noticeof Termination does not release an operatorfrom liability for any violations of this permitor the Clean Water Act.

11.3 Addresses

All Notices of Termination must besubmitted using the form provided bythe Director (or a photocopy thereof) tothe address specified on the NOT form.

11.4 Facilities Eligible for ‘‘NoExposure’’ Exemption for Storm WaterPermitting

By filing a certification of ‘‘NoExposure’’ under 40 CFR 122.26(g), youare automatically removed from permitcoverage and a NOT to terminate permitcoverage is not required.

12. DefinitionsBest Management Practices (BMPs)

means schedules of activities,prohibitions of practices,maintenance procedures, and othermanagement practices to prevent orreduce the discharge of pollutantsto waters of the United States.BMPs also include treatmentrequirements, operating procedures,and practices to control plant siterunoff, spillage or leaks, sludge orwaste disposal, or drainage fromraw material storage.

Commencement of Construction theinitial disturbance of soilsassociated with clearing, grading, orexcavating activities or otherconstruction activities.

Control Measure as used in this permit,refers to any Best ManagementPractice or other method (includingeffluent limitations) used to preventor reduce the discharge ofpollutants to waters of the UnitedStates.

CWA means the Clean Water Act or theFederal Water Pollution ControlAct, 33 U.S.C. 1251 et seq.

Director means the RegionalAdministrator of the EnvironmentalProtection Agency or an authorizedrepresentative.

Discharge when used withoutqualification means the ‘‘dischargeof a pollutant.’’

Discharge of Storm Water Associatedwith Construction Activity as usedin this permit, refers to a dischargeof pollutants in storm water runofffrom areas where soil disturbingactivities (e.g., clearing, grading, orexcavation), construction materialsor equipment storage ormaintenance (e.g., fill piles, borrowareas, concrete truck washout,fueling), or other industrial stormwater directly related to theconstruction process (e.g., concreteor asphalt batch plants) are located.(See 40 CFR 122.26(b)(14)(x) and 40CFR 122.26(b)(15) for the tworegulatory definitions on regulatedstorm water associated withconstruction sites).

Discharge of Storm Water Associatedwith Industrial Activity is defined at40 CFR 122.26(b)(14).

Facility or Activity means any NPDES‘‘point source’’ or any other facility

or activity (including land orappurtenances thereto) that issubject to regulation under theNPDES program.

Flow-Weighted Composite Samplemeans a composite sampleconsisting of a mixture of aliquotscollected at a constant time interval,where the volume of each aliquot isproportional to the flow rate of thedischarge.

Indian country, as defined in 18 USC1151, means: (a) All land within thelimits of any Indian reservationunder the jurisdiction of the UnitedStates Government,notwithstanding the issuance of anypatent, and including rights-of-wayrunning through the reservation; (b)all dependent Indian communitieswithin the borders of the UnitedStates whether within the originalor subsequently acquired territorythereof, and whether within orwithout the limits of a state; and (c)all Indian allotments, the Indiantitles to which have not beenextinguished, including rights-of-way running through the same. Thisdefinition includes all land held intrust for an Indian tribe.

Industrial Activity as used in this permitrefers to the eleven categories ofindustrial activities included in thedefinition of ‘‘discharges of stormwater associated with industrialactivity’’.

Industrial Storm Water as used in thispermit refers to storm water runoffassociated with the definition of‘‘discharges of storm waterassociated with industrial activity’’.

Large and Medium Municipal SeparateStorm Sewer Systems are defined at40 CFR 122.26(b)(4) and (7),respectively and means allmunicipal separate storm sewersthat are either:

1. Located in an incorporated place(city) with a population of 100,000or more as determined by the 1990Census by the Bureau of Census(these cities are listed inAppendices F and G of 40 CFR122); or

2. Located in the counties withunincorporated urbanizedpopulations of 100,000 or more,except municipal separate stormsewers that are located in theincorporated places, townships ortowns within such counties (thesecounties are listed in Appendices Hand I of 40 CFR 122); or

3. Owned or operated by amunicipality other than thosedescribed in paragraph (i) or (ii) andthat are designated by the Directoras part of the large or medium



municipal separate storm sewersystem.

Municipal Separate Storm Sewer isdefined at 40 CFR 122.26.

No exposure means that all industrialmaterials or activities are protectedby a storm resistant shelter toprevent exposure to rain, snow,snowmelt and/or runoff.

NOI means Notice of Intent to becovered by this permit (see Part 2 ofthis permit.)

NOT means Notice of Termination (seePart 11.2 of this permit).

Owner or operator means the owner oroperator of any ‘‘facility or activity’’subject to regulation under theNPDES program.

Point source means any discernible,confined, and discrete conveyance,including but not limited to, anypipe, ditch, channel, tunnel,conduit, well, discrete fissure,container, rolling stock,concentrated animal feedingoperation, landfill leachatecollection system, vessel or otherfloating craft from which pollutantsare or may be discharged. This termdoes not include return flows fromirrigated agriculture or agriculturalstorm water runoff.

Pollutant is defined at 40 CFR 122.2. Apartial listing from this definitionincludes: dredged spoil, solidwaste, sewage, garbage, sewagesludge, chemical wastes, biologicalmaterials, heat, wrecked ordiscarded equipment, rock, sand,cellar dirt, and industrial ormunicipal waste.

Runoff coefficient means the fraction oftotal rainfall that will appear at theconveyance as runoff.

Special Aquatic Sites, as defined at 40CFR 230.3(q–1), means those sitesidentified in 40 CFR 230 Subpart E.They are geographic areas, large orsmall, possessing special ecologicalcharacteristics of productivity,habitat, wildlife protection, or otherimportant and easily disruptedecological values. These areas aregenerally recognized assignificantly influencing orpositively contributing to thegeneral overall environmentalhealth or vitality of the entireecosystem of a region. (See 40 CFR230.10(a)(3)).

Storm Water means storm water runoff,snow melt runoff, and surfacerunoff and drainage.

Storm Water Associated with IndustrialActivity refers to storm water, thatif allowed to discharge, wouldconstitute a ‘‘discharge of stormwater associated with industrialactivity’’ as defined at 40 CFR

122.26(b)(14) and incorporated hereby reference.

Waters of the United States means:1. All waters which are currently

used, were used in the past, or maybe susceptible to use in interstate orforeign commerce, including allwaters which are subject to the ebband flow of the tide;

2. All interstate waters, includinginterstate ‘‘wetlands’’;

3. All other waters such as interstatelakes, rivers, streams (includingintermittent streams), mudflats,sandflats, wetlands, sloughs, prairiepotholes, wet meadows, playalakes, or natural ponds the use,degradation, or destruction ofwhich would affect or could affectinterstate or foreign commerceincluding any such waters:

a. Which are or could be used byinterstate or foreign travelers forrecreational or other purposes;

b. From which fish or shellfish are orcould be taken and sold ininterstate or foreign commerce; or

c. Which are used or could be used forindustrial purposes by industries ininterstate commerce;

4. All impoundments of watersotherwise defined as waters of theUnited States under this definition;

5. Tributaries of waters identified inparagraphs (1) through (4) of thisdefinition;

6. The territorial sea; and7. Wetlands adjacent to waters (other

than waters that are themselveswetlands) identified in paragraphs1. through 6. of this definition.

Waste treatment systems, includingtreatment ponds or lagoons designed tomeet the requirements of the CWA(other than cooling ponds for steamelectric generation stations per 40 CFR423) which also meet the criteria of thisdefinition) are not waters of the UnitedStates. Waters of the United States donot include prior converted cropland.Notwithstanding the determination ofan area’s status as prior convertedcropland by any other federal agency,for the purposes of the Clean Water Act,the final authority regarding CleanWater Act jurisdiction remains withEPA.You and Your as used in this permit is

intended to refer to the permittee,the operator, or the discharger asthe context indicates and thatparty’s facility or responsibilities.The use of ‘‘you’’ and ‘‘your’’ refersto a particular facility and not to allfacilities operated by a particularentity. For example, ‘‘you mustsubmit’’ means the permittee mustsubmit something for that particular

facility. Likewise, ‘‘all yourdischarges’’ would refer only todischarges at that one facility.

13. Permit Conditions Applicable toSpecific States, Indian Country Lands,or Territories

The provisions of Part 13 providemodifications or additions to theapplicable conditions of Parts 1 through12 of this permit to reflect specificadditional conditions required as part ofthe State or Tribal CWA Section 401certification process, or Coastal ZoneManagement Act certification process,or as otherwise established by thepermitting authority. The additionalrevisions and requirements listed beloware set forth in connection with, andonly apply to, the following States,Indian country lands and Federalfacilities.

13.1 Region 113.1.1 CTR05*##I: Indian country

lands within the State of Connecticut.13.1.2 MAR05*###: Commonwealth

of Massachusetts, except Indian countrylands.

13.1.2.1 Discharges covered by thegeneral permit must comply with theprovisions of 314 CMR 3.00; 314 CMR4.00; 314 CMR 9.00; and 310 CMR 10.00and any other related policies adoptedunder the authority of theMassachusetts Clean Waters Act, M.G.L.c.21, ss. 26–53 and Wetlands ProtectionAct, M.G.L., s.40. Specifically, newfacilities or the redevelopment ofexisting facilities subject to this permitmust comply with applicable stormwater performance standards prescribedby state regulation or policy. A permitunder 314 CMR 3.04 is not required forexisting facilities which meet statestorm water performance standards. Anapplication for a permit under 314 CMR3.00 is required only when requiredunder 314 CMR 3.04(2)(b) (designationof a discharge on a case-by-case basis)or is otherwise identified in 314 CMR3.00 or Department policy as a dischargerequiring a permit application.Department regulations and policiesmay be obtained through the StateHouse Bookstore or online atwww.magnet.state.ma.us/dep.

13.1.2.2 The department mayrequest a copy of the Storm WaterPollution Prevention Plan (SWPPP) orconduct an inspection of any facilitycovered by this permit to ensurecompliance with state law requirements,including state water quality standards.The Department may enforce itscertification conditions.

13.1.2.3 The results of any quarterlymonitoring required by this permit mustbe sent to the appropriate Regional



Office of the Department where themonitoring identifies violations ofeffluent limits or benchmarks for anyparameter for which monitoring isrequired under this permit.

13.1.3 MAR05*##I: Indian countrylands within the Commonwealth ofMassachusetts.

13.1.4 MER05*###: State of Maine,except Indian country lands.

13.1.5 MER05*##I: Indian countrylands within the State of Maine.

13.1.6 NHR05*###: State of NewHampshire.

13.1.7 RIR05*##I: Indian countrylands within the State of Rhode Island.

13.1.8 VTR05*##F: Federal Facilitiesin the State of Vermont.

13.2. Region 213.2.1 PRR05*###: The

Commonwealth of Puerto Rico. Noadditional requirements

13.3 Region 313.3.1 DCR05*###: The District of

Columbia.13.3.2 DER05*##F: Federal Facilities

in the State of Delaware.

13.4 Region 413.4.1 ALR05*##I: Indian country

lands within the State of Alabama.13.4.2 FLR05*##I: Indian country

lands within the State of Florida.13.4.3 MSR05*##I: Indian country

lands within the State of Mississippi.13.4.4 NCR05*##I: Indian country

lands within the State of North Carolina.

13.5 Region 5Permit coverage not available.

13.6 Region 613.6.1 LAR05*##I: Indian Country

lands within the State of Louisiana. Noadditional requirements.

13.6.2 NMR05*###: The State ofNew Mexico, except Indian Countrylands.

13.6.2.1 Discharges to Water QualityImpaired/Water Quality Limited Waters:Any operator who intends to obtainauthorization under the MSGP for allnew and existing storm water dischargesto water quality-impaired (303(d))waters (see http://www.nmenv.state.nm.us/) from facilitieswhere there is a reasonable potential tocontain pollutants for which thereceiving water is impaired must satisfythe following conditions prior to theauthorization. Signature of the NOI(which includes certifying eligibility forpermit coverage) will be deemed theoperator’s certification that thiseligibility requirement has beensatisfied.

13.6.2.1.1 Prior to submitting aNotice of Intent (NOI) for coverage

under the MSGP, provide an estimate ofpollutant loads in storm waterdischarges from the facility to the NewMexico Environment Department,Surface Water Quality Bureau (SWQB).This estimate must include thedocumentation upon which the estimateis based (e.g., sampling data from thefacility, sampling data fromsubstantially identical outfalls at similarfacilities, modeling, etc.). Existingfacilities must base this estimate onactual analytical data, if available.

13.6.2.1.2 Eligibility Requirementsfor New Discharges.

13.6.2.1.2.1 If a Total MaximumDaily Load (TMDL) has been developed,permit coverage is available only if theoperator has received notice from theSWQB confirming eligibility.

Note: Following receipt of the informationrequired under Part 13.6.2.1.1, SWQBanticipates using the following process inmaking eligibility determinations for newdischarges into 303(d) waters where a TMDLhas been developed:

• SWQB will notify the facilityoperator and EPA that the estimatedpollutant load is consistent with theTMDL and that the proposed stormwater discharges meet the eligibilityrequirements of Part 1.2.3.8 of theMSGP and may be authorized under thisNPDES permit; or

• SWQB will notify the facilityoperator and EPA that the estimatedpollutant load is not consistent with theTMDL and that the proposed stormwater discharges do not meet theeligibility requirements of Part 1.2.3.8 ofthe MSGP and can not be authorizedunder this NPDES permit.

13.6.2.1.2.2 If a Total MaximumDaily Load (TMDL) has not beendeveloped, permit coverage is notavailable under this permit fordischarges to 303(d) waters and theoperator must seek coverage under aseparate permit.

Note: Following receipt of the informationrequired under Part 13.6.2.1.1, SWQBanticipates using the following process inmaking eligibility determinations for newdischarges into 303(d) waters where a TMDLhas not yet been developed: SWQB willnotify the facility operator and EPA that theproposed storm water discharges do not meetthe eligibility requirements of Part 1.2.3.8 ofthe MSGP and can not be authorized underthis NPDES permit.

13.6.2.1.3 Eligibility Requirementsfor Existing Discharges:

13.6.2.1.3.1 If a Total MaximumDaily Load (TMDL) has been developed,permit coverage is available only if theoperator has received notice from theSWQB confirming eligibility.

Note: Following receipt of the informationrequired under Part 13.6.2.1.1, SWQBanticipates using the following process in

making eligibility determinations for existingdischarges into 303(d) waters where a TMDLhas been developed:

• SWQB will notify the facility operatorand EPA that the estimated pollutant load isconsistent with the TMDL and that theproposed storm water discharges meet theeligibility requirements of Part 1.2.3.8 of theMSGP and may be authorized under thisNPDES permit; or

• SWQB will notify the facility operatorand EPA that the estimated pollutant load isnot consistent with the TMDL and that theproposed storm water discharges do not meetthe eligibility requirements of Part 1.2.3.8 ofthe MSGP and can not be authorized underthis NPDES permit.

13.6.2.1.3.2 If a Total MaximumDaily Load (TMDL) has not beendeveloped at the time of permitauthorization, but is later developedduring the term of this permit andidentifies existing permitted dischargesas having a reasonable potential tocontain pollutants for which thereceiving water is impaired, thesedischarges shall no longer be authorizedby this permit unless, followingnotification by the SWQP:

• The operator completes revisions tohis/her Storm Water PollutionPrevention Plan (SWPPP) to includeadditional and/or modified BestManagement Practices (BMPs) designedto comply with any applicable WasteLoad Allocation (WLA) established his/her discharges within 14 calendar daysfollowing notification by SWQB; and

• The operator implements theadditional and/or modified BMPs beforethe next anticipated discharge followingrevision of the SWPPP; and

• A report is submitted to SWQBwhich documents actions taken tocomply with this condition, includingestimated pollutant loads, within 30calendar days following implementationof the additional and/or modified BMPs.

13.6.2.1.4 Additional Monitoring—perform analytical monitoring for eachoutfall at least annually for anypollutant(s) for which the 303(d) wateris impaired where there is a reasonablepotential for discharges to contain anyor all of these pollutants. Submitmonitoring results to SWQB within 45calendar days following samplecollection. These monitoringrequirements are not eligible for anywaivers listed elsewhere in the permit.

13.6.2.2 Permit Eligibility RegardingProtection of Water Quality Standardsand Compliance with State Anti-degradation Requirements: Storm waterdischarges associated with industrialactivity to 303(d) waters as well as allother ‘‘waters of the State’’ that SWQBhas determined to be or may reasonablybe expected to be contributing to aviolation of a water quality standard



and/or that do not comply with theapplicable anti-degradation provisionsof the State’s WQS are not authorized bythis permit.

Note: Upon receipt of this determination,NMED anticipates that, within a reasonableperiod of time, EPA will notify the generalpermittee to apply for and obtain anindividual NPDES permit for thesedischarges per 40 CFR 122.28(b)(3).

13.6.2.3 Signed Copies of dischargemonitoring reports, individual permitapplications, the data and reportsaddressed in Part 13.6.2.1, and all otherreports required herein, shall besubmitted to the appropriate state officeaddress: New Mexico—ProgramManager, Point Source RegulationSection, Surface Water Quality Bureau,New Mexico Environment Department,P.O. Box 26110, Santa Fe, New Mexico87502.

13.6.3. NMR05*##I: Indian Countrylands in the State of New Mexico,except Navajo Reservation lands (seeRegion 9) and Ute Mountain Reservationlands (see Region 8).

13.6.3.1 Pueblo of Isleta Thefollowing conditions apply only todischarges on the Pueblo of Isleta.

13.6.3.1.1 Copies of ‘‘Certification ofEligibility of Coverage’’ under Part1.2.3.6.3 (Endangered Species) and Part1.2.3.7 (Historical Properties), and theirjustifications, must be provided to theTribe 10 days prior to filing the Noticeof Intent (NOI).

13.6.3.1.2 A copy of the Storm WaterPollution Prevention Plan (SWPPP)must be provided to the Tribe 5 daysprior to filing the NOI.

13.6.3.1.3 A copy of the NOI must beprovided to the Tribe at the same timeit is sent to the EnvironmentalProtection Agency.

13.6.3.1.4 A copy of the Notice ofTermination (NOT) must be provided tothe Tribe at the same time it is sent tothe Environmental Protection Agency.

13.6.3.1.5 Any notice of release ofhazardous substances (Part 3.1.2) shallalso be sent to the Tribe at the same timeit is sent to the EnvironmentalProtection Agency. Notification of arelease of hazardous substances shallalso be made to the Pueblo’s PoliceDepartment (505–869–3030) orGovernor’s Office (505–869–3111) orEnvironment Department (505–869–5748).

13.6.3.1.6 Copies of all ‘‘RoutineInspection Reports: (Part 4.2.7.2.1.5) and‘‘Comprehensive Inspection Reports’’(Part 4.9) shall be sent to the Tribewithin 5 days of completion.

13.6.3.1.7 All analytical data (e.g.,Discharge Monitoring Reports, etc.)shall be provided to the Tribe at thesame time it is provided to the EPA.

13.6.3.1.8 Exceedance of any EPA-established ‘‘Benchmark Value’’ for anypollutant will require quarterlymonitoring for that pollutant until suchtime as analytical results from 4consecutive quarters are below the‘‘Benchmark.’’

13.6.3.1.9 Any permittee in Sector Fshall monitor for all Clean Water ActSection 307(a) priority pollutants usedin any of their processes. Monitoringshall be on a quarterly basis.

13.6.3.1.10 Any permittee in SectorM shall monitor for total oil & grease,glycols, and those solvents regulatedunder Safe Drinking Water Actmandates at 40 CFR 141.61(a) inaddition to those parameters identifiedin Table M–1. Monitoring shall be on aquarterly basis.

13.6.3.1.11 Any permittee in SectorN shall monitor for PCBs in addition tothose parameters identified in Table N–1. Monitoring shall be on a quarterlybasis.

13.6.3.1.12 All written reports shallbe sent to: Director, EnvironmentDepartment, Pueblo of Isleta, Isleta, NM87022.

13.6.3.2 Pueblo of Nambe. Thefollowing conditions apply only todischarges on the Pueblo of Nambe.

No additional requirements.13.6.3.3 Pueblo of Picuris. The

following conditions apply only todischarges on the Pueblo of Picuris.

13.6.3.4 Pueblo of Pojoaque. Thefollowing conditions apply only todischarges on the Pueblo of Pojoaque.

13.6.3.4.1 Notices of Intent (NOI)and notices of Termination (NOT) shallbe submitted to the Pueblo of PojoaqueEnvironment Department at the sametime they are submitted to EPA.

13.6.3.4.2 Storm Water PollutionPrevention Plans (SWPPP) shall besubmitted to the Pueblo of PojoaqueEnvironment Department 30 days beforecommencement of the project.

13.6.3.4.3 If requested by the Puebloof Pojoaque Environment Department(PPED), the permittee shall provideadditional information necessary for a‘‘case by case’’ eligibility determinationto assure compliance with PojoaquePueblo Water Quality Standards.

Note: Upon receipt of an determination bythe Pueblo of Pojoaque that discharges froma facility have the reasonable potential to becausing or contributing to a violation ofPojoaque Pueblo Water Quality Standards,EPA would notify the general permittee toeither improve their Storm Water PollutionPrevention Plan to achieve compliance withPojoaque Pueblo Water Quality Standards orapply for and obtain an individual NPDESpermit for these discharges per 40 CFR122.28(b)(3).

13.6.3.4.4 All written reports shallbe sent to: Pueblo of Pojoaque

Environment Department, 2 W.Gutierrez, Santa Fe, NM 87501; Phone(505) 455–2087; FAX (505) 455–2177.

