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Code · REGISTER · 2006-10-06 · Bureau of Indian Affairs, Interior · Notices

Notices. Notice

31,338 words·~142 min read·/register/2006/10/06/06-8543·

A research copy — for the controlling text, always check the official state or federal source. Not legal advice.

BILLING CODE 4210-67-M DEPARTMENT OF THE INTERIOR Bureau of Indian Affairs Final Environmental Impact Statement for the Elk Valley Rancheria's Proposed 203.5 Acre Martin Ranch Fee-to-Trust Transfer and Casino/Resort Project, Del Norte County, CA AGENCY: Bureau of Indian Affairs, Interior. ACTION: Notice. SUMMARY: This notice advises the public that the Bureau of Indian Affairs (BIA), in cooperation with the Elk Valley Rancheria (tribe), City of Crescent City, U.S. Army Corps of Engineers, U.S. Fish and Wildlife Service, California Department of Fish and Game, and U.S. Environmental Protection Agency (EPA), intends to file a final Environmental Impact Statement
(FEIS)with the EPA for the proposed approval of a 203.5-acre fee-to-trust transfer and casino/resort complex in Del Norte County, California, and that the FEIS is now available to the public. The purpose of the proposed action is to help provide for the economic development of the tribe. DATES: The Record of Decision on the proposed action will be issued on or after November 7, 2006. Any comments on the FEIS must arrive by November 6, 2006. ADDRESSES: You may mail or hand carry written comments to Clay Gregory, Regional Director, Bureau of Indian Affairs, Pacific Region, 2800 Cottage Way, Room W-2820, Sacramento, California 95825. Please include your name, return address and the caption, “FEIS Comments, Elk Valley Rancheria, Martin Ranch, Fee to Trust Casino/Resort Project,” on the first page of your written comments. The FEIS will be available for review at the Del Norte County Library, located at 190 Price Mall, Crescent City, California 95531. General information for the Del Norte County Library District can be obtained by calling
(707)464-9793. If you would like to obtain a copy of the FEIS, please provide your name and address in writing or by voicemail to John Rydzik, Chief of the Division of Environmental, Cultural Resource Management and Safety, at the BIA address above or at the telephone number provided below. FOR FURTHER INFORMATION CONTACT: John Rydzik,
(916)978-6042. SUPPLEMENTARY INFORMATION: The tribe has asked the BIA to take 203.5 acres of land into trust on behalf of the tribe, on which the tribe proposes to develop a casino, hotel, conference center and parking facility. The project site, known locally as the Martin Ranch, is located one mile southeast of the City of Crescent City, California, adjacent to Highway 101 and Humboldt Road. The site is currently undeveloped, with the exception of a single-family residence, associated outbuildings, and barn. Regional access to the project site would be via Highway 101. Humboldt Road would provide primary local access to the casino. Project alternatives considered in the FEIS include:
(1)The preferred casino, hotel, conference center, and parking facility alternative;
(2)a golf course, hotel, conference center, and parking facility (non-gaming) alternative;
(3)a casino, hotel, conference center, golf course, and parking facility alternative;
(4)the Enderts Beach casino alternative; and
(5)the no action alternative. Environmental issues addressed in the FEIS include land resources, water resources, air quality, biological resources, cultural resources, socioeconomic conditions, environmental justice, transportation, land use, agriculture, public services, noise, hazardous materials, visual resources, cumulative effects, indirect effects and mitigation. The BIA is the lead agency for compliance with the National Environmental Policy Act for this proposed action. The City of Crescent City, U.S. Army Corps of Engineers, U.S. Fish and Wildlife Service, EPA, and California Department of Fish and Game, as entities having jurisdiction and expertise relevant to potentially affected resources, are serving as cooperating agencies. In addition, consultation and coordination has been executed with the California Coastal Commission. The BIA has afforded other government agencies and the public ample opportunity to participate in the preparation of this FEIS. The BIA published a notice of intent to prepare an EIS for the proposed action in the **Federal Register** on November 21, 2003 (68 FR 65732). The BIA held a public scoping meeting on December 15, 2003, in Crescent City. A Notice of Availability for the Draft EIS was published in the **Federal Register** on September 30, 2005 (70 FR 57277), and in the *Daily Triplicate* on September 29 and 30, and October 5, 2005. The document was available for public comment from September 30 to November 28, 2005, and a public hearing held November 2, 2005, in Crescent City. Public Comment Availability Comments, including names and addresses of respondents, will be available for public review at the mailing address shown in the ADDRESSES section, during regular business hours, 8 a.m. to 4:30 p.m., Monday through Friday, except holidays. Individual respondents may request confidentiality. If you wish us to withhold your name and/or address from public review or from disclosure under the Freedom of Information Act, you must state this prominently at the beginning of your written comment. Such requests will be honored to the extent allowed by law. We will not, however, consider anonymous comments. All submissions from organizations or businesses, and from individuals identifying themselves as representatives or officials of organizations or businesses, will be made available for public inspection in their entirety. Authority This notice is published in accordance with section 1503.1 of the Council on Environmental Quality regulations (40 CFR parts 1500 through 1508) implementing the procedural requirements of the National Environmental Policy Act of 1969, as amended (42 U.S.C. 4321 *et seq.* ), the Department of the Interior Manual (516 DM 1-6), and is in the exercise of authority delegated to the Principal Deputy Assistant Secretary—Indian Affairs by 209 DM 8. Dated: September 6, 2006. Michael D. Olsen, Principal Deputy Assistant Secretary—Indian Affairs. [FR Doc. E6-16551 Filed 10-5-06; 8:45 am] BILLING CODE 4310-W7-P DEPARTMENT OF THE INTERIOR Bureau of Land Management [WO-310-06-1310-PP] Section 365 of the Energy Policy Act of 2005, Implementation of the Pilot Project To Improve Federal Permit Coordination; Public Listening Sessions AGENCY: Bureau of Land Management, Interior. ACTION: Notice of public listening session. SUMMARY: Two public listening sessions will be held by the Bureau of Land Management ( BLM) to solicit views from the public on implementation of the Pilot Project provisions of the Energy Policy Act of 2005. Section 365 of the Energy Policy Act directs the Secretary of the Interior to establish seven BLM Field Offices as oil and gas streamlining Project Offices. The offices are: Rawlins, Wyoming; Buffalo, Wyoming; Miles City, Montana; Farmington, New Mexico; Carlsbad, New Mexico; Grand Junction/Glenwood Springs, Colorado; and Vernal, Utah. The Act directs that within 90 days from the date the Act was signed (August 8, 2005) that a Memorandum of Understanding be signed between the U.S. Department of the Interior and the U.S. Department of Agriculture, the Environmental Protection Agency, and the U.S. Army Corps of Engineers. The Memorandum of Understanding was signed October 24, 2005. In addition, Section 365 specifies that not later than 3 years after the date of enactment, the Secretary of the Interior shall submit to Congress a report that outlines the results of the Pilot Project, and makes recommendations to the President regarding whether the Pilot Project should be implemented throughout the United States. The public listening sessions will provide an opportunity for the public to comment on the progress made in the first year of the Pilot Project. Dates and Location: Two public listening sessions are scheduled for November 14, 2006 in Denver, Colorado, at the Renaissance Denver Hotel, 3801 Quebec Street, Denver Colorado 80207. The first listening session will be held from 2 p.m. MST to 4 p.m. MST. The second listening session will be held from 6 p.m. MST to 8 p.m. MST. FOR FURTHER INFORMATION CONTACT: Alan Kesterke, Energy Policy Liaison for the Energy Act Implementation Team at
(307)775-6001. SUPPLEMENTARY INFORMATION: The public listening sessions will begin with an overview of progress on the Pilot Project. Participants who request to speak will be provided a set amount of time to provide their comments. Thomas Lonnie, Assistant Director, Minerals, Realty and Resource Protection. [FR Doc. E6-16586 Filed 10-5-06; 8:45 am] BILLING CODE 4310-84-P DEPARTMENT OF THE INTERIOR Bureau of Land Management [CO-922-06-1310-FI; COC65792] Notice of Proposed Reinstatement of Terminated Oil and Gas Lease AGENCY: Bureau of Land Management, Interior. ACTION: Notice of proposed reinstatement of terminated oil and gas lease. SUMMARY: Under the provisions of 30 U.S.C. 188(d) and (e), and 43 CFR 3108.2-3(a) and (b)(1), the Bureau of Land Management
(BLM)received a petition for reinstatement of oil and gas lease COC65792 from Neil V Romano for lands in Rio Blanco County, Colorado. The petition was filed on time and was accompanied by all the rentals due since the date the lease terminated under the law. FOR FURTHER INFORMATION CONTACT: Bureau of Land Management, Milada Krasilinec, Land Law Examiner, Branch of Fluid Minerals Adjudication, at 303.239.3767. SUPPLEMENTARY INFORMATION: The lessee has agreed to the amended lease terms for rentals and royalties at rates of $10.00 per acre or fraction thereof, per year and 16 2/3 percent, respectively. The lessee has paid the required $500 administrative fee and $163 to reimburse the Department for the cost of this **Federal Register** notice. The lessee has met all the requirements for reinstatement of the lease as set out in Section 31(d) and
(e)of the Mineral Lands Leasing Act of 1920 (30 U.S.C. 188), and the Bureau of Land Management is proposing to reinstate lease COC65792 effective April 1, 2006, under the original terms and conditions of the lease and the increased rental and royalty rates cited above. Dated: September 26, 2006. Milada Krasilinec, Land Law Examiner. [FR Doc. E6-16585 Filed 10-5-06; 8:45 am] BILLING CODE 4310-JB-P DEPARTMENT OF THE INTERIOR National Park Service National Register of Historic Places; Notification of Pending Nominations and Related Actions Nominations for the following properties being considered for listing or related actions in the National Register were received by the National Park Service before September 23, 2006. Pursuant to section 60.13 of 36 CFR part 60 written comments concerning the significance of these properties under the National Register criteria for evaluation may be forwarded by United States Postal Service, to the National Register of Historic Places, National Park Service, 1849 C St., NW., 2280, Washington, DC 20240; by all other carriers, National Register of Historic Places, National Park Service, 1201 Eye St., NW., 8th floor, Washington DC 20005; or by fax, 202-371-6447. Written or faxed comments should be submitted by October 21, 2006. John W. Roberts, Acting Chief, National Register/National Historic Landmarks Program. AMERICAN SAMOA Western District Vatia, Old, Above Vatia Village SW of AS 15, Vatia Village, 06000956 DISTRICT OF COLUMBIA District of Columbia Fifteenth Street Financial Historic District, 15th St. from PA Ave. to I St., Washington, 06000967 FLORIDA Monroe County Sloppy Joe's Bar, 201 Duval St., Key West, 06000957 GEORGIA Fulton County Cox—Carlton Hotel, 683 Peachtree St., NE., Atlanta, 06000960 Highland School, 978 North Ave., NE., Atlanta, 06000959 Oconee County High Shoals Historic District, Centered on GA 186, and banks of the Apalachee R, North High Shoals, 06000958 KANSAS Dickinson County Trinity Evangelical Lutheran Church, 320 N. Cedar St., Abilene, 06000965 Douglas County Barnes Apple Barn, 714 E. 1728 Rd., Baldwin City, 06000966 Ellis County Chestnut Street Historic District, Main, W. 9th, W. 10th, E 11th, E 12th Sts., Hays, 06000968 Sedgwick County Chapman—Noble House, 1230 N. Waco, Wichita, 06000962 Comley House, 1137 N. Broadway, Wichita, 06000961 Fairmount Congregational Church, 1650 N. Fairmont, Wichita, 06000963 Shawnee County Gem Building, 506-510 SW 10th Ave., Topeka, 06000964 NEW YORK Greene County Oak Hill Methodist Episcopal Church, 427 Main St., Oak Hill, 06000972 Livingston County Payne Cobblestone House (Cobblestone Architecture of New York State MPS), 5813 Federal Rd., Conesus, 06000969 Monroe County Jayne and Mason Bank Building, 11 E. Main St., Webster, 06000970 New York County Macmillan Building, 60-62 Fifth Ave., New York, 06000973 Tioga County Newark Valley Municipal Building and Tappan—Spaulding Memorial Library, (Newark Valley MPS) 9 Park St. and 8 Rock St., Newark Valley, 06000971 RHODE ISLAND Providence County Richmond Paper Company Mill Complex, 310 Bourne Ave., East Providence, 06000974 VIRGINIA Petersburg Independent City Pocahontas Island Historic District (Prehistoric through Historic Archeological and Architectural Resources at Bermuda Hundred MPS),Pocahontas, Witten, Rolfe, Logan, and Sapony Sts., Petersburg (Independent City), 06000977 Richmond Independent City Carver Residential Historic District (Boundary Increase), 909-1011 W. Marshall St., Richmond (Independent City), 06000975 Manchester Residential and Commercial Historic District (Boundary Increase), 1211-17, 1301-1305 and 1418 McDonough St., 310-12 W. 12th St., 309 W. 13th St., 314 and 400 W. 14th St., Richmond (Independent City), 06000976 [FR Doc. E6-16609 Filed 10-5-06; 8:45 am] BILLING CODE 4312-51-P DEPARTMENT OF LABOR Occupational Safety and Health Administration [Docket No. NRTL2-92] Canadian Standards Association; Application for Expansion of Recognition AGENCY: Occupational Safety and Health Administration (OSHA), Labor. ACTION: Notice. SUMMARY: This notice announces the application of Canadian Standards Association
(CSA)for expansion of its recognition, and presents the Agency's preliminary finding in favor of granting this request. This preliminary finding does not constitute an interim or temporary approval of this application. DATES: You must submit information or comments, or any request for extension of the time to comment, by the following dates: • Hard copy: Postmarked or sent by October 23, 2006. • Electronic transmission or facsimile: Sent by October 23, 2006. ADDRESSES: You may submit information or comments to this notice—identified by docket number NRTL2-92—by any of the following methods: • *Federal eRulemaking Portal:* *http://www.regulations.gov.* Follow the instructions for submitting comments. • *OSHA Web site:* * http://ecomments.osha.gov.* Follow the instructions for submitting comments on OSHA's Web page. • *Fax* : If your written comments are 10 pages or fewer, you may fax them to the OSHA Docket Office at
(202)693-1648. • *Regular mail, express delivery, hand delivery and courier service:* Submit three copies to the OSHA Docket Office, Docket No. NRTL2-92, U.S. Department of Labor, 200 Constitution Avenue, NW., Room N-2625, Washington, DC 20210; telephone
(202)693-2350. (OSHA's TTY number is
(877)889-5627). OSHA Docket Office hours of operation are 8:15 a.m. to 4:45 p.m., EST. *Instructions:* All comments received will be posted without change to *http://dockets.osha.gov,* including any personal information provided. OSHA cautions you about submitting personal information such as social security numbers and birth dates. *Docket:* For access to the docket to read background documents or comments received, go to *http://dockets.osha.gov.* Contact the OSHA Docket Office for information about materials not available through the OSHA Web page and for assistance in using the Web page to locate docket submissions. *Extension of Comment Period:* Submit requests for extensions concerning this notice to the Office of Technical Programs and Coordination Activities, NRTL Program, Occupational Safety and Health Administration, U.S. Department of Labor, 200 Constitution Avenue, NW., Room N-3655, Washington, DC 20210. Or, fax to
(202)693-1644. FOR FURTHER INFORMATION CONTACT: Director, Office of Technical Programs and Coordination Activities, NRTL Program, Occupational Safety and Health Administration, U.S. Department of Labor, 200 Constitution Avenue, NW., Room N-3655, Washington, DC 20210, or phone
(202)693-2110. SUPPLEMENTARY INFORMATION: Notice of Application The Occupational Safety and Health Administration
(OSHA)hereby gives notice that Canadian Standards Association
(CSA)has applied for expansion of its current recognition as a Nationally Recognized Testing Laboratory (NRTL). CSA's expansion request covers the use of additional test standards. OSHA's current scope of recognition for CSA may be found in the following informational Web page: *http://www.osha.gov/dts/otpca/nrtl/csa.html.* OSHA recognition of an NRTL signifies that the organization has met the legal requirements in Section 1910.7 of Title 29, Code of Federal Regulations (29 CFR 1910.7). Recognition is an acknowledgment that the organization can perform independent safety testing and certification of the specific products covered within its scope of recognition and is not a delegation or grant of government authority. As a result of recognition, employers may use products “properly certified” 1 by the NRTL to meet OSHA standards that require testing and certification. 1 Properly certified means, in part, that the product is labeled or marked with the NRTL's “registered” certification mark (i.e., the mark the NRTL uses for its NRTL work) and that the product certification falls within the scope of recognition of the NRTL. The Agency processes applications by an NRTL for initial recognition or for expansion or renewal of this recognition following requirements in Appendix A to 29 CFR 1910.7. This appendix requires that the Agency publish two notices in the **Federal Register** in processing an application. In the first notice, OSHA announces the application and provides its preliminary finding and, in the second notice, the Agency provides its final decision on the application. These notices set forth the NRTL's scope of recognition or modifications of that scope. We maintain an informational Web page for each NRTL, which details its scope of recognition. These pages can be accessed from our Web site at *http://www.osha.gov/dts/otpca/nrtl/index.html.