13.6.3.5 Pueblo of San Juan. Thefollowing conditions apply only todischarges on the Pueblo of San Juan.

13.6.3.5.1 Copies of the Notice ofIntent (NOI) and Notice of Termination(NOT) shall be provided to the Pueblofive (5) days prior to the time it isprovided to the EnvironmentalProtection Agency. A copy of the StormWater Pollution Prevention Plan shallbe provided to the Pueblo five (5) daysprior to the time the NOI is submittedto the Environmental ProtectionAgency.

13.6.3.5.2 All analytical data (e.g.,Discharge Monitoring Reports, etc.)shall be provided to the Pueblo at thesame time it is provided to theEnvironmental Protection Agency.Monitoring activities must becoordinated with the Director of theEnvironment Department to insureconsistency with the Pueblo of San JuanSurface Water Quality MonitoringProgram.

13.6.3.5.3 Copies of all writtenreports required under the permit shallbe sent to: Director, EnvironmentDepartment, San Juan Pueblo, P.O. Box717, San Juan Pueblo, NM 87566. Forquestions or coordination, you maycontact the Director at (505) 852–4212.

13.6.3.6 Pueblo of Sandia. Thefollowing conditions apply only todischarges on the Pueblo of Sandia.

13.6.3.6.1 Copies of the Notice ofIntent (NOI) and Notice of Termination(NOT) shall be provided to the Puebloat the same time it is provided to theEnvironmental Protection Agency. Acopy of the Storm Water PollutionPrevention Plan must also be providedto the Pueblo at the time the NOI issubmitted.

13.6.3.6.2 All analytical data (e.g.,Discharge Monitoring Reports, etc) shallbe provided to the Pueblo at the sametime it is provided to the EnvironmentalProtection Agency.

13.6.3.6.3 All written reports shallbe sent to: Director, EnvironmentDepartment, Pueblo of Sandia, Box6008, Bernalillo, NM 87004.

13.6.3.7 Pueblo of Tesuque. Thefollowing conditions apply only todischarges on the Pueblo of Tesuque. Noadditional requirements.

13.6.3.8 Santa Clara Pueblo. Thefollowing conditions apply only todischarges on the Santa Clara Pueblo.No additional requirements.

13.6.3.9 All Other Indian Countrylands in New Mexico. No additionalrequirements.



13.6.4. OKR05*##I: Indian Countrylands within the State of Oklahoma. Noadditional requirements.

13.6.5. OKR05*##F: Facilities in theState of Oklahoma not under thejurisdiction of the OklahomaDepartment of Environmental Quality,except those on Indian Country lands.

13.6.5.1 Ineligible Discharges to theOklahoma Scenic Rivers System andOutstanding Resource Waters—New orproposed discharges to the OklahomaScenic Rivers System, including the

Illinois River, Flint Creek, Barren ForkCreek, Mountain Fork, Little Lee Creek,and Big Lee Creek or to any waterdesignated an ‘‘Outstanding ResourceWater’’ (ORW) in Oklahoma’s WaterQuality Standards are not eligible forcoverage under the MSGP. Existingdischarges of storm water in thesewatersheds may be permitted under theMSGP only from point sources existingas of June 25, 1992, whether or not suchstorm water discharges were permittedas point sources prior to June 25, 1992.

13.6.6. TXR05*###: The State ofTexas, except Indian Country lands.13.6.6.1 The following limitations,independently required under the TexasWater Quality Standards (31 TAC319.22 and 319.23), apply to dischargesauthorized by the permit:

13.6.6.1.1 All Discharges to InlandWaters: The maximum allowableconcentrations of each of the hazardousmetals, stated in terms of milligrams perliter (mg/l), for discharges to inlandwaters are as follows:

Total metal Monthly aver-age

Daily com-posite Single grab

Arsenic ......................................................................................................................................... 0.1 0.2 0.3Barium .......................................................................................................................................... 1.0 2.0 4.0Cadmium ...................................................................................................................................... 0.05 0.1 0.2Chromium .................................................................................................................................... 0.5 1.0 5.0Copper ......................................................................................................................................... 0.5 1.0 2.0Lead ............................................................................................................................................. 0.5 1.0 1.5Manganese .................................................................................................................................. 1.0 2.0 3.0Mercury ........................................................................................................................................ 0.005 0.005 0.01Nickel ........................................................................................................................................... 1.0 2.0 3.0Selenium ...................................................................................................................................... 0.05 0.1 0.2Silver ............................................................................................................................................ 0.05 0.1 0.2Zinc .............................................................................................................................................. 1.0 2.0 6.0

13.6.6.1.2All Discharges to Tidal Waters: The maximum allowable concentrations of each of the hazardous metals,stated in terms of milligrams per liter (mg/l), for discharges to tidal waters are as follows:

Total metal Monthly aver-age

Daily com-posite Single grab

Arsenic ......................................................................................................................................... 0.1 0.2 0.3Barium .......................................................................................................................................... 1.0 2.0 4.0Cadmium ...................................................................................................................................... 0.1 0.2 0.3Chromium .................................................................................................................................... 0.5 1.0 5.0Copper ......................................................................................................................................... 0.5 1.0 2.0Lead ............................................................................................................................................. 0.5 1.0 1.5Manganese .................................................................................................................................. 1.0 2.0 3.0Mercury ........................................................................................................................................ 0.005 0.005 0.01Nickel ........................................................................................................................................... 1.0 2.0 3.0Selenium ...................................................................................................................................... 0.10 0.2 0.3Silver ............................................................................................................................................ 0.05 0.1 0.2Zinc .............................................................................................................................................. 1.0 2.0 6.0

13.6.6.1.3 Definitions:Inland Waters—all surface waters in

the State other than ‘‘tidal waters’’ asdefined below.

Tidal Waters—those waters of theGulf of Mexico within the jurisdiction ofthe State of Texas, bays and estuariesthereto, and those portions of the riversystems which are subject to the ebband flow of the tides, and to theintrusion of marine waters.

13.6.7. TXR05*##I: Indian Countrylands within the State of Texas. Noadditional requirements.

13.7. Region 7. Permit Coverage NotAvailable.

13.8. Region 8.13.8.1. COR05*##F: Federal

Facilities in the State of Colorado,except those located on Indian countrylands.

13.8.2. COR05*##I: Indian countrylands within the State of Colorado,including the portion of the UteMountain Reservation located in NewMexico.

13.8.3. MTR05*##I: Reserved13.8.4. NDR05*##I: Indian country

lands within the State of North Dakota,including that portion of the StandingRock Reservation located in SouthDakota except for the Lake TraverseReservation which is covered underSouth Dakota permit SDR05*##I listedbelow.

13.8.5. SDR05*##I: Indian countrylands within the State of South Dakota,including the portion of the Pine RidgeReservation located in Nebraska and theportion of the Lake Traverse Reservationlocated in North Dakota except for theStanding Rock Reservation which is

covered under North Dakota permitNDR05*##I listed above.

13.8.6. UTR05*##I: Indian countrylands in the State of Utah, exceptGoshute and Navajo reservation lands(see Region 9).

13.8.7. WYR05*##I: Indian countrylands in the State of Wyoming.

13.9. Region 9. 13.9.1. ASR05*###: The Island of

American Samoa.13.9.1.1. Copies of NOIs shall also

be submitted to the American SamoaEnvironmental Protection Agency at thefollowing address concurrently withNOI submittal to EPA: American SamoaEnvironmental Protection Agency,Executive Office Building, Pago Pago,American Samoa 96799.

13.9.1.2. Updated storm waterpollution prevention plans must be



submitted to the American SamoaEnvironmental Protection Agency at thefollowing address for review andapproval as soon as they are completed:American Samoa EnvironmentalProtection Agency, Executive OfficeBuilding, Pago Pago, American Samoa96799.

13.9.2. AZR05*###: The State ofArizona, except Indian country lands.

13.9.2.1. Discharges authorized bythis permit shall not cause or contributeto a violation of any applicable waterquality standard of the State of Arizona(Arizona Administrative Code, Title 18,Chapter 11).

13.9.2.2. Notices of Intent (NOIs)shall also be submitted to the State ofArizona Department of EnvironmentalQuality at the following address: StormWater Coordinator, Arizona Departmentof Environmental Quality, 3033 N.Central Avenue, Phoenix, Arizona85012. NOIs submitted to the State ofArizona shall include the wellregistration number if storm waterassociated with industrial activity isdischarged to a dry well or an injectionwell.

13.9.2.3. Notices of Termination(NOTs) shall also be submitted to theState of Arizona Department ofEnvironmental Quality at the followingaddress: Storm Water Coordinator,Arizona Department of EnvironmentalQuality, 3033 N. Central Avenue,Phoenix, Arizona 85012.

13.9.2.4. For facilities which submita no exposure certification inaccordance with Part 1.5 of the permit,the operator shall submit a copy of theno exposure certification to the State ofArizona Department of EnvironmentalQuality at the following address: StormWater Coordinator, Arizona Departmentof Environmental Quality, 3033 N.Central Avenue, Phoenix, Arizona85012.

13.9.2.5. SARA Section 313(Community Right to Know) facilitiesshall have the following requirement:Liquid storage areas for Section 313water priority chemicals shall beoperated to minimize discharges of suchchemicals. Appropriate measures tominimize discharges of Section 313chemicals shall include: provision ofsecondary containment for at least theentire contents of the largest tank plussufficient freeboard to allow for the 25-year, 24-hour precipitation event; astrong spill contingency and integritytesting plan, and/or other equivalentmeasures.

13.9.2.6. Delineation of FacilityAreas Within the 100-Year Floodplain.All facilities or any portion of a facilitythat is located at or within the 100-yearfloodplain shall be delineated on the

site map. The base flood elevation, ifknown, shall also be reported.

13.9.2.7. Facilities subject tomonitoring and reporting requirementsshall also submit Discharge MonitoringReport Form(s) (DMR) and otherrequired monitoring information to theState of Arizona Department ofEnvironmental Quality at the followingaddress: Storm Water DMR Coordinator,Arizona Department of EnvironmentalQuality, 3033 N. Central AvenuePhoenix, Arizona 85012.

13.9.2.8. The term ‘‘SignificantSources of Non-Storm Water’’ includes,but is not limited to discharges whichcould cause or contribute to violationsof water quality standards of the Stateof Arizona, and discharges which couldinclude releases of oil or hazardoussubstances in excess of reportablequantities under Section 311 of theClean Water Act (see 40 CFR 110.10 andCFR 117.21) or Section 102 of CERCLA(see CFR 302.4).

13.9.2.9. The term ‘‘Base FloodElevation’’ as defined by FederalEmergency Management Agency(FEMA) is the height of the base (100-year) flood in relation to a specifieddatum, usually the National GeodeticVertical Datum of 1929 of NorthAmerican Vertical Datum of 1988. Thisis the elevation of the 100-year floodwaters relative to ‘‘mean sea level.’’

13.9.2.10. The term ‘‘100-year flood’’means the flood having a one percentchance of being equaled or exceeded inmagnitude in any given year.

13.9.2.11. The term ‘‘100-yearfloodplain’’ means that area adjoining ariver, stream, or watercourse covered bywater in the event of a 100-year flood.

13.9.3. AZR05*##I: Indian countrylands within the State of Arizona,including Navajo Reservation lands inNew Mexico and Utah.

13.9.3.1. White Mountain ApacheTribe. The following condition appliesonly on the White Mountain ApacheTribe: All NOIs for proposed stormwater discharge coverage shall beprovided to the following address:Tribal Environmental Planning Office,Attn: Brenda Pusher-Begay, P.O. Box1000, Whiteriver, AZ 85941.

13.9.4. CAR05*##I: Indian countrylands within the State of California Noadditional requirements.

13.9.5. GUR05*###: The Island ofGuam.

13.9.5.1. Facilities ineligible forMulti-Sector General Permit coveragewhich are required to submit anindividual NPDES permit applicationmust send a copy to the followingaddress at the time of submittal to EPA:Guam Environmental Protection

Agency, P.O. Box 22439 GMF,Barrigada, Guam 96921.

13.9.5.2. Copies of NOIs shall alsobe submitted to the following addressconcurrently with NOI submittal toEPA: Guam Environmental ProtectionAgency, P.O. Box 22439 GMF,Barrigada, Guam 96921.

13.9.5.3. Permittees required by theDirector to submit an individual NPDESpermit application or alternative generalNPDES permit application must send acopy to the following address at thetime of submittal to EPA: GuamEnvironmental Protection Agency, P.O.Box 22439 GMF, Barrigada, Guam96921.

13.9.6. JAR05*###: Johnston Atoll.No additional requirements.

13.9.7. MWR05*###: Midway Islandand Wake Island. No additionalrequirements.

13.9.8. NIR05*###: Commonwealthof the Northern Mariana Islands (CNMI)

13.9.8.1. All conditions andrequirements set forth in the USEPAfinal NPDES MSGP must be compliedwith.

13.9.8.2. A storm water pollutionprevention plan (SWPPP) for stormwater discharges associated withindustrial activity must be approved bythe Director of the CNMI DEQ prior tothe submission of the NOI to USEPA.The CNMI address for the submittal ofthe SWPPP for approval is:Commonwealth of the Northern MarianaIslands, Office of the Governor, Director,Division of Environmental Quality(DEQ), P.O. Box 501304 C.K., Saipan,MP 96950–1304.

13.9.8.3. An NOI to be covered bythe storm water MSGP for dischargesassociated with industrial activity mustbe submitted to CNMI DEQ (use aboveaddress) and USEPA, Region 9, in theform prescribed by USEPA,accompanied by a SWPPP approvalletter from CNMI DEQ.

13.9.8.4. The NOI must bepostmarked seven (7) calendar daysprior to any stormwater discharges anda copy must be submitted to the Directorof CNMI DEQ (use above address) nolater than seven (7) calendar days priorto any stormwater discharges.

13.9.8.5. All monitoring reportsrequired by the MSGP must besubmitted to CNMI DEQ (use aboveaddress).

13.9.8.6. In accordance with section10.3(h) and (i) of CNMI water qualitystandards, CNMI DEQ reserves the rightto deny coverage under the MSGP andto require submittal of an application foran individual NPDES permit based on areview of the NOI or other informationmade available to the Director.



1 Section 9 of the ESA prohibits any person from‘‘taking’’ a listed species (e.g., harassing or harmingit) unless: (1) the taking is authorized through a‘‘incidental take statement’’ as part of undergoingESA section 7 formal consultation; (2) where anincidental take permit is obtained under ESAsection 10 (which requires the development of ahabitat conservation plan); or (3) where otherwiseauthorized or exempted under the ESA. Thisprohibition applies to all entities including privateindividuals, businesses, and governments.

13.9.9. NVR05*##I: Indian countrylands within the State of Nevada,including the Duck Valley Reservationin Idaho, the Fort McDermittReservation in Oregon and the GoshuteReservation in Utah. No additionalrequirements.

13.10. Region 10. 13.10.1. (The terms and conditions

of the 1995 Multi-Sector General Permitare effective for facilities in the State ofAlaska through February 9, 2001.)

13.10.2. AKR05*##I: Indian countryLands within the State of Alaska.

13.10.3. IDR05*### The State ofIdaho, except Indian country lands.

13.10.4. IDR05*##I: Indian countrylands within the State of Idaho, exceptDuck Valley Reservation lands (seeRegion 9).

13.10.5. ORR05*##I: Indian countrylands in the State of Oregon except FortMcDermitt Reservation lands (seeRegion 9).

13.10.6. WAR05*##I: Indian countrylands within the State of Washington

13.10.6.1 Permittees on ChehalisReservation lands must also meet thefollowing conditions:

1. The permittee shall be responsiblefor achieving compliance withConfederated Tribes of ChehalisReservation’s Water Quality Standards,and

2. The permittee shall be responsiblefor submitting all Storm Water PollutionPrevention Plans to the Chehalis TribalDepartment of Natural Resources at thefollowing address for review andapproval prior to the beginning of anydischarge activities taking place:Confederated Tribes of ChehalisReservation, Department of NaturalResources, 420 Howanut Road, Oakville,WA 98568.

13.10.6.2 Permittees on PuyallupReservation lands must also meet thefollowing conditions:

1. The permittee shall be responsiblefor achieving compliance with PuyallupTribe’s Water Quality Standards;

2. The permittee shall submit a copyof the Notice of Intent to be covered bythe general permit to the Puyallup TribeEnvironmental Department at theaddress listed below at the same time itis submitted to U.S. EPA;

3. The permittee shall be responsiblefor submitting all Storm Water PollutionPrevention Plans to the Puyallup TribeEnvironmental Department at thefollowing address for review andapproval prior to the beginning of anydischarge activities taking place:Puyallup Tribe EnvironmentalDepartment, 2002 East 28th Street,Tacoma, WA 98404.

13.10.7. WAR05*##F: FederalFacilities in the State of Washington,

except those located on Indian countrylands.

13.10.7.1 Discharges authorized bythis permit shall not cause or contributeto a violation of any applicable waterquality standard of the State ofWashington. These standards are foundat Chapter 173–201A WAC (WaterQuality Standards for Surface Waters),Chapter 173–204 WAC (SedimentManagement Standards) and theNational Toxics Rule for human healthstandards (57 FR 60848–60923).

13.10.7.2 Any operator of a facilityin Sectors A, D, E, F, G, H, J, L, M, N,or U who intends to obtainauthorization under the MSGP–2000 forall new and existing storm waterdischarges must conduct and reportbenchmark monitoring for turbiditywith a cutoff concentration of 50 NTU.

Addendum A—Endangered SpeciesGuidance

I. Assessing Permit Eligibility RegardingEndangered Species

A. BackgroundTo meet its obligations under the Clean

Water Act and the Endangered Species Act(ESA) and to promote those Acts’ goals, theEnvironmental Protection Agency (EPA) isseeking to ensure the activities regulated bythis Multi-Sector General Permit (MSGP)pose no jeopardy to endangered andthreatened species and critical habitat. Toensure that those goals are met, applicants forMSGP coverage are required under Part1.2.3.6 to assess the impacts of their stormwater discharges, allowable non-storm waterdischarges, and discharge-related activitieson Federally listed endangered andthreatened species (‘‘listed species’’) anddesignated critical habitat (‘‘critical habitat’’)by following the process listed below. EPAstrongly recommends that you follow thesesteps at the earliest possible stage to ensurethat measures to protect listed species andcritical habitat are incorporated early in yourplanning process.

You also have an independent ESAobligation to ensure that your activities donot result in any prohibited ‘‘takes’’ of listedspecies.1 Many of the measures required inthe MSGP and in these instructions to protectspecies may also assist you in ensuring thatyour activities do not result in a prohibitedtake of species in violation of section 9 of theESA. If you have or plan activities in areasthat harbor endangered and threatenedspecies, you may wish to ensure that you areprotected from potential takings liabilityunder ESA section 9 by obtaining an ESA

section 10 permit or, if there is a separatefederal action regarding the facility, byrequesting formal consultation under ESAsection 7 regarding that action. If you are notsure whether to pursue a section 10 permitor a section 7 consultation for takingsprotection, you should confer with theappropriate Fish and Wildlife Service (FWS)and/or National Marine Fisheries Service(NMFS) (collectively the ‘‘Services’’) office.

B. How Does The Basic Eligibility AssessmentProcess Work?

In order to determine if you are eligible touse the permit, you need to go through aseries of steps to determine:

1. Are there any listed endangered orthreatened species or critical habitat inproximity to your facility or the point whereyour discharges reach a receiving water?

2. If there are listed species in proximity,are your discharges or discharge-relatedactivities going to adversely affect them?

3. If adverse effects on listed species orcritical habitat are likely, what can you do toeliminate or reduce these effects?

4. Have any adverse effects already beenaddressed under the Endangered SpeciesAct?

5. Which, if any, of the eligibility criteriamake you eligible for permit coverage?

C. What Are the Eligibility Criteria?

The Part 1.2.3.6 eligibility requirementmay be satisfied by documenting that one ormore of the following criteria has been met:

Criteria A. No Listed Species or CriticalHabitat Are in Proximity to Your Facility orthe Point Where Authorized DischargesReach a Water of the United States (See Part1.2.3.6.3.1)

Using the latest County Species Listavailable from EPA and any other relevantinformation sources, you have determinedthat no listed species or critical habitat arein proximity to your facility. Listed speciesand critical habitat are in proximity to afacility when they are:

• Located in the path or immediate areathrough which or over which contaminatedpoint source storm water flows fromindustrial activities to the point of dischargeinto the receiving water. This may alsoinclude areas where storm water from yourfacility enters groundwater that has a directhydrological connection to a receiving water(e.g., groundwater infiltrates at your facilityand re-emerges to enter a surface waterbodywithin a short period of time.)

• Located in the immediate vicinity of, ornearby, the point of discharge into receivingwaters.

• Located in the area of a facility wherestorm water BMPs are planned or are to beconstructed.

Please be aware that no protection fromincidental takings liability is provided underthis criteria.

Criteria B. An ESA Section 7 ConsultationHas Been Performed for a Separate FederalAction Regarding Your Facility (See Part1.2.3.6.3.2)

A formal or informal ESA § 7 consultationon a separate federal action (e.g., New Sourcereview under NEPA, application for a dredge



and fill permit under CWA § 404, applicationfor an individual NPDES permit, etc.)addressed the effects of your discharges anddischarge-related activities on listed speciesand critical habitat. If your facility was thesubject of a formal consultation, it must haveresulted in either a ‘‘no jeopardy opinion’’ ora ‘‘jeopardy opinion’’ and you agree toimplement any reasonable and prudentalternatives or other conditions upon whichthe consultation was based. If your facilitywas the subject of an informal consultation,it must have resulted in a writtenconcurrence by the Service(s) on a findingthat the applicant’s activities are not likely toadversely affect listed species or criticalhabitat (for informal consultation, see 50 CFR402.13).