* The most recent notice published by OSHA specifically related to CSA's recognition granted an expansion of recognition, which became effective on August 26, 2003 (68 FR 51303). The current addresses of the CSA facilities already recognized by OSHA are: Canadian Standards Association, 178 Rexdale Boulevard (Toronto), Etobicoke, ON M9W 1R3, Canada; CSA International, Pointe-Claire (Montreal), 865 Ellingham Street, Pointe-Claire, PQ H9R 5E8, Canada; CSA International, Richmond (Vancouver), 13799 Commerce Parkway, Richmond, BC V6V 2N9, Canada; CSA International, Edmonton, 1707-94th Street, Edmonton, AB T6N 1E6, Canada; CSA International, Irvine, 2805 Barranca Parkway, Irvine, CA 92606; and CSA International, Cleveland, 8501 East Pleasant Valley Road, Cleveland, OH 44131 General Background on the Application CSA submitted an application, dated July 5, 2005, (see Exhibit 34-1) to, among other things, expand its recognition to include 12 additional test standards. The NRTL Program staff has determined that nine of these standards are individually an “appropriate test standard” within the meaning of 29 CFR 1910.7(c). However, one of these standards is already included in CSA's scope. Therefore, OSHA would approve eight test standards for the expansion. CSA seeks recognition for testing and certification of products for demonstration of conformance to the following test standards: UL 568 Nonmetallic Cable Tray Systems FM 3810 Electrical and Electronic Test, Measuring, and Process Control Equipment UL 61010A-2-010 Electrical Equipment for Laboratory Use; Part 2: Particular Requirements for Laboratory Equipment for the Heating of Materials UL 61010A-2-041 Electrical Equipment for Laboratory Use; Part 2: Particular Requirements for Autoclaves Using Steam for the Treatment of Medical Materials and for Laboratory Processes UL 61010A-2-042 Electrical Equipment for Laboratory Use; Part 2: Particular Requirements for Autoclaves and Sterilizers Using Toxic Gas for the Treatment of Medical Materials, and for Laboratory Processes UL 61010A-2-051 Electrical Equipment for Laboratory Use; Part 2: Particular Requirements for Laboratory Equipment for Mixing and Stirring UL 61010A-2-061 Electrical Equipment for Laboratory Use; Part 2: Particular Requirements for Laboratory Atomic Spectrometers with Thermal Atomization and Ionization UL 61010B-2-031 Electrical Equipment for Measurement, Control, and Laboratory Use; Part 2: Particular Requirements for Hand-Held Probe Assemblies for Electrical Measurement and Test The designations and titles of the above test standards were current at the time of the preparation of this notice. OSHA's recognition of CSA, or any NRTL, for a particular test standard is limited to equipment or materials (i.e., products) for which OSHA standards require third-party testing and certification before use in the workplace. Consequently, if a test standard also covers any product(s) for which OSHA does not require such testing and certification, an NRTL's scope of recognition does not include that product(s). Many test standards listed above also are approved as American National Standards by the American National Standards Institute (ANSI). However, for convenience, we use the designation of the standards developing organization for the standard as opposed to the ANSI designation. Under our procedures, any NRTL recognized for an ANSI-approved test standard may use either the latest proprietary version of the test standard or the latest ANSI version of that standard. You may contact ANSI to find out whether or not a test standard is currently ANSI-approved. Preliminary Finding on the Application CSA has submitted an acceptable request for expansion of its recognition as an NRTL. In connection with this request, OSHA did not perform an on-site review of CSA's NRTL testing facilities. However, NRTL Program assessment staff reviewed information pertinent to the request and recommended that CSA's recognition be expanded to include the additional test standards listed above (see Exhibit 34-2). Our review of the application file, the assessor's recommendation, and other pertinent documents indicate that CSA can meet the requirements, as prescribed by 29 CFR 1910.7, for the expansion for the additional test standards listed above. This preliminary finding does not constitute an interim or temporary approval of the application. OSHA welcomes public comments, in sufficient detail, as to whether CSA has met the requirements of 29 CFR 1910.7 for expansion of its recognition as an NRTL. Your comments should consist of pertinent written documents and exhibits. Should you need more time to comment, you must request it in writing, including reasons for the request. OSHA must receive your written request for extension at the address provided above no later than the last date for comments. OSHA will limit any extension to 30 days, unless the requester justifies a longer period. You may obtain or review copies of CSA's requests, the assessor's recommendation, and all submitted comments, as received, by contacting the Docket Office, Room N-2625, Occupational Safety and Health Administration, U.S. Department of Labor, at the above address. Docket No. NRTL2-92 contains all materials in the record concerning CSA's application. The NRTL Program staff will review all timely comments and, after resolution of issues raised by these comments, will recommend whether to grant CSA's expansion request. The Assistant Secretary will make the final decision on granting the expansion and, in making this decision, may undertake other proceedings that are prescribed in Appendix A to 29 CFR 1910.7. OSHA will publish a public notice of this final decision in the **Federal Register** . Signed at Washington, DC, this 25th day of September, 2006. Edwin G. Foulke, Jr., Assistant Secretary. [FR Doc. E6-16587 Filed 10-5-06; 8:45 am] BILLING CODE 4510-26-P DEPARTMENT OF LABOR Occupational Safety and Health Administration [Docket No. NRTL2-90] SGS U.S. Testing Company, Inc.; Applications for Renewal and Expansion of Recognition AGENCY: Occupational Safety and Health Administration (OSHA), Labor. ACTION: Notice. SUMMARY: This notice announces the applications of SGS U.S. Testing Company, Inc., (SGSUS) for renewal and expansion of its recognition, and presents the Agency's preliminary finding in favor of granting these requests. This preliminary finding does not constitute an interim or temporary approval of these applications. DATES: You must submit information or comments, or any request for extension of the time to comment, by the following dates: • Hard copy: postmarked or sent by October 23, 2006. • Electronic transmission or facsimile: sent by October 23, 2006. ADDRESSES: You may submit information or comments to this notice—identified by docket number NRTL2-90—by any of the following methods: • *Federal eRulemaking Portal: http://www.regulations.gov.* Follow the instructions for submitting comments. • *OSHA Web site: http://ecomments.osha.gov.* Follow the instructions for submitting comments on OSHA's Web page. • *Fax:* If your written comments are 10 pages or fewer, you may fax them to the OSHA Docket Office at
(202)693-1648. • *Regular mail, express delivery, hand delivery and courier service:* Submit three copies to the OSHA Docket Office, Docket No. NRTL2-90, U.S. Department of Labor, 200 Constitution Avenue, NW., Room N-2625, Washington, DC 20210; telephone
(202)693-2350. (OSHA's TTY number is
(877)889-5627.) OSHA Docket Office hours of operation are 8:15 a.m. to 4:45 p.m., EST. *Instructions:* All comments received will be posted without change to *http://dockets.osha.gov,* including any personal information provided. OSHA cautions you about submitting personal information such as social security numbers and birth dates. *Docket:* For access to the docket to read background documents or comments received, go to *http://dockets.osha.gov.* Contact the OSHA Docket Office for information about materials not available through the OSHA Web page and for assistance in using the Web page to locate docket submissions. *Extension of Comment Period:* Submit requests for extensions concerning this notice to the Office of Technical Programs and Coordination Activities, NRTL Program, Occupational Safety and Health Administration, U.S. Department of Labor, 200 Constitution Avenue, NW., Room N-3655, Washington, DC 20210. Or fax to
(202)693-1644. FOR FURTHER INFORMATION CONTACT: Director, Office of Technical Programs and Coordination Activities, NRTL Program, Occupational Safety and Health Administration, U.S. Department of Labor, 200 Constitution Avenue, NW., Room N-3655, Washington, DC 20210, or phone
(202)693-2110. SUPPLEMENTARY INFORMATION: Notice of Renewal and Expansion Applications The Occupational Safety and Health Administration
(OSHA)hereby gives notice that SGS U.S. Testing Company, Inc., (SGSUS) has applied for renewal and for expansion of its recognition as a Nationally Recognized Testing Laboratory (NRTL). The expansion request covers the use of additional test standards, while the SGSUS renewal request covers its existing scope of recognition. OSHA's current scope of recognition for SGSUS may be found in the following informational Web page: *http://www.osha.gov/dts/otpca/nrtl/sgs.html.* OSHA recognition of an NRTL signifies that the organization has met the legal requirements in Section 1910.7 of Title 29, Code of Federal Regulations (29 CFR 1910.7). Recognition is an acknowledgment that the organization can perform independent safety testing and certification of the specific products covered within its scope of recognition and is not a delegation or grant of government authority. As a result of recognition, employers may use products “properly certified” 1 by the NRTL to meet OSHA standards that require testing and certification. 1 Properly certified means, in part, that the product is labeled or marked with the NRTL's “registered” certification mark (i.e., the mark the NRTL uses for its NRTL work) and that the product certification falls within the scope of recognition of the NRTL. The Agency processes applications by an NRTL for initial recognition or for expansion or renewal of this recognition following requirements in Appendix A to 29 CFR 1910.7. This appendix requires that the Agency publish two notices in the **Federal Register** in processing an application. In the first notice, OSHA announces the application and provides its preliminary finding and, in the second notice, the Agency provides its final decision on the application. These notices set forth the NRTL's scope of recognition or modifications of that scope. We maintain an informational Web page for each NRTL, which details its scope of recognition. These pages can be accessed from our Web site at *http://www.osha.gov/dts/otpca/nrtl/index.html.* The most recent notice published by OSHA specifically related to the SGSUS recognition covered an expansion of recognition, which became effective on May 12, 2000 (65 FR 30638). OSHA, however, issued a notice modifying the scope of a number of NRTLs to replace or delete withdrawn test standards (70 FR 11273, March 8, 2005). SGSUS was one of those NRTLs. The current address of the SGSUS facility already recognized by OSHA is: SGS U.S. Testing Company, Inc., 291 Fairfield Avenue, Fairfield, New Jersey 07004. General Background on the Renewal and Expansion Applications SGSUS initially received OSHA recognition as an NRTL on March 23, 1993 (see 58 FR 15509), for a period of five years ending March 23, 1998. At the time, it was called U.S. Testing Company, Inc., California Division. SGSUS's initial recognition consisted of one site in California. It later sought and was granted recognition for a second site in Fairfield, New Jersey. Appendix A to 29 CFR 1910.7 stipulates that the period of recognition of an NRTL is five years and that an NRTL may renew its recognition by applying not less than nine months, nor more than one year, before the expiration date of its current recognition. NRTLs submitting requests within this allotted time period retain their recognition during OSHA's renewal process. SGSUS submitted the required information and received its first renewal of recognition on August 28, 1998 (63 FR 46084), for the five-year period ending August 28, 2003. SGSUS applied on October 2, 2002, (see Exhibit 18-1) for renewal of its recognition, again within the time allotted. However, partly as a result of changes SGSUS was considering or undergoing at the time, we deferred the renewal process. Those changes included the eventual voluntary termination of its California site from the NRTL Program (see 69 FR 68407, November 24, 2004) leaving only the Fairfield site as part of its renewal request. SGSUS then applied on September 28, 2005, for expansion of its recognition to add seven test standards to its scope. The NRTL Program staff has determined that each of these standards is an “appropriate test standard” within the meaning of 29 CFR 1910.7(c). The staff makes similar determinations in processing expansion requests from any NRTL. Therefore, OSHA would approve all of these test standards for the expansion. OSHA staff performed an on-site visit of the NRTL's Fairfield site in September 2005. Based on this visit, the staff recommended continued recognition of SGSUS and the expansion it requested, respectively, in November 2005 and February 2006 (see Exhibits 18-3 and 18-4). The SGSUS existing scope of recognition consists of the facility listed above, and the test standards listed below and the supplemental programs listed under *Programs and Procedures.* SGSUS seeks renewal of its recognition for continued testing and certification of products for demonstration of conformance to the following test standards: UL 1 Flexible Metal Conduit. * UL 3 Flexible Nonmetallic Tubing for Electric Wiring. UL 94 Tests for Flammability of Plastic Materials for Parts in Devices and Appliances. UL 250 Household Refrigerators and Freezers. UL 514A Metallic Outlet Boxes. UL 544 Electric Medical and Dental Equipment. UL 632 Electrically-Actuated Transmitters. UL 696 Electric Toys. UL 697 Toy Transformers UL 751 Vending Machines. UL 913 Intrinsically Safe Apparatus and Associated Apparatus for Use in Class I, II, and III, Division I, Hazardous (Classified) Locations. UL 1012 Power Units Other Than Class 2. UL 1236 Battery Chargers for Charging Engine-Starter Batteries. UL 1310 Class 2 Power Units. UL 1484 Residential Gas Detectors. UL 1492 Audio-Video Products and Accessories. UL 1598 Luminaries. UL 1604 Electrical Equipment for Use in Class I and II, Division 2, and Class III Hazardous (Classified) Locations. UL 6500 Audio/Visual and Musical Instrument Apparatus for Household, Commercial, and Similar General Use. UL 60065 Audio, Video and Similar Electronic Apparatus. UL 60601-1 Medical Electrical Equipment, Part 1: General Requirements for Safety. UL 60950 Information Technology Equipment. UL 61010A-1 Electrical Equipment For Laboratory Use; Part 1: General Requirements. UL 61010B-1 Electrical Measuring and Test Equipment; Part 1: General Requirements. * This test standard has been withdrawn by the standards developing organization. Since other NRTLs also are approved for this standard, we would include it in the SGSUS renewal temporarily until we publish a notice to delete all withdrawn standards from the recognition of all NRTLs. The designations and titles of the above test standards, and those listed below, were current at the time of the preparation of this notice. OSHA's recognition of SGSUS, or any NRTL, for a particular test standard is limited to equipment or materials (i.e., products) for which OSHA standards require third-party testing and certification before use in the workplace. Consequently, if a test standard also covers any product(s) for which OSHA does not require such testing and certification, an NRTL's scope of recognition does not include that product(s). Many UL test standards also are approved as American National Standards by the American National Standards Institute (ANSI). However, for convenience, we use the designation of the standards developing organization for the standard as opposed to the ANSI designation. Under our procedures, any NRTL recognized for an ANSI-approved test standard may use either the latest proprietary version of the test standard or the latest ANSI version of that standard. You may contact ANSI to find out whether or not a test standard is currently ANSI-approved. Programs and Procedures The renewal would include continued use by SGSUS of supplemental programs 2, 3, 4, and 9. *Program 2:* Acceptance of testing data from independent organizations, other than NRTLs. *Program 3:* Acceptance of product evaluations from independent organizations, other than NRTLs. *Program 4:* Acceptance of witnessed testing data. *Program 9:* Acceptance of services other than testing or evaluation performed by subcontractors or agents. In developing these programs, OSHA responded to industry requests and allowed certain of their ongoing practices to continue but in a manner controlled by OSHA criteria. In this sense, they are special conditions that the Agency places on an NRTL's recognition. OSHA does not consider these programs in determining whether an NRTL meets the requirements for recognition under 29 CFR 1910.7. However, these programs help to define the scope of that recognition. Expansion of Recognition SGSUS seeks expansion of its recognition for testing and certification of products for demonstration of conformance to the following test standards: UL 62 Flexible Cord and Fixture Wire. UL 355 Cord Reels. UL 498 Attachment Plugs and Receptacles. UL 498A Current Taps and Adapters. UL 817 Cord Sets and Power-Supply Cords. UL 1363 Relocatable Power Taps. UL 1581 Electrical Wires, Cables, and Flexible Cords. Preliminary Finding SGSUS has submitted acceptable requests for renewal and expansion of its recognition as an NRTL. Our review of the application file, the assessor's recommendations, and other pertinent documents, indicates that SGSUS can meet the requirements, as prescribed by 29 CFR 1910.7, for:
(1)The renewal of the one site and the test standards and programs listed above, and
(2)the expansion for the additional seven tests standards also noted. This preliminary finding does not constitute an interim or temporary approval of these applications. OSHA welcomes public comments, in sufficient detail, as to whether SGSUS has met the requirements of 29 CFR 1910.7 for the renewal and expansion of its recognition as an NRTL. Your comments should consist of pertinent written documents and exhibits. Should you need more time to comment, you must request it in writing, including reasons for the request. OSHA must receive your written request for extension at the address provided above no later than the last date for comments. OSHA will limit any extension to 30 days, unless the requester justifies a longer period. You may obtain or review copies of the SGSUS request, the on-site review report, other pertinent documents, and all submitted comments, as received, by contacting the Docket Office, Room N2625, Occupational Safety and Health Administration, U.S. Department of Labor, at the above address. Docket No. NRTL2-90 contains all materials in the record concerning the SGSUS application. The NRTL Program staff will review all timely comments and, after resolution of issues raised by these comments, will recommend whether to grant the SGSUS renewal and expansion requests. The Assistant Secretary will make the final decision on granting these requests and, in making this decision, may undertake other proceedings that are prescribed in Appendix A to 29 CFR 1910.7. OSHA will publish a public notice of this final decision in the **Federal Register** . Signed at Washington, DC, this 25th day of September, 2006. Edwin G. Foulke, Jr., Assistant Secretary. [FR Doc. E6-16589 Filed 10-5-06; 8:45 am] BILLING CODE 4510-26-P DEPARTMENT OF LABOR Occupational Safety and Health Administration [Docket No. NRTL3-90] Southwest Research Institute; Application for Renewal and Expansion of Recognition AGENCY: Occupational Safety and Health Administration (OSHA), Labor. ACTION: Notice. SUMMARY: This notice announces the application of Southwest Research Institute
(SWRI)for renewal and expansion of its recognition and presents the Agency's preliminary finding in favor of granting this request. This preliminary finding does not constitute an interim or temporary approval of this application. DATES: You must submit information or comments, or any request for extension of the time to comment, by the following dates: • Hard copy: Postmarked or sent by October 23, 2006. • Electronic transmission or facsimile: Sent by October 23, 2006. ADDRESSES: You may submit information or comments to this notice—identified by docket number NRTL3-90—by any of the following methods: • *Federal eRulemaking Portal* : *http://www.regulations.gov.* Follow the instructions for submitting comments. • *OSHA Web site* : *http://ecomments.osha.gov.* Follow the instructions for submitting comments on OSHA's Web page. • *Fax:* If your written comments are 10 pages or fewer, you may fax them to the OSHA Docket Office at
(202)693-1648. • *Regular mail, express delivery, hand delivery and courier service:* Submit three copies to the OSHA Docket Office, Docket No. NRTL3-90, U.S. Department of Labor, 200 Constitution Avenue, NW., Room N-2625, Washington, DC 20210; telephone
(202)693-2350. (OSHA's TTY number is
(877)889-5627.) OSHA Docket Office hours of operation are 8:15 a.m. to 4:45 p.m., EST. *Instructions:* All comments received will be posted without change to *http://dockets.osha.gov,* including any personal information provided. OSHA cautions you about submitting personal information such as social security numbers and birth dates. *Docket:* For access to the docket to read background documents or comments received, go to *http://dockets.osha.gov.* Contact the OSHA Docket Office for information about materials not available through the OSHA Web page and for assistance in using the Web page to locate docket submissions. *Extension of Comment Period:* Submit requests for extensions concerning this notice to the Office of Technical Programs and Coordination Activities, NRTL Program, Occupational Safety and Health Administration, U.S. Department of Labor, 200 Constitution Avenue, NW., Room N-3655, Washington, DC 20210. Or fax to
(202)693-1644. FOR FURTHER INFORMATION CONTACT: Director, Office of Technical Programs and Coordination Activities, NRTL Program, Occupational Safety and Health Administration, U.S. Department of Labor, 200 Constitution Avenue, NW., Room N-3655, Washington, DC 20210, or phone
(202)693-2110. SUPPLEMENTARY INFORMATION: Notice of Renewal Application The Occupational Safety and Health Administration
(OSHA)hereby gives notice that Southwest Research Institute
(SWRI)has applied for renewal of its recognition as a Nationally Recognized Testing Laboratory (NRTL). The SWRI renewal request covers its existing scope of recognition, except as noted below. OSHA's current scope of recognition for SWRI may be found in the following informational Web page: *http://www.osha.gov/dts/otpca/nrtl/swri.html.* OSHA recognition of an NRTL signifies that the organization has met the legal requirements in Section 1910.7 of Title 29, Code of Federal Regulations (29 CFR 1910.7). Recognition is an acknowledgment that the organization can perform independent safety testing and certification of the specific products covered within its scope of recognition and is not a delegation or grant of government authority. As a result of recognition, employers may use products “properly certified” 1 by the NRTL to meet OSHA standards that require testing and certification. 1 Properly certified means, in part, that the product is labeled or marked with the NRTL's “registered” certification mark (i.e., the mark the NRTL uses for its NRTL work) and that the product certification falls within the scope of recognition of the NRTL. The Agency processes applications by an NRTL for initial recognition or for expansion or renewal of this recognition following requirements in Appendix A to 29 CFR 1910.7. This appendix requires that the Agency publish two notices in the **Federal Register** in processing an application. In the first notice, OSHA announces the application and provides its preliminary finding and, in the second notice, the Agency provides its final decision on the application. These notices set forth the NRTL's scope of recognition or modifications of that scope. We maintain an informational Web page for each NRTL, which details its scope of recognition. These pages can be accessed from our Web site at *http://www.osha.gov/dts/otpca/nrtl/index.html.* The most recent notice published by OSHA specifically related to the SWRI recognition granted renewal of its NRTL status, which became effective as noted below. However, OSHA issued a notice modifying the scope of a number of NRTLs to replace or delete withdrawn test standards (70 FR 11273, March 8, 2005). SWRI was one of those NRTLs. The current address of the SWRI facility already recognized by OSHA is: Southwest Research Institute, 6220 Culebra Road, Post Office Drawer 28510, San Antonio, TX 78228. General Background on the Renewal Application SWRI initially received OSHA recognition as an NRTL on July 13, 1993, (58 FR 37752) for a five-year period ending on July 13, 1998. Appendix A to 29 CFR 1910.7 stipulates that the period of recognition of an NRTL is five years and that an NRTL may renew its recognition by applying not less than nine months, nor more than one year, before the expiration date of its current recognition. NRTLs submitting requests within this allotted time period retain their recognition during OSHA's renewal process. SWRI submitted the required request and received its first renewal of recognition on March 9, 1999 (64 FR 11503), for the five-year period ending March 9, 2004. SWRI submitted a request dated June 4, 2003, (see Exhibit 14) to renew its recognition again. This request falls within the allotted time period, and SWRI retains its recognition pending OSHA's final decision in this renewal process. In its June 4, 2003, application, the NRTL included an earlier request to expand its recognition to include three additional test standards, but has since eliminated two of these standards from its request. The NRTL Program staff has determined that the remaining standard is an “appropriate test standard” within the meaning of 29 CFR 1910.7(c). Including this one standard, OSHA would approve 12 test standards for the renewal. In connection with the renewal, OSHA staff performed an on-site visit of the NRTL's site in April 2005, and the assessor recommended renewal of the SWRI recognition in a memo dated August 31, 2005 (see Exhibit 14-1). The assessor had previously recommended approval of the additional standard (also see Exhibit 14-1), but the expansion was deferred pending SWRI's decision regarding the two standards it has since eliminated. SWRI seeks renewal of its recognition for the one site that OSHA currently includes within the NRTL's scope. SWRI also seeks renewal of its recognition for testing and certification of products for demonstration of conformance to the following test standards: ASTM E2074 Standard Method for Fire Tests of Door Assemblies. UL 10A Tin-Clad Fire Doors. UL 10B Fire Tests of Door Assemblies. UL 94 Tests for Flammability of Plastic Materials for Parts in Devices and Appliances. UL 155 Tests of Fire Resistance of Vault and File Room Doors. UL 162 Foam Equipment and Liquid Concentrates. *UL 525 Flame Arresters. UL 555 Fire Dampers. UL 711 Rating and Fire Testing of Fire Extinguishers. UL 1887 Fire Test of Plastic Sprinkler Pipe for Visible Flame and Smoke Characteristics. UL 2085 Protected Aboveground Tanks for Flammable and Combustible Liquids. UL 60950 Information Technology Equipment. *Test standard to be included as a result of expansion request. The designations and titles of the above test standards were current at the time of the preparation of this notice. OSHA's recognition of SWRI, or any NRTL, for a particular test standard is limited to equipment or materials ( *i.e.* , products) for which OSHA standards require third-party testing and certification before use in the workplace. Consequently, if a test standard also covers any product(s) for which OSHA does not require such testing and certification, an NRTL's scope of recognition does not include that product(s). Many UL test standards also are approved as American National Standards by the American National Standards Institute (ANSI). However, for convenience, we use the designation of the standards developing organization for the standard as opposed to the ANSI designation. Under our procedures, any NRTL recognized for an ANSI-approved test standard may use either the latest proprietary version of the test standard or the latest ANSI version of that standard. You may contact ANSI to find out whether or not a test standard is currently ANSI-approved. Programs and Procedures The renewal would include continued use by SWRI of supplemental programs 2, 3, 4, and 9. *Program 2:* Acceptance of testing data from independent organizations, other than NRTLs. *Program 3:* Acceptance of product evaluations from independent organizations, other than NRTLs. *Program 4:* Acceptance of witnessed testing data. *Program 9:* Acceptance of services other than testing or evaluation performed by subcontractors or agents. In developing these programs, OSHA responded to industry requests and allowed certain of their ongoing practices to continue but in a manner controlled by OSHA criteria. In this sense, they are special conditions that the Agency places on an NRTL's recognition. OSHA does not consider these programs in determining whether an NRTL meets the requirements for recognition under 29 CFR 1910.7. However, these programs help to define the scope of that recognition. Preliminary Finding on the Renewal SWRI has submitted an acceptable request for renewal and expansion of its recognition as an NRTL. Our review of the application file, the assessor's memos, and other pertinent documents, indicates that SWRI can meet the requirements, as prescribed by 29 CFR 1910.7, for the renewal of the one site and the test standards and programs listed above, and for the expansion to include the one additional test standard, as noted. This preliminary finding does not constitute an interim or temporary approval of the application. OSHA welcomes public comments, in sufficient detail, as to whether SWRI has met the requirements of 29 CFR 1910.7 for the renewal and expansion of its recognition as an NRTL. Your comments should consist of pertinent written documents and exhibits. Should you need more time to comment, you must request it in writing, including reasons for the request. OSHA must receive your written request for extension at the address provided above no later than the last date for comments. OSHA will limit any extension to 30 days, unless the requester justifies a longer period. You may obtain or review copies of the SWRI request, the on-site review report, other pertinent documents, and all submitted comments, as received, by contacting the Docket Office, Room N2625, Occupational Safety and Health Administration, U.S. Department of Labor, at the above address. Docket No. NRTL3-90 contains all materials in the record concerning the SWRI application. The NRTL Program staff will review all timely comments and, after resolution of issues raised by these comments, will recommend whether to grant SWRI's renewal and expansion request. The Assistant Secretary will make the final decision on granting the renewal and expansion and, in making this decision, may undertake other proceedings that are prescribed in Appendix A to 29 CFR Section 1910.7. OSHA will publish a public notice of this final decision in the **Federal Register** . Signed at Washington, DC this 25th day of September, 2006. Edwin G. Foulke, Jr., Assistant Secretary. [FR Doc. E6-16588 Filed 10-5-06; 8:45 am] BILLING CODE 4510-26-P NUCLEAR REGULATORY COMMISSION [Docket No. 52-007-ESP; ASLBP No. 04-821-01-ESP] In the Matter of Exelon Generation Company, LLC (Early Site Permit for Clinton ESP Site); Before Administrative Judges: Dr. Paul B. Abramson, Chairman; Dr. Anthony J. Baratta; Dr. David L. Hetrick; Notice (Notice of Hearing and of Opportunity to Make Oral or Written Limited Appearance Statements) October 2, 2006. This Atomic Safety and Licensing Board hereby gives notice that it will convene an evidentiary session to receive testimony and exhibits in the “mandatory hearing” portion of this proceeding regarding the September 25, 2003 Application of the Exelon Generation Company, LLC, (Exelon) for a 10 CFR part 52 early site permit (ESP), seeking approval of the site of the existing Clinton nuclear power station in DeWitt County, Illinois, for the possible construction of one or more new nuclear reactors. 1 This mandatory hearing will concern safety and environmental matters relating to the proposed issuance of the requested ESP, as more fully described below. 1 *See* 68 FR 69,426 (Dec. 12, 2003). In addition, the Board gives notice that, in accordance with 10 CFR 2.315(a), it will entertain oral limited appearance statements from members of the public in connection with this proceeding. A. Matters To Be Considered As set forth by the Commission in the December 2003 “Notice of Hearing and Opportunity To Petition for Leave To Intervene Early Site Permit for the Clinton ESP Site” (68 FR at 69,426) and the applicable regulations in 10 CFR 52.21 the matters at issue in this proceeding are:
(a)Whether issuance of an ESP will be inimical to the common defense and security or to the health and safety of the public (Safety Issue 1);
(b)whether, taking into consideration the site criteria contained in 10 CFR part 100, a reactor or reactors having characteristics that fall within the parameters for the site, can be constructed and operated without undue risk to the public health and safety (Safety Issue 2); and
(c)whether in accordance with the requirements of 10 CFR part 51, subpart A, the ESP should be issued as proposed. Additionally, in accord with the December 2003 notice:
(d)whether the requirements of sections 102(2)(A), (C), and
(E)of the National Environmental Policy Act of 1969 and 10 CFR part 51, subpart A, have been complied with in the proceeding;
(e)the final balance among conflicting factors contained in the record of proceeding with a view to determining the appropriate action to be taken; and
(f)after considering reasonable alternatives, whether a license should be issued, denied, or appropriately conditioned to protect environmental values. B. Date, Time, and Location of Mandatory Hearing The Board will conduct this mandatory hearing at the specified location and time: 1. *Date:* Tuesday, November 7, 2006, *time:* beginning at 9 a.m. c.s.t., *location:* Decatur Conference Center, 4191 W. U.S. Highway 36, Decatur, Illinois. The hearing on these issues will continue day-to-day until concluded. The public is advised that, in accordance with 10 CFR 2.390, portions of the hearing sessions may be closed to the public because the matters at issue may involve the discussion of protected information. C. Date, Time, and Location of Oral Limited Appearance Statement Session This session will be on the following date at the specified location and time: 1. *Date:* Wednesday, November 8, 2006, *time:* 6 to 10 p.m. c.s.t., *location:* Clinton Junior High School, 701 Illini Drive, Clinton, Illinois. D. Participation Guidelines for Oral Limited Appearance Statements Any person not a party, or a representative of a party, to the proceeding will be permitted to make an oral statement of not more than five minutes setting forth his or her position on matters of concern relating to this proceeding. Although these statements do not constitute testimony or evidence, they nonetheless may help the Board and/or the parties in their consideration of the issues in this proceeding. Oral limited appearance statements will be entertained during the hours specified above, or such lesser time as may be sufficient to accommodate the speakers who are present. 2 In this regard, if all scheduled and unscheduled speakers present have made a presentation, the Licensing Board will terminate the session before the ending time listed above. 2 Any members of the public who plan to attend either the mandatory hearing or the limited appearance session are advised that security measures may be employed at the entrance to the hearing facility, including searches of hand-carried items such as briefcases or backpacks. Participants are expected to respect and preserve the dignity of this proceeding; therefore, during the limited appearance session, static signs no larger than 18″ by 18″ will be permitted, but may not be attached to sticks, held up, waved, or moved about in the rooms. Although the Board expects that the time allotted for each statement will be no more than five minutes, it may be further limited depending on the number of written requests to make an oral statement that are submitted in accordance with section E below and/or the number of persons present at the designated time indicate that it is necessary to reduce each person's time to enable all those desiring to speak to do so. E. Priority to those who Submitted a Prior Request Persons wishing to make an oral statement who have submitted a timely written request to do so will be given priority over those who have not filed such a request. To be considered timely, a written request to make an oral statement must either be mailed, faxed, or sent by e-mail so as to be received by 5 p.m. eastern standard time on October 30, 2006. Written requests to make an oral statement should be submitted to: *Mail:* Office of the Secretary, Rulemakings and Adjudications Staff, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. *Fax:*
(301)415-1101 (verification
(301)415-1966). *E-mail: hearingdocket@nrc.gov.* In addition, using the same method of service, a copy of the written request to make an oral statement should be sent to the Chairman of this Licensing Board as follows: *Mail:* Administrative Judge Paul B. Abramson, Atomic Safety and Licensing Board Panel, Mail Stop T-3 F23, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. *Fax:*
(301)415-5599 (verification
(301)415-6094). *E-mail: KSV@nrc.gov and JJL5@nrc.gov.* F. Submitted Written Limited Appearance Statements In addition to or in lieu of an oral limited appearance statement, a written limited appearance statement may be submitted to the Board regarding this proceeding at any time. Such statements should be sent to the Office of the Secretary using the methods prescribed above, with a copy to the Licensing Board Chairman. G. Availability of Documentary Information Regarding the Proceeding Documents relating to this proceeding are available for public inspection at the Commission's Public Document Room (PDR), located at One White Flint North, 11555 Rockville Pike (first floor), Rockville, Maryland, or electronically from the publicly available records component of NRC's document system (ADAMS). ADAMS is accessible from the NRC Web site at *http://www.nrc.gov/reading-rm/adams.html* (the Public Electronic Reading Room). Persons who do not have access to ADAMS or who encounter problems in accessing the documents located in ADAMS should contact the NRC PDR reference staff by telephone at
(800)397-4209 or
(301)415-4737, or by e-mail to *pdr@nrc.gov.* H. Scheduling Information Updates Any updated/revised scheduling information regarding the evidentiary hearing and limited appearance sessions can be found on the NRC Web site at *http://www.nrc.gov/public-involve/public-meetings/index.cfm* or by calling
(800)368-5642, extension 5036, or
(301)415-5036. For the Atomic Safety and Licensing Board. 3 3 Copies of this notice were sent this date by Internet e-mail transmission to counsel for
(1)applicant Exelon;
(2)the NRC Staff. Dated: October 2, 2006. Paul B. Abramson, Administrative Judge, Rockville, Maryland. [FR Doc. E6-16555 Filed 10-5-06; 8:45 am] BILLING CODE 7590-01-P NUCLEAR REGULATORY COMMISSION [Docket No. 50-483] Union Electric Company; Notice of Consideration of Issuance of Amendment to Facility Operating License, Proposed No Significant Hazards Consideration Determination, and Opportunity for a Hearing The U.S. Nuclear Regulatory Commission (NRC/the Commission) is considering issuance of an amendment to Facility Operating License No. NPF-30, issued to Union Electric Company (the licensee), for operation of the Callaway Plant, Unit 1 (Callaway), located in Callaway County, Missouri. The proposed amendment would change the plant Technical Specifications
(TSs)consistent with the NRC-approved Revision 0 to Technical Specification Task Force
(TSTF)Standard Technical Specification Change Traveler, TSTF-419. The amendment would revise
(1)the definition of the Pressure and Temperature Limits Report
(PTLR)in Section 1.1, “Definitions,” and
(2)TS 5.6.6, “Reactor Coolant System
(RCS)Pressure and Temperature Limits Report (PTLR).” The licensee submitted its request to revise the TSs in its application dated September 20, 2006. Before issuance of the proposed license amendment, the Commission will have made findings required by the Atomic Energy Act of 1954, as amended (the Act), and the Commission's regulations. The Commission has made a proposed determination that the amendment request involves no significant hazards consideration. Under the Commission's regulations in 10 CFR 50.92, this means that operation of the facility in accordance with the proposed amendment would not
(1)involve a significant increase in the probability or consequences of an accident previously evaluated; or
(2)create the possibility of a new or different kind of accident from any accident previously evaluated; or
(3)involve a significant reduction in a margin of safety. As required by 10 CFR 50.91(a), the licensee has provided its analysis of the issue of no significant hazards consideration, which is presented below: 1. Do the proposed changes involve a significant increase in the probability or consequences of an accident previously evaluated? *Response:* No. The proposed changes to reference the Topical Report number and title do not alter the use of the analytical methods used to determine the P/T [pressure/temperature] limits or COMS [cold over pressure mitigation system] setpoints that have been reviewed and approved by the NRC. This method of referencing Topical Reports would allow the use of current Topical Reports to support limits in the PTLR without having to submit an amendment to the operating license. Implementation of revisions to Topical Reports would still be reviewed and where required receive NRC review and approval. The proposed changes do not adversely affect accident initiators or precursors nor alter the design assumptions, conditions, or configuration of the facility or the manner in which the plant is operated and maintained. The proposed changes do not alter or prevent the ability of structures, systems, and components