Criteria C. An Incidental Taking PermitUnder Section 10 of the ESA was Issued forYour Facility (See Part 1.2.3.6.3.3)

You have a permit under section 10 of theESA and that authorization addresses theeffects of your wastewater and storm waterdischarges and discharge-related activities onlisted species and critical habitat. Note: Youmust follow FWS/NMFS procedures whenapplying for an ESA section 10 permit (see50 CFR 17.22(b)(1)).

Criteria D. You Have Determined AdverseEffects Are Not Likely (See Part 1.2.3.6.3.4)

Using best judgment, you have investigatedpotential effects your discharges anddischarges-related activities may have onlisted species and critical habitat and have noreason to believe there would be adverseeffects. Any terms and/or conditions toprotect listed species and critical habitat yourelied on in order to determine adverseeffects would be unlikely must beincorporated into your Storm Water PollutionPrevention Plan (required by the permit) andimplemented in order to maintain permiteligibility.


Criteria E. Your Facility Was Covered Underthe Eligibility Certification of AnotherOperator for the Facility Area (See Part1.2.3.6.3.5)

Your storm water discharges, allowablenon-storm water discharges, and discharge-related activities were already addressed inanother operator’s certification of eligibilityunder Part 1.2.3.6.3 which covered yourfacility. By certifying eligibility under Part1.2.3.6.3.4, you agree to comply with anymeasures or controls upon which the otheroperator’s certification under Part 1.2.3.6.3was based.

Please be aware that in order to meet thepermit eligibility requirements by relying onanother operator’s certification of eligibility,the other operator’s certification must applyto the location of your facility and mustaddress the effects from your storm waterdischarges, allowable non-storm waterdischarges, and discharge-related activitieson listed species and critical habitat. Thissituation will typically occur where anownership of a facility covered by this permitchanges or when there are multiple operatorswithin an industrial park or an airport.

However, before you rely on anotheroperator’s certification, you should carefullyreview that certification along with anysupporting information. You also need toconfirm that no additional species have beenlisted or critical habitat designated in thearea of your facility since the other operator’sendangered species assessment was done. Ifyou do not believe that the other operator’scertification provides adequate coverage foryour facility, you should provide your ownindependent endangered species assessmentand certification.


D. What Procedures Do I Use To Determineif the Eligibility Criteria Can Be Satisfied?

Caution: Additional endangered andthreatened species have been listed andcritical habit designated since the 1995MSGP was issued and will continue to beadded after the effective date of this permit.You must verify any earlier determination ofeligibility is still valid before relying on thatassessment to certify eligibility for thispermit. Where applicable, you mayincorporate information from your previousendangered species analysis in yourdocumentation of eligibility for this permit.

To determine eligibility, you must assess(or have previously assessed) the potentialeffects of your storm water discharges,allowable non-storm water discharges anddischarge-related activities on listed speciesand critical habitat. PRIOR to completing andsubmitting a Notice of Intent (NOI) form, youmust follow the steps outlined below anddocument the results of your eligibilitydetermination.

Step One: Are There Any EndangeredSpecies or Critical Habitat in Your County(or Other Area) and, if so, Are They inProximity to Your Facility or DischargeLocations?

1–A. Check for Listed Species Look in thelatest county species list to see if any listedspecies are found where your facility anddischarge point(s) are located. If you arelocated close to the border of a county oryour facility is located in one county andyour discharge points are located in another,you must look under both counties. Sincespecies are listed and de-listed periodically,you will need the most current list at thetime you are doing your endangered speciesassessment. EPA’s most current county-species list is on the Internet at http://www.epa.gov/owm/esalst2.htm.

=>Proceed to 1–B.

1–B. Check for Critical Habitat Some (butnot all) listed species have designated criticalhabitat. Exact locations of such habitat isprovided in the endangered speciesregulations at 50 CFR part 17 and part 226.To determine if facility or discharge locationsare within designated critical habitat, youshould either:

• Review those regulations (which can befound in many larger libraries); or

• Contact the nearest Fish and WildlifeService (FWS) and National Marine FisheriesService (NMFS) Office. A list of FWS and

NMFS offices is found at section II of thisAddendum.; or

• Contact the State Natural Heritagecenters. These centers compile anddisseminate information on Federally listedand other protected species. They frequentlyhave the most current information on listedspecies and critical habitat. A list of thesecenters is provided in section III of theAddendum.

=>Proceed to 1–C.

1–C. Check for Proximity If there are listedspecies in your county, are they in proximityto your facility or discharge locations? Youwill need to use the proximity criteria inEligibility Criteria A to determine if the listedspecies are in your part of the county. Thearea in proximity to be searched/surveyed forlisted species will vary with the size of thefacility, the nature and quantity of the stormwater discharges, and the type of receivingwaters. Given the number of facilitiespotentially covered by the MSGP, no specificmethod to determine whether species are inproximity is required for permit coverageunder the MSGP. Instead, you should use themethod or methods which best allow you todetermine to the best of your knowledgewhether species are in proximity to yourparticular facility. These methods mayinclude:

• Conducting visual inspections. Thismethod may be particularly suitable forfacilities that are smaller in size, facilitieslocated in non-natural settings such as highlyurbanized areas or industrial parks wherethere is little or no nature habitat; andfacilities that discharge directly intomunicipal storm water collection systems.For other facilities, a visual survey of thefacility site and storm water drainage areasmay be insufficient to determine whetherspecies are likely to be located in proximityto the discharge.

• Contacting the nearest State WildlifeAgency or U.S. Fish and Wildlife Service(FWS) or National Marine Fisheries Service(NMFS) offices. Many endangered andthreatened species are found in well-definedareas or habitats. That information isfrequently known to state or federal wildlifeagencies. FWS has offices in every state.NMFS has regional offices in: Gloucester,Massachusetts; St. Petersburg, Florida; LongBeach, California; Portland, Oregon; andJuneau, Alaska.

• Contacting local/regional conservationgroups. These groups inventory species andtheir locations and maintain lists of sightingsand habitats.

• Conducting a formal biological survey.Larger facilities with extensive storm waterdischarges may choose to conduct biologicalsurveys as the most effective way to assesswhether species are located in proximity andwhether there are likely adverse effects.

If neither your facility nor dischargelocations are located in designated criticalhabitat, then you need not consider impactsto critical habitat when following Steps Twothrough Five below. If your facility ordischarge locations are located within criticalhabitat, then you must look at impacts tocritical habitat when following Steps Twothrough Five. EPA notes that many measuresimposed to protect listed species under these



steps will also protect critical habitat.However, obligations to protect habitat underthis permit are separate from those to protectlisted species. Thus, meeting the eligibilityrequirements of this permit may requiremeasures to protect critical habitat that areseparate from those to protect listed species.

=> Proceed to 1–D

1–D. Check for Criteria ‘‘A’’ Eligibility IFNO SPECIES WERE LISTED FOR YOURCOUNTY OR THE SPECIES THAT WERELISTED WERE NOT IN PROXIMITY TOYOUR DISCHARGE AND YOUR FACILITYAND DISCHARGE LOCATIONS WERE NOTIN PROXIMITY TO CRITICAL HABITAT,YOU ARE ELIGIBLE UNDER CRITERIA ‘‘A’’.Document your endangered speciesassessment and certify eligibility under Part1.2.3.6.3.1 of the permit. Congratulations, goto Step Five!

=> If there were listed species or criticalhabitat, proceed to Step Two

Step Two: Can You Meet Eligibility Criteria‘‘B’’, ‘‘C’’, or ‘‘E’’?

2–A Check for Criteria ‘‘B’’, ‘‘C’’, or ‘‘E’’Basis Do one of the following apply:

• There was a completed consultationunder ESA § 7 for your facility (Criteria B) =>proceed to 2–B

• There is a previously issued ESA § 10permit for your facility (Criteria C) =>proceed to 2–C

• Another operator previously certifiedeligibility for the area where your facility islocated (Criteria E) => proceed to 2–D

=> If no, proceed to Step Three

2–B Check for Criteria ‘‘B’’ Eligibility Didthe previously completed ESA § 7consultation consider all currently listedspecies and critical habitat and address yourstorm water, allowable non-storm water, anddischarge related activities?


2-B–1 Did the ESA § 7 consultation resultin either a ‘‘no jeopardy’’ opinion by theService (for formal consultations) or aconcurrence by the service that youractivities would be ‘‘unlikely to adverselyaffect’’ listed species or critical habitat?


2–B–2 IF YOU AGREE TO IMPLEMENTANY MEASURES UPON WHICH THECONSULTATION WAS CONDITIONED,YOU ARE ELIGIBLE UNDER CRITERIA ‘‘B’’.Incorporate any necessary measures into yourStorm Water Pollution Prevention Plan,document your endangered speciesassessment, and certify eligibility under Part1.2.3.6.3.2. Congratulations, go to Step Five!

=> If you do not agree to implementconditions upon which the consultation wasbased, proceed to Step Three

2–C Check for Criteria ‘‘C’’ Eligibility IFYOUR ESA § 10 PERMIT CONSIDERED ALLCURRENTLY LISTED SPECIES ANDCRITICAL HABITAT AND ADDRESSESYOUR STORM WATER, ALLOWABLE NON-STORM WATER, AND DISCHARGERELATED ACTIVITIES, YOU ARE ELIGIBLEUNDER CRITERIA ‘‘C’’. Incorporate anynecessary measures into your Storm WaterPollution Prevention Plan, document your

endangered species assessment, and certifyeligibility under Part 1.2.3.6.3.3 of thepermit. Congratulations, go to Step Five!

=> If your ESA § 10 permit did not meetthese criteria, proceed to Step Three

2–D Check for Criteria ‘‘E’’ Eligibility Didthe other operator’s certification of eligibilityconsider all currently listed species andcritical habitat and address your storm water,allowable non-storm water, and dischargerelated activities?


2–D–1 IF YOU AGREE TO IMPLEMENTANY MEASURES UPON WHICH THEOTHER OPERATOR’S CERTIFICATIONWAS BASED, YOU ARE ELIGIBLE UNDERCRITERIA ‘‘E’’. Incorporate any necessarymeasures into your Storm Water PollutionPrevention Plan, document your endangeredspecies assessment, and certify eligibilityunder Part 1.2.3.6.3.5 of the Permit.Congratulations, go to Step Five!

=> If you do not agree to implementconditions upon which another operator’scertification was based, proceed to StepThree

Step Three: Are Listed Species or CriticalHabitat Likely To Be Adversely Affected byYour Facility’s Storm Water Discharges,Allowable Non-storm Water Discharges, orDischarge-related Activities?

If you are unable to certify eligibility underCriteria A, B, C, or E, you must assesswhether your storm water discharges,allowable non-storm water discharges, anddischarge-related activities are likely to posejeopardy to listed species or critical habitat.‘‘Storm water discharge-related activities’’include:

Activities which cause, contribute to, orresult in point source storm water pollutantdischarges; and

Measures to control storm water dischargesand allowable non-storm water dischargesincluding the siting, construction, operationof best management practices (BMPs) tocontrol, reduce or prevent water pollution.

Effects from storm water discharges,allowable non-storm water discharges, anddischarge-related activities which could posejeopardy include:

Hydrological. Wastewater or storm waterdischarges may cause siltation,sedimentation or induce other changes inreceiving waters such as temperature, salinityor pH. These effects will vary with theamount of wastewater or storm waterdischarged and the volume and condition ofthe receiving water. Where a dischargeconstitutes a minute portion of the totalvolume of the receiving water, adversehydrological effects are less likely.

Habitat. Excavation, site development,grading, and other surface disturbanceactivities, including the installation orplacement of wastewater or storm waterponds or BMPs, may adversely affect listedspecies or their habitat. Wastewater or stormwater associated with facility operation maydrain or inundate listed species habitat.

Toxicity. In some cases, pollutants inwastewater or storm water may have toxiceffects on listed species.

The scope of effects to consider will varywith each facility. If you are having difficultyin determining whether your facility is likelyto pose jeopardy to a listed specie or criticalhabitat, then the appropriate office of theFWS, NMFS, or Natural Heritage Centerlisted in Sections II and III of this Addendumshould be contacted for assistance.

Document the results of your assessmentand make a preliminary determination onwhether or not there would likely be anyjeopardy to listed species or critical habitat.You will need to determine that youractivities are either ‘‘unlikely to adverselyaffect’’ or ‘‘may adversely affect’’. Yourdetermination may be based on measures thatyou implement to avoid, eliminate, orminimize adverse affects.

=> Proceed to Step Four

Step Four: Can You Meet Eligibility Criteria‘‘D’’?

Using best judgment, can you determineyour facility’s storm water discharges,allowable non-storm water discharges, anddischarge-related activities are unlikely topose jeopardy to listed species or criticalhabitat?

4–A IF STEP THREE DETERMINATIONIS ‘‘UNLIKELY TO ADVERSELY AFFECT’’,YOU ARE ELIGIBLE UNDER CRITERIA ‘‘D’’.Incorporate appropriate measures uponwhich your eligibility was based into yourStorm Water Pollution Prevention Plan andcertify eligibility under Part 1.2.3.6.3.4 of thepermit. Congratulations, go to Step Five.

=> If there may be adverse effects, proceedto Step 4–B

4–B Step Three (or Step 4–A–1)Determination is ‘‘May Adversely Affect’’You must contact the Service(s) to discussyour findings and measures you couldimplement to avoid, eliminate, or minimizeadverse affects.

4–B–1 IF YOU AND THE SERVICE(S)REACH AGREEMENT ON MEASURES TOAVOID ADVERSE EFFECTS, YOU AREELIGIBLE UNDER CRITERIA ‘‘D’’.Incorporate appropriate measures uponwhich your eligibility was based into yourStorm Water Pollution Prevention Plan andcertify eligibility under Part 1.2.3.6.3.4 of thepermit. Congratulations, go to Step Five.

4–C Endangered Species Issues Cannotbe Resolved If you cannot reach agreementwith the Service(s) on measures to avoid,eliminate, or reduce adverse effects to anacceptable level; and if any likely adverseeffects cannot otherwise be addressedthrough meeting the other criteria of Part1.2.3.6; then you are not eligible for coverageunder the MSGP at this time and must seekcoverage under an individual permit.Proceed to 40 CFR 122.26(c) for individualpermit application requirements.

Step Five: Submit Notice of Intent andDocument Results of the EligibilityDetermination

Once all other Part 1.2 eligibilityrequirements have been met, you may submitthe Notice of Intent (NOI). Signature andsubmittal of the NOI is also deemed toconstitute your certification, under penalty oflaw, of your eligibility for permit coverage.



You must include documentation of Part1.2.3.6 eligibility in the pollution preventionplan required for the facility. Documentationrequired for the various eligibility criteria areas follows:Criteria A—A copy of the County-Species

List pages with the county(ies) where yourfacility and discharges are located and astatement on how you determined that nolisted species or critical habitat was inproximity to your discharge.

Criteria B—A copy of the Service(s)’sBiological Opinion or concurrence on afinding of ‘‘unlikely to adversely effect’’regarding the ESA § 7 consultation.

Criteria C—A copy of the Service(s)’s lettertransmitting the ESA § 10 authorization.

Criteria D—Documentation on how youdetermined adverse effects on listedspecies and critical habitat were unlikely.

Criteria E—A copy of the documentsoriginally used by the other operator ofyour facility (or area including yourfacility) to satisfy the documentationrequirement of Criteria A, B, C or D.

E. Duty To Implement Terms and ConditionsUpon Which Eligibility Was Determined

You must comply with any terms andconditions imposed under the eligibilityrequirements of Part 1.2.3.6.3 to ensure thatyour storm water discharges, allowable non-storm water discharges, and discharge-relatedactivities do not pose jeopardy to listedspecies and/or critical habitat. You mustincorporate such terms and conditions inyour facility’s Storm Water PollutionPrevention Plan as required by the permit. Ifthe eligibility requirements of Part 1.2.3.6cannot be met, then you may not receivecoverage under this permit. You should thenconsider applying to the permitting authorityfor an individual permit.

II. U.S. Fish and Wildlife Service Offices

National Website For Endangered SpeciesInformation. Endangered Species Home page:http://www.fws.gov/r9endspp/endspp.html

Regional, State, Field and Project Offices

USFWS, Region One—Regional Office

Division Chief, Endangered Species, U.S.Fish and Wildlife Service, ARD EcologicalServices, 911 NE 11 Avenue, Portland, OR97232–4181, (503) 231–6121

State, Field, and Project Offices (Region One)

Field Supervisor, U.S. Fish and WildlifeService, P.O. Box 50088, 300 Ala MoanaBlvd., Rm 3108, Honolulu, HI 96850

Field Supervisor, U.S. Fish and WildlifeService, Upper Columbia R. Basin F&WOffice, 11103 East Montgomery Drive, Ste2, Spokane, WA 99306

State Supervisor, U.S. Fish and WildlifeService, Oregon Fish and Wildlife Office,2600 S.E 98th Avenue Suite 100, Portland,OR 97266

Field Supervisor, U.S. Fish and WildlifeService, Snake River Basin F&W Office,1387 South Vinnell Way, Room 368, Boise,Idaho 83709

State Supervisor, U.S. Fish and WildlifeService, Nevada State Office, 4600 KietzkeLane, Building C, Rm. 125, Reno, NV89502–5093

State Supervisor, U.S. Fish and WildlifeService, Western Washington F&W Office,510 Desmond Dr., Suite 102, Lacey, WA98503–1273

Field Supervisor, U.S. Fish and WildlifeService, Klamath Falls F&W Office, 6600Washburn Way, Klamath Falls, OR 97603

Field Supervisor, U.S. Fish and WildlifeService, Klamath River F&W Office, 1215South Main, Suite 212, Yreka, CA 96097–1006

Field Supervisor, U.S. Fish and WildlifeService, Carlsbad Fish and Wildlife Office,2730 Loker Avenue West, Carlsbad, CA92008

Field Supervisor, U.S. Fish and WildlifeService, Ventura Field Office, 2493 PortolaRoad, Suite B, Ventura, CA 93003

Project Leader, U.S. Fish and WildlifeService, Coastal California Fish andWildlife Office, 1125 16th St., Rm. 209,Arcata, CA 95521–5582

Project Leader, U.S. Fish and WildlifeService, Northern Central Valley F&WOffice, 10959 Tyler Road, Red Bluff, CA96080

State Supervisor, U.S. Fish and WildlifeService, California State Office, 3310 ElCamino Avenue, Suite 120, Sacramento,CA 95821–6340

Field Supervisor, U.S. Fish and WildlifeService, Sacramento Fish & Wildlife Office,3310 El Camino Avenue, Suite 120,Sacramento, CA 95821–6340

USFWS Region Two—Regional Office

Division Chief, Endangered Species, U.S.Fish and Wildlife Service, ARD EcologicalServices, P.O. Box 1306, Albuquerque, NM87103

State, Field, and Project Offices (Region Two)

Field Supervisor, U.S. Fish and WildlifeService, Corpus Christi Field Office, 6300Ocean Dr., Campus Box 338, CorpusChristi, TX 78412

Field Supervisor, U.S. Fish and WildlifeService, Arlington Field Office, 711Stadium Dr., East, Suite 252, Arlington, TX76011

Field Supervisor, U.S. Fish and WildlifeService, Clear Lake Field Office, 17629 ElCamino Real, Suite 211, Houston, TX77058

Field Supervisor, U.S. Fish and WildlifeService, Oklahoma Field Office, 222 S.Houston, Suite a, Tulsa, OK 74127

Field Supervisor, U.S. Fish and WildlifeService, New Mexico Field Office, 2105Osuna, NE, Albuquerque, NM 87113

Field Supervisor, U.S. Fish and WildlifeService, Austin Ecological Serv. FieldOffice, 10711 Burnet Road, Suite 200,Austin, TX 78758

Field Supervisor, U.S. Fish and WildlifeService, Arizona State Office, 2321 W.Royal Palm Road, Suite 103, Phoenix, AZ85021–4951

USFWS Region Three—Regional Office

Division Chief, Endangered Species, U.S.Fish and Wildlife Service, ARD EcologicalServices, BHW Federal Bldg, 1 FederalDrive, Fort Snelling, MN 55111–4056

State, Field, and Project Offices (RegionThree)

Field Supervisor, U.S. Fish and WildlifeService, Chicago, Illinois Field Office, 1000Hart Rd., Suite 180, Barrington, IL 60010

Field Supervisor, U.S. Fish and WildlifeService, East Lansing Field Office, 2651Coolidge Road, East Lansing, MI 48823

Field Supervisor, U.S. Fish and WildlifeService, Reynoldsburg Field Office, 6950Americana Parkway, Suite H,Reynoldsburg, OH 43068–4132

Field Supervisor, U.S. Fish and WildlifeService, Bloomington Field Office, 620South Walker Street, Bloomington, IN47403–2121

Field Supervisor, U.S. Fish and WildlifeService, Twin Cities E.S. Field Office, 4101East 80th Street, Bloomington, MN 55425–1665

Field Supervisor, U.S. Fish and WildlifeService, Columbia Field Office, 608 EastCherry Street, Room 200, Columbia, MO65201–7712

Field Supervisor, U.S. Fish and WildlifeService, Green Bay Field Office, 1015Challenger Court, Green Bay, WI 54311–8331

Field Supervisor, U.S. Fish and WildlifeService, Rock Island Field Office, 446948th Avenue Court, Rock Island, IL 61201

Field Supervisor, U.S. Fish and WildlifeService, Marion Suboffice, Route 3, Box328, Marion, IL 62959–4565

USFWS Region Four—Regional Office

Division Chief, Endangered Species, U.S.Fish and Wildlife Service, ARD—Ecological Services, 1875 Century Blvd.,Suite 200, Atlanta, GA 30345

State, Field, and Project Offices (Region Four)

Field Supervisor, U.S. Fish and WildlifeService, Panama City Field Office, 1612June Avenue, Panama City, FL 32405–3721

Field Supervisor, U.S. Fish and WildlifeService, South Florida Ecosystem FieldOffice, 1360 U.S. Hwy 1, #5; P.O. Box2676, Vero Beach, FL 32961–2676