(SSCs)from performing their intended [safety] function to mitigate the consequences of an initiating event within the assumed acceptance limits. The proposed changes do not affect the source term, containment isolation, or radiological release assumptions used in evaluating the radiological consequences of an accident previously evaluated. Further, the proposed changes do not increase the types or amounts of radioactive effluent that may be released offsite, nor significantly increase individual or cumulative occupational/public radiation exposures. The proposed changes are consistent with safety analysis assumptions and resultant consequences. Therefore, the proposed change[s do] not involve a significant increase in the probability or consequences of an accident previously evaluated. 2. Do the proposed changes create the possibility of a new or different kind of accident from any accident previously evaluated? *Response:* No. The proposed changes to reference the Topical Report number and title do not alter the use of the analytical methods used to determine the P/T limits or COMS setpoints that have been reviewed and approved by the NRC. This method of referencing Topical Reports would allow the use of current Topical Reports to support limits in the PTLR without having to submit an amendment to the operating license. Implementation of revisions to Topical Reports would still be reviewed in accordance with 10 CFR 50.59 [Section 50.59 of Title 10 to the Code of Federal Regulations] and where required receive NRC review and approval. The changes do not involve a physical alteration of the plant ( *i.e.* , no new or different type of equipment will be installed) or a change in the methods governing normal plant operation. In addition, the changes do not impose any new or different requirements or eliminate any existing requirements. The changes do not alter assumptions made in the safety [analyses for the plant.] The proposed changes are consistent with the safety analysis assumptions and current plant operating practice. Therefore, the proposed change[s do] not create the possibility of a new or different kind of accident from any accident previously evaluated. 3. Do the proposed changes involve a significant reduction in a margin of safety? *Response:* No. The proposed changes to reference the Topical Report number and title do not alter the use of the analytical methods used to determine the P/T limits or COMS setpoints that have been reviewed and approved by the NRC. This method of referencing Topical Reports would allow the use of current Topical Reports to support limits in the PTLR without having to submit an amendment to the operating license; [i]mplementation of revisions to Topical Reports would still be reviewed in accordance with 10 CFR 50.59 and where required receive NRC review and approval. The proposed changes do not alter the manner in which safety limits, limiting safety system settings[,] or limiting conditions for operation are determined. The setpoints at which protective actions are initiated are not altered by the proposed changes. Sufficient equipment remains available to actuate upon demand for the purpose of mitigating an analyzed event. Therefore, it is concluded that this change does not involve a significant reduction in the margin of safety. The NRC staff has reviewed the licensee's analysis and, based on this review, it appears that the three standards of 10 CFR 50.92(c) are satisfied. Therefore, the NRC staff proposes to determine that the amendment request involves no significant hazards consideration. The Commission is seeking public comments on this proposed determination. Any comments received within 30 days after the date of publication of this notice will be considered in making any final determination. Normally, the Commission will not issue the amendment until the expiration of 60 days after the date of publication of this notice. The Commission may issue the license amendment before expiration of the 60-day period provided that its final determination is that the amendment involves no significant hazards consideration. In addition, the Commission may issue the amendment prior to the expiration of the 30-day comment period should circumstances change during the 30-day comment period such that failure to act in a timely way would result, for example, in derating or shutdown of the facility. Should the Commission take action prior to the expiration of either the comment period or the notice period, it will publish in the **Federal Register** a notice of issuance. Should the Commission make a final No Significant Hazards Consideration Determination, any hearing will take place after issuance. The Commission expects that the need to take this action will occur very infrequently. Written comments may be submitted by mail to the Chief, Rulemaking, Directives and Editing Branch, Division of Administrative Services, Office of Administration, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, and should cite the publication date and page number of this **Federal Register** notice. Written comments may also be delivered to Room 6D59, Two White Flint North, 11545 Rockville Pike, Rockville, Maryland, from 7:30 a.m. to 4:15 p.m. Federal workdays. Documents may be examined, and/or copied for a fee, at the NRC's Public Document Room, located at One White Flint North, Public File Area O1 F21, 11555 Rockville Pike (first floor), Rockville, Maryland. The filing of requests for hearing and petitions for leave to intervene is discussed below. Within 60 days after the date of publication of this notice, the licensee may file a request for a hearing with respect to issuance of the amendment to the subject facility operating license and any person whose interest may be affected by this proceeding and who wishes to participate as a party in the proceeding must file a written request for a hearing and a petition for leave to intervene. Requests for a hearing and a petition for leave to intervene shall be filed in accordance with the Commission's “Rules of Practice for Domestic Licensing Proceedings” in 10 CFR part 2. Interested persons should consult a current copy of 10 CFR 2.309, which is available at the Commission's PDR, located at One White Flint North, Public File Area O1 F21, 11555 Rockville Pike (first floor), Rockville, Maryland. Publicly available records will be accessible from the Agencywide Documents Access and Management System's (ADAMS) Public Electronic Reading Room on the Internet at the NRC Web site, *http://www.nrc.gov/reading-rm/doc-collections/cfr/.* If a request for a hearing or petition for leave to intervene is filed by the above date, the Commission or a presiding officer designated by the Commission or by the Chief Administrative Judge of the Atomic Safety and Licensing Board Panel, will rule on the request and/or petition; and the Secretary or the Chief Administrative Judge of the Atomic Safety and Licensing Board will issue a notice of a hearing or an appropriate order. As required by 10 CFR 2.309, a petition for leave to intervene shall set forth with particularity the interest of the petitioner in the proceeding, and how that interest may be affected by the results of the proceeding. The petition should specifically explain the reasons why intervention should be permitted with particular reference to the following general requirements:
(1)The name, address and telephone number of the requestor or petitioner;
(2)the nature of the requestor's/petitioner's right under the Act to be made a party to the proceeding;
(3)the nature and extent of the requestor's/petitioner's property, financial, or other interest in the proceeding; and
(4)the possible effect of any decision or order which may be entered in the proceeding on the requestor's/petitioner's interest. The petition must also identify the specific contentions which the petitioner/requestor seeks to have litigated at the proceeding. Each contention must consist of a specific statement of the issue of law or fact to be raised or controverted. In addition, the petitioner/requestor shall provide a brief explanation of the bases for the contention and a concise statement of the alleged facts or expert opinion which support the contention and on which the petitioner intends to rely in proving the contention at the hearing. The petitioner/requestor must also provide references to those specific sources and documents of which the petitioner/requestor is aware and on which the petitioner/requestor intends to rely to establish those facts or expert opinion. The petitioner/requestor must provide sufficient information to show that a genuine dispute exists with the applicant on a material issue of law or fact. Contentions shall be limited to matters within the scope of the amendment under consideration. The contention must be one which, if proven, would entitle the petitioner/requestor to relief. A petitioner/requestor who fails to satisfy these requirements with respect to at least one contention will not be permitted to participate as a party. Those permitted to intervene become parties to the proceeding, subject to any limitations in the order granting leave to intervene, and have the opportunity to participate fully in the conduct of the hearing. If a hearing is requested, the Commission will make a final determination on the issue of no significant hazards consideration. The final determination will serve to decide when the hearing is held. If the final determination is that the amendment request involves no significant hazards consideration, the Commission may issue the amendment and make it immediately effective, notwithstanding the request for a hearing. Any hearing held would take place after issuance of the amendment. If the final determination is that the amendment request involves a significant hazards consideration, any hearing held would take place before the issuance of any amendment. Nontimely requests and/or petitions and contentions will not be entertained absent a determination by the Commission or the presiding officer of the Atomic Safety and Licensing Board that the petition, request and/or the contentions should be granted based on a balancing of the factors specified in 10 CFR 2.309(c)(1)(i)-(viii). A request for a hearing or a petition for leave to intervene must be filed by:
(1)First class mail addressed to the Office of the Secretary of the Commission, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, *Attention:* Rulemaking and Adjudications Staff;
(2)courier, express mail, and expedited delivery services: Office of the Secretary, Sixteenth Floor, One White Flint North, 11555 Rockville Pike, Rockville, Maryland 20852, Attention: Rulemaking and Adjudications Staff;
(3)E-mail addressed to the Office of the Secretary, U.S. Nuclear Regulatory Commission, *HEARINGDOCKET@NRC.GOV* ; or
(4)facsimile transmission addressed to the Office of the Secretary, U.S. Nuclear Regulatory Commission, Washington, DC, Attention: Rulemakings and Adjudications Staff at
(301)415-1101, verification number is
(301)415-1966. A copy of the request for hearing and petition for leave to intervene should also be sent to the Office of the General Counsel, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, and it is requested that copies be transmitted either by means of facsimile transmission to 301-415-3725 or by e-mail to *OGCMailCenter@nrc.gov.* A copy of the request for hearing and petition for leave to intervene should also be sent to John O'Neill, Esq., Pillsbury Winthrop Shaw Pittman LLP, 2300 N Street, NW., Washington, DC 20037, attorney for the licensee. For further details with respect to this action, see the application for amendment dated September 20, 2006, which is available for public inspection at the Commission's Public Document Room (PDR), located at One White Flint North, Public File Area O1 F21, 11555 Rockville Pike (first floor), Rockville, Maryland. Publicly available records will be accessible electronically from the Agencywide Documents Access and Management System's (ADAMS) Public Electronic Reading Room on the Internet at the NRC Web site *http://www.nrc.gov/reading-rm.html.* Persons who do not have access to ADAMS or who encounter problems in accessing the documents located in ADAMS should contact the NRC PDR Reference staff by telephone at 1-800-397-4209, or 301-415-4737, or by e-mail to *pdr@nrc.gov.* Dated at Rockville, Maryland, this 2nd day of October 2006. For the Nuclear Regulatory Commission. Jack Donohew, Senior Project Manager, Plant Licensing Branch IV, Division of Operating Reactor Licensing, Office of Nuclear Reactor Regulation. [FR Doc. E6-16564 Filed 10-5-06; 8:45 am] BILLING CODE 7590-01-P NUCLEAR REGULATORY COMMISSION [Docket No. 40-9059] Notice of Availability of Environmental Assessment and Finding of No Significant Impact for a Performance-Based, Multi-Site License for a Uranium Water Treatment Program for R.M.D. Operations, LLC Headquarters in Wheat Ridge, CO AGENCY: Nuclear Regulatory Commission. ACTION: Notice of availability. FOR FURTHER INFORMATION CONTACT: Ron C. Linton, Project Manager, Fuel Cycle Facilities Branch, Division of Fuel Cycle Safety and Safeguards, Office of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555. Telephone:
(301)415-7777; fax number:
(301)415-5955; e-mail: *rcll@nrc.gov.* SUPPLEMENTARY INFORMATION: I. Introduction The U.S. Nuclear Regulatory Commission
(NRC)is considering the issuance of a 10 CFR part 40 source materials license to R.M.D. Operations, LLC (RMD). If issued, the license would authorize RMD to act as a multi-site service provider for community water systems
(CWSs)that concentrate uranium above specified levels during the treatment of drinking water. The NRC has prepared an Environmental Assessment
(EA)in support of the proposed licensing action in accordance with the requirements of Title 10, Code of Federal Regulations
(CFR)Part 51. Based on the EA, the NRC has concluded that a Finding of No Significant Impact is appropriate. The health and safety aspects of the proposed action are being evaluated, and no action will be taken until that evaluation is completed. II. EA Summary More than 30 years ago, the United States Congress enacted the Safe Drinking Water Act (SDWA). Regulations promulgated pursuant to the SDWA impose specific requirements on the levels of contaminants (including uranium) that may be present in drinking water sources used for public consumption in CWSs. In 1990, the U.S. Environmental Protection Agency
(EPA)promulgated a proposed rule mandating that the levels of uranium in drinking water sources (i.e., maximum contaminant levels (MCLs)) be limited to 20 micrograms/liter (μg/L) or 20 parts per billion (ppb). In 2000, EPA promulgated a final uranium MCL of 30 μg/L, or 30 ppb and imposed strict deadlines for compliance. The rule requires that municipalities and other operators (now estimated at 1000-2000) must comply with these new requirements by 2007. The removal and concentration of uranium by a CWS during its treatment of drinking water, in order to meet the EPA uranium standard, could result in:
(1)The CWS being in possession of source material 1 (uranium) exceeding 0.05 percent by weight of the mixture; and
(2)the CWS possessing greater than 15 pounds of uranium at a time. A CWS possessing uranium in these amounts would need an NRC license, and a separate rulemaking is underway to create a new general NRC license to cover such CWSs. 1 Source material is defined in 10 CFR 40.4, “Definitions,” as “(1) uranium or thorium, or any combination thereof, in any physical or chemical form, or
(2)ores which contain by weight 0.05 percent or more of uranium, thorium or any combination thereof.” RMD has requested a specific NRC license that would authorize RMD to:
(1)Possess uranium;
(2)store uranium residuals at CWSs in a self-contained uranium removal system
(URS)using ion exchange technology; and
(3)transfer and properly disposition such uranium residuals at facilities licensed under the Atomic Energy Act of 1954, as amended (AEA). As described in the EA, final disposition of uranium residuals will either be as a waste in AEA-licensed facilities, or as an alternate feed for producing “yellowcake” at AEA-licensed uranium recovery facilities for introduction into the commercial nuclear fuel cycle. Once used as alternate feed material, the resulting waste may be disposed of as byproduct material 2 in an 11(e)2 disposal cell. The RMD uranium water treatment program is designed to provide CWSs with the capability to safely collect, store and transfer uranium accumulated during the treatment of drinking water. 2 The definition of “byproduct material” in 10 CFR 40.4 states, in relevant part, that the term “means the tailings or wastes produced by the extraction or concentration of uranium or thorium from any ore processed primarily for its source material content.” NRC guidance allows byproduct material from alternate feed to be disposed of in an 11(e)2 disposal cell (NUREG-1620, Appendix I). The RMD September 27, 2005 license application seeks NRC authorization allowing RMD to implement its program at CWSs who decide to enter into contracts with RMD. As an NRC licensee, RMD would have ownership and/or control of its URS, and would possess all licensed materials contained therein, including uranium source material collected by any CWS for which RMD is acting as a service provider. The following resources areas were evaluated in the EA: land use; geology and soils; transportation; water resources; ecology; meteorology and air quality; noise and visual/scenic resources; historical and cultural resources; socioeconomic conditions; public and occupational health; and waste management. In all cases the environmental impacts on these areas were found to be small. The URSs to be installed by RMD would be sited at either existing CWS facilities or in small utility-type sheds near CWS well heads. Only minor land disturbances associated with construction activities for small buildings and utilities, less than 10,000 square feet in width and less than 5 feet in depth, are expected. The CWS would be required to obtain all local building permits and meet local requirements to reduce sedimentation from construction related activities prior to construction. The operations of the URS would utilize the same roads that the CWS currently uses for receiving supplies for typical water treatment operations ( *e.g.* , treatment chemicals, maintenance equipment, and waste products, etc.). Resin or exchange media loaded with uranium from the ion exchange vessel will be transported to either an appropriately authorized disposal facility or a licensed uranium mill for use as alternate feed material. Material will be transported in either U.S. Department of Transportation-approved
(DOT)tanker trucks or large polyfabric “Super Sacks” that have been approved for transport of radioactive material. RMD expects 200 trips per year, per 1000 facilities served. Based on accident statistics, and an average nationwide travel distance of 1000 miles to the site of final disposition, RMD expects an accident, involving a spent treatment media shipment, to occur only once every 2.5 years. These accident statistics do not estimate the severity of the accident and consequences could range from a severe accident to a minor incident. Even if a small number of these accidents were to occur, it would not be expected that they will result in any release. If uranium bearing resins were to be spilled in a transportation accident, resulting radiation doses to members of the public were found to be, in general, negligible and in the range of background variability. RMD will be required to develop standard operating procedures to respond to and clean up transportation related spills of radioactive material. The URS will be housed in a treatment shed or within the existing CWS. If the URS is housed in a CWS with a floor drain, sump, or similar water catchment that leads to a sewer or drain field, a secondary containment system will be required to ensure that radioactive material cannot be released. The URS will remove uranium from groundwater being supplied to the public at each CWS served. Such removal of uranium will reduce human exposure and potential health impacts arising from the presence of uranium in public drinking water supplies. If a utility-type shed is required to be constructed to house a URS, there could be impacts to wildlife or historic structures in the area. RMD will be required to consult with Federal or State wildlife agencies and State Historic Preservation Officers before beginning construction related to, or the use of, a URS that is located outside of, or away from, existing CWS structures. Noise and visual impacts from the URS would be similar to what already exists from a CWS. Costs of the URS system may be passed along to the consumer in the form of higher water rates. Any rate increases would likely only affect rate paying consumers and not the general public. Decommissioning of the URS will be RMD's responsibility and RMD will be required to comply with NRC's financial assurance criteria. Public access to the URS will be restricted. The URS will be required to be housed in a locked shed, structure, or within the CWS facility and /or be within a fenced in area and properly marked. This should prevent any exposures to the public from the URS. However, if a member of the public were to gain entry and come in contact with the URS, exposure on contact to the ion exchange vessel is expected to be no greater than 0.3 mrem/hr. Since the URS will likely be inspected on a daily basis, it is likely that exposures from an unauthorized entry would be no greater than 7.2 mrem for a 24-hour period, a minor exposure. If the individual were in the building for that time and remained 30 cm away from the vessel—a more likely scenario-the exposure rate would be 0.003 mrem/hr, which would equate to an exposure of 0.072 mrem in a 24-hour period, a very minor exposure. RMD system specialists, the local utility managers and operators are not expected to receive annual radiation doses anywhere near the individual monitoring thresholds prescribed in 10 CFR 20.1502, “Conditions Requiring Individual Monitoring of External and Internal Occupational Dose.” These aforementioned thresholds are 500 mrem/yr for adults or 100 mrem/yr for children or pregnant women. RMD has estimated maximum dose rates on the sides of the tanks to be between 0.2 to 0.3 mrem/hr and only 0.003 mrem/hr at 30 centimeters. RMD provided estimates of time operators should spend in the proximity of the vessels. The tables showed a maximum of 100 hours/year for the operational personnel. That time would result in an exposure of only 3 mrem for the year. This is a small fraction of the 340 mrem of background radiation those same individuals receive from natural sources. To ensure that source material is handled in a proper manner, uranium-laden (spent) IX resin is not to be stored at the CWS for greater than 60 days and will only be contained within the IX vessel. Spent uranium-laden resin will be periodically removed from the URS and transported to a licensed waste management facility or used as alternate feed at a licensed uranium recovery facility. Use of either disposal method will result in a small increase in waste material. If uranium-laden resin is used as an alternate feed material for uranium recovery facilities, the uranium removed from drinking water may enter the nuclear fuel cycle and may ultimately be used for domestic power generation. III. Finding of No Significant Impact On the basis of the EA, NRC has concluded that there are no significant environmental impacts from the proposed licensing action, and NRC staff has determined not to prepare an environmental impact statement. IV. Further Information Documents related to this action, including RMD's license application and supporting documentation, are available electronically at NRC's Electronic Reading Room at *http://www.nrc.gov/reading-rm/adams.html.* From this site, you can access NRC's Agencywide Documents Access and Management System (ADAMS), which provides text and image files of NRC's public documents. The ADAMS accession numbers for the documents related to this notice are as follows: Document ADAMS Accession No. Date Final Environmental Assessment for Proposed Performance-Based, Multi-site License for a Uranium Water Treatment Program NRC License No. SUB-(TBD) R.M.D. Operations, LLC ML062490415 September 5, 2006. NUREG-1620, Rev. 1, Standard Review Plan for the Review of a Reclamation Plan for Mill Tailings Sites Under Title II of the Uranium Mill Tailings Radiation Control Act of 1978—Final Report, “Nuclear Regulatory Commission, Washington, DC ML032250190 June 30, 2003. NUREG-1748, “Environmental Review Guidance for Licensing Actions Associated With NMSS Programs—Final Report,” Nuclear Regulatory Commission, Washington, DC ML031000403 April 10, 2003. R.M.D. Operations, LLC License Application for Performance-Based, Multi-Site License for Uranium Water Treatment Program ML052730008 September 27, 2005. R.M.D. Operations, LLC Environmental Report in Support of a Performance-based, Multi-site License Application (non-proprietary) ML062440255 September 27, 2005. If you do not have access to ADAMS, or if there are problems in accessing the documents located in ADAMS, contact the NRC's Public Document Room