Field Supervisor, U.S. Fish and WildlifeService, Caribbean Field Office, P.O. Box491, Boqueron, PR 00622

Field Supervisor, U.S. Fish and WildlifeService, Puerto Rican Parrot Field Office,P.O. Box 1600, Rio Grande, PR 00745

Field Supervisor, U.S. Fish and WildlifeService, Brunswick Field Office, 4270Norwich Street, Brunswick, GA 31520–2523

Field Supervisor, U.S. Fish and WildlifeService, Jacksonville Field Office, 6620Southpoint Drive S., Suite 310,Jacksonville, FL 32216–0912

Field Supervisor, U.S. Fish and WildlifeService, Charleston Field Office, 217 Ft.Johnson Road, P.O. Box 12559, Charleston,SC 29422–2559

Field Supervisor, U.S. Fish and WildlifeService, Clemson F.O., Dept. of ForestResources, 261 Lehotsky Hall, Box 341003,Clemson, SC 29634–1003

Field Supervisor, U.S. Fish and WildlifeService, Raleigh Field Office, P.O. Box33726, Raleigh, NC 27636–3726

Field Supervisor, U.S. Fish and WildlifeService, Cookeville Field Office, 446 NealStreet, Cookeville, TN 38501



Field Supervisor, U.S. Fish and WildlifeService, Asheville Field Office, 160Zillicoa Street, Asheville, NC 28801

Field Supervisor, U.S. Fish and WildlifeService, Daphne Field Office, P.O. Drawer1190, Daphne, AL 36526

Field Supervisor, U.S. Fish and WildlifeService, Vicksburg Field Office, 2524 S.Frontage Road, Suite B, Vicksburg, MS39180–5269

Field Supervisor, U.S. Fish and Wildlife Svc.,Lafayette Field Office, Brandywine II, Suite102, 825 Kaliste Saloom Road, Lafayette,LA 70508

Field Supervisor, U.S. Fish and WildlifeService, Jackson Field Office, 6578Dogwood View Pkwy Suite A, Jackson, MS39213

Region Five—Regional Office

Division Chief, Endangered Species, U.S.Fish and Wildlife Service, ARD EcologicalServices, 300 Westgate Center Drive,Hadley, MA 01035–9589

State, Field and Project Offices (Region Five)

Project Leader, U.S. Fish and WildlifeService, Delaware Bay Estuary Project,2610 Whitehall Neck Road, Smyrna, DE19977

Project Leader, U.S. Fish and WildlifeService, Southern New England/NYBCEProgram, Shoreline Plaza, Route 1A, P.O.Box 307, Charlestown, RI 02813

Project Leader, U.S. Fish and WildlifeService, Gulf of Maine Project, 4 R FundyRoad, Falmouth, ME 04105

Project Leader U.S. Fish and WildlifeService, Chesapeake Bay Field, Office, 177Admiral Cochrane Drive, Annapolis,Maryland 21401

Project Leader, U.S. Fish and WildlifeService, Virginia Field Office, P.O. Box 99,6669 Short Lane, Gloucester, VA 23061

Project Leader, U.S. Fish and WildlifeService, Southwestern Virginia FieldOffice, P.O. Box 2345, Abingdon, VA24212

Project Leader, U.S. Fish and WildlifeService, New England Field Office, 22Bridge St., Unit #1, Concord, NewHampshire 03301–4986

Project Leader, U.S. Fish and WildlifeService, Maine Field Office, 1033 SouthMain St., Old Town, Maine 04468

Project Leader, U.S. Fish and WildlifeService, Rhode Island Field Office,Shoreline Plaza, Route 1A; P.O. Box 307,Charlestown, Rhode Island 02813

Project Leader, U.S. Fish and WildlifeService, Vermont Field Office, 11 LincolnStreet, Winston Prouty Federal Building,Essex Junction, VT 05452

Project Leader, U.S. Fish and WildlifeService, New Jersey Field Office, 927 NorthMain St., Bldg. D1, Pleasantville, NewJersey 08232

Project Leader, U.S. Fish and WildlifeService, New York Field Office, 3817 LukerRoad, Cortland, New York 13045

Project Leader, U.S. Fish and WildlifeService, Long Island Field Office, P.O. Box608, Islip, New York 11751–0608

Project Leader, U.S. Fish and WildlifeService, Pennsylvania Field Office, 315 S.Allen St., Suite 322, State College,Pennsylvania 16801

Project Leader, U.S. Fish and WildlifeService, Eastern Pennsylvania Field Office,11 Hap Arnold Boulevard, Box H,Tobyhanna, Pennsylvania 18466–0080

Project Leader, U.S. Fish and WildlifeService, West Virginia Field Office, Route250, S.—Elkins Shopping Plaza, Elkins,West Virginia 26241

Region Six—Regional Office

Division Chief, Endangered Species, U.S.Fish and Wildlife Service, ARD-EcologicalServices, P.O. Box 25486, DFC, Denver, CO80225

State, Field, and Project Offices (Region Six)

Field Supervisor, U.S. Fish and WildlifeService, Montana Field Office, 100 N. Park,Suite 320, Helena, MT 59601

Sub-Office Supervisor, U.S. Fish and WildlifeService, Billings Sub-Office, 2900 4th Ave.North-Rm 301, Billings, MT 59101

Sub-Office Supervisor, U.S. Fish and WildlifeService, Kalispell Sub-Office, 780 CrestonHatchery Road, Kalispell, MT 59901

Grizzly Bear Recovery Coordinator, U.S. Fishand Wildlife Service, Forestry SciencesLab, University of Montana, Missoula, MT59812

Field Supervisor, U.S. Fish and WildlifeService, North Dakota Field Office, 1500Capitol Avenue, Bismarck, ND 58501

Field Supervisor, U.S. Fish and WildlifeService, Nebraska Field Office, 203 W. 2ndStreet; Federal Bldg., 2nd Floor, GrandIsland, NE 68801

Field Supervisor, U.S. Fish and WildlifeService, Kansas Field Office, 315 Houston,Suite E, Manhattan, KS 66502

Field Supervisor, U.S. Fish and WildlifeService, South Dakota Field Office, 420 S.Garfield Ave., Suite 400, Pierre, SD 57501–5408

Field Supervisor, U.S. Fish and WildlifeService, Salt Lake City Field Office,Lincoln Plaza, 145 East 1300 South—Suite404, Salt Lake City, UT 84115

Field Supervisor, U.S. Fish and WildlifeService, Colorado Field Office, 730 Simms,Suite 290, Golden, CO 80401–4798

Field Supervisor, U.S. Fish and WildlifeService, Western Colorado Field Office,764 Horizon Drive South, Annex A, GrandJunction, CO 81506–3946

Field Supervisor, U.S. Fish and WildlifeService, Wyoming Field Office, 4000Morrie Avenue, Cheyenne, WY 82001

E.S. Coordinator, U.S. Fish and WildlifeService, Rocky Mountain Arsenal, NationalWildlife Area, Building 111, CommerceCity, CO 80022–1748

Colorado River Recovery Coordinator, U.S.Fish and Wildlife Service, P.O. Box 25486,DFC, Denver, CO 80225

U.S. Fish and Wildlife Service, LaramieBlack Footed Ferret Office, 410 GrandAve., Suite 315, Laramie, WY 80270

Region Seven—Regional Office

Division Chief, Endangered Species, U.S.Fish and Wildlife Service, ARD EcologicalServices, 1011 E. Tudor Road, Anchorage,AK 99503

State, Field, and Project Offices (RegionSeven)

Field Supervisor, U.S. Fish and WildlifeService, Ecological Services, 605 West 4th

Avenue, Room G–62, Anchorage, AK99501

Field Supervisor, U.S. Fish and WildlifeService, Ecological Services, 101 12thAvenue, Box 19 (Room 232), Fairbanks, AK99701

Field Supervisor, U.S. Fish and WildlifeService, Ketchikan Sub-office, 103 MainStreet, P.O. Box 3193, Ketchikan, AK99901

Field Supervisor, U.S. Fish and WildlifeService, Ecological Services, 300 VintageBlvd., Suite 201, Juneau, AK 99801

Region Eight—Has not yet been created outof the other FWS Regions at the time of thisposting.

Region Nine

Janet Ady—Outreach, U.S. Fish and WildlifeService, National Conservation TrainingCenter, Route 3, Box 49, Kearneysville, WV25430

Dan Benfield—Training, U.S. Fish andWildlife Service, National ConservationTraining Center, Route 3, Box 49,Kearneysville, WV 25430

III. National Marine Fisheries ServiceOffices

The National Marine Fisheries Service isdeveloping a database to provide county andterritorial water (up to three miles offshore)information on the presence of endangeredand threatened species and critical habitat.The database should be found at the ‘‘Officeof Protected Resources’’ site on the NMFSHomepage at http://www.nmfs.gov.

Regional and Field Offices—NortheastRegion

Protected Resources Program, NationalMarine Fisheries Service, NortheastRegion, One Blackburn Drive, Gloucester,Massachusetts 01930

Milford Field Office, National MarineFisheries Service, 212 Rogers Avenue,Milford, Connecticut 06460

Oxford Field Office, National MarineFisheries Service, 904 So. Morris Street,Oxford, Maryland 21654

Sandy Hook Field Office, James J. HowardMarine Sciences Laboratory, NationalMarine Fisheries Service, 74 MagruderRoad, Highlands, New Jersey 07732

Protected Species Branch, National MarineFisheries Service, Northeast FisheriesScience Center, 166 Water Street, WoodsHole, Massachusetts 02543

Southeast Region

Protective Species Management Branch,National Marine Fisheries Service,Southeast Region, 9721 Executive CenterDrive, St. Petersburg, Florida 33702–2432

Northwest Region

Protected Species Division, National MarineFisheries Service, Northwest Region, 525NE Oregon, Suite 500, Portland, Oregon97232–2737

Boise Field Office, National Marine FisheriesService, 1387 S. Vinnel Way, Suite 377,Boise, Idaho 83709

Olympia Field Office, National MarineFisheries Service, 510 Desmond Drive, SE,Suite 103, Lacey, Washington 98503



Roseburg Field Office, National MarineFisheries Service, 2900 Stewart ParkwayNW, Roseburg, Oregon 97470

Rufus Field Office, National Marine FisheriesService, P.O. Box 67, 704 ‘‘E’’ 1st, Rufus,Oregon 97050

Southwest Region

Protected Species Management Division,Southwest Region, National MarineFisheries Service, 501 West Ocean Blvd.,Suite 4200, Long Beach, California 90802–4213

Arcata Field Office, National MarineFisheries Service, 1125 16th Street, Room209, Arcata, California 95521

Eureka Field Office, National MarineFisheries Service, 1330 Bayshore Way,Eureka, California 95501

Pacific Islands Area Field Office, NationalMarine Fisheries Service, 2570 Dole Street,Room 106, Honolulu, Hawaii 96822–2396

Santa Rosa Field Office, Protected ResourcesProgram, National Marine FisheriesService, 777 Sonoma Avenue, Room 325,Santa Rosa, California 95404

Alaska Region

Protected Resources Management, Division,Alaska Region, National Marine FisheriesService, 709 West 9th Street, FederalBuilding 461, P.O. Box 21767, Juneau,Alaska 99802

Anchorage Office, 222 West 7th Avenue, Box10, Anchorage, Alaska 99513–7577

IV. Natural Heritage CentersThe Natural Heritage Network comprises

85 biodiversity data centers throughout theWestern Hemisphere. These centers collect,organize, and share data relating toendangered and threatened species andhabitat. The network was developed toinform land-use decisions for developers,corporations, conservationists, andgovernment agencies and is also consultedfor research and educational purposes. Thecenters maintain a Natural Heritage NetworkControl Server Website (http://www.heritage.tnc.org) which provideswebsite and other access to a large numberof specific biodiversity centers. Some of thesecenters are listed below:Alabama Natural Heritage Program,

Huntingdon College, Massey Hall, 1500East Fairview Avenue, Montgomery, AL36106–2148, (334) 834–4519 Fax: (334)834–5439, Internet: [email protected]

Alaska Natural Heritage Program, Universityof Alaska Anchorage, 707 A Street,Anchorage, AK 99501, 907/257–2702 Fax:907/258–9139, Program Director: DavidDuffy, 257–2707, Internet:[email protected]

Arizona Heritage Data Management System,Arizona Game & Fish Department, WM–H,2221 W. Greenway Road, Phoenix, AZ85023, 602/789–3612 Fax: 602/789–3928,Internet: [email protected] Internet:[email protected]

Arkansas Natural Heritage Commission, Suite1500, Tower Building, 323 Center Street,Little Rock, AR 72201, 501/324–9150 Fax:501/324–9618, Director: Harold K.Grimmett, –9614

California Natural Heritage Division,Department of Fish & Game, 1220 S Street,

Sacramento, CA 95814, 916/322–2493 Fax:916/324–0475

Colorado Natural Heritage Program, ColoradoState University, 254 General ServicesBuilding, Fort Collins, CO 80523, 970/491–1309 Fax: 970/491–3349

Connecticut Natural Diversity Database,Natural Resources Center, Department ofEnvironmental Protection, 79 Elm Street,Store Level, Hartford, CT 06106–5127, 860/424–3540 Fax: 860/424–4058

Delaware Natural Heritage Program, Divisionof Fish & Wildlife, Department of NaturalResources & Environmental Control, 4876Hay Point Landing Road Smyrna, DE19977, 302/653–2880 Fax: 302/653–3431

District of Columbia Natural HeritageProgram, 13025 Riley’s Lock Road,Poolesville, MD 20837, 301/427–1302 Fax:301/427–1355

Florida Natural Areas Inventory, 1018Thomasville Road, Suite 200–C,Tallahassee, FL 32303, 904/224–8207 Fax:904/681–9364

Florida Natural Areas Inventory, Eglin AirForce Base, P.O. Box 1150, Niceville, FL32588, 904/883–6451 Fax: 904/682–8381

Georgia Natural Heritage Program, WildlifeResources Division, Georgia Department ofNatural Resources, 2117 U.S. Highway 278S.E., Social Circle, GA 30279, 706/557–3032 or 770/918–6411, Fax: 706/557–3033or 706/557–3040 Internet:[email protected]

Hawaii Natural Heritage Program, The NatureConservancy of Hawaii, 1116 Smith Street,Suite 201, Honolulu, HI 96817, 808/537–4508 Fax: 808/545–2019

Idaho Conservation Data Center, Departmentof Fish & Game, 600 South Walnut Street,Box 25, Boise, ID 83707–0025, 208/334–3402 Fax: 208/334–2114

Illinois Natural Heritage Division,Department of Natural Resources, Divisionof Natural Heritage, 524 South SecondStreet, Springfield, IL 62701–1787, 217/785–8774 Fax: 217/785–8277

Illinois Nature Preserves Commission,Director: Carolyn Grosboll, Deputy Dir/Steward: Randy Heidorn, Deputy Dir/Protect: Don McFall, Office Specialist:Karen Tish, 217/785–8774 Fax: 217/785–8277

Indiana Natural Heritage Data Center,Division of Nature Preserves, Departmentof Natural Resources, 402 WestWashington Street, Room W267,Indianapolis, IN 46204, 317/232–4052 Fax:317/233–0133

Iowa Natural Areas Inventory, Department ofNatural Resources, Wallace State OfficeBuilding, Des Moines, IA 50319–0034, Fax:515/281–6794, Coordinator/Zoologist:Daryl Howell, 515/281–8524

Kansas Natural Heritage Inventory, KansasBiological Survey, 2041 Constant Avenue,Lawrence, KS 66047–2906, 913/864–3453Fax: 913/864–5093

Kentucky Natural Heritage Program,Kentucky State Nature PreservesCommission, 801 Schenkel Lane,Frankfort, KY 40601, 502/573–2886 Fax:502/573–2355

Louisiana Natural Heritage Program,Department of Wildlife & Fisheries, P.O.Box 98000, Baton Rouge, LA 70898–9000,504/765–2821 Fax: 504/765–2607

Maine Natural Areas Program, Department ofConservation (FedEx/UPS: 159 HospitalStreet), 93 State House Station, Augusta,ME 04333–0093, 207/287–8044 Fax: 207/287–8040, Internet: [email protected] Website: http://www.state.me.us/doc/mnap/home.htm

Maryland Heritage & BiodiversityConservation Programs, Department ofNatural Resources, Tawes State OfficeBuilding, E–1, Annapolis, MD 21401, 410/260–8540 Fax: 410/260–8595, Web site:http://www.heritage.tnc.org/nhp/us/md/

Massachusetts Natural Heritage &Endangered Species Program, Division ofFisheries & Wildlife, Route 135,Westborough, MA 01581 508/792–7270ext. 200 Fax: 508/792–7275

Michigan Natural Features Inventory, MasonBuilding, 5th floor (FedEx/UPS: 530 WAllegan, 48933), Box 30444, Lansing, MI48909–7944, 517/373–1552 Fax: 517/373–6705, Director: Leni Wilsmann, 373–7565,Internet: [email protected]

Minnesota Natural Heritage & NongameResearch, Department of NaturalResources, 500 Lafayette Road, Box 7, St.Paul, MN 55155, 612/297–4964 Fax: 612/297–4961

Mississippi Natural Heritage Program,Museum of Natural Science, 111 NorthJefferson Street, Jackson, MS 39201–2897,601/354–7303 Fax: 601/354–7227

Missouri Natural Heritage Database, MissouriDepartment of Conservation, P.O. Box 180(FedEx: 2901 West Truman Blvd), JeffersonCity, MO 65102–0180, 573/751–4115 Fax:573/526–5582

Montana Natural Heritage Program, StateLibrary Building, 1515 E. 6th Avenue,Helena, MT 59620, 406/444–3009 Fax:406/444–0581, Internet:[email protected], Homepage/WorldWide Web: http://nris.msl.mt.gov/mtnhp/nhp-dir.html

Navajo Natural Heritage Program, P.O. Box1480, Window Rock, Navajo Nation, AZ86515, (520) 871–7603, (520) 871–7069(FAX)

Nebraska Natural Heritage Program, Gameand Parks Commission, 2200 North 33rdStreet, P.O. Box 30370, Lincoln, NE 68503,402/471–5421 Fax: 402/471–5528

Nevada Natural Heritage Program,Department of Conservation & NaturalResources, 1550 E. College Parkway, Suite145, Carson City, NV 89706–7921, 702/687–4245 Fax: 702/885–0868

New Hampshire Natural Heritage Inventory,Department of Resources & EconomicDevelopment, 172 Pembroke Street, P.O.Box 1856, Concord, NH 03302, 603/271–3623 Fax: 603/271–2629

New York Natural Heritage Program,Department of EnvironmentalConservation, 700 Troy-Schenectady Road,Latham, NY 12110–2400, 518/783–3932Fax: 518/783–3916, Computer: 518/783–3946

North Carolina Heritage Program, NCDepartment of Environment, Health &Natural Resources, Division of Parks &Recreation, P.O. Box 27687, Raleigh, NC27611–7687, 919–733–4181 Fax: 919/715–3085

North Dakota Natural Heritage Inventory,North Dakota Parks & Recreation



Department, 1835 Bismarck Expressway,Bismarck, ND 58504, 701/328–5357 Fax:701/328–5363

Ohio Natural Heritage Data Base, Division ofNatural Areas & Preserves, Department ofNatural Resources, 1889 Fountain Square,Building F–1, Columbus, OH 43224, 614/265–6453 Fax: 614/267–3096

Oklahoma Natural Heritage Inventory,Oklahoma Biological Survey, 111 EastChesapeake Street, University ofOklahoma, Norman, OK 73019–0575, 405/325–1985 Fax: 405/325–7702, Web site:http://obssun02.uoknor.edu/biosurvey/onhi/home.html

Oregon Natural Heritage Program, OregonField Office, 821 SE 14th Avenue,Portland, OR 97214 503/731–3070; 230–1221 Fax: 503/230–9639

Pennsylvania Natural Diversity Inventory(East, West, Central)

* Pennsylvania Natural Diversity Inventory—East, The Nature Conservancy, 34 AirportDrive, Middletown, PA 17057, 717/948–3962 Fax: 717/948–3957

* Pennsylvania Natural Diversity Inventory—West, Western Pennsylvania Conservancy,Natural Areas Program, 316 FourthAvenue, Pittsburgh, PA 15222, 412/288–2777 Fax: 412/281–1792

* Pennsylvania Natural Diversity Inventory—Central, Bureau of Forestry, P.O. Box 8552,Harrisburg, PA 17105–8552, 717/783–0388Fax: 717/783–5109

Puerto Rico Natural Heritage Program,Division de Patrimonio Natural, Area dePlanificacion Integral, Departamento deRecursos Naturales y Ambientales dePuerto Rico, P.O. Box 5887, Puerta deTierra, Puerto Rico 00906, Tel: 787–722–1726, Fax: 787–725–9526

Rhode Island Natural Heritage Program,Department of EnvironmentalManagement, Division of Planning &Development, 83 Park Street, Providence,RI 02903, 401/277–2776, x4308 Fax: 401/277–2069

South Carolina Heritage Trust, SCDepartment of Natural Resources, P.O. Box167, Columbia, SC 29202, 803/734–3893Fax: 803/734–6310 (Call first)

South Dakota Natural Heritage Data Base, SDDepartment of Game, Fish & Parks WildlifeDivision, 523 E. Capitol Avenue, Pierre, SD57501–3182, 605/773–4227 Fax: 605/773–6245

Tennessee Division of Natural Heritage,Department of Environment &Conservation, 401 Church Street, Life andCasualty Tower, 8th Floor, Nashville, TN37243–0447, 615/532–0431 Fax: 615/532–0614

Texas Biological and Conservation DataSystem, 3000 South IH–35, Suite 100,Austin, TX 78704, 512/912–7011 Fax: 512/912–7058

U.S. Virgin Islands Conservation Data Center,Eastern Caribbean Center, University of theVirgin Islands, No. 2 John Brewers Bay, St.Thomas, VI 00802, (809) 693–1030 [Voice](809) 693–1025, [Fax], Home Page:cdc.uvi.edu, E-Mail:[email protected]

Utah Natural Heritage Program, Division ofWildlife Resources, 1596 West NorthTemple, Salt Lake City, UT 84116, 801/538–4761 Fax: 801/538–4709

Vermont Nongame & Natural HeritageProgram, Vermont Fish & WildlifeDepartment, 103 S. Main Street, 10 South,Waterbury, VT 05671–0501, 802/241–3700Fax: 802/241–3295

Virginia Division of Natural Heritage,Department of Conservation & Recreation,Main Street Station, 1500 E. Main Street,Suite 312, Richmond, VA 23219, 804/786–7951 Fax: 804/371–2674

Washington Natural Heritage Program,Department of Natural Resources, (FedEx:1111 Washington Street, SE), P.O. Box47016, Olympia, WA 98504–7016, 360/902–1340 Fax: 360/902–1783

West Virginia Natural Heritage Program,Department of Natural Resources,Operations Center, Ward Road, P.O. Box67, Elkins, WV 26241, 304/637–0245 Fax:304/637–0250

Wisconsin Natural Heritage Program,Endangered Resources, Department ofNatural Resources, 101 S. Webster Street,Box 7921, Madison, WI 53707, 608/266–7012 Fax: 608/266–2925

Wyoming Natural Diversity Database, 1604Grand Avenue, Suite 2, Laramie, WY82070, 307/745–5026 Fax: 307/745–5026(Call first), Internet: [email protected]

Addendum B—Historic PropertiesGuidance

Applicants must determine whether theirfacility’s storm water discharges, allowablenon-storm water discharges, or constructionof best management practices (BMPs) tocontrol such discharges, has potential toaffect a property that is either listed oreligible for listing on the National Register ofHistoric Places.