(PDR)Reference staff at 1-800-397-4209, 301-415-4737, or by e-mail to *pdr@nrc.gov.* These documents may also be viewed electronically on the public computers located at the NRC's PDR, O1 F21, One White Flint North, 11555 Rockville Pike, Rockville, MD 20852. The PDR reproduction contractor will copy documents for a fee. Dated at Rockville, Maryland, this 26th day of September, 2006. For the Nuclear Regulatory Commission. Ron C. Linton, Project Manager, Uranium Processing Section, Fuel Cycle Facilities Branch, Division of Fuel Cycle Safety and Safeguards, Office of Nuclear Material Safety and Safeguards. [FR Doc. E6-16563 Filed 10-5-06; 8:45 am] BILLING CODE 7590-01-P NUCLEAR REGULATORY COMMISSION [EA-06-203] In the Matter of All Licensees Identified in Attachment 1 (Redacted) and All Other Persons Who Seek or Obtain Access to Safeguards Information Described Herein, Order Imposing Fingerprinting and Criminal History Records Check Requirements for Access to Safeguards Information (Effective Immediately) I The Licensees identified in Attachment 1 1 to this Order hold licenses issued in accordance with the Atomic Energy Act
(AEA)of 1954, as amended, the U.S. Nuclear Regulatory Commission (NRC or Commission) or Agreement States, authorizing them to engage in an activity subject to regulation by the Commission or Agreement States. On August 8, 2005, the Energy Policy Act of 2005 (EPAct) was enacted. Section 652 of the EPAct amended Section 149 of the AEA to require fingerprinting and a Federal Bureau of Investigation
(FBI)identification and criminal history records check of any person who is to be permitted to have access to Safeguards Information
(SGI)2 . The NRC's implementation of this requirement cannot await the completion of the SGI rulemaking, which is underway, because the EPAct fingerprinting and criminal history records check requirements for access to SGI were immediately effective upon enactment of the EPAct. Although the EPAct permits the Commission by rule to except certain categories of individuals from the fingerprinting requirement, which the Commission has done ( *see* 10 CFR 73.59, 71 FR 33,989 (June 13, 2006)), it is unlikely that licensee employees or others are excepted from the fingerprinting requirement by the “fingerprinting relief” rule. Individuals relieved from fingerprinting and criminal history records checks under the relief rule include Federal, State, and local officials and law enforcement personnel; Agreement State inspectors who conduct security inspections on behalf of the NRC; members of Congress and certain employees of members of Congress or Congressional Committees, and representatives of the International Atomic Energy Agency
(IAEA)or certain foreign government organizations. In addition, individuals who have a favorably-decided U.S. Government criminal history records check within the last five
(5)years, or individuals who have active Federal security clearances (provided in either case that they make available the appropriate documentation), have satisfied the EPAct fingerprinting requirement and need not be fingerprinted again. Therefore, in accordance with Section 149 of the AEA, as amended by the EPAct, the Commission is imposing additional requirements for access to SGI, as set forth by this Order, so that affected licensees can obtain and grant access to SGI. 3 This Order also imposes requirements for access to SGI by any person, 4 from any person, whether or not a Licensee, Applicant, or Certificate Holder of the Commission or Agreement States. 1 Attachment 1 contains sensitive information and will not be released to the public. 2 Safeguards Information is a form of sensitive, unclassified, security-related information that the Commission has the authority to designate and protect under section 147 of the AEA. 3 The storage and handling requirements for certain SGI have been modified from the existing 10 CFR part 73 SGI requirements that require a higher level of protection; such SGI is designated as Safeguards Information—Modified Handling (SGI-M). However, the information subject to the SGI-M handling and protection requirements is SGI, and licensees and other persons who seek or obtain access to such SGI are subject to this Order. 4 Person means
(1)any individual, corporation, partnership, firm, association, trust, estate, public or private institution, group, government agency other than the Commission or the Department of Energy, except that the Department of Energy shall be considered a person with respect to those facilities of the Department of Energy specified in section 202 of the Energy Reorganization Act of 1974 (88 Stat. 1244), any State or any political subdivision of, or any political entity within a State, any foreign government or nation or any political subdivision of any such government or nation, or other entity; and
(2)any legal successor, representative, agent, or agency of the foregoing. II The Commission has broad statutory authority to protect and prohibit the unauthorized disclosure of SGI. Section 147 of the AEA grants the Commission explicit authority to issue such Orders as necessary to prohibit the unauthorized disclosure of SGI. Furthermore, Section 652 of the EPAct amended Section 149 of the AEA to require fingerprinting and an FBI identification and a criminal history records check of each individual who seeks access to SGI. In addition, no person may have access to SGI unless the person satisfies all other applicable requirements (e.g., 10 CFR 73.21). In order to provide assurance that the Licensees identified in Attachment 1 are implementing appropriate measures to comply with the fingerprinting and criminal history records check requirements for access to SGI, all Licensees identified in Attachment 1 shall implement the requirements of this Order. In addition, pursuant to 10 CFR 2.202, I find that in light of the common defense and security matters identified above, which warrant the issuance of this Order, the public health, safety and interest require that this Order be effective immediately. III Accordingly, pursuant to Sections 104, 147, 149, 161b, 161i, 161o, 182 and 186 of the Atomic Energy Act of 1954, as amended, and the Commission's regulations in 10 CFR 2.202, 10 CFR parts 50 and 73, *it is hereby ordered* , effective immediately, that all licensees identified in attachment 1 to this order and all other persons who seek or obtain access to safeguards information, as described above, shall comply with the requirements set forth in this order. A.1. No person may have access to SGI unless that person has a need-to-know the SGI, has been fingerprinted or who has a favorably-decided FBI identification and criminal history records check, and satisfies all other applicable requirements for access to SGI ( *e.g.* , 10 CFR 73.21). Fingerprinting and the FBI identification and criminal history records check are not required, however, for any person who is relieved from that requirement by 10 CFR 73.59 (71 FR 33,989 (June 13, 2006)), or who has a favorably-decided U.S. Government criminal history records check within the last five
(5)years, or who has an active Federal security clearance, provided in each case that the appropriate documentation is made available to the Licensee's NRC-approved reviewing official. 2. No person may have access to any SGI if the NRC has determined, based on fingerprinting and an FBI identification and criminal history records check, that the person may not have access to SGI. B. No person may provide SGI to any other person except in accordance with Condition III.A. above. Prior to providing SGI to any person, a copy of this Order shall be provided to that person. C. All Licensees identified in Attachment 1 to this Order shall comply with the following requirements: 1. The Licensee shall, within twenty
(20)days of the date of this Order, establish and maintain a fingerprinting program that meets the requirements of Attachment 2 to this Order. 2. The Licensee shall, within twenty
(20)days of the date of this Order, submit the fingerprints of one
(1)individual who currently has access to SGI in accordance with applicable requirements (e.g., 10 CFR 73.21), who continues to need access to SGI, and who the Licensee nominates as the “reviewing official” for determining access to SGI by other individuals. The NRC will determine whether this individual (or any subsequent reviewing official) may have access to SGI and, therefore, will be permitted to serve as the Licensee's reviewing official. 5 The Licensee may at the same time or later submit the fingerprints of other individuals to whom the Licensee seeks to grant access to SGI. Fingerprints shall be submitted and reviewed in accordance with the procedures described in Attachment 2 of this Order. 5 The NRC's determination of this individual's access to SGI in accordance with the process described in Enclosure 3 to the transmittal letter of this Order is an administrative determination that is outside the scope of this Order. 3. The Licensee may allow any individual who currently has access to SGI in accordance with the applicable requirements (e.g., 10 CFR 73.21) to continue to have access to previously-designated SGI without being fingerprinted, pending a decision by the NRC-approved reviewing official (based on fingerprinting, an FBI criminal history records check and satisfying other applicable requirements) that the individual may continue to have access to SGI. The Licensee shall make determinations on continued access to SGI by December 1, 2006, in part on the results of the fingerprinting and criminal history records check, for those individuals that were previously granted access to SGI before the issuance of this Order. 4. The Licensee shall, in writing, within twenty
(20)days of the date of this Order, notify the Commission,
(1)if it is unable to comply with any of the requirements described in this Order, including Attachment 2, or
(2)if compliance with any of the requirements is unnecessary in its specific circumstances. The notification shall provide the Licensee's justification for seeking relief from or variation of any specific requirement. Licensee responses to C.1., C.2., C.3., and C.4. above shall be submitted to the Director, Office of Nuclear Reactor Regulation, U.S. Nuclear Regulatory Commission, Washington, DC 20555. In addition, Licensee responses shall be marked as “Security-Related Information—Withhold Under 10 CFR 2.390.” The Director, Office of Nuclear Reactor Regulation, may, in writing, relax or rescind any of the above conditions upon demonstration of good cause by the Licensee. IV In accordance with 10 CFR 2.202, the Licensee must, and any other person adversely affected by this Order may, submit an answer to this Order, and may request a hearing on this Order, within twenty
(20)days of the date of this Order. Where good cause is shown, consideration will be given to extending the time to request a hearing. A request for extension of time in which to submit an answer or request a hearing must be made in writing to the Director, Office of Nuclear Reactor Regulation, U.S. Nuclear Regulatory Commission, Washington, DC 20555, and include a statement of good cause for the extension. The answer may consent to this Order. Unless the answer consents to this Order, the answer shall, in writing and under oath or affirmation, specifically set forth the matters of fact and law on which the Licensee or other person adversely affected relies and the reasons as to why the Order should not have been issued. Any answer or request for a hearing shall be submitted to the Secretary, Office of the Secretary, U.S. Nuclear Regulatory Commission, Attn: Rulemakings and Adjudications Staff, Washington, DC 20555. Copies also shall be sent to the Director, Office of Nuclear Reactor Regulation, U.S. Nuclear Regulatory Commission, Washington, DC 20555, and to the Assistant General Counsel for Materials Litigation and Enforcement at the same address. Because of possible delays in delivery of mail to United States Government offices, it is requested that answers and requests for hearing be transmitted to the Secretary of the Commission either by means of facsimile transmission to 301-415-1101 or by e-mail to *hearingdocket@nrc.gov* and also to the Office of the General Counsel either by means of facsimile transmission to 301-415-3725 or by e-mail to *OGCMailCenter@nrc.gov* . If a person other than the Licensee requests a hearing, that person shall set forth with particularity the manner in which his/her interest is adversely affected by this Order and shall address the criteria set forth in 10 CFR 2.309. If a hearing is requested by the Licensee or a person whose interest is adversely affected, the Commission will issue an Order designating the time and place of any hearing. If a hearing is held, the issue to be considered at such hearing shall be whether this Order should be sustained. Pursuant to 10 CFR 2.202(c)(2)(I), the Licensee may, in addition to demanding a hearing, at the time the answer is filed or sooner, move the presiding officer to set aside the immediate effectiveness of the Order on the ground that the Order, including the need for immediate effectiveness, is not based on adequate evidence but on mere suspicion, unfounded allegations, or error. In the absence of any request for hearing, or written approval of an extension of time in which to request a hearing, the provisions as specified above in Section III shall be final twenty
(20)days from the date of this Order without further order or proceedings. If an extension of time for requesting a hearing has been approved, the provisions as specified above in Section III shall be final when the extension expires if a hearing request has not been received. An answer or a request for hearing shall not stay the immediate effectiveness of this order. Dated this 29th day of September 2006. For the Nuclear Regulatory Commission. J.E. Dyer, Director, Office of Nuclear Reactor Regulation. Attachment 2—Requirements for Fingerprinting and Criminal History Records Checks of Individuals When Licensee's Reviewing Official Is Determining Access to Safeguards Information General Requirements Licensees shall comply with the requirements of this attachment. A. 1. Each Licensee subject to the provisions of this attachment shall fingerprint each individual who is seeking or permitted access to Safeguards Information (SGI). The Licensee shall review and use the information received from the Federal Bureau of Investigation
(FBI)and ensure that the provisions contained in the subject Order and this attachment are satisfied. 2. The Licensee shall notify each affected individual that the fingerprints will be used to secure a review of his/her criminal history record and inform the individual of the procedures for revising the record or including an explanation in the record, as specified in the “Right to Correct and Complete Information” section of this attachment. 3. Fingerprints need not be taken if an employed individual (e.g., a Licensee employee, contractor, manufacturer, or supplier) is relieved from the fingerprinting requirement by 10 CFR 73.59, has a favorably-decided U.S. Government criminal history records check within the last five
(5)years, or has an active Federal security clearance. Written confirmation from the Agency/employer which granted the Federal security clearance, or reviewed the criminal history records check must be provided. The Licensee must retain this documentation for a period of three
(3)years from the date the individual no longer requires access to SGI associated with the Licensee's activities. 4. All fingerprints obtained by the Licensee pursuant to this Order must be submitted to the Commission for transmission to the FBI. 5. The Licensee shall review the information received from the FBI and consider it, in conjunction with the applicable requirements (e.g., 10 CFR 73.21) in making a determination whether to grant access to SGI to individuals who have a need-to-know the SGI. 6. The Licensee shall use any information obtained as part of a criminal history records check solely for the purpose of determining an individual's suitability for access to SGI. 7. The Licensee shall document the basis for its determination whether to grant access to SGI. B. The Licensee shall notify the NRC of any desired change in reviewing officials. The NRC will determine whether the individual nominated as the new reviewing official may have access to SGI based on a previously-obtained or new criminal history records check and, therefore, will be permitted to serve as the Licensee's reviewing official. Prohibitions A Licensee shall not base a final determination to deny an individual access to SGI solely on the basis of information received from the FBI involving: An arrest more than one
(1)year old for which there is no information of the disposition of the case, or an arrest that resulted in dismissal of the charge or an acquittal. A Licensee shall not use information received from a criminal history records check obtained pursuant to this Order in a manner that would infringe upon the rights of any individual under the First Amendment to the Constitution of the United States, nor shall the Licensee use the information in any way which would discriminate among individuals on the basis of race, religion, national origin, sex, or age. Procedures for Processing Fingerprint Checks For the purpose of complying with this Order, Licensees shall, using an appropriate method listed in 10 CFR 73.4, submit to the NRC's Division of Facilities and Security, Mail Stop T-6E46, one completed, legible standard fingerprint card (Form FD-258, ORIMDNRCOOOZ) or, where practicable, other fingerprint records for each individual seeking access to Safeguards Information, to the Director of the Division of Facilities and Security, marked for the attention of the Division's Criminal History Check Section. Copies of these forms may be obtained by writing the Office of Information Services, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, by calling
(301)415-5877, or by e-mail to *forms@nrc.gov* . Practicable alternative formats are set forth in 10 CFR 73.4. The Licensee shall establish procedures to ensure that the quality of the fingerprints taken results in minimizing the rejection rate of fingerprint cards due to illegible or incomplete cards. The NRC will review submitted fingerprint cards for completeness. Any Form FD-258 fingerprint record containing omissions or evident errors will be returned to the Licensee for corrections. The fee for processing fingerprint checks includes one re-submission if the initial submission is returned by the FBI because the fingerprint impressions cannot be classified. The one free re-submission must have the FBI Transaction Control Number reflected on the re-submission. If additional submissions are necessary, they will be treated as initial submittals and will require a second payment of the processing fee. Fees for processing fingerprint checks are due upon application. Licensees shall submit payment with the application for processing fingerprints by corporate check, certified check, cashier's check, money order, or electronic payment, made payable to “U.S. NRC.” [For guidance on making electronic payments, contact the Facilities Security Branch, Division of Facilities and Security, at
(301)415-7739]. Combined payment for multiple applications is acceptable. The application fee (currently $27) is the sum of the user fee charged by the FBI for each fingerprint card or other fingerprint record submitted by the NRC on behalf of a Licensee, and an NRC processing fee, which covers administrative costs associated with NRC handling of Licensee fingerprint submissions. The Commission will directly notify Licensees who are subject to this regulation of any fee changes. The Commission will forward to the submitting Licensee all data received from the FBI as a result of the Licensee's application(s) for criminal history records checks, including the FBI fingerprint record. Right to Correct and Complete Information Prior to any final adverse determination, the Licensee shall make available to the individual the contents of any criminal records obtained from the FBI for the purpose of assuring correct and complete information. Written confirmation by the individual of receipt of this notification must be maintained by the Licensee for a period of one