For existing dischargers who do not needto construct BMPs for permit coverage, asimple visual inspection may be sufficient todetermine whether historic properties areaffected. However, for facilities which arenew industrial storm water dischargers andfor existing facilities which are planning toconstruct BMPs for permit eligibility,applicants should conduct further inquiry todetermine whether historic properties may beaffected by the storm water discharge orBMPs to control the discharge. In suchinstances, applicants should first determinewhether there are any historic properties orplaces listed on the National Register or ifany are eligible for listing on the register (e.g.,they are ‘‘eligible for listing’’).

Due to the large number of entities seekingcoverage under this permit and the limitednumber of personnel available to State andTribal Historic Preservation Officersnationwide to respond to inquiriesconcerning the location of historic properties,EPA suggests that applicants first access the‘‘National Register of Historic Places’’information listed on the National ParkService’s web page (see Part I of thisaddendum). Addresses for State HistoricPreservation Officers and Tribal HistoricPreservation Officers are listed in Parts II andIII of this addendum, respectively. Ininstances where a Tribe does not have aTribal Historic Preservation Officer,applicants should contact the appropriateTribal government office when responding to

this permit eligibility condition. Applicantsmay also contact city, county or other localhistorical societies for assistance, especiallywhen determining if a place or property iseligible for listing on the register.

The following three scenarios describe howapplicants can meet the permit eligibilitycriteria for protection of historic propertiesunder this permit:

(1) If historic properties are not identifiedin the path of a facility’s storm water andallowable non-storm water discharges orwhere construction activities are planned toinstall BMPs to control such discharges (e.g.,diversion channels or retention ponds), thenthe applicant has met the permit eligibilitycriteria under Part 1.2.3.7.1.

(2) If historic properties are identified butit is determined that they will not be affectedby the discharges or construction of BMPs tocontrol the discharge, the applicant has metthe permit eligibility criteria under Part1.2.3.7.1.

(3) If historic properties are identified inthe path of a facility’s storm water andallowable non-storm water discharges orwhere construction activities are planned toinstall BMPs to control such discharges, andit is determined that there is the potential toadversely affect the property, the applicantcan still meet the permit eligibility criteriaunder Part 1.2.3.7.2 if he/she obtains andcomplies with a written agreement with theappropriate State or Tribal HistoricPreservation Officer which outlines measuresthe applicant will follow to mitigate orprevent those adverse effects. The contents ofsuch a written agreement must be includedin the facility’s Storm Water PollutionPrevention Plan. The NOI form is beingamended to include which option wasselected to demonstrate compliance withNHPA provisions. EPA will notify applicantswhen the new NOI form takes effect.

In situations where an agreement cannot bereached between an applicant and the Stateor Tribal Historic Preservation Officer,applicants should contact the AdvisoryCouncil on Historic Preservation listed inPart IV of this addendum for assistance.

The term ‘‘adverse effects’’ includes but isnot limited to damage, deterioration,alteration or destruction of the historicproperty or place. EPA encourages applicantsto contact the appropriate State or TribalHistoric Preservation Officer as soon aspossible in the event of a potential adverseeffect to a historic property.

Applicants are reminded that they mustcomply with applicable State, Tribal andlocal laws concerning the protection ofhistoric properties and places.

I. Internet Information on the NationalRegister of Historic Places

An electronic listing of the ‘‘NationalRegister of Historic Places,’’ as maintained bythe National Park Service on its NationalRegister Information System (NRIS), can beaccessed on the Internet at ‘‘http://www.nr.nps.gov/nrishome.htm’’. Rememberto use small case letters when accessingInternet addresses.



II. State Historic Preservation Officers(SHPO)

SHPO and Deputy SHPO List:Alabama

Dr. Lee Warner, SHPO, Alabama HistoricalCommission, 468 South Perry Street,Montgomery, AL 36130–0900, 334–242–3184 FAX: 334–240–3477, E-Mail:[email protected]/

Deputy: Ms. Elizabeth Ann Brown, E-Mail:[email protected]

Alaska

Ms. Judith Bittner, SHPO, Alaska Departmentof Natural Resources, Office of History &Archeology, 550 West 7th Avenue, Suite1310, Anchorage, AK 99501–3565, 907–269–8721 FAX: 907–269–8908, E-Mail:[email protected]

Deputy: Joan Antonson, www.dnr.state.ak.us/parks/oha_web

American Samoa

Mr. John Enright, HPO, Executive Offices ofthe Governor, American Samoa HistoricPreservation Office, American SamoaGovernment, Pago Pago, American Samoa96799, 011–684–633–2384 FAX: 684–633–2367, E-Mail: [email protected]

Deputy: Mr. David J. Herdrich, E-Mail:[email protected]

Arizona

Mr. James W. Garrison, SHPO, Arizona StateParks, 1300 West Washington, Phoenix, AZ85007, 602–542–4174 FAX: 602–542–4180,E-Mail: [email protected]

Deputy: Ms. Carol Griffith, E-Mail:[email protected]

Arkansas

Ms. Cathryn B. Slater, SHPO, ArkansasHistoric Preservation Program, 323 CenterStreet, Suite 1500, Little Rock, AR 72201,501–324–9880 FAX: 501–324–9184, E-Mail: [email protected]

Deputy: Mr. Ken Grunewald, 501–324–9356,E-Mail: [email protected]

California

Daniel Abeyta, Acting SHPO, Ofc of HistPres, Dept Parks & Recreation, P.O. Box942896, Sacramento CA 94296–0001, 916–653–6624 FAX: 916–653–9824, E-Mail:[email protected]

Deputy: http://cal-parks.ca.gov

Colorado

Ms. Georgianna Contiguglia, SHPO, ColoradoHistorical Society, 1300 Broadway, Denver,CO 80203, 303–866–3395 FAX: 303–866–4464,

Deputy: Mr. Mark Wolfe, 303–866–2776,FAX: 303–866–2041, E-Mail:[email protected]

Deputy: Dr. Susan M. Collins, 303–866–2736,E-Mail: [email protected]

Tech Ser: Ms. Kaaren Hardy, 303–866–3398,E-Mail: [email protected]

Connecticut

Mr. John W. Shannahan, SHPO, ConnecticutHistorical Commission, 59 So. ProspectStreet, Hartford, CT 06106, 860–566–3005FAX: 860–566–5078, E-Mail:[email protected]

Deputy: Dr. Dawn Maddox, Pres ProgramsSup

Delaware

Mr. Daniel Griffith, SHPO, Division ofHistorical and Cultural Affairs, P.O. Box1401, Dover, DE 19903, 302–739–5313FAX: 302–739–6711, E-Mail:[email protected]

Deputy: Ms. Joan Larrivee, Delaware StateHist Preservation Office, 15 The Green,Dover, DE 19901, 302–739–5685 FAX:302–739–5660, E-Mail:[email protected]

District of Columbia

Mr. Gregory McCarthy, SHPO, HistoricPreservation Division, Suite 305, 941 N.Capitol Street, NE., Room 2500,Washington, DC 20002, 202–442–4570FAX: 202–442–4860, www.dcra.org

Deputy: Mr. Stephen J. Raiche

Florida

Dr. Janet Snyder Matthews, SHPO, Director,Div of Historical Resources, Dept of State,R. A. Gray Building, 4th Floor, 500 S.Bronough St., Tallahassee, FL 32399–0250,850–488–1480 FAX 850–488–3353, E-Mail:[email protected] 800–847–7278 www.dos.state.fl.us/dhr/contents.html

Georgia

Mr. Lonice C. Barrett, SHPO, HistoricPreservation Division/DNR, 156 TrinityAvenue, SW, Suite 101, Atlanta, GA30303–3600, 404–656–2840 FAX 404–651–8739

Deputy: Dr. W. Ray Luce, Director, E-Mail:[email protected]

Deputy: Ms. Carole Griffith, E-Mail:[email protected]

Deputy: Mr. Richard Cloues, E-Mail:[email protected]. state.ga.us/dnr/histpres/

Guam

Lynda B. Aguon, SHPO, Guam HistoricPreservation Office, Department of Parks &Recreation, PO Box 2950 Building 13–8Tiyan, Hagatna, Guam 96932, 1–671–475–6290 FAX: 1–671–477–2822, E-Mail:[email protected] http://www.admin.gov.gu/dpr/hrdhome.html

Hawaii

Mr. Timothy Johns, SHPO, Department ofLand & Natural Resources, P.O. Box 621,Honolulu, HI 96809, 808–587–0401

Deputy: Ms. Janet Kawelo,Deputy: Dr. Don Hibbard, State Historic

Preservation Division, KakuhihewaBuilding, Suite 555, 601 KamokilaBoulevard, Kapolei, HI 96707, 808–692–8015 FAX: 808–692–8020, E-Mail:[email protected]/dlnr

Idaho

Steve Guerber, SHPO, Idaho State HistoricalSociety, 1109 Main Street, Suite 250, Boise,ID 83702–5642, 208–334–2682

Deputy: Suzi Neitzel, 208–334–3847 FAX:208–334–2775, E-Mail:[email protected]

Deputy: Ken Reid, 208–334–3861

Illinois

Mr. William L. Wheeler, SHPO, AssociateDirector, Illinois Historic PreservationAgency, 1 Old State Capitol Plaza,Springfield, IL 62701–1512, 217–785–1153FAX: 217–524–7525

Deputy: Mr. Theodore Hild, Chief of Staff, E-Mail: [email protected],

Deputy: Ms. Anne Haaker

Indiana

Mr. Larry D. Macklin, SHPO, Director,Department of Natural Resources, 402 WestWashington Street, Indiana Govt. CenterSouth, Room W256, Indianapolis, IN46204, E-Mail: [email protected]

Deputy: Jon C. Smith, 317–232–1646 FAX:317–232–0693, E-Mail:[email protected]

Iowa

Mr. Tom Morain, SHPO, State HistoricalSociety of Iowa, Capitol Complex, East 6thand Locust St., Des Moines, IA 50319, 515–281–5419 FAX: 515–242–6498, E-Mail:[email protected]

Ms. Patricia Ohlerking, DSHPO, 515–281–8824 FAX: 515–282–0502,[email protected]

Kansas

Dr. Ramon S. Powers, SHPO, ExecutiveDirector, Kansas State Historical Society,6425 Southwest 6th Avenue, Topeka, KS66615–1099, 785–272–8681 x205 FAX:785–272–8682, E-Mail:[email protected]

Deputy: Mr. Richard D. Pankratz, Director,Historic Pres Dept 785–272–8681 x217

Deputy: Dr. Cathy Ambler, 785–272–8681x215 E-Mail: [email protected]

Kentucky

Mr. David L. Morgan, SHPO, ExecutiveDirector, Kentucky Heritage Council, 300Washington Street, Frankfort, KY 40601,502–564–7005 FAX: 502–564–5820, E-Mail: [email protected]

Louisiana

Ms. Gerri Hobdy, SHPO, Dept of Culture,Recreation & Tourism, P.O. Box 44247,Baton Rouge, LA 70804, 225–342–8200FAX 225–342–8173

Deputy: Mr. Robert Collins 225–342–8200, E-Mail: [email protected]

Deputy: Mr. Jonathan Fricker 225–342–8160,E-Mail: [email protected]

Maine

Mr. Earle G. Shettleworth, Jr., SHPO, MaineHistoric Preservation Commission, 55Capitol Street, Station 65, Augusta, ME04333, 207–287–2132 FAX 207–287–2335,E-Mail: [email protected]

Deputy: Dr. Robert L. Bradleyjanus.state.me.us/mhpc/

Marshall Islands, Republic of the

Mr. Fred deBrum, HPO, Secretary of Interiorand Outer Islands Affairs, P.O. Box 1454,Majuro Atoll, Republic of the MarshallIslands 96960, 011–692–625–4642, FAX:011–692–625–5353

Deputy: Clary Makroro, E-Mail:[email protected]



Maryland

Mr. J. Rodney Little, SHPO, MarylandHistorical Trust, 100 Community Place,Third Floor, Crownsville, MD 21032–2023,410–514–7600 FAX 410–514–7678, E-Mail:[email protected]

Deputy: Mr. William J. Pencek, Jr., http://www.ari.net/mdshpo

Massachusetts

Ms. Judith McDonough, SHPO,Massachusetts Historical Commission, 220Morrissey Boulevard, Boston, MA 02125,617–727–8470 FAX: 617–727–5128, TTD:1–800–392–6090, E-Mail:[email protected]

Deputy: Ms. Brona Simon, Dir TechnicalServs E-Mail: [email protected]. state.ma.us/sec/mhc

Michigan

Brian D. Conway, SHPO, State HistoricPreservation Office, Michigan HistoricalCenter, 717 West Allegan Street, Lansing,MI 48918, 517–373–1630 FAX 517–335–0348, E-Mail:[email protected] http://www.sos.state.mi.us/history/preserve/preserve.html

Micronesia, Federated States Of

Mr. Rufino Mauricio, FSM HPO, Office ofAdministrative Services, Div of Archivesand Historic Preservation, FSM NationalGovernment, P.O. Box PS 35, Palikir,Pohnpei, FM 96941, 011–691–320–2343FAX: 691–320–5634, E-mail:[email protected]

FSM includes four States, whose HPOs arelisted below: Mr. John Tharngan, HPO, YapHistoric Preservation Office, Office of theGovernor, PO Box 714, Colonia, Yap, FM96943, 011–691–350–4226 FAX: 691–350–3898, E-Mail: [email protected]

HPO, Div Land mgmt & Natural Resources,Department of Commerce & Industry, POBox 280, Moen, Chuuk (Truk), FM 96942,011–691–330–2552/2761 FAX: 691–330–4906, Mr. David W. Panuelo, HPO, Dir,Dept of Land, Pohnpei State Government,P.O. Box 1149, Kolonia, Pohnpei, FM96941, 011–691–320–2611 FAX: 011–691–320–5599, E-Mail: [email protected]

Mr. Berlin Sigrah, Kosrae HPO, Div of LandManagement & Preservation, Dept ofAgriculture & Lands, PO Box 82, Kosrae,FM 96944, 011–691–370–3078 FAX: 011–691–370–3767, E-Mail: [email protected]

Minnesota

Dr. Nina Archabal, SHPO, MinnesotaHistorical Society, 345 Kellogg BoulevardWest, St. Paul, MN 55102–1906, 651–296–2747 FAX: 651–296–1004

Deputy: Dr. Ian Stewart, 651–297–5513,Deputy: Ms. Britta L. Bloomberg, 651–296–

5434 FAX: 651–282–2374, E-Mail:[email protected] www.mnhs.org

Mississippi

Mr. Elbert Hilliard, SHPO, Mississippi Deptof Archives & History, P.O. Box 571,Jackson, MS 39205–0571, 601–359–6850,

Deputy: Mr. Kenneth H. P’Pool, Division ofHistoric Preservation, 601–359–6940 FAX:601–359–6955, [email protected]

Missouri

Mr. Stephen Mahfood, SHPO, StateDepartment of Natural Resources, 205Jefferson, P.O. Box 176, Jefferson City, MO65102, 573–751–4422 FAX: 573–751–7627

Deputy: Ms. Claire F. Blackwell, HistoricPreservation Prog, Div of State Parks, 100E. High Street, Jefferson City, MO 65101,573–751–7858 FAX: 573–526–2852, E-Mail: [email protected]

Deputy: Dr. Douglas K. Eiken,www.mostateparks.com

Montana

Dr. Mark F. Baumler, SHPO, State HistoricPreservation Office, 1410 8th Avenue, P.O.Box 201202, Helena, MT 59620–1202, 406–444–7717 FAX 406–444–6575, E-Mail:[email protected]

Deputy: Mr. Herbert E. Dawson,www.hist.state.mt.us

Nebraska

Mr. Lawrence Sommer, SHPO, NebraskaState Historical Society, P.O. Box 82554,1500 R Street, Lincoln, NE 68501, 402–471–4745 FAX: 402–471–3100, E-Mail:[email protected]

Deputy: Mr. L. Robert Puschendorf, 402–471–4769 FAX: 402–471–3316

Nevada

Mr. Ronald James, SHPO, HistoricPreservation Office, 100 N Stewart Street,Capitol Complex, Carson City, NV 89701–4285, 775–684–3440 FAX: 775–684–3442

Deputy: Ms. Alice Baldrica, 775–684–3444,E-Mail: [email protected]

New Hampshire

Ms. Nancy C. Dutton, Director/SHPO, NHDivision of Historical Resources, P.O. Box2043, Concord, NH 03302–2043, 603–271–6435 FAX: 603–271–3433, TDD: 800–735–2964, E-Mail: [email protected]

Deputy: Ms. Linda Ray Wilson, 603–271–6434 or 603–271–3558, E-Mail:[email protected] www.state.nh.us/nhdhr

New Jersey

Mr. Robert C. Shinn, SHPO, Dept of EnvironProtection, 401 East State Street, PO Box402, Trenton, NJ 08625, 609–292–2885FAX: 609–292–7695

Deputy: Mr. James Hall, Natural and HistoricResources, 501 East State Street, PO Box404, Trenton, NJ 08625, 609–292–3541FAX: 609–984–0836

Deputy: Ms. Dorothy Guzzo, Natural andHistoric Resources, Historic PreservationOffice, 609–984–0176 FAX: 609–984–0578,E-Mail: [email protected]

New Mexico

Elmo Baca, SHPO, Historic Preservation Div,Ofc of Cultural Affairs, 228 East PalaceAvenue, Santa Fe, NM 87503, 505–827–6320 FAX: 505–827–6338

Deputy: Dorothy Victor, E-Mail:[email protected]

Deputy: Jan Biella, E-Mail:[email protected] www.museums.state.nm.us/hpd

New York

Ms. Bernadette Castro, SHPO, Parks,Recreation & Historic Preservation, Agency

Building #1, Empire State Plaza, Albany,NY 12238, 518–474–0443

Deputy: Mr. J. Winthrop Aldrich, Deputy,518–474–9113 FAX 518–474–4492

Historic Preservation Staff: Ms. Ruth L.Pierpont, Director, Bureau of FieldServices, NY State Parks, Rec. & Hist. Pres.,Peebles Island PO 189, Waterford, NY12188–0189, 518–237–8643 x 3269 FAX518–233–9049, E-Mail: [email protected] www.nysparks.com

North Carolina

Dr. Jeffrey J. Crow, SHPO, Division ofArchives & History, 4610 Mail ServiceCenter, Raleigh, NC 27699–4610, 919–733–7305 FAX: 919–733–8807, E-Mail:[email protected]

Deputy: Mr. David Brook, HistoricPreservation Office, 4617 Mail ServiceCenter, Raleigh, NC 27699–4617, 919–733–4763 FAX: 919–733–8653, E-Mail:[email protected] http://www.hpo.dcr.state.nc.us

North Dakota

Mr. Samuel Wegner, SHPO, State HistoricalSociety of North Dakota, 612 E. BoulevardAve., Bismarck, ND 58505, 701–328–2666FAX: 701–328–3710, [email protected]/hist

Deputy: Mr. Merl Paaverud, 701–328–2672

Northern Mariana Islands, Commonwealth ofthe

Mr. Joseph P. DeLeon Guerrero, HPO, Dept ofCommunity & Cultural Affairs, Division ofHistoric Preservation, Airport Road,Northern Mariana Islands, Saipan, MP96950, 670–664–2125 FAX 670–664–2139,E-Mail: [email protected]

Deputy: Mr. Scott Russell, 670–664–2121

Ohio

Mr. Amos J. Loveday, SHPO, Ohio HistoricPreservation Office, 567 E Hudson Street,Columbus, OH 43211–1030, 614–297–2600FAX: 614–297–2233, E-Mail:[email protected]

Deputy: Mr. Franco Ruffini, 614–297–2470FAX: 614–297–2496, E-Mail: [email protected] www.ohiohistory.org/resource/histpres

Oklahoma

Dr. Bob L. Blackburn, SHPO, OklahomaHistorical Society, 2100 N. Lincoln Blvd.,Oklahoma City, OK 73105, 405–521–2491FAX 405–521–2492, www.ok-history.mus.ok.us

Deputy: Ms. Melvena Thurman Heisch, StateHistoric Preservation Office, 2704 VillaProm, Shepherd Mall, Oklahoma City, OK73107 405–522–4484 FAX: 405–947–2918,E-Mail: [email protected]

Oregon

Mr. Michael Carrier, SHPO, State Parks &Recreation Department, 1115 CommercialStreet, NE, Salem, OR 97301–1012, 503–378–5019 FAX 503–378–8936

Deputy: Mr. James Hamrick, 503–378–4168x231 FAX 503–378–6447, E-Mail:james.hamrick@ state.or.uswww.prd.state.or.us/about_shpo.html

Palau, Republic of

Ms. Victoria N. Kanai, HPO, Ministry ofCommunity & Cultural Affairs, P.O. Box



100, Koror, Republic of Palau 96940, 011–680–488–2489 FAX: 680–488–2657

Pennsylvania

Dr. Brent D. Glass, SHPO, PennsylvaniaHistorical & Museum Comm, P.O. Box1026, Harrisburg, PA 17108, 717–787–2891

Deputy: Ms. Brenda Barrett, Bur for HistoricPres, 717–787–4363 FAX: 717–772–0920,E-Mail: brenda_barrett@ phmc.state.pa.us

Puerto Rico, Commonwealth of

Ms. Lilliane D. Lopez, SHPO, Office ofHistoric Preservation, Box 82, La Fortaleza,Old San Juan, Puerto Rico 00901, 787–721–2676 or 3737 FAX 787–723–0957

Deputy: Berenice Sueiro, E-Mail:[email protected]

Rhode Island

Mr. Frederick C. Williamson, SHPO, RhodeIsland Historic Preservation & HeritageComm, Old State House, 150 Benefit St.,Providence, RI 02903, 401–222–2678 FAX:401–222–2968

Deputy: Mr. Edward F. Sanderson, E-Mail:[email protected]

South Carolina

Dr. Rodger E. Stroup, SHPO, Department ofArchives & History, 8301 Parklane Road,Columbia, SC 29223–4905, 803–896–6100FAX 803–896–6167

Deputy: Ms. Mary W. Edmonds, 803–896–6168, E-Mail: edmonds@ scdah.state.sc.ushttp://www. state.sc.us/scdah/

South Dakota

Mr. Jay D. Vogt, SHPO, State HistoricPreservation Office, Cultural HeritageCenter, 900 Governors Drive, Pierre, SD57501, 605–773–3458 FAX 605–773–6041,E-Mail: [email protected] http://www.state.sd.us/state/executive/deca/cultural/histpres.htm

Tennessee

Mr. Milton Hamilton, SHPO, Dept ofEnvironment and Conservation, 401Church Street, L & C Tower 21st Floor,Nashville, TN 37243–0435, 615–532–0109FAX: 615–532–0120

Deputy: Mr. Herbert L. Harper, TennesseeHistorical Commission, 2941 LebanonRoad, Nashville, TN 37243–0442, 615–532–1550 FAX: 615–532–1549,www.state.tn.us/environment/hist/hist.htm

Texas

Mr. F. Lawerence Oaks, SHPO, TexasHistorical Commission, P.O. Box 12276,Austin, TX 78711–2276, 512–463–6100FAX: 512–475–4872, E-Mail:[email protected]

Deputy: Mr. James Wright Steely, Dir Nat’lReg Prog, 512–463–5868 FAX: 512–475–3122, E-Mail: [email protected]

Deputy: Mr. Stanley O. Graves, Dir,Architecture Div, 512–463–6094 FAX:512–463–6095, E-Mail:[email protected]

Deputy: Dr. James E. Bruseth, Dir AntiquitiesProt, 512–463–6096 FAX: 512–463–8927,E-Mail: [email protected]

Utah

Mr. Max Evans, SHPO, Utah State HistoricalSociety, 300 Rio Grande, Salt Lake City, UT84101, 801–533–3500 FAX: 801–533–3503

Deputy: Mr. Wilson Martin, E-Mail:[email protected] http://history.utah.org

Vermont

Ms. Emily Wadhams, SHPO, VermontDivision for Historic Preservation, NationalLife Building, Drawer 20, Montpelier, VT05620–0501, 802–828–3211, E-Mail:[email protected]

Deputy: Mr. Eric Gilbertson, Director, 802–828–3043 FAX 802–828–3206, E-Mail:ergilbertson@ dca.state.vt.uswww.state.vt.us/dca/historic/

Virgin Islands

Mr. Dean C. Plaskett, Esq., SHPO,Department of Planning & NaturalResources, Cyril E. King Airport, TerminalBuilding—Second Floor, St. Thomas, VI00802, 340–774–3320 FAX: 340–775–5706

Deputy: Ms. Claudette C. Lewis, 340–776–8605 FAX: 340–776–7236

Virginia

Mr. H. Alexander Wise, Jr, SHPO,Department of Historic Resources, 2801Kensington Avenue, Richmond, VA 23221,804–367–2323 FAX: 804–367–2391, E-Mail: [email protected]

Deputy: Kathleen Kilpatrick

Washington

Dr. Allyson Brooks, SHPO, Ofc of Archeology& Historic Preservation, PO Box 48343, 420Golf Club Road, SE, Suite 201, Lacey,Olympia, WA 98504–8343, 360–407–0753FAX: 360–407–6217,[email protected]

Deputy: Mr. Greg Griffith, 360–407–0753, E-Mail: [email protected]

West Virginia

Ms. Renay Conlin, SHPO, West VirginiaDivision of Culture & History, HistoricPreservation Office, 1900 KanawhaBoulevard East, Charleston, WV 25305–0300, 304–558–0220 FAX: 304–558–2779,E-Mail: [email protected]

Deputy: Ms. Susan Pierce, E-Mail:[email protected]

Wisconsin

Mr. George L. Vogt, SHPO, State HistoricalSociety of Wisconsin, 816 State Street,Madison WI 53706, 608–264–6500 FAX:608–264–6404, E-Mail:[email protected]

Deputy: Ms. Alicia L. Goehring, E-Mail:algoehring@ mail.shsw.wisc. eduwww.shsw.wisc.edu/ahi/index.html

Wyoming

Ms. Wendy Bredehoft, SHPO, Wyoming StateHist. Pres. Ofc., 2301 Central Avenue, 4thFloor, Cheyenne, WY 82002, 307–777–7013 FAX 307–777–3543, E-Mail:[email protected]

Deputy: Judy K. Wolf, 307–777–6311, E-Mail:[email protected]

Sheila Bricher-Wade, Reg Ser 307–777–6179,E-Mail: [email protected]

Mary M. Hopkins, Cult Records 307–766–5324, http://commerce.state.wy.us/cr/shpo

Associate Members:

Navajo Nation

Dr. Alan Downer, HPO, PO Box 4950,Window Rock, AZ 86515, 520–871–6437

FAX: 520–871–7886, E-Mail:[email protected]

Lac Du Flambeau of Lake Superior BandChippewa Indians

Ms. Patricia A. Hrabik Sebby, THPO, PO Box67, Lac Du Flambeau, WI 54538, 715–588–3303

Leech Lake Band of Chippewa Indians

Ms. Rose A. Kluth, THPO, Leech LakeReservation, RR3, Box 100, Cass Lake, MN56633, 218–335–8200 FAX: 218–335–8309,E-Mail: [email protected]

Turtle Mountain Band of Chippewa Indians

Mr. Kade M. Ferris, THPO, Turtle MountainBand of Chippewa Indians, PO Box 900,Belcourt, ND 58316, E-Mail:[email protected]

National Governors= Association, NationalAlliance of Preservation Commissions,National Trust for Historic Preservation,Preservation Action

NCSHPO Officers, Board and Staff

President: Judith Bittner, Alaska, VicePresident: H. Alexander Wise, Jr.,Secretary: Judith McDonough,Massachusetts, Treasurer: Cathryn Slater,Arkansas

Directors: Brenda Barrett, Pennsylvania,Britta Bloomberg, Minnesota, TheodoreHild, Illinois, Wilson Martin, Utah, AmosLoveday, Ohio, Ken P’Pool, Mississippi,Daniel Abeyta, California, Dorothy Guzzo,New Jersey, Jay Vogt, South Dakota, F.Lawerence Oaks, Texas, Ted Sanderson,Rhode Island, Melvena Heisch, Oklahoma

Executive Director: Nancy [email protected]

Office Manager: Anita [email protected]

Senior Program Manager: Andra [email protected]

National Park Service—National Center—http://www.nps.gov/

Associate Director, Cultural Resources, KateStevenson, 202–208–7625

Assistant Director & Manager, CulturalResources, 202–343–9596

Archeology and Ethnography, FrankMcManamon, Program Manager, 202–343–4101

HABS/HAER Division, E. Blaine Cliver,Chief, 202–343–9618

Heritage Preservation Services Program, PatTiller, Chief, 202–343–9569

Preservation Initiatives Branch, BryanMitchell, Chief, 202–343–9558

Technical Preservation Services Branch,Sharon Park, Chief, 202–343–9584,

State, Tribal & Local Programs Branch, JoeWallis, Chief, 202–343–9564

Museum Management Program, AnnHitchcock, Chief Curator, 202–343–9569

National Register, History & Education,Dwight Picaithley, Chief Historian, 202–343–9536

Keeper of the National Register of HistoricPlaces, Carol Shull, 202–343–9536

Park Hist Struct/Cult Landscape Prg, RandallBiallas, Chief Historical Architect, 202–343–9588



National Park Service—Systems SupportOffices

Anchorage, 907–257–2690, Philadelphia,215–597–0652, Denver, 303–969–2875,Atlanta, 404–562–3157, San Francisco,415–427–1300

Advisory Council on Historic Preservation—http://www.achp.gov

John Fowler, Executive Director, 202–606–8503, Ron Anzalone, Assistant to ExecutiveDirector, 202–606–8505, Don Klima,Director, Office of Planning & Review,Eastern and Western Regions, 202–606–8505

National Trust—http://www.nthp.org

Main Number—Washington, DC, 202–588–6000

Northeast Regional Office, Wendy Nicholas,Dir, 617–523–0885

Northeast Field Office, Patrick Hauck, SrProg Assoc, 215–991–5778

Southern Field Office, Lisa Burcham, Sr ProgAssoc, 202–588–6107

Southern Regional Office, John Hildreth, Dir,843–722–8552

Midwest Regional Office, Jim Mann, Dir,312–939–5547

Southwest Field Office, Jane Jenkins, Dir,817–332–4398

Mountains/Plains Regional Office, BarbaraPahl, Dir, 303–623–1504

Western Regional Office, Elizabeth Goldstein,Dir, 415–956–0610

Preservation Action—www.preservationaction.org

Susan West Montgomery, President, 202–659–0915

Council on America’s Military Past—[email protected]

Herbert M. Hart, Executive Director, 703–912–6124, Updated September 5, 2000

III. Tribal Historic Preservation Officers(THPO)

In instances where a Tribe does not havea Tribal Historic Preservation Officer, pleasecontact the appropriate Tribal governmentoffice when responding to this permiteligibility condition.

Tribal Historic Preservation Officers:

(THPO vacant), Tunica-Biloxi Indians ofLouisiana, P.O. Box 331, Marksville, LA71351

James Bird, Eastern Band of CherokeeIndians, Quallah Boundary, P.O. Box 455,Cherokee, NC 28719

Brenda Boyd, Mille Lacs Band of OjibweIndians, HCR 67, Box 194, Onamia, MN56395

John Brown, Narragansett Indian Tribe, P.O.Box 700, Wyoming, RI 02898

Marcia Cross, Confederated Salish andKootenai Tribes, P.O. Box 278, Pablo, MT59855

William Day, Poarch Band of Creek Indians,5811 Jack Springs Rd., Atmore, AL 36502

Alan S. Downer, Ph.D., Historic PreservationDept., Navajo Nation, P.O. Box 4950,Window Rock, AZ 86515

Kade M. Ferris, Turtle Mountain Band ofChippewa Indians, P.O. Box 900, Belcourt,ND 58316

Adeline Fredin, Confederated Tribes of theColville Reservation, P.O. Box 150,Nespelem, WA 99155

Thomas Gates, Cultural Division, YurokTribe, 1034 6th St., Eureka, CA 95501

David Grignon, Menominee Indian Tribe ofWisconsin, P.O. Box 910, Keshena, WI54135–0910

Monza V. Honga, Office of CulturalResources, Hualapai Tribe, P.O. Box 310,Peach Springs, AZ 86434

Kelly Jackson, Lac du Flambeau, P.O. Box 67,Lac du Flambeau, WI 54538

Manfred (Fred) Jaenig, Confederated Tribes ofthe Umatilla Reservation, P.O. Box 638,Pendleton, OR 97801

Sebastian (Bronco) LeBeau, Cheyenne RiverSioux Tribe, P.O. Box 590, Eagle Butte, SD57625

Tim Mentz, Standing Rock Sioux Tribe, P.O.Box D, Fort Yates, ND 58538

Donna Stern-McFadden, Mescalero ApacheTribe, P.O. Box 227, Mescalero, NewMexico 88340

Scott E. Stuemke, Confederated Tribes ofWarm Springs, Cultural ResourcesDepartment, P.O. Box C, Warm Springs, OR97761

Matthew Vanderhoop, Wampanoag Tribe ofGay Head (Aquinnah), 20 Black BrookRoad, Aquinnah, MA 02535–9701, Phone:(508) 645–9265, Fax: (508) 645–3790

John Welch, White Mt. Apache Tribe, P.O.Box 700, Whiteriver, AZ 85941, Phone:(520) 338–5430, Fax: (520) 338–5488

Gerald White, Leech Lake Band of ChippewaIndians, Route 3, Box 100, Cass Lake, MN56633

Louie J. Wynne, Spokane Tribe of Indians,P.O. Box 100, Wellpinit, WA 99040

For more information: National Associationof Tribal Historic Preservation Officers, D.Bambi Kraus, President, 1411 K Street NW,Suite 700, Washington, DC 20005, Phone:(202) 628–8476, Fax: (202) 628–2241

IV. Advisory Council on HistoricPreservation

Advisory Council on Historic Preservation,1100 Pennsylvania Avenue, NW., Suite809, Washington, DC 20004 Telephone:(202) 606–8503/8505, Fax: (202) 606–8647/8672, E-mail: [email protected]

Addendum C—New SourceEnvironmental Assessments

Basic Format for Environmental Assessment

This is the basic format for theEnvironmental Assessment prepared by EPAfrom the review of the applicant’sEnvironmental Information Document (EID)required for new source NPDES permits.Comprehensive information should beprovided for those items or issues that areaffected; the greater the impact, the moredetailed information needed. The EID shouldcontain a brief statement addressing eachitem listed below, even if the item is notapplicable. The statement should at leastexplain why the item is not applicable.A. General Information

1. Name of applicant2. Type of facility3. Location of facility4. Product manufactured

B. Description Summaries1. Describe the proposed facility and

construction activity2. Describe all ancillary construction not

directly involved with the productionprocesses

3. Describe briefly the manufacturingprocesses and procedures

4. Describe the plant site, its history, andthe general area

C. Environmental Concerns1. Historical and Archeological (include a

statement from the State HistoricalPreservation Officer)

2. Wetlands Protection and 100-yearFloodplain Management (the ArmyCorps of Engineers must be contacted ifany wetland area or floodplain isaffected)

3. Agricultural Lands (a prime farmlandstatement from the Soil ConservationService must be included)

4. Coastal Zone Management and Wild andScenic Rivers

5. Endangered Species Protection and Fishand Wildlife Protection (a statementfrom the U.S. Fish and Wildlife Servicemust be included)

6. Air, Water and Land Issues: quality,effects, usage levels, municipal servicesused, discharges and emissions, runoffand wastewater control, geology andsoils involved, land-use compatibility,solid and hazardous waste disposal,natural and man-made hazards involved.

7. Biota concerns: floral, faunal, aquaticresources, inventories and effects

8. Community Infrastructures available andresulting effects: social, economic,health, safety, educational, recreational,housing, transportation and roadresources.




Addendum D—Notice of Intent Form



Addendum E—Notice of Termination Form



Addendum F—No Exposure Certification Form



[FR Doc. 00–25469 Filed 10–27–00; 8:45 am]BILLING CODE 6560–50–C


i

Reader Aids Federal Register

Vol. 65, No. 210


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FEDERAL REGISTER PAGES AND DATE, OCTOBER

58635–58900......................... 258901–59104......................... 359105–59338......................... 459339–59694......................... 559695–60092......................... 660093–60338.........................1060339–60568.........................1160569–60830.........................1260831–61076.........................1361077–61254.........................1661255–62274.........................1762275–62576.........................1862577–62990.........................1962991–63194.........................2063195–63534.........................2363535–63762.........................2463763–64132.........................2564133–64334.........................2664335–64580.........................2764581–64880.........................30

CFR PARTS AFFECTED DURING OCTOBER

At the end of each month, the Office of the Federal Registerpublishes separately a List of CFR Sections Affected (LSA), whichlists parts and sections affected by documents published sincethe revision date of each title.

3 CFR

Proclamations:7346.................................593117347.................................593137348.................................593157349.................................593177350.................................593217351.................................593297352.................................605677353.................................605697354.................................605717355.................................605737356.................................605757357.................................605777358.................................605797359.................................608317360.................................608337361.................................608357362.................................61255

(Amended by Proc.7364) ............................62575

7363.................................612577364.................................625757365.................................629857366.................................629877367.................................629897368.................................637637369.................................64335Executive Orders:July 9, 1910 (Revoked

by PLO 7465)...............61183July 29, 1910

(Revoked by PLO7465) ............................61183

November 25, 1910(Revoked by PLO7465) ............................61183

January 12, 1911(Revoked by PLO7465) ............................61183

December 21, 1911(Revoked by PLO7465) ............................61183

April 29, 1912(Revoked by PLO7465) ............................61183

June 10, 1912(Revoked by PLO7465) ............................61183

July 14, 1913(Revoked by PLO7465) ............................61183

June 6, 1914 (Revokedby PLO 7465)...............61183

October 9, 1917(Revoked by PLO7465) ............................61183

October 20, 1917(Revoked by PLO7465) ............................61183

December 22, 1919(Revoked by PLO

7465) ............................61183June 6, 1929 (Revoked

by PLO 7465)...............6118311625 (See 13170)..........6082712978 (See Notice of

October 19, 2000 .........6319313078 (Amended by

13172) ..........................6457713169...............................6058113170...............................6082713171...............................6125113172...............................6457713173...............................64579Administrative Orders:Presidential Determinations:No. 2000–30 of

September 19,2000 .............................59339

No. 2000–31 ofSeptember 28,2000 .............................59695

No. 2000–32 ofSeptember 29,2000 .............................59697

No. 2000–33 ofSeptember 29,2000 .............................59699

Notices:October 19, 2000.............63193

5 CFR330.......................63765, 64133351.......................62991, 64133430...................................60837532...................................64337591...................................589011201.................................589028301.................................58635Proposed Rules:870...................................64530930...................................64168

7 CFR

90.....................................6430291.....................................6430292.....................................6430293.....................................6430294.....................................6430298.....................................64302271...................................64581272...................................59105273...................................64581274...................................59105276...................................64581301...................................61077319...................................63765718...................................64594723...................................64589729...................................64594735...................................63765920...................................64338932...................................62992956...................................61080

VerDate 11-MAY-2000 16:54 Oct 27, 2000 Jkt 194001 PO 00000 Frm 00001 Fmt 4712 Sfmt 4712 E:\FR\FM\30OCCU.LOC pfrm03 PsN: 30OCCU

ii Federal Register / Vol. 65, No. 210 / Monday, October 30, 2000 / Reader Aids

1220.................................637671230.................................625771446.................................645941464.................................645891724.................................631954279.................................64596Proposed Rules210...................................60502226...................................60502235...................................60502245...................................60502457...................................62311905.......................58672, 60121944.......................58672, 60121984...................................632191210.................................611221412.................................59759

8 CFR

204...................................63118234...................................58902245...................................63118299...................................61259Proposed Rules:3.......................................60384212...................................60384

9 CFR

77.........................63502, 64479331...................................62579391...................................60093590...................................60093Proposed Rules:1.......................................626502.......................................62650

10 CFR

1.......................................592702.......................................5927072.........................60339, 6258113.....................................5927034.....................................6375036.....................................6375039.....................................6375050.....................................6376972.....................................63769434...................................60000435...................................60000830...................................60292Proposed Rules34.....................................6375336.....................................6375339.....................................6375372.....................................60384140.......................61283, 63221430 ..........59550, 59590, 59761431...................................63677719...................................63809

11 CFR

100...................................63535101...................................63535102...................................63535104...................................63535109...................................63535114...................................635359003.................................635359033.................................63535

12 CFR

41.....................................63120222...................................63120226...................................58903263...................................60583334...................................63120

509...................................61260510...................................61260563b.................................60095571...................................63120575...................................60095701...................................64512792...................................63789Proposed Rules:563b.................................60123575...................................60123584...................................64392706...................................64168

13 CFR

121...................................60342Proposed Rules:119...................................60256126...................................58963

14 CFR

25.........................60343, 6319639 ...........58640, 58641, 58645,

58647, 59701, 59703, 59705,59707, 59709, 59710, 60347,60349, 60845, 60846, 60848,60850, 61083, 61085, 61262,62275, 62276, 62280, 62281,62994, 62999, 63001, 63003,63005, 63006, 63535, 63537,63540, 63542, 63790, 63792,63793, 63795, 64134, 64340,

64597, 64601, 6460261.....................................6033463.....................................6033465.....................................6033471 ...........59341, 59711, 59712,