(1)year from the date of the notification. If, after reviewing the record, an individual believes that it is incorrect or incomplete in any respect and wishes to change, correct, or update the alleged deficiency, or to explain any matter in the record, the individual may initiate challenge procedures. These procedures include either direct application by the individual challenging the record to the agency (i.e., law enforcement agency) that contributed the questioned information, or direct challenge as to the accuracy or completeness of any entry on the criminal history record to the Assistant Director, Federal Bureau of Investigation Identification Division, Washington, DC 20537-9700 (as set forth in 28 CFR 16.30 through 16.34). In the latter case, the FBI forwards the challenge to the agency that submitted the data and requests that agency to verify or correct the challenged entry. Upon receipt of an official communication directly from the agency that contributed the original information, the FBI Identification Division makes any changes necessary in accordance with the information supplied by that agency. The Licensee must provide at least ten
(10)days for an individual to initiate an action challenging the results of an FBI criminal history records check after the record is made available for his/her review. The Licensee may make a final SGI access determination based upon the criminal history record only upon receipt of the FBI's ultimate confirmation or correction of the record. Upon a final adverse determination on access to SGI, the Licensee shall provide the individual its documented basis for denial. Access to SGI shall not be granted to an individual during the review process. Protection of Information 1. Each Licensee who obtains a criminal history record on an individual pursuant to this Order shall establish and maintain a system of files and procedures for protecting the record and the personal information from unauthorized disclosure. 2. The Licensee may not disclose the record or personal information collected and maintained to persons other than the subject individual, his/her representative, or to those who have a need to access the information in performing assigned duties in the process of determining access to Safeguards Information. No individual authorized to have access to the information may re-disseminate the information to any other individual who does not have a need-to-know. 3. The personal information obtained on an individual from a criminal history record check may be transferred to another Licensee if the Licensee holding the criminal history check record receives the individual's written request to re-disseminate the information contained in his/her file, and the gaining Licensee verifies information such as the individual's name, date of birth, social security number, sex, and other applicable physical characteristics for identification purposes. 4. The Licensee shall make criminal history records, obtained under this section, available for examination by an authorized representative of the NRC to determine compliance with the regulations and laws. 5. The Licensee shall retain all fingerprint and criminal history records received from the FBI, or a copy if the individual's file has been transferred, for three
(3)years after termination of employment or determination of access to SGI (whether access was approved or denied). After the required three
(3)year period, these documents shall be destroyed by a method that will prevent reconstruction of the information in whole or in part. [FR Doc. E6-16558 Filed 10-5-06; 8:45 am] BILLING CODE 7590-01-P OFFICE OF PERSONNEL MANAGEMENT Excepted Service AGENCY: Office of Personnel Management (OPM). ACTION: Notice. SUMMARY: This gives notice of OPM decisions granting authority to make appointments under Schedules A, B, and C in the excepted service as required by 5 CFR 6.6 and 213.103. FOR FURTHER INFORMATION CONTACT: David Guilford, Center for Leadership and Executive Resources Policy, Division for Strategic Human Resources Policy, 202-606-1391. SUPPLEMENTARY INFORMATION: Appearing in the listing below are the individual authorities established under Schedules A, B, and C between August 1, 2006, and August 31, 2006. Future notices will be published on the fourth Tuesday of each month, or as soon as possible thereafter. A consolidated listing of all authorities as of June 30 is published each year. *Schedule A:* No Schedule A appointments were approved for August 2006. *Schedule B:* No Schedule B appointments were approved for August 2006. *Schedule C:* The following Schedule C appointments were approved during August 2006: Section 213.3303 Executive Office of the President Council on Environmental Quality EQGS60021 Special Assistant to the Chairman (Council on Environmental Quality). Effective August 01, 2006. Office of Management and Budget BOGS60026 Confidential Assistant to the Associate Director for General Government Programs. Effective August 11, 2006. BOGS00039 Legislative Analyst to the Associate Director for Legislative Affairs. Effective August 16, 2006. BOGS60035 Confidential Assistant to the Counselor to the Deputy Director for Management. Effective August 16, 2006. BOGS70000 Confidential Assistant to the Deputy Director, Office of Management and Budget. Effective August 24, 2006. BOGS70001 Associate General Counsel to the General Counsel and Senior Policy Advisor. Effective August 24, 2006. Office of National Drug Control Policy QQGS60096 Deputy Chief of Staff to the Chief of Staff. Effective August 02, 2006. QQGS60097 Public Affairs Specialist to the Counselor to the Deputy Director. Effective August 22, 2006. Office of the United States Trade Representative TNGS60023 Public Affairs Specialist to the Assistant United States Trade Representative for Public and Media Affairs. Effective August 01, 2006. TNGS60024 Director of Scheduling and Advance to the United States Trade Representative. Effective August 09, 2006. Section 213.3304 Department of State DSGS61108 Special Assistant to the Under Secretary for Global Affairs. Effective August 04, 2006. DSGS61110 Special Assistant to the Assistant Secretary for East Asian and Pacific Affairs. Effective August 04, 2006. DSGS61111 Legislative Management Officer to the Assistant Secretary for Legislative and Intergovernmental Affairs. Effective August 04, 2006. DSGS61112 Senior Advisor to the Assistant Secretary for International Organizational Affairs. Effective August 16, 2006. DSGS60734 Public Affairs Specialist to the Assistant Secretary for Public Affairs. Effective August 22, 2006. DSGS61113 Special Assistant to the Assistant Secretary, Bureau of Educational and Cultural Affairs. Effective August 29, 2006. Section 213.3305 Department of the Treasury DYGS60421 Special Assistant to the Deputy Assistant Secretary for Legislative Affairs. Effective August 16, 2006. DYGS00356 Director, Critical Infrastructure Protection and Compliance Policy to the Deputy Assistant Secretary (Critical Infrastructure Protection and Compliance Policy). Effective August 17, 2006. DYGS00476 Director of Operations to the Chief of Staff. Effective August 25, 2006. DYGS00380 Deputy to the Assistant Secretary (Legislative Affairs) to the Assistant Secretary (Deputy Under Secretary) for Legislative Affairs. Effective August 29, 2006. DYGS00475 Policy Advisor to the Assistant Secretary (Terrorist Financing). Effective August 29, 2006. Section 213.3306 Department of Defense DDGS16962 Speechwriter to the Principal Deputy Assistant Secretary of Defense for Public Affairs. Effective August 02, 2006. DDGS16953 Defense Fellow to the Special Assistant to the Secretary of Defense for White House Liaison. Effective August 08, 2006. DDGS16959 Special Assistant to the Principal Deputy Assistant Secretary of Defense (Legal Affairs). Effective August 08, 2006. DDGS16966 Defense Fellow to the Special Assistant to the Secretary of Defense for White House Liaison. Effective August 08, 2006. DDGS16970 Special Assistant to the Principal Deputy Assistant Secretary of Defense (Legal Affairs). Effective August 08, 2006. DDGS16956 Personal and Confidential Assistant to the Assistant Secretary of Defense (Special Operations/Low Intensity Conflict). Effective August 10, 2006. DDGS16965 Defense Fellow to the Special Assistant to the Secretary of Defense for White House Liaison. Effective August 16, 2006. DDGS16978 Staff Assistant to the Deputy Assistant Secretary of Defense (Detainee Affairs). Effective August 24, 2006. DDGS16980 Personal and Confidential Assistant to the Assistant Secretary of Defense (International Security Policy). Effective August 24, 2006. DDGS16982 Staff Specialist to the Deputy Assistant Secretary of Defense for Strategy, Plans and Resources. Effective August 24, 2006. DDGS16945 Defense Fellow to the Special Assistant to the Secretary of Defense for White House Liaison. Effective August 29, 2006. DDGS16971 Staff Assistant to the Deputy Assistant Secretary of Defense (Detainee Affairs). Effective August 31, 2006. Section 213.3307 Department of the Army DWGS60016 Confidential Assistant to the Secretary of the Army. Effective August 14, 2006. Section 213.3309 Department of the Air Force DFGS60018 Director, Marketing and Special Events to the Secretary of the Air Force. Effective August 02, 2006. DFGS60011 Personal and Confidential Assistant to the General Counsel. Effective August 29, 2006. Section 213.3310 Department of Justice DJGS00261 Senior Counsel to the Assistant Attorney General. Effective August 01, 2006. DJGS00062 Chief of Staff to the Administrator of Juvenile Justice and Delinquency Prevention. Effective August 08, 2006. DJGS00231 Counsel to the Associate Attorney General. Effective August 08, 2006. DJGS00200 Senior Counsel to the Assistant Attorney General, Criminal Division. Effective August 16, 2006. DJGS00085 Speech Writer to the Director, Office of Public Affairs. Effective August 29, 2006. Section 213.3311 Department of Homeland Security DMGS00546 Coordinator of State and Local Affairs to the Chief of Staff. Effective August 01, 2006. DMGS00555 Special Assistant and Travel Aide to the Under Secretary for Federal Emergency Management. Effective August 02, 2006. DMGS00557 Public Affairs Specialist to the Deputy Assistant Secretary for Public Affairs. Effective August 04, 2006. DMGS00553 Director of Policy and Plans, Customs and Border Protection to the Commissioner, Customs and Border Protection. Effective August 08, 2006. DMGS00559 Assistant Press Secretary to the Deputy Assistant Secretary for Public Affairs. Effective August 08, 2006. DMGS00556 Deputy Chief of Staff to the Director of Information Integration and Special Assistant to the Secretary. Effective August 09, 2006. DMGS00558 Special Assistant to the Chief Privacy Officer. Effective August 09, 2006. DMGS00560 Associate Director of Communications for Intelligence and Analysis to the Deputy Assistant Secretary for Public Affairs. Effective August 15, 2006. DMGS00562 Assistant Executive Secretary to the Executive Secretary. Effective August 15, 2006. DMGS00561 Assistant Director of Communications to the Director of Communications for United States Citizenship and Immigration Services. Effective August 18, 2006. DMGS00563 Assistant Press Secretary to the Press Secretary. Effective August 18, 2006. DMGS00566 Executive Assistant to the Director, Office of Systems Engineering and Acquisition. Effective August 22, 2006. DMGS00564 Staff Assistant to the White House Liaison and Advisor. Effective August 24, 2006. DMGS00568 Senior Media Affairs and Communication Specialist to the Chief of Staff. Effective August 24, 2006. Section 213.3312 Department of the Interior DIGS01076 Special Assistant to the Deputy Chief of Staff. Effective August 04, 2006. DIGS01077 Special Assistant to the Deputy Solicitor. Effective August 29, 2006. Section 213.3313 Department of Agriculture DAGS00857 Special Assistant to the Administrator, Farm Service Agency. Effective August 01, 2006. DAGS00859 Deputy Director of Intergovernmental Affairs to the Director, Intergovernmental Affairs. Effective August 18, 2006. DAGS00855 Special Assistant to the Deputy Administrator for Field Operations. Effective August 21, 2006. Section 213.3314 Department of Commerce DCGS00184 Confidential Assistant to the Assistant Secretary for Telecommunications and Information. Effective August 04, 2006. DCGS60512 Senior Advisor to the Under Secretary of Commerce for Industry and Security. Effective August 04, 2006. DCGS60160 Confidential Assistant to the Director, Advocacy Center. Effective August 16, 2006. DCGS00427 Senior Advisor to the Assistant Secretary for Export Enforcement. Effective August 29, 2006. DCGS60651 Public Affairs Specialist to the Director of Public Affairs. Effective August 29, 2006. Section 213.3315 Department of Labor DLGS60236 Legislative Officer to the Assistant Secretary for Congressional and Intergovernmental Affairs. Effective August 01, 2006. DLGS60238 Legislative Assistant to the Assistant Secretary for Congressional and Intergovernmental Affairs. Effective August 14, 2006. DLGS60015 Legislative Assistant to the Assistant Secretary for Congressional and Intergovernmental Affairs. Effective August 15, 2006. DLGS60007 Special Assistant to the Director, 21st Century Office and Deputy Assistant Secretary for Intergovernmental Affairs. Effective August 18, 2006. DLGS60168 Senior Intergovernmental Affairs Officer to the Assistant Secretary for Congressional and Intergovernmental Affairs. Effective August 24, 2006. DLGS60189 Special Assistant to the Chief Financial Officer. Effective August 29, 2006. Section 213.3316 Department of Health and Human Services DHGS60526 Confidential Assistant to the Deputy Secretary, Health and Human Services. Effective August 16, 2006. DHGS60038 Special Assistant to the Senior Advisor to the Assistant Secretary for Health. Effective August 29, 2006. Section 213.3317 Department of Education DBGS00557 Special Assistant to the Director, White House Initiative on Hispanic Education. Effective August 11, 2006. DBGS00558 Confidential Assistant to the Assistant Secretary for Elementary and Secondary Education. Effective August 14, 2006. DBGS00355 Confidential Assistant to the Chief of Staff to the Deputy Secretary. Effective August 17, 2006. DBGS00561 Deputy Assistant Secretary for Policy and Strategic Initiatives to the Assistant Secretary for Elementary and Secondary Education. Effective August 22, 2006. DBGS00562 Confidential Assistant to the Deputy Assistant Secretary for Communications and Outreach. Effective August 22, 2006. DBGS00563 Confidential Assistant to the Assistant Secretary for Elementary and Secondary Education. Effective August 24, 2006. DBGS00559 Special Assistant to the Secretary's Regional Representative, Region 8. Effective August 29, 2006. DBGS00560 Chief of Staff to the Assistant Secretary for Planning, Evaluation, and Policy Development. Effective August 29, 2006. DBGS00564 Special Assistant to the Deputy Assistant Secretary for Media Relations and Strategic Communications. Effective August 29, 2006. Section 213.3318 Environmental Protection Agency EPGS06021 Assistant to the Scheduler to the Director of Scheduling. Effective August 01, 2006. EPGS05024 Deputy Associate Administrator to the Associate Administrator for Public Affairs. Effective August 29, 2006. Section 213.3325 United States Tax Court JCGS60042 Secretary (Confidential Assistant) to the Chief Judge. Effective August 17, 2006. Section 213.3330 Securities and Exchange Commission SEOT60052 Chief of Staff to the Chairman. Effective August 02, 2006. SEOT60053 Managing Executive for Policy and Counselor to the Chairman. Effective August 02, 2006. Section 213.3331 Department of Energy DEGS00534 Senior Advisor to the Chief of Staff. Effective August 01, 2006. DEGS00535 Web Content Manager to the Senior Policy Advisor. Effective August 02, 2006. DEGS00536 Policy Advisor to the Senior Advisor. Effective August 15, 2006. DEGS00537 Program Assistant to the Assistant Secretary of Energy (Nuclear Energy). Effective August 18, 2006. DEGS00539 Deputy Director for Permitting, Siting and Analysis Division to the Director, Office of Electricity Delivery and Energy Reliability. Effective August 22, 2006. DEGS00540 Special Assistant to the Director, Office of Electricity Delivery and Energy Reliability. Effective August 29, 2006. DEGS00541 Director of Commercialization and Deployment to the Principal Deputy Assistant Secretary. Effective August 29, 2006. Section 213.3331 Federal Energy Regulatory Commission DRGS60007 Confidential Assistant to the Member-Federal Energy Regulatory Commission. Effective August 24, 2006. Section 213.3332 Small Business Administration SBGS00600 Director of External Affairs to the Associate Administrator for Field Operations. Effective August 02, 2006. SBGS00602 Special Assistant to the Administrator. Effective August 04, 2006. Section 213.3337 General Services Administration GSGS00178 Special Assistant to the Chief Acquisition Officer. Effective August 08, 2006. GSGS00180 Confidential Assistant to the Associate Administrator for Congressional and Intergovernmental Affairs. Effective August 18, 2006. GSGS00156 Confidential Assistant to the Chief of Staff. Effective August 29, 2006. Section 213.3373 Trade and Development Agency TDGS60001 Executive Assistant to the Director. Effective August 29, 2006. Section 213.3377 Equal Employment Opportunity Commission EEGS60032 Senior Advisor to the Member, Equal Employment Opportunity Commission. Effective August 30, 2006. Section 213.3384 Department of Housing and Urban Development DUGS60449 Congressional Relations Specialist to the Deputy Assistant Secretary for Congressional Relations. Effective August 30, 2006. Section 213.3394 Department of Transportation DTGS60194 Special Assistant to the Administrator. Effective August 01, 2006. DTGS60371 Deputy Assistant Secretary for Governmental Affairs to the Assistant Secretary for Governmental Affairs. Effective August 17, 2006. DTGS60382 Special Assistant to the Secretary and Deputy Director for Scheduling and Advance to the Secretary. Effective August 17, 2006. DTGS60202 Counselor to the Administrator. Effective August 31, 2006. Authority: 5 U.S.C. 3301 and 3302; E.O. 10577, 3 CFR 1954-1958 Comp., p. 218. Office of Personnel Management. Dan G. Blair, Deputy Director. [FR Doc. E6-16593 Filed 10-5-06; 8:45 am] BILLING CODE 6325-39-P SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request *Upon Written Request, Copies Available From:* Securities and Exchange Commission, Office of Filing and Information Services, Washington, DC 20549. *Extension:* Rule 30e-2; SEC File No. 270-437; OMB Control No. 3235-0494. Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 *et seq.* ) (the “Paperwork Reduction Act”) the Securities and Exchange Commission (“Commission”) is soliciting comments on the collections of information summarized below. The Commission plans to submit these existing collections of information to the Office of Management and Budget (“OMB”) for extension and approval. Section 30(e) of the Investment Company Act of 1940 (15 U.S.C. 80a-29(e)) (the “Investment Company Act” or “Act”) and rule 30e-2 1 thereunder (17 CFR 270.30e-2) require registered unit investment trusts (“UITs”) that invest substantially all of their assets in securities of a management investment company 2 (“fund”) to send to shareholders at least semi-annually a report containing certain financial statements and other information. Specifically, rule 30e-2 requires that the report contain the financial statements and other information that rule 30e-1 under the Act (17 CFR 270.30e-1) requires to be included in the report of the underlying fund for the same fiscal period. Rule 30e-1 requires that the underlying fund's report contain, among other things, the financial statements and other information that is required to be included in such report by the fund's registration form. 1 Rule 30e-2 was originally adopted as rule 30d-2, but was redesignated as rule 30e-2 effective February 15, 2001. *See* Role of Independent Directors of Investment Companies, Investment Company Act Release No. 24816 (Jan. 2, 2001) (66 FR 3734 (Jan. 16, 2001)). 2 Management investment companies are defined in Section 4(3) of the Investment Company Act as any investment company other than a face-amount certificate company or a unit investment trust, as those terms are defined in Section 4(1) and 4(2) of the Investment Company Act. *See* 15 U.S.C. 80a-4. The purpose of this requirement is to apprise current shareholders of the operational and financial condition of the UIT. Absent the requirement to disclose all material information in reports, investors would be unable to obtain accurate information upon which to base investment decisions and consumer confidence in the securities industry might be adversely affected. Requiring the submission of these reports to the Commission permits us to verify compliance with securities law requirements. In addition, Rule 30e-2 permits, under certain conditions, delivery of a single shareholder report to investors who share an address (“householding”). Specifically, rule 30e-2 permits householding of annual and semi-annual reports by UITs to satisfy the delivery requirements of rule 30e-2 if, in addition to the other conditions set forth in the rule, the UIT has obtained from each applicable investor written or implied consent to the householding of shareholder reports at such address. The rule requires UITs that wish to household shareholder reports with implied consent to send a notice to each applicable investor stating that the investors in the household will receive one report in the future unless the investors provide contrary instructions. In addition, at least once a year, UITs relying on the rule for householding must explain to investors who have provided written or implied consent how they can revoke their consent. Preparing and sending the initial notice and the annual explanation of the right to revoke consent are collections of information under the Paperwork Reduction Act. The purpose of the notice and annual explanation requirements associated with the householding provisions of the rule is to ensure that investors who wish to receive individual copies of shareholder reports are able to do so. The Commission estimates that as of April 2006, approximately 737 UITs were subject to the provisions of rule 30e-2. The Commission further estimates that the annual burden associated with rule 30e-2 is 121 hours for each UIT, including an estimated 20 hours associated with the notice requirement for householding and an estimated 1 hour associated with the explanation of the right to revoke consent to householding, for a total of 89,177 burden hours. In addition to the burden hours, the Commission estimates that the cost of contracting for outside services associated with complying with rule 30e-2 is $24,640 per respondent (80 hours times $308 per hour for independent auditor services), for a total of $18,159,680 ($24,640 per respondent times 737 respondents). These estimates are made solely for the purposes of the Paperwork Reduction Act, and are not derived from a comprehensive or even a representative survey or study of the costs of Commission rules and forms. The collection of information under Rule 30e-2 is mandatory. The information provided under Rule 30e-2 is not kept confidential. The Commission may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. Written comments are invited on:
(a)Whether the proposed collections of information are necessary for the proper performance of the functions of the agency, including whether the information will have practical utility;
(b)the accuracy of the agency's estimate of the burden of the collections of information;
(c)ways to enhance the quality, utility, and clarity of the information collected; and
(d)ways to minimize the burden of the collections of information on respondents, including through the use of automated collection techniques or other forms of information technology. Consideration will be given to comments and suggestions submitted in writing within 60 days of this publication. Please direct your written comments to R. Corey Booth, Director/Chief Information Officer, Securities and Exchange Commission, c/o Shirley Martinson 6432 General Green Way, Alexandria, Virginia, 22312; or send an e-mail to: *PRA_Mailbox@sec.gov.* Dated: September 28, 2006. Nancy M. Morris, Secretary. [FR Doc. E6-16549 Filed 10-5-06; 8:45 am] BILLING CODE 8011-01-P SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Filings and Information Services, Washington, DC 20549. *Extension:* Form N-4; SEC File No. 270-282; OMB Control No. 3235-0318. Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 *et seq.* ) the Securities and Exchange Commission (the “Commission”) is soliciting comments on the collections of information summarized below. The Commission plans to submit these existing collections of information to the Office of Management and Budget (“OMB”) for extension and approval. The collection of information is entitled: “Form N-4 (17 CFR 239.17b and 274.11c) under the Securities Act of 1933 (15 U.S.C. 77a *et seq.* ) under the Investment Company Act of 1940 (15 U.S.C. 80a-1 *et seq.* ) registration statement of separate accounts organized as unit investment trusts.” Form N-4 is the form used by insurance company separate accounts organized as unit investment trusts that offer variable annuity contracts to register as investment companies under the Investment Company Act of 1940 and/or to register their securities under the Securities Act of 1933 (“Securities Act”). The primary purpose of the registration process is to provide disclosure of financial and other information to investors and potential investors for the purpose of evaluating an investment in a security. Form N-4 also permits separate accounts organized as unit investment trusts that offer variable annuity contracts to provide investors with a prospectus containing the information required in a registration statement prior to the sale or at the time of confirmation or delivery of the securities. The estimated annual number of respondents filing on Form N-4 is 48 for those filing initial registration statements and 1,894 for those filing post-effective amendments. The proposed frequency of response is annual. The estimate of the total annual reporting burden of the collection of information is approximately 278.5 hours per initial filing and 197.25 hours for a post-effective amendment, for a total of 386,959.5 hours ((48 initial registration statements × 278.5 hours) + (1,894 post-effective amendments × 197.25 hour)). Providing the information required by Form N-4 is mandatory. Responses will not be kept confidential. Estimates of the burden hours are made solely for the purposes of the Paperwork Reduction Act, and are not derived from a comprehensive or even a representative survey or study of the costs of Commission rules and forms. Written comments are invited on:
(a)Whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility;
(b)the accuracy of the agency's estimate of the burden of the collection of information;
(c)ways to enhance the quality, utility, and clarity of the information collected; and
(d)ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or other forms of information technology. Consideration will be given to comments and suggestions submitted in writing within 60 days of this publication. Please direct your written comments to R. Corey Booth, Director/Chief Information Officer, Securities and Exchange Commission, C/O Shirley Martinson, 6432 General Green Way, Alexandria, Virginia 22312 or send an e-mail to: *PRA_Mailbox@sec.gov* . Dated: September 26, 2006. Nancy M. Morris, Secretary. [FR Doc. E6-16576 Filed 10-5-06; 8:45 am] BILLING CODE 8011-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-54551; File No. 4-524] Joint Industry Plan; Order Approving NMS Linkage Plan Filed by the American Stock Exchange LLC, Boston Stock Exchange, Inc., Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., The NASDAQ Stock Market LLC, National Stock Exchange, New York Stock Exchange LLC, NYSE Arca, Inc., and Philadelphia Stock Exchange, Inc. September 29, 2006. I. Introduction On July 17, 2006, pursuant to Rule 608 of the Securities Exchange Act of 1934 (“Act”), 1 the American Stock Exchange LLC (“Amex”), the Boston Stock Exchange, Inc. (“BSE”), the Chicago Board Options Exchange, Incorporated (“CBOE”), the Chicago Stock Exchange, Inc. (“CHX”), The NASDAQ Stock Market LLC (“Nasdaq”), the National Stock Exchange (“NSX”), the New York Stock Exchange LLC (“NYSE”), and NYSE Arca, Inc. (“NYSE Arca”) (“Linkage Participants”) filed with the Securities and Exchange Commission (“Commission”) an executed copy of the “Plan for the Purpose of Creating and Operating an Intermarket Communications Linkage Pursuant to Section 11A(a)(3)(B) of the Securities Exchange Act of 1934” (“Linkage Plan” or “Plan”), a national market system plan to create and operate an intermarket communications linkage pursuant to Section 11A(a)(3)(B) of the Act. 2 The Linkage Plan was initially executed by the eight self-regulatory organizations (“SROs”) listed above. The Philadelphia Stock Exchange, Inc. (“Phlx”) subsequently executed the Linkage Plan on August 1, 2006. 3 The Commission published the Linkage Plan for comment in the **Federal Register** on August 4, 2006. 4 No comments were received on the Plan. This Order approves the Linkage Plan, thus authorizing the Plan Participants to act jointly in planning, developing, operating and regulating the NMS Linkage System (“Linkage” or “System”) that will electronically link the Participant Markets to one another, as described in the Linkage Plan, so as to further the objectives of Congress as set forth in Section 11A of the Act. 5 A copy of the Plan, as approved, is attached as Exhibit A. 1 17 CFR 242.608. 2 15 U.S.C. 78k-1(a)(3)(B). 3 A Linkage Plan, dated August 1, 2006, reflecting Phlx's inclusion as a Linkage Participant, was received by the Commission on August 9, 2006. 4 *See* Securities Exchange Act Release No. 54239 (July 28, 2006), 71 FR 44328. 5 15 U.S.C. 78k-1. II. Background Currently, the connectivity between markets is provided pursuant to the Intermarket Trading System (“ITS”) Plan, a National Market System plan, which was designed to facilitate intermarket trading in exchange-listed equity securities based on current quotation information emanating from the linked markets. 6 Physical access is provided by ITS connectivity, and the terms of access are governed by the ITS Plan. Participants in the ITS Plan have agreed not to charge for access to their markets through the ITS. The ITS Plan provides grievance procedures for instances when a market's quote is traded through and sets forth procedures to follow in the event of a locked or crossed market. 6 *See* Securities Exchange Act Release No. 14661 (Apr. 14, 1978), 43 FR 17419 (Apr. 24, 1978) (temporarily approving the ITS Plan). *See also* Securities Exchange Act Release No. 19456 (Jan. 27, 1983), 48 FR 4938 (Feb. 3, 1983) (permanently approving the ITS Plan). When the Commission adopted Regulation NMS over a year ago, 7 it stated its belief that fair and efficient access to markets can be achieved without a collective intermarket linkage facility such as ITS, if baseline intermarket access rules are established. The Commission adopted Rule 610 (Access Rule) that requires non-discriminatory direct or indirect access and enables the use of private linkages offered by a variety of connectivity providers. The Commission also adopted Rule 611 (The Order Protection Rule) that establishes intermarket protection against trade-throughs for all NMS stocks. The required date for full operation of Regulation NMS-compliant trading systems of all automated trading centers that intend to qualify their quotations for trade-through protection under Rule 611 is February 5, 2007 (“Trading Phase Date”). 8 7 *See* Securities Exchange Act Release No. 51808 (June 9, 2005), 70 FR 37496 (June 29, 2005). 8 *See* Securities Exchange Act Release No. 53829 (May 18, 2006), 71 FR 30038 (May 24, 2006) (extending Rule 610 and Rule 611 compliance dates). Following the adoption of Regulation NMS and considering the limitations of the ITS Plan, and anticipating its termination, the ITS Participants (other than the NASD) agreed to the Linkage Plan, which, together with the ITS Plan, would govern the operation of the System until the termination of the ITS Plan, which is expected to take place on the Trading Phase Date. 9 After the Trading Phase Date and until the SROs otherwise arrange to meet their access responsibilities, the operation of the System would be governed by the Linkage Plan. 10 The Linkage Plan is intended to serve as an interim solution until all Participants are able to make other arrangements to meet their access responsibilities. 11 9 Because the Linkage Plan does not contain trade-through and locked/crossed market prohibitions, it is necessary to preserve the operation of the ITS Plan for the period before the Trading Phase Date. It is the Commission's understanding that the ITS Plan Participants intend to file with the Commission a request for the termination of the ITS Plan. *See* letter from ITS Plan Participants to Nancy Morris, Secretary, Commission, dated September 18, 2006 (the “Letter”). 10 As provided in Sections 11 and 13 of the Linkage Plan, the Linkage Plan is to become operative on October 1, 2006 and will terminate on June 30, 2007. Linkage Plan Participants that wish to extend the term could agree to do so, subject to Commission approval. 11 The National Association of Securities Dealers, Inc. (“NASD”) is not planning to join the Linkage Plan and until the Trading Phase Date will continue to maintain its connectivity under the ITS Plan. Until the Trading Phase Date, the Linkage Plan would run concurrently with the ITS Plan. Therefore, until the Trading Phase Date, when the ITS Plan is expected to terminate, all Linkage Plan Participants remain subject to the ITS Plan. To permit the Linkage Plan Participants to commence trading pursuant to the Linkage Plan, the ITS Plan Participants have requested that the Commission issue an exemption from certain provisions of the ITS Plan that would interfere with the operation of the Linkage Plan. 12 12 With the exception of SRO rules pertaining to locked and crossed markets, the ITS Plan Participants have requested relief from the requirement to enforce compliance with those SRO rules, which correspond to the requested ITS Plan exemptions. *See* the Letter. The Linkage Plan Participants will continue to be subject to Section 8(d)(i) of the ITS Plan (Trade-Throughs; Locked Markets) and corresponding SRO rules. III. Description of the Linkage Plan A. Operation of the Linkage Plan The System includes the data processing hardware, software and communications network that electronically link the Participant Markets to one another. The System accommodates only regular-way trading. All System trades must be compared, cleared and settled through Commission-registered clearing corporations. The System is designed to accommodate trading in any Eligible Security, as defined in Section VII of the Consolidated Tape Association (“CTA”) Plan. Section VII of the CTA Plan provides generally that Eligible Securities include equity securities registered on the NYSE, the Amex or another national securities exchange whose original listing requirements substantially meet those of NYSE or Amex except for securities that are listed on the Nasdaq Stock Market. The particular securities that may be traded through the System at any time are selected by the Supervisory Committee. The Supervisory Committee may add or delete System securities as it deems appropriate and may delay the commencement of trading in any Eligible Security if capacity or other operational considerations require a delay. The Securities Industry Automation Corporation (“SIAC”) serves as the System's facilities manager and has responsibility for the operation and maintenance of the System. SIAC performs its function as facilities manager in accordance with Plan provisions and subject to the administrative oversight of the Supervisory Committee. 13 13 Section 5(d) of the Linkage Plan. The System accepts only immediate-or-cancel limit orders. Orders must be sent to a Participant Market through the auspices of a member of that Participant, known as a Sponsoring Member. 14 The minimum information that must be specified in an order includes the Sponsoring Member; the “give-up” in the originating Participant Market; the security; the side (buy or sell); the amount to be bought or sold (which must be for one unit of trading ( *i.e.* , 100 shares) or any multiple thereof); and the price. 15 The price must be equal to the bid or offer then being furnished by the destination Participant Market. An order must specify a “time in force” of 5, 15 or 120 seconds, after which the order will expire if unexecuted. 14 In the event that the Participants are unable to implement Sponsoring Member billing on October 1, 2006, the Participants have agreed to accept direct exchange-to-exchange billing and have filed proposed rule changes to this effect. *See, e.g.* , Securities Exchange Act Release No. 54480 (Sept. 21, 2006), 71 FR 57596 (Sept. 29, 2006). 15 Section 6(a)(ii) of the Linkage Plan. After Trading Phase Date, all routed limit orders will be presumed by the executing market to be intermarket sweep orders sent in accordance with Rule 611(b) of Regulation NMS. 16 The trading rules applicable in destination Participant Markets will apply to orders received in the market and the execution of those orders in the market. 17 16 Section 6(a)(v) of the Linkage Plan. 17 Section 6(b) of the Linkage Plan. B. Terms and Conditions of Access Section 3(c) of the Plan provides that any national securities exchange or national securities association may become a Plan Participant by agreeing, in an amendment to the Plan adopted in accordance with its provisions, to comply, and to enforce compliance, with the Plan as provided in Section 3(b) of the Plan. An applicant for Plan participation is required to pay SIAC an amount estimated by SIAC to cover development costs to be incurred to accommodate the new Participant. In addition, before the applicant becomes a Plan Participant, the applicant must pay SIAC actual development costs in excess of estimated development costs, or SIAC will reimburse the applicant estimated development costs that were paid and are in excess of actual development costs. A new Participant shares in development costs incurred after it becomes a Participant in accordance with Section 10(a)(iii)(A). 18 18 Section 10(a)(iii)(C) of the Linkage Plan. C. Fees and Charges The Linkage Plan imposes no fees or charges in connection with orders executed through the Linkage. A Sponsoring Member is subject to applicable transaction charges imposed by the executing market. 19 Each Participant is free to determine whether or not to impose, and the amount of, a fee or charge on its members in connection with use of its facilities to access the System. Any such fee or charge must not be of such size, or so structured, as to discourage use of the System. 20 19 The Sponsoring Member is responsible for paying applicable transaction fees of the destination market. 20 Section 10(b) of the Linkage Plan. Any fees charged by Participants must be filed with the Commission pursuant to Section 19(b) of the Act. D. Dispute Resolution The Linkage Plan does not include specific provisions regarding resolution of disputes between or among Participants. Section 4(d) of the Plan provides that no action or inaction by the Supervisory Committee shall prejudice any Participant's right to present its views to the Commission or any other person with respect to any matter relating to the System or to seek to enforce its views in any other forum it deems appropriate. In addition, Section 6(b) provides that the trading rules of the destination market apply to orders received in that market, as well as to executions of orders in that market. Each Participant determines the extent to which its trading rules apply to members in its market with respect to the members' issuance of orders from the market and executions that occur in the market. IV. Discussion In Section 11A of the Act, 21 Congress directed the Commission to facilitate the development of a national market system consistent with the objectives of the Act. In particular, Section 11A(a)(3)(B) of the Act 22 authorizes the Commission “by rule or order, to authorize or require SROs to act jointly with respect to matters as to which they share authority under this title in planning, developing, operating, or regulating a national market system (or a subsystem thereof) or one or more facilities”. Rule 608 under the Act establishes the procedures for filing, amending, and approving national market system plans. 23 Pursuant to paragraph (b)(2) of Rule 608, the Commission's approval of a national market system plan is conditioned upon a finding that the proposed plan “is necessary or appropriate in the public interest, for the protection of investors and the maintenance of fair and orderly markets, to remove impediments to, and perfect the mechanisms of, a national market system, or otherwise in furtherance of the purposes of the Act”. 24 21 15 U.S.C. 78k-1. 22 15 U.S.C. 78k-1(a)(3)(B). 23 17 CFR 242.608. 24 17 CFR 242.608(b)(2). After carefully considering the proposed Linkage Plan, the Commission has determined to approve, pursuant to Section 11A(a)(3)(B) of the Act, 25 and Rule 608 thereunder, 26 the Linkage Plan, thus authorizing the Plan Participants to act jointly to implement the Plan's intermarket linkage. 27 25 15 U.S.C. 78k-1(a)(3)(B). 26 17 CFR 242.608. 27 Although Phlx initially did not sign the Plan, it subsequently executed the Linkage Plan on August 1, 2006. A Linkage Plan, dated August 1, 2006, reflecting Phlx's inclusion as a Linkage Participant, was received by the Commission on August 9, 2006. In 1975, Congress determined that the “linking of all markets” for NMS stocks through communications and data processing facilities would “foster efficiency; enhance competition; increase the information available to brokers, dealers, and investors; facilitate the offsetting of investors' orders; and contribute to the best execution of investors' orders”. 