60352, 61087, 63544, 63797,63798

73.....................................5934191.....................................6035293.....................................6035295.....................................6319897 ...........59342, 59345, 63009,

63010, 63013108...................................60334121.......................60334, 60352135.......................60334, 60352187...................................59713383...................................61089401...................................62812417...................................62812420...................................628121260.................................629001274.................................62900Proposed Rules:36.........................59634, 6112539 ...........58675, 58678, 58681,

58966, 59146, 59381, 59383,60124, 60126, 60129, 60591,60593, 60595, 60597, 60599,60897, 61287, 61289, 62313,62315, 62650, 62651, 63023,63551, 63553, 63556, 63817,64176, 64629, 64631, 64632,64634, 64636, 64638, 64640

43.....................................5887845.....................................5887871 ...........59762, 59763, 59764,

60385, 61125, 61126, 61127,62653, 62654, 62655, 62656,

63820, 63821, 64642187...................................64401413...................................63922415...................................63922417...................................63922

15 CFR

101...................................59714705...................................62599732...................................62600734.......................60852, 62600738...................................60852740.......................60852, 62600742 ..........58911, 60852, 62600743...................................60852744.......................60852, 62600748.......................60852, 62600770...................................62600772...................................62600774 ..........58911, 60852, 62600902.......................61264, 63291922...................................60096

16 CFR

1.......................................60857305...................................63201311...................................60857Proposed Rules:Ch. II ................................58968307...................................60899313...................................59766

17 CFR

4.......................................5864830.........................60558, 60560140.......................64136, 64136240...................................64137Proposed Rules:240...................................59766

18 CFR

284...................................59111

19 CFR

10.........................59650, 5966812.....................................64140163.......................59650, 59668Proposed Rules:10.....................................64178

20 CFR

Proposed Rules:404.......................58970, 60584416 ..........58970, 60584, 63221422...................................63221

21 CFR

25.....................................6049973.........................59717, 60253101...................................58917172.......................60858, 64604179...................................64606314...................................64608510.......................60097, 60585522...................................61090526...................................61091556...................................61091601.......................59718, 64608801...................................62282862...................................62285876...................................64619872...................................60098Proposed Rules:801...................................623171313.................................63822

22 CFR

Proposed Rules:51.....................................60132706...................................64342

23 CFR

1275.................................59112

24 CFR

200...................................61072203...................................60320236...................................61072291...................................60324880...................................61072881...................................61072883...................................61072888...................................58870982...................................58870985...................................58870Proposed Rules:7.......................................64320570...................................63756888...................................60084

25 CFR

20.....................................63144Proposed Rules:70.....................................65643

26 CFR

1 .............58650, 60585, 61091,61268

602...................................61268Proposed Rules:1 .............58973, 59774, 60136,

61292, 638245f......................................6129220.....................................6302531.....................................61292301...................................60822

27 CFR

4.......................................59719275...................................63545Proposed Rules:9.......................................61129

28 CFR

0.......................................601002.......................................63291541...................................59725

29 CFR

1908.................................642821952.................................626102520.................................629584022.................................608594044.................................60859Proposed Rules:2510.................................644822570.................................64498

30 CFR

42.....................................5904847.....................................5904856.........................59048, 6127057.........................59048, 6127062.....................................6127070.....................................6127071.....................................6127077.....................................59048206...................................62612Proposed Rules:920...................................59150931...................................63223946...................................59152

31 CFR

Proposed Rules:1.......................................63824


iiiFederal Register / Vol. 65, No. 210 / Monday, October 30, 2000 / Reader Aids

205...................................60796

32 CFR

199...................................63202317...................................63798706 .........61092, 61093, 61094,

61095, 61096, 61097, 61098,61099, 62614

724...................................62614733...................................62615734...................................62616752...................................60861765...................................62619811...................................64619811a.................................64621813...................................64621884...................................643481615.................................60100Proposed Rules:311...................................63826323...................................60900935...................................63826

33 CFR

66.....................................59124100...................................58652110...................................62286117 .........59126, 60359, 60360,

60361, 64352154...................................62288165 .........58654, 58655, 62286,

62289, 62290, 62292Proposed Rules:117...................................59780165...................................63558

36 CFR

Proposed Rules:1190.................................589741191.....................58974, 624981258.................................60862

37 CFR

201.......................64556, 64623256...................................64623

38 CFR

21 ...........59127, 60499, 60724,61100

Proposed Rules:3.......................................61132

39 CFR

20.....................................60361111...................................61102Proposed Rules:111.......................58682, 64643502...................................58682

40 CFR

9.......................................5989435.....................................5885052 ...........59128, 59727, 60101,

61104, 62295, 62620, 62624,62626, 63546, 63678, 64142,64145, 64148, 64156, 64158,

643,52, 64357, 6436060.....................................6174461.....................................6174463 ............59894, 61744, 6416170.....................................6415881 ............59128, 60362, 6229585.....................................5989686.....................................59896132...................................59738

176...................................64126180 .........59346, 61270, 62629,

62631, 62634, 64363, 64369271 .........59135, 61109, 63218,

64161, 64164, 64402300 ..........58656, 61112, 64623403...................................59738Proposed Rules:51.....................................6464852 ...........58698, 59154, 59782,

60141, 60144, 61133, 61134,62319, 62657, 62658, 62666,62668, 62671, 62675, 62677,62679, 62681, 63560, 64189,64190, 64191, 64192, 64402

63.........................58702, 6241470.....................................6419281 ............59154, 60362, 6231982.....................................5978385.....................................64648123...................................59385141.......................63027, 64479142.......................63027, 64479271 .........59155, 61135, 64193,

64403403...................................59791721...................................623191601.................................59155

41 CFR101–2...............................64372101–40.............................60060101–45.............................63549102–117...........................60060Ch. 301 ............................62637Proposed Rules:60–1.................................6081660–250.............................6081660–741.............................6081661–250.............................59684

42 CFR

36.....................................58918409...................................62645410...................................62645412...................................59748413 .........58919, 59748, 60104,

61112422...................................59749424...................................60366440...................................60105441...................................60105489 .........58919, 59748, 61112,

62645498 ..........58919, 61112, 62645Proposed Rules:124...................................62976410...................................62681447...................................601511001.................................630351003.................................630351005.................................630351008.................................63035

43 CFR

Proposed Rules:4.......................................60602

44 CFR

59.....................................6075861.....................................6075864.........................61278, 6128065 ............64372, 64374, 6437867.........................64380, 64386Proposed Rules:65.....................................60159

67.........................64380, 64386206...................................58720

45 CFR

310...................................63801Proposed Rules:80.....................................6419484.....................................6419486.....................................6419490.....................................6419491.....................................64194309...................................63835

46 CFR

10.....................................6438815.....................................64388

47 CFR

1...........................59350, 608682 ..............59350, 60108, 6086915.....................................6438820 ............58657, 60112, 6264625.........................59140, 5974927.....................................6011232.....................................5866154.....................................5866263.....................................6011364.....................................5866173 ...........58920, 58921, 59144,

59145, 59751, 59752, 60378,60379, 60585, 61113, 62299,

63801, 63802, 6462487.........................59350, 6010890.........................60379, 6086995.....................................60869101.......................59350, 60382Proposed Rules:54.....................................5872173 ...........59162, 59163, 59388,

59389, 59796, 59797, 60163,60387, 60602, 61299, 62683,

63043, 6304476.....................................60387

48 CFR

Ch. 1 ................................605422.......................................605424.......................................605425.......................................605427.......................................6054215.....................................6054219.....................................6054252.....................................6054253.....................................60542Ch. 2 ................................63801204...................................63804207...................................63804209...................................63804219.......................63804, 63806236...................................63804242...................................63804252...................................63804931...................................62299970...................................622991511.................................589211515.................................589211517.................................589211519.................................589211523.................................589211528.................................589211535.................................589211542.................................589211545.................................589211552.................................589211807.................................589311811.................................58931

1815.................................589311816.................................589311817.................................589311819.................................589311834.................................589311837.................................589321842.................................638071843.................................589311845.................................589311852.................................58931Proposed Rules:52.....................................64298225...................................63836928...................................63809944...................................63809952...................................63809970...................................638099904.................................59504

49 CFR

172...................................60382173...................................60382177...................................60382375...................................58663386...................................58663391...................................59362571.......................63014, 64624Proposed Rules:171...................................63294172...................................63294173...................................63294174...................................63294175...................................63294176...................................63294177...................................63294178...................................63294180...................................632941180.................................58974

50 CFR

17 ...........58933, 60879, 62302,63438, 63680

20.....................................5866425.....................................6245826.....................................6245829.....................................62458223...................................60383600.......................59752, 63118622...................................61114635 ..........60118, 60889, 63807636...................................63021648 .........59758, 60118, 60586,

60892, 63549, 64627660.......................59752, 63118679 .........59380, 60587, 61264,

62646, 63291, 63550697...................................61116Proposed Rules:17 ...........58981, 59798, 60391,

60603, 60605, 60607, 61218,62690, 62691, 63044, 63046,

64414, 6464920.........................63225, 64650216...................................59164229...................................64415622 ..........59170, 60163, 63837648.......................60396, 64654660 ..........59813, 62692, 63047679...................................58727697...................................61135


iv Federal Register / Vol. 65, No. 210 / Monday, October 30, 2000 / Reader Aids

REMINDERSThe items in this list wereeditorially compiled as an aidto Federal Register users.Inclusion or exclusion fromthis list has no legalsignificance.

RULES GOING INTOEFFECT OCTOBER 30,2000

AGRICULTUREDEPARTMENTCommodity CreditCorporationLoan and purchase programs:

Peanuts; published 10-30-00AGRICULTUREDEPARTMENTFarm Service AgencyFarm marketing quotas,

acreage allotments, andproduction adjustments:Peanuts; published 10-30-00

AGRICULTUREDEPARTMENTRural Business-CooperativeServiceGuaranteed loanmaking:

Domestic lamb industryadjustment assistanceprogram set aside;published 10-30-00

AGRICULTUREDEPARTMENTRural Utilities ServiceGuaranteed loanmaking:

Domestic lamb industryadjustment assistanceprogram set aside;published 10-30-00

ENVIRONMENTALPROTECTION AGENCYAir pollutants, hazardous;

national emission standards:Polymers and resins—

Compliance date (GroupIV); indefinite stay;published 8-29-00

Air quality implementationplans; approval andpromulgation; variousStates:California; published 8-29-00Indiana; published 8-29-00

Air quality implementationplans; √A√approval andpromulgation; variousStates; air quality planningpurposes; designation ofareas:Oregon; published 8-31-00

Superfund program:National oil and hazardous

substances contingencyplan—National priorities list;

published 10-30-00

National priorities listupdate; published 8-31-00

FEDERALCOMMUNICATIONSCOMMISSIONCommon carrier services:

Competitive biddingprocedures for allauctionable services;published 8-29-00

Radio frequency devices:Digital television receivers;

closed captioningrequirements; published 9-29-00

Radio stations; table ofassignments:California; published 9-26-00Colorado; published 9-28-00Georgia; published 9-26-00Hawaii; published 9-28-00Indiana; published 9-28-00Kansas; published 9-28-00Missouri; published 9-26-00Missouri; correction;

published 10-11-00HEALTH AND HUMANSERVICES DEPARTMENTChildren and FamiliesAdministrationPersonal Responsibility and

Work OpportunityReconciliation Act of 1996;implementation:Temporary Assistance for

Needy FamiliesProgram—High performance bonus

rewards to States;published 8-30-00

HEALTH AND HUMANSERVICES DEPARTMENTFood and DrugAdministrationFood additives:

Polydextrose; published 10-30-00

Food for human consumption:Food labeling—

Dietary supplements;effect on structure orfunction of body; typesof statements, definition;partial stay; published9-29-00

Irradiation in production,processing, and handlingof food—Microbial pathogens in

seeds for sprouting;published 10-30-00

COMMENTS DUE NEXTWEEK

AGRICULTUREDEPARTMENTAnimal and Plant HealthInspection ServiceAnimal welfare:

Pain and distress; definitionsand reporting; commentsdue by 11-7-00; published8-21-00

Plant-related quarantine,domestic:Citrus canker; comments

due by 11-6-00; published9-5-00

AGRICULTUREDEPARTMENTCommodity CreditCorporationLoan and purchase programs:

Production flexibilitycontracts; contractviolations and diminutionin payments; fruits andvegetables plantingpayment reduction;comments due by 11-6-00; published 10-6-00

AGRICULTUREDEPARTMENTFood and Nutrition ServiceChild nutrition programs:

Women, infants, andchildren; specialsupplemental nutritionprogram—Public Responsibility and

Work OpportunityReconciliation Act of1996; WIC mandatesimplementation;comments due by 11-6-00; published 9-5-00

COMMERCE DEPARTMENTNational Oceanic andAtmospheric AdministrationFishery conservation and

management:Northeastern United States

fisheries—Atlantic mackerel, squid,

and butterfish;comments due by 11-9-00; published 10-10-00

West Coast States andWestern Pacificfisheries—Pacific Coast groundfish;

comments due by 11-7-00; published 9-8-00

CORPORATION FORNATIONAL ANDCOMMUNITY SERVICEHigher education institutions,

hospitals, and other non-profit organizations; grantsand agreements; uniformadministrative requirements;comments due by 11-6-00;published 9-5-00

DEFENSE DEPARTMENTArmy DepartmentEnvironmental quality:

National EnvironmentalPolicy Act;implementation; comments

due by 11-6-00; published9-7-00

DEFENSE DEPARTMENTFederal Acquisition Regulation

(FAR):Forced or indentured child

labor, products producedby; prohibition ofacquisition; comments dueby 11-6-00; published 9-6-00

Privacy Act; implementation;comments due by 11-6-00;published 9-6-00

ENERGY DEPARTMENTNuclear safety management;

contractor- and government-operated nuclear facilities;comments due by 11-9-00;published 10-10-00

ENVIRONMENTALPROTECTION AGENCYAir programs:

Stratospheric ozoneprotection—Essential use allowances;

allocation; commentsdue by 11-6-00;published 10-6-00

Air quality implementationplans; approval andpromulgation; variousStates:District of Columbia;


Maryland; comments due by11-9-00; published 10-19-00

Maryland and Virginia;comments due by 11-9-00; published 10-19-00

Montana; comments due by11-9-00; published 10-10-00

Virginia; comments due by11-6-00; published 10-6-00

Water pollution control:National Pollutant Discharge

Elimination System—Cooling water intake

structures for newfacilities; comments dueby 11-9-00; published8-31-00

Water pollution; effluentguidelines for point sourcecategories:Publicly owned treatment

works; pretreatmentprogram reinventionprojects under Project XL;comments due by 11-6-00; published 10-6-00

FEDERALCOMMUNICATIONSCOMMISSIONRadio stations; table of

assignments:New York; comments due

by 11-6-00; published 9-26-00


vFederal Register / Vol. 65, No. 210 / Monday, October 30, 2000 / Reader Aids

Texas; comments due by11-6-00; published 10-4-00

FEDERAL EMERGENCYMANAGEMENT AGENCYFlood insurance program:

Letters of Map RevisionBased on Fill; requests;comments due by 11-9-00; published 10-10-00

FEDERAL TRADECOMMISSIONTrade regulation rules:

Franchising and businessopportunity ventures;disclosure requirementsand prohibitions;comments due by 11-6-00; published 9-6-00

GENERAL SERVICESADMINISTRATIONFederal Acquisition Regulation



GOVERNMENT ETHICSOFFICEStandards of ethical conduct

for Executive Branchemployees; comments dueby 11-6-00; published 9-5-00Correction; comments due

by 11-6-00; published 9-12-00

HEALTH AND HUMANSERVICES DEPARTMENTFood and DrugAdministrationAnimal drugs, feeds, and

related products:Presubmission conferences;


HEALTH AND HUMANSERVICES DEPARTMENTHealth Care FinancingAdministrationMedicaid:

Hospital, nursing facility,intermediate care facility,and mentally retarded andclinic services; upperpayment limitrequirements modification;comments due by 11-9-00; published 10-10-00

HOUSING AND URBANDEVELOPMENTDEPARTMENTLow income housing:

Housing assistancepayments (Section 8)—Fair market rent

schedules for HousingChoice Voucher

Program; commentsdue by 11-6-00;published 10-6-00

INTERIOR DEPARTMENTIndian Affairs BureauFinancial activities:

Loan guaranty, insurance,and interest subsidy;revision; comments dueby 11-6-00; published 9-6-00

JUSTICE DEPARTMENTImmigration andNaturalization ServiceImmigration:

Second preferenceemployment-basedimmigrant physiciansserving in medicallyunderserved areas, etc.;national interest waivers;comments due by 11-6-00; published 9-6-00Correction; comments due

by 11-6-00; published10-20-00

NATIONAL AERONAUTICSAND SPACEADMINISTRATIONFederal Acquisition Regulation



SMALL BUSINESSADMINISTRATIONProgram for Investment In

Microentrepreneurs Act;implementation:Disadvantaged

entrepreneurs; trainingand technical assistancegrants; comments due by11-9-00; published 10-10-00

STATE DEPARTMENTNationality and passports:

Executing passportapplication on behalf ofminor; procedures;comments due by 11-6-00; published 10-10-00

Visas; immigrant andnonimmigrant documention:Immigrant visa fees; change

in payment procedures;comments due by 11-7-00; published 9-8-00

TRANSPORTATIONDEPARTMENTCoast GuardPorts and waterways safety:

Portage River and Lily PondHarbor, MI; inlandwaterways navigationregulation removed;comments due by 11-6-00; published 9-5-00

TRANSPORTATIONDEPARTMENTFederal AviationAdministrationAirworthiness directives:

Agusta S.p.A.; commentsdue by 11-6-00; published9-22-00

Allison Engine Co.;comments due by 11-6-00; published 9-7-00

Bombardier; comments dueby 11-6-00; published 10-5-00

Pilatus Aircraft Ltd.;comments due by 11-7-00; published 10-2-00

Rockwell Collins, Inc.;comments due by 11-6-00; published 10-2-00

Rolls-Royce plc; commentsdue by 11-6-00; published9-7-00

Class E airspace; commentsdue by 11-6-00; published9-21-00

TREASURY DEPARTMENTInternal Revenue ServiceIncome taxes:

Foreign trusts that haveU.S. beneficiaries;comments due by 11-6-00; published 8-7-00

Recognition of gain oncertain transfers to certainforeign trusts and estates;comments due by 11-6-00; published 8-7-00

TREASURY DEPARTMENTThrift Supervision OfficeMutual savings associations,

mutual holding companyreorganizations, andconversions from mutual tostock form; comments dueby 11-9-00; published 10-10-00

Repurchases of stock byrecently-converted savingsassociations, mutual holdingcompany dividend waivers,and Gramm-Leach-Biley Actchanges; comments due by11-9-00; published 10-10-00

LIST OF PUBLIC LAWS

This is a continuing list ofpublic bills from the currentsession of Congress whichhave become Federal laws. Itmay be used in conjunctionwith ‘‘P L U S’’ (Public LawsUpdate Service) on 202–523–6641. This list is alsoavailable online at http://www.nara.gov/fedreg.

The text of laws is notpublished in the FederalRegister but may be ordered

in ‘‘slip law’’ (individualpamphlet) form from theSuperintendent of Documents,U.S. Government PrintingOffice, Washington, DC 20402(phone, 202–512–1808). Thetext will also be madeavailable on the Internet fromGPO Access at http://www.access.gpo.gov/nara/index.html. Some laws maynot yet be available.

H.R. 1509/P.L. 106–348To authorize the DisabledVeterans’ LIFE MemorialFoundation to establish amemorial in the District ofColumbia or its environs tohonor veterans who becamedisabled while serving in theArmed Forces of the UnitedStates. (Oct. 24, 2000; 114Stat. 1358)H.R. 3201/P.L. 106–349Carter G. Woodson HomeNational Historic Site StudyAct of 2000 (Oct. 24, 2000;114 Stat. 1359)H.R. 3632/P.L. 106–350Golden Gate NationalRecreation Area BoundaryAdjustment Act of 2000 (Oct.24, 2000; 114 Stat. 1361)H.R. 3676/P.L. 106–351Santa Rosa and San JacintoMountains National MonumentAct of 2000 (Oct. 24, 2000;114 Stat. 1362)H.R. 4063/P.L. 106–352Rosie the Riveter/World War IIHome Front National HistoricalPark Establishment Act of2000 (Oct. 24, 2000; 114 Stat.1370)H.R. 4275/P.L. 106–353Colorado Canyons NationalConservation Area and BlackRidge Canyons WildernessAct of 2000 (Oct. 24, 2000;114 Stat. 1374)H.R. 4386/P.L. 106–354Breast and Cervical CancerPrevention and Treatment Actof 2000 (Oct. 24, 2000; 114Stat. 1381)H.R. 4613/P.L. 106–355National Historic LighthousePreservation Act of 2000 (Oct.24, 2000; 114 Stat. 1385)H.R. 5036/P.L. 106–356Dayton Aviation HeritagePreservation Amendments Actof 2000 (Oct. 24, 2000; 114Stat. 1391)S. 1849/P.L. 106–357White Clay Creek Wild andScenic Rivers System Act(Oct. 24, 2000; 114 Stat.1393)H.J. Res. 115/P.L. 106–358Making further continuingappropriations for the fiscal


vi Federal Register / Vol. 65, No. 210 / Monday, October 30, 2000 / Reader Aids

year 2001, and for otherpurposes. (Oct. 26, 2000; 114Stat. 1397)H.J. Res. 116/P.L. 106–359Making further continuingappropriations for the fiscalyear 2001, and for otherpurposes. (Oct. 26, 2000; 114Stat. 1398)Last List October 26, 2000

Public Laws ElectronicNotification Service(PENS)

PENS is a free electronic mailnotification service of newlyenacted public laws. Tosubscribe, go to www.gsa.gov/

archives/publaws-l.html orsend E-mail [email protected] withthe following text message:

SUBSCRIBE PUBLAWS-LYour Name.

Note: This service is strictlyfor E-mail notification of newlaws. The text of laws is not

available through this service.PENS cannot respond tospecific inquiries sent to thisaddress.


viiFederal Register / Vol. 65, No. 210 / Monday, October 30, 2000 / Reader Aids

CFR CHECKLIST

This checklist, prepared by the Office of the Federal Register, ispublished weekly. It is arranged in the order of CFR titles, stocknumbers, prices, and revision dates.An asterisk (*) precedes each entry that has been issued since lastweek and which is now available for sale at the Government PrintingOffice.A checklist of current CFR volumes comprising a complete CFR set,also appears in the latest issue of the LSA (List of CFR SectionsAffected), which is revised monthly.The CFR is available free on-line through the Government PrintingOffice’s GPO Access Service at http://www.access.gpo.gov/nara/cfr/index.html. For information about GPO Access call the GPO UserSupport Team at 1-888-293-6498 (toll free) or 202-512-1530.The annual rate for subscription to all revised paper volumes is$951.00 domestic, $237.75 additional for foreign mailing.Mail orders to the Superintendent of Documents, Attn: New Orders,P.O. Box 371954, Pittsburgh, PA 15250–7954. All orders must beaccompanied by remittance (check, money order, GPO DepositAccount, VISA, Master Card, or Discover). Charge orders may betelephoned to the GPO Order Desk, Monday through Friday, at (202)512–1800 from 8:00 a.m. to 4:00 p.m. eastern time, or FAX yourcharge orders to (202) 512-2250.Title Stock Number Price Revision Date

1, 2 (2 Reserved) ......... (869–038–00001–3) ...... 6.50 Apr. 1, 2000

3 (1997 Compilationand Parts 100 and101) .......................... (869–042–00002–1) ...... 22.00 1 Jan. 1, 2000

4 .................................. (869–042–00003–0) ...... 8.50 Jan. 1, 2000

5 Parts:1–699 ........................... (869–042–00004–8) ...... 43.00 Jan. 1, 2000700–1199 ...................... (869–042–00005–6) ...... 31.00 Jan. 1, 20001200–End, 6 (6

Reserved) ................. (869–042–00006–4) ...... 48.00 Jan. 1, 2000

7 Parts:1–26 ............................. (869–042–00007–2) ...... 28.00 Jan. 1, 200027–52 ........................... (869–042–00008–1) ...... 35.00 Jan. 1, 200053–209 .......................... (869–042–00009–9) ...... 22.00 Jan. 1, 2000210–299 ........................ (869–042–00010–2) ...... 54.00 Jan. 1, 2000300–399 ........................ (869–042–00011–1) ...... 29.00 Jan. 1, 2000400–699 ........................ (869–042–00012–9) ...... 41.00 Jan. 1, 2000700–899 ........................ (869–042–00013–7) ...... 37.00 Jan. 1, 2000900–999 ........................ (869–042–00014–5) ...... 46.00 Jan. 1, 20001000–1199 .................... (869–042–00015–3) ...... 18.00 Jan. 1, 20001200–1599 .................... (869–042–00016–1) ...... 44.00 Jan. 1, 20001600–1899 .................... (869–042–00017–0) ...... 61.00 Jan. 1, 20001900–1939 .................... (869–042–00018–8) ...... 21.00 Jan. 1, 20001940–1949 .................... (869–042–00019–6) ...... 37.00 Jan. 1, 20001950–1999 .................... (869–042–00020–0) ...... 38.00 Jan. 1, 20002000–End ...................... (869–042–00021–8) ...... 31.00 Jan. 1, 2000

8 .................................. (869–042–00022–6) ...... 41.00 Jan. 1, 2000

9 Parts:1–199 ........................... (869–042–00023–4) ...... 46.00 Jan. 1, 2000200–End ....................... (869–042–00024–2) ...... 44.00 Jan. 1, 2000

10 Parts:1–50 ............................. (869–042–00025–1) ...... 46.00 Jan. 1, 200051–199 .......................... (869–042–00026–9) ...... 38.00 Jan. 1, 2000200–499 ........................ (869–042–00027–7) ...... 38.00 Jan. 1, 2000500–End ....................... (869–042–00028–5) ...... 48.00 Jan. 1, 2000

11 ................................ (869–042–00029–3) ...... 23.00 Jan. 1, 2000

12 Parts:1–199 ........................... (869–042–00030–7) ...... 18.00 Jan. 1, 2000200–219 ........................ (869–042–00031–5) ...... 22.00 Jan. 1, 2000220–299 ........................ (869–042–00032–3) ...... 45.00 Jan. 1, 2000300–499 ........................ (869–042–00033–1) ...... 29.00 Jan. 1, 2000500–599 ........................ (869–042–00034–0) ...... 26.00 Jan. 1, 2000600–End ....................... (869–042–00035–8) ...... 53.00 Jan. 1, 2000

13 ................................ (869–042–00036–6) ...... 35.00 Jan. 1, 2000

Title Stock Number Price Revision Date

14 Parts:1–59 ............................. (869–042–00037–4) ...... 58.00 Jan. 1, 200060–139 .......................... (869–042–00038–2) ...... 46.00 Jan. 1, 2000140–199 ........................ (869–038–00039–1) ...... 17.00 4Jan. 1, 2000200–1199 ...................... (869–042–00040–4) ...... 29.00 Jan. 1, 20001200–End ...................... (869–042–00041–2) ...... 25.00 Jan. 1, 200015 Parts:0–299 ........................... (869–042–00042–1) ...... 28.00 Jan. 1, 2000300–799 ........................ (869–042–00043–9) ...... 45.00 Jan. 1, 2000800–End ....................... (869–042–00044–7) ...... 26.00 Jan. 1, 200016 Parts:0–999 ........................... (869–042–00045–5) ...... 33.00 Jan. 1, 20001000–End ...................... (869–042–00046–3) ...... 43.00 Jan. 1, 200017 Parts:1–199 ........................... (869–042–00048–0) ...... 32.00 Apr. 1, 2000200–239 ........................ (869–042–00049–8) ...... 38.00 Apr. 1, 2000240–End ....................... (869–042–00050–1) ...... 49.00 Apr. 1, 200018 Parts:1–399 ........................... (869–042–00051–0) ...... 54.00 Apr. 1, 2000400–End ....................... (869–042–00052–8) ...... 15.00 Apr. 1, 200019 Parts:1–140 ........................... (869–042–00053–6) ...... 40.00 Apr. 1, 2000141–199 ........................ (869–042–00054–4) ...... 40.00 Apr. 1, 2000200–End ....................... (869–042–00055–2) ...... 20.00 Apr. 1, 200020 Parts:1–399 ........................... (869–042–00056–1) ...... 33.00 Apr. 1, 2000400–499 ........................ (869–042–00057–9) ...... 56.00 Apr. 1, 2000500–End ....................... (869–042–00058–7) ...... 58.00 Apr. 1, 200021 Parts:1–99 ............................. (869–042–00059–5) ...... 26.00 Apr. 1, 2000100–169 ........................ (869–042–00060–9) ...... 30.00 Apr. 1, 2000170–199 ........................ (869–042–00061–7) ...... 29.00 Apr. 1, 2000200–299 ........................ (869–042–00062–5) ...... 13.00 Apr. 1, 2000300–499 ........................ (869–042–00063–3) ...... 20.00 Apr. 1, 2000500–599 ........................ (869–042–00064–1) ...... 31.00 Apr. 1, 2000600–799 ........................ (869–038–00065–0) ...... 10.00 Apr. 1, 2000800–1299 ...................... (869–042–00066–8) ...... 38.00 Apr. 1, 20001300–End ...................... (869–042–00067–6) ...... 15.00 Apr. 1, 200022 Parts:1–299 ........................... (869–042–00068–4) ...... 54.00 Apr. 1, 2000300–End ....................... (869–042–00069–2) ...... 31.00 Apr. 1, 200023 ................................ (869–042–00070–6) ...... 29.00 Apr. 1, 200024 Parts:0–199 ........................... (869–042–00071–4) ...... 40.00 Apr. 1, 2000200–499 ........................ (869–042–00072–2) ...... 37.00 Apr. 1, 2000500–699 ........................ (869–042–00073–1) ...... 20.00 Apr. 1, 2000700–1699 ...................... (869–042–00074–9) ...... 46.00 Apr. 1, 20001700–End ...................... (869–042–00075–7) ...... 18.00 5Apr. 1, 200025 ................................ (869–042–00076–5) ...... 52.00 Apr. 1, 200026 Parts:§§ 1.0-1–1.60 ................ (869–042–00077–3) ...... 31.00 Apr. 1, 2000§§ 1.61–1.169 ................ (869–042–00078–1) ...... 56.00 Apr. 1, 2000§§ 1.170–1.300 .............. (869–042–00079–0) ...... 38.00 Apr. 1, 2000§§ 1.301–1.400 .............. (869–042–00080–3) ...... 29.00 Apr. 1, 2000§§ 1.401–1.440 .............. (869–042–00081–1) ...... 47.00 Apr. 1, 2000§§ 1.441-1.500 .............. (869-042-00082-0) ...... 36.00 Apr. 1, 2000§§ 1.501–1.640 .............. (869–042–00083–8) ...... 32.00 Apr. 1, 2000§§ 1.641–1.850 .............. (869–042–00084–6) ...... 41.00 Apr. 1, 2000§§ 1.851–1.907 .............. (869–042–00085–4) ...... 43.00 Apr. 1, 2000§§ 1.908–1.1000 ............ (869–042–00086–2) ...... 41.00 Apr. 1, 2000§§ 1.1001–1.1400 .......... (869–042–00087–1) ...... 45.00 Apr. 1, 2000§§ 1.1401–End .............. (869–042–00088–9) ...... 66.00 Apr. 1, 20002–29 ............................. (869–042–00089–7) ...... 45.00 Apr. 1, 200030–39 ........................... (869–042–00090–1) ...... 31.00 Apr. 1, 200040–49 ........................... (869–042–00091–9) ...... 18.00 Apr. 1, 200050–299 .......................... (869–042–00092–7) ...... 23.00 Apr. 1, 2000300–499 ........................ (869–042–00093–5) ...... 43.00 Apr. 1, 2000500–599 ........................ (869–042–00094–3) ...... 12.00 Apr. 1, 2000600–End ....................... (869–042–00095–1) ...... 12.00 Apr. 1, 200027 Parts:1–199 ........................... (869–042–00096–0) ...... 59.00 Apr. 1, 2000

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viii Federal Register / Vol. 65, No. 210 / Monday, October 30, 2000 / Reader Aids


200–End ....................... (869–042–00097–8) ...... 18.00 Apr. 1, 2000

28 Parts: .....................0-42 ............................. (869–038–00098–9) ...... 39.00 July 1, 199943-end ......................... (869-042-00099-4) ...... 36.00 July 1, 2000

29 Parts:0–99 ............................. (869–042–00100–1) ...... 33.00 July 1, 2000100–499 ........................ (869–038–00101–2) ...... 13.00 July 1, 1999500–899 ........................ (869–042–00102–8) ...... 47.00 July 1, 2000900–1899 ...................... (869–042–00103–6) ...... 24.00 July 1, 20001900–1910 (§§ 1900 to

1910.999) .................. (869–042–00104–4) ...... 46.00 6July 1, 20001910 (§§ 1910.1000 to

end) ......................... (869–042–00105–2) ...... 28.00 6July 1, 20001911–1925 .................... (869–042–00106–1) ...... 20.00 July 1, 20001926 ............................. (869–042–00107–9) ...... 30.00 6July 1, 20001927–End ...................... (869–038–00108–0) ...... 43.00 July 1, 1999

30 Parts:1–199 ........................... (869–038–00109–8) ...... 35.00 July 1, 1999200–699 ........................ (869–042–00110–9) ...... 33.00 July 1, 2000700–End ....................... (869–042–00111–7) ...... 39.00 July 1, 2000

31 Parts:0–199 ........................... (869–042–00112–5) ...... 23.00 July 1, 2000200–End ....................... (869–042–00113–3) ...... 53.00 July 1, 200032 Parts:1–39, Vol. I .......................................................... 15.00 2 July 1, 19841–39, Vol. II ......................................................... 19.00 2 July 1, 19841–39, Vol. III ........................................................ 18.00 2 July 1, 19841–190 ........................... (869–038–00114–4) ...... 46.00 July 1, 1999191–399 ........................ (869–042–00115–0) ...... 62.00 July 1, 2000400–629 ........................ (869–042–00116–8) ...... 35.00 July 1, 2000630–699 ........................ (869–042–00117–6) ...... 25.00 July 1, 2000700–799 ........................ (869–042–00118–4) ...... 31.00 July 1, 2000800–End ....................... (869–042–00119–2) ...... 32.00 July 1, 2000



35 ................................ (869–042–00126–5) ...... 10.00 July 1, 2000

36 Parts1–199 ........................... (869–042–00127–3) ...... 24.00 July 1, 2000200–299 ........................ (869–042–00128–1) ...... 24.00 July 1, 2000300–End ....................... (869–038–00129–2) ...... 38.00 July 1, 1999

37 (869–038–00130–6) ...... 29.00 July 1, 1999

38 Parts:0–17 ............................. (869–042–00131–1) ...... 40.00 July 1, 200018–End ......................... (869–042–00132–0) ...... 47.00 July 1, 2000

39 ................................ (869–042–00133–8) ...... 28.00 July 1, 2000

40 Parts:1–49 ............................. (869–042–00134–6) ...... 37.00 July 1, 200050–51 ........................... (869–042–00135–4) ...... 28.00 July 1, 200052 (52.01–52.1018) ........ (869–042–00136–2) ...... 36.00 July 1, 200052 (52.1019–End) .......... (869–042–00137–1) ...... 44.00 July 1, 200053–59 ........................... (869–038–00138–1) ...... 19.00 July 1, 199960 ................................ (869–042–00139–7) ...... 66.00 July 1, 200061–62 ........................... (869–038–00140–3) ...... 19.00 July 1, 199963 (63.1–63.1119) .......... (869–042–00141–9) ...... 66.00 July 1, 200063 (63.1200–End) .......... (869–042–00142–7) ...... 49.00 July 1, 200064–71 ........................... (869–042–00143–5) ...... 12.00 July 1, 200072–80 ........................... (869–038–00144–6) ...... 41.00 July 1, 199981–85 ........................... (869–038–00145–4) ...... 33.00 July 1, 199986 ................................ (869–038–00146–2) ...... 59.00 July 1, 199987-135 .......................... (869–042–00146–8) ...... 66.00 July 1, 2000136–149 ........................ (869–038–00148–9) ...... 40.00 July 1, 1999150–189 ........................ (869–038–00149–7) ...... 35.00 July 1, 1999190–259 ........................ (869–042–00150–8) ...... 25.00 July 1, 2000


260–265 ........................ (869–042–00151–6) ...... 36.00 July 1, 2000266–299 ........................ (869–042–00152–4) ...... 35.00 July 1, 2000300–399 ........................ (869–038–00153–5) ...... 26.00 July 1, 1999400–424 ........................ (869–042–00154–1) ...... 37.00 July 1, 2000*425–699 ...................... (869–042–00155–9) ...... 48.00 July 1, 2000700–789 ........................ (869–038–00156–0) ...... 42.00 July 1, 1999790–End ....................... (869–042–00157–5) ...... 23.00 6July 1, 200041 Chapters:1, 1–1 to 1–10 ..................................................... 13.00 3 July 1, 19841, 1–11 to Appendix, 2 (2 Reserved) ................... 13.00 3 July 1, 19843–6 ..................................................................... 14.00 3 July 1, 19847 ........................................................................ 6.00 3 July 1, 19848 ........................................................................ 4.50 3 July 1, 19849 ........................................................................ 13.00 3 July 1, 198410–17 ................................................................. 9.50 3 July 1, 198418, Vol. I, Parts 1–5 ............................................. 13.00 3 July 1, 198418, Vol. II, Parts 6–19 ........................................... 13.00 3 July 1, 198418, Vol. III, Parts 20–52 ........................................ 13.00 3 July 1, 198419–100 ............................................................... 13.00 3 July 1, 19841–100 ........................... (869–042–00158–3) ...... 15.00 July 1, 2000101 ............................... (869–038–00159–4) ...... 39.00 July 1, 1999102–200 ........................ (869–042–00160–5) ...... 21.00 July 1, 2000201–End ....................... (869–042–00161–3) ...... 16.00 July 1, 2000

42 Parts:1–399 ........................... (869–038–00162–4) ...... 36.00 Oct. 1, 1999400–429 ........................ (869–038–00163–2) ...... 44.00 Oct. 1, 1999430–End ....................... (869–038–00164–1) ...... 54.00 Oct. 1, 1999

43 Parts:1–999 ........................... (869–038–00165–9) ...... 32.00 Oct. 1, 19991000–end ..................... (869–038–00166–7) ...... 47.00 Oct. 1, 1999

44 ................................ (869–038–00167–5) ...... 28.00 Oct. 1, 1999

45 Parts:1–199 ........................... (869–038–00168–3) ...... 33.00 Oct. 1, 1999200–499 ........................ (869–038–00169–1) ...... 16.00 Oct. 1, 1999500–1199 ...................... (869–038–00170–5) ...... 30.00 Oct. 1, 19991200–End ...................... (869–038–00171–3) ...... 40.00 Oct. 1, 1999

46 Parts:1–40 ............................. (869–038–00172–1) ...... 27.00 Oct. 1, 199941–69 ........................... (869–038–00173–0) ...... 23.00 Oct. 1, 199970–89 ........................... (869–038–00174–8) ...... 8.00 Oct. 1, 199990–139 .......................... (869–038–00175–6) ...... 26.00 Oct. 1, 1999140–155 ........................ (869–038–00176–4) ...... 15.00 Oct. 1, 1999156–165 ........................ (869–038–00177–2) ...... 21.00 Oct. 1, 1999166–199 ........................ (869–038–00178–1) ...... 27.00 Oct. 1, 1999200–499 ........................ (869–038–00179–9) ...... 23.00 Oct. 1, 1999500–End ....................... (869–038–00180–2) ...... 15.00 Oct. 1, 1999

47 Parts:0–19 ............................. (869–038–00181–1) ...... 39.00 Oct. 1, 199920–39 ........................... (869–038–00182–9) ...... 26.00 Oct. 1, 199940–69 ........................... (869–038–00183–7) ...... 26.00 Oct. 1, 199970–79 ........................... (869–038–00184–5) ...... 39.00 Oct. 1, 199980–End ......................... (869–038–00185–3) ...... 40.00 Oct. 1, 1999

48 Chapters:1 (Parts 1–51) ............... (869–038–00186–1) ...... 55.00 Oct. 1, 19991 (Parts 52–99) ............. (869–038–00187–0) ...... 30.00 Oct. 1, 19992 (Parts 201–299) .......... (869–038–00188–8) ...... 36.00 Oct. 1, 19993–6 ............................... (869–038–00189–6) ...... 27.00 Oct. 1, 19997–14 ............................. (869–038–00190–0) ...... 35.00 Oct. 1, 199915–28 ........................... (869–038–00191–8) ...... 36.00 Oct. 1, 199929–End ......................... (869–038–00192–6) ...... 25.00 Oct. 1, 1999

49 Parts:1–99 ............................. (869–038–00193–4) ...... 34.00 Oct. 1, 1999100–185 ........................ (869–038–00194–2) ...... 53.00 Oct. 1, 1999186–199 ........................ (869–038–00195–1) ...... 13.00 Oct. 1, 1999200–399 ........................ (869–038–00196–9) ...... 53.00 Oct. 1, 1999400–999 ........................ (869–038–00197–7) ...... 57.00 Oct. 1, 19991000–1199 .................... (869–038–00198–5) ...... 17.00 Oct. 1, 19991200–End ...................... (869–038–00199–3) ...... 14.00 Oct. 1, 1999

50 Parts:1–199 ........................... (869–038–00200–1) ...... 43.00 Oct. 1, 1999200–599 ........................ (869–038–00201–9) ...... 22.00 Oct. 1, 1999


ixFederal Register / Vol. 65, No. 210 / Monday, October 30, 2000 / Reader Aids


600–End ....................... (869–038–00202–7) ...... 37.00 Oct. 1, 1999

CFR Index and FindingsAids .......................... (869–042–00047–1) ...... 53.00 Jan. 1, 2000

Complete 1999 CFR set ...................................... 951.00 1999

Microfiche CFR Edition:Subscription (mailed as issued) ...................... 290.00 1999Individual copies ............................................ 1.00 1999Complete set (one-time mailing) ................... 247.00 1997Complete set (one-time mailing) ................... 264.00 19961 Because Title 3 is an annual compilation, this volume and all previous volumes

should be retained as a permanent reference source.2 The July 1, 1985 edition of 32 CFR Parts 1–189 contains a note only for

Parts 1–39 inclusive. For the full text of the Defense Acquisition Regulationsin Parts 1–39, consult the three CFR volumes issued as of July 1, 1984, containingthose parts.

3 The July 1, 1985 edition of 41 CFR Chapters 1–100 contains a note onlyfor Chapters 1 to 49 inclusive. For the full text of procurement regulationsin Chapters 1 to 49, consult the eleven CFR volumes issued as of July 1,1984 containing those chapters.

4 No amendments to this volume were promulgated during the period January1, 1999, through January 1, 2000. The CFR volume issued as of January 1,1999 should be retained.

5 No amendments to this volume were promulgated during the period April1, 1999, through April 1, 2000. The CFR volume issued as of April 1, 1999 shouldbe retained.

6 No amendments to this volume were promulgated during the period July1, 1999, through July 1, 2000. The CFR volume issued as of July 1, 1999 shouldbe retained..