28 All SROs that trade exchange-listed stocks currently are linked through ITS, an intermarket linkage facility. ITS provides a means of access to exchanges and Nasdaq by permitting each market to send a “commitment to trade” through the system, with receiving markets generally having up to 30 seconds to respond. ITS also provides access to quotations of participants without fees and establishes uniform rules to govern quoting practices. Although ITS promotes access among participants that is uniform and free, it also is often slow and limited. Moreover, it is governed by a unanimous vote requirement that has at times impeded innovation in the system or its set of rules. In contrast, there is no collective intermarket linkage system for Nasdaq stocks. Instead, access is achieved primarily through private linkages among individual trading centers. This approach has demonstrated its benefits among electronic markets; it is flexible and can readily incorporate technological advances as they occur. 28 Section 11A(a)(1)(D) of the Act. Rule 610 adopted by the Commission in Regulation NMS 29 reflects the Commission's determination that fair and efficient access to markets can be achieved without an intermarket linkage facility such as ITS, if baseline intermarket access rules are established. 29 *See* Securities Exchange Act Release No. 51808 (June 9, 2005), 70 FR 37496 (June 29, 2005). The proposed Linkage Plan would govern the operation of the System together with the ITS Plan until the termination of the ITS Plan expected to take place on the Trading Phase Date. 30 After the Trading Phase Date and until the SROs otherwise arrange to meet their access responsibilities, the operation of the System would be governed by the Linkage Plan. 31 The Linkage Plan is intended to serve as an interim solution until all Participants otherwise arrange to meet their access responsibilities. 32 30 The Linkage Plan does not contain trade-through and locked/crossed market prohibitions, therefore it is necessary to preserve the operation of the ITS Plan for the period before the Trading Phase Date. It is the Commission's understanding that the ITS Plan Participants intend to file with the Commission a request for the termination of the ITS Plan. *See* the Letter. 31 As provided in Sections 11 and 13 of the Linkage Plan, the Linkage Plan is to become operative on October 1, 2006 and will terminate on June 30, 2007. Linkage Plan Participants that wished to extend the term could agree to do so, subject to Commission approval. 32 NASD is not planning to join the Linkage Plan and until the Trading Phase Date will maintain its connectivity under the ITS Plan. To permit the Linkage Plan Participants to commence trading pursuant to the Linkage Plan, the ITS Plan Participants have requested that the Commission issue an exemption from certain provisions of the ITS Plan that would interfere with the operation of the Linkage Plan. 33 In a separate action, the Commission today has granted an exemption from certain provisions of the ITS Plan that could interfere with the operation of the Linkage Plan, but until the Trading Phase Date, the Linkage Plan Participants will continue to be subject to certain provisions of the ITS Plan and corresponding SRO rules governing Trade-Throughs and Locked Markets, as well as to some other provisions of the ITS Plan. 34 33 With the exception of SRO rules pertaining to locked and crossed markets, the ITS Plan Participants have requested relief from the requirement to enforce compliance with those SRO rules, which correspond to the requested ITS Plan exemptions. *See* the Letter. 34 *See* letter from Erik R. Sirri, Director, Division of Market Regulation, Commission, dated September 29, to Robert Hill, Chairman, ITS Operating Committee. In approving the Linkage Plan, the Commission finds that the Linkage Plan is consistent with the Act in that it enhances intermarket competition by providing a means of intermarket access for Eligible securities, pending the full implementation of Regulation NMS and, therefore, would promote investor protection and the maintenance of fair and orderly markets. V. Conclusion *It is hereby ordered,* pursuant to Section 11A(a)(3)(B) of the Act, 35 and Rule 608 thereunder, 36 that the Linkage Plan submitted by the Linkage Plan Participants is approved and the Linkage Plan Participants (and any other self-regulatory organization which agrees to be a Plan Participant) are authorized to act jointly in planning, developing, operating or regulating the Linkage Plan as a means of facilitating a national market system. 37 35 15 U.S.C. 78k-1(a)(3)(B). 36 17 CFR 242.608. 37 17 CFR 200.30-2(a)(27). For the Commission, by the Division of Market Regulation, pursuant to delegated authority. Nancy M. Morris, Secretary. Exhibit A Plan for the Purpose of Creating and Operating an Intermarket Communications Linkage Pursuant to Section 11A(a)(3)(B) of the Securities Exchange Act of 1934 *Agreement* made as of June 12, 2006, among American Stock Exchange LLC, Boston Stock Exchange, Inc., Chicago Board Options Exchange, Inc., Chicago Stock Exchange, Inc., Nasdaq Stock Market LLC, National Stock Exchange, New York Stock Exchange LLC, and NYSE 1 Arca, Inc. 1 The Philadelphia Stock Exchange, Inc. (“Phlx”) subsequently executed the Linkage Plan on August 1, 2006. A Linkage Plan, dated August 1, 2006, reflecting Phlx's inclusion as a Linkage Plan participant, was sent to the Commission on August 8, 2006. *Whereas,* the undersigned national securities exchanges are parties to the plan submitted to the Securities and Exchange Commission (the “SEC”) for the purpose of creating and operating an intermarket communications linkage pursuant to section 11A(a)(3)(B) of the Securities Exchange Act of 1934 (the “Act”). *Now, Therefore,* in consideration of the premises and the mutual covenants and agreements contained herein, the parties agree to submit this Agreement called the NMS Linkage Plan to the SEC for approval pursuant to section 11A(a)(3)(B) of the Act and Rule 608 thereunder. 1. *Definitions.*
(1)“Application” means any use of the System to facilitate trades between Participant Markets that is described in the NMS Linkage Plan.
(2)“CTA Plan” means the plan filed with the SEC pursuant to SEC Rule 17a-15 (subsequently amended and redesignated as Rule 11Aa3-1, and subsequently amended and redesignated as Rule 601), approved by the SEC and declared effective as of May 17, 1974, as from time to time amended.
(3)“CTA Plan Processor” means the organization serving as recipient and processor of last sale prices under the CTA Plan.
(4)“Eligible Security” has the meaning assigned to that term in the CTA Plan.
(5)“NMS Linkage Plan” or “Linkage Plan” means this plan as from time to time amended in accordance with the provisions hereof.
(6)“NMS Linkage System” (“Linkage” or “Linkage System”) means the system described in section 5.
(7)“Network A Eligible Security” has the meaning assigned to that term in the CTA Plan.
(8)“Network B Eligible Security” has the meaning assigned to that term in the CTA Plan.
(9)“Participant” means a party to the Linkage Plan with respect to which such plan has become effective pursuant to section 13.
(10)“Participant('s) Market” means a facility for the trading of System securities operated by a Participant.
(11)“System” means the data processing hardware, software and communications network that links electronically the Participant Markets to one another. The System includes
(a)computers that perform such functions as message validation, processing, logging and switching and
(b)from a functional standpoint,
(i)high speed communications lines that link such computers with the Participant Markets (either directly or through Participant Switches), and
(ii)Linkage System stations.
(12)“System security (stock)” means a security (stock) selected for trading through the Applications in accordance with section 5(b)(ii).
(13)“System trade” means any trade made through any Application. 2. *Purpose of Linkage Plan.* The purpose of the Linkage Plan is to enable the Participants to act jointly in planning, developing, operating and regulating the system as described in the Linkage Plan so as to further the objectives of Congress as set forth in section 11A(a) of the Act and to facilitate compliance by the Participants and their respective members with SEC Rules 610 and 611. 3. *Parties. *
(a)*List of Parties.* The parties to the Linkage Plan are as follows: American Stock Exchange LLC (“AMEX”), registered as a national securities exchange under the Act and having its principal place of business at 86 Trinity Place, New York, New York 10006. Boston Stock Exchange, Inc. (“BSE”), registered as a national securities exchange under the Act and having its principal place of business at 100 Franklin Street, Boston, Massachusetts 02110. Chicago Board Options Exchange, Inc. (“CBOE”), registered as a national securities exchange under the Act and having its principal place of business at 400 South LaSalle Street, Chicago, Illinois 60605. Chicago Stock Exchange, Inc. (“CHX”), registered as a national securities exchange under the Act and having its principal place of business at One Financial Place, 440 South LaSalle Street, Chicago, Illinois 60605. Nasdaq Stock Market LLC (“Nasdaq”), registered as a national securities exchange under the Act and having its principal place of business at 1 Liberty Plaza, 165 Broadway, New York, NY 10006. National Stock Exchange (“NSX”), registered as a national securities exchange under the Act and having its principal place of business at 440 South LaSalle Street, Suite 2600, Chicago, Illinois 60605. New York Stock Exchange LLC (“NYSE”), registered as a national securities exchange under the Act and having its principal place of business at 11 Wall Street, New York, New York 10005. NYSE Arca, Inc. (“Arca”), registered as a national securities exchange under the Act and having its principal place of business at 100 S. Wacker Drive, Chicago, IL 60606. Philadelphia Stock Exchange, Inc. (“Phlx”), registered as a national securities exchange under the Act and having its principal place of business at 1900 Market Street, Philadelphia, Pennsylvania 19103.
(b)*Compliance Undertaking.* By subscribing to and submitting the Linkage Plan for filing with the SEC, each undersigned party agrees to comply to the best of its ability and, absent reasonable justification or excuse, to enforce compliance by its members in their use of the Linkage through its facilities with the provisions of the Linkage Plan.
(c)*New Participants.* The Participants agree that any other national securities exchange or national securities association may subscribe to the Linkage Plan and become a Participant by agreeing, in an amendment to the Linkage Plan adopted in accordance with its provisions, to comply and to enforce compliance with the provisions of the Linkage Plan as provided in section 3(b). 4. *Administration of Linkage Plan.*
(a)*Supervisory Committee: Composition, Voting.* Each Participant shall select from its staff one individual to represent such Participant as a member of the Supervisory Committee under the Linkage Plan. Except as may be specifically otherwise provided herein, action taken pursuant to the vote of a majority of the members of the Supervisory Committee present at a meeting of the committee at which a majority of the full committee is present shall be deemed to be the action of the Supervisory Committee.
(b)*Supervisory Committee: Authority.* The Supervisory Committee shall not be a policy-making or a rule-making body, but shall, either directly or by delegating its functions to individuals, subcommittees established by it from time to time or others,
(i)oversee development of the System in accordance with the specifications therefore agreed upon by each Participant,
(ii)monitor the operation of the System and
(iii)advise the Participants with respect to any deficiencies, problems or recommendations as the Supervisory Committee may deem appropriate in its administration of the Linkage Plan. In this connection, the Supervisory Committee shall have authority to develop procedures and make administrative decisions necessary to facilitate the operation of the System in accordance with the provisions of the Linkage Plan.
(c)*Amendments to Linkage Plan.* Any proposed change in, addition to, or deletion from the Linkage Plan may be effected only by means of a written amendment to the Linkage Plan which sets forth the change, addition or deletion, is executed on behalf of each Participant and is approved by the SEC or otherwise becomes effective pursuant to section 11A of the Act and Rule 608(b).
(d)*Participant's Rights.* No action or inaction by the Supervisory Committee shall prejudice any Participant's right to present its views to the SEC or any other person with respect to any matter relating to the System or to seek to enforce its views in any other forum it deems appropriate. 5. *The System.*
(a)*System Monitoring.*
(i)*Linkage Supervisory Stations.* Each Participant will maintain a Linkage supervisory station where supervisors appointed by such Participant will be able to coordinate trade adjustments.
(ii)*Linkage Control Center.* The System also includes the Linkage control center (“LCC”), which monitors and controls communications within the System, including the processing of error conditions. The LCC staff is able to display and, when authorized by any Participant, to modify the security and market records of that Participant's Market as such records relate to the System. The LCC staff is also able to indicate whether or not any Participant Market is open for System trades. In addition, the LCC may be used as “back-up” for the Linkage supervisory system-wide broadcasts. Finally, the LCC staff is able to enter adjustments of any trade pursuant to the procedures specified in section 6(a)(iv) and to perform data base control after trading hours.
(b)*General Operation.*
(i)*Registered Clearing Corporations.* The System accommodates only regular-way trading, and all System trades must be compared, cleared and settled through clearing corporations registered with the SEC that maintain facilities through which such transactions may be compared and settled and that agree to supply each Participant with data reasonably requested in order to permit such Participant to enforce compliance by its members with its rules, the provisions of the Act, the rules and regulations thereunder, and the Linkage Plan.
(ii)*Selection of System Securities.* The System is designed to accommodate trading in any Eligible Security. The particular securities that may be traded through the System at any time (“System securities”) shall be selected by the Supervisory Committee. The Supervisory Committee may add or delete System securities as it deems appropriate and may delay the commencement of trading in any Eligible Security if capacity or other operational considerations shall require such delay.
(c)*Administrative Messages.* Administrative messages, as distinguished from orders, responses thereto and trade adjustment inputs (including names later information), may also be sent through the System. There are two categories of administrative messages that can be sent by Participant members: Single destination and security broadcast. Another category of administrative message, a “system-wide broadcast”, may be sent through the System only from the Linkage control center.
(d)*Facilities Manager.* The Securities Industry Automation Corporation (“SIAC”) serves as the System's facilities manager and has responsibility for the operation and maintenance of the System. SIAC performs its function as facilities manager in accordance with the provisions of the Linkage Plan and subject to the administrative oversight of the Supervisory Committee. 6. *Linkage System.*
(a)Technical Matters.
(i)The System shall accept immediate or cancel (“IOC”) orders, provided however, that, upon the request of a Participant or Participants, and in accordance with Section 10(a)(iii)(A) relating to New Development Costs Sharing, the System shall accommodate additional order types to be utilized by such Participant or Participants. Orders must be sent to a Participant market through the auspices of a member of that Participant, known as a Sponsoring Member. Each market will maintain within SIAC a database of default Sponsoring Members (not to exceed 10) for after hours processing and billing for orders sent to a market where the originating firm is not a member of the destination market.
(ii)*Order Information.* An order shall, at a minimum, specify the following:
(A)The member of the destination market (either clearing member or Sponsoring Member); 2 2 The member of the destination market will be identified by a unique clearing number. If the clearing number provided by the originating Participant Market does not identify a member of the destination market, SIAC will identify the default Sponsoring Member of the originating market at the destination market for the security in question and that Sponsoring Member's identification information will be included on the order to the destination market on all reports sent to the destination market, including any report for billing purposes. The member identified on the order will be responsible for any fees in the destination market. SIAC will provide to Participants a key to match the clearing number to the member's name.
(B)Original clearing member or omnibus clearing account of the originating Participant Market, commonly referred to as the Give-Up,
(C)The receiving Participant Market,
(D)The security that is the subject of the order,
(E)Designation of the order as an order to buy or to sell,
(F)The amount of the security to be bought or sold, which amount shall be for one unit of trading or any multiple thereof,
(G)A price equal to the offer or bid price then being furnished by the destination Participant Market, which price shall represent the price at or below which the security is to be bought or the price at or above which the security is to be sold, respectively,
(H)To facilitate application of the short sale rule in effect in the destination Participant Market, a designation of the order as “short” or “short exempt” whenever it is a order to sell short, and
(I)Time in force as 5, 15 or 120 seconds. 3 3 A Participant Market may prevent the execution, through its facilities, of an otherwise marketable System order, prior to the 5, 15 or 120 second time in force parameter assigned to that order, if the time in force parameter would result in the issuance of an expiration notice to the sending market before execution of such order could be reported to SIAC. Any such procedure must be effective pursuant to a filing with the SEC. No order with a time in force parameter of 5 or 15 seconds shall be sent to AMEX, CBOE, CHX, or PHLX prior to the earlier of
(i)the date on which all automated trading centers intending to qualify their quotations for trade-through protection under Rule 611 of Regulation NMS must have achieved full operation of Regulation NMS-compliant trading systems or
(ii)the date on which AMEX, CBOE, CHX, or PHLX, as the case may be, has notified the Supervisory Committee in writing that it is capable of accepting and executing such orders. If an order with either of these time in force parameters is sent to AMEX, CBOE, CHX, or PHLX prior to such time, it will not be executed due to system limitations.
(iii)*Order Validation, Routing.* At the time of transmission, each order undergoes validation procedures. If the order passes the validation procedures, the System assigns a unique order identifier number (a “OID”) to the order, time stamps it and logs it on a mass storage device (the “daily log”). The System also sends a transmission acceptance message to the Participant Market that originated the order. The order is then routed to the destination Participant Market. If the order is accepted, in whole or in part, in the destination Participant Market, the execution is reported back through the System to the originating and receiving Participant Markets. The System rejects the transmission of a response that fails the validation check and sends an appropriate error message to the Participant Market that originated the response. The validation of a response causes the System to retrieve the related order from the daily log and update it with appropriate response information. This log forms the basis from which the after-hours reports described in section 7(a) are produced. Validation also causes the System to send a transmission acceptance message to the Participant Market that originated the response. The System then sends the response to the Participant Market that originated the order. When an order is only partially executed, the unexecuted shares are not filled, and the System generates a cancellation for the unexecuted quantity and appends the cancellation to the execution report that it sends to the Participant Market that originated the order.
(iv)*Trade Adjustments.* In accordance with section 5(a)(ii), supervisors monitoring the Participant Markets may request the LCC to enter adjustments to trades ( *i.e.* , to price, share size, buy or sell side, to cancel a trade or to insert a trade “as-of” a prior day). The following sets forth the procedures to facilitate trade adjustments and to authorize the LCC to make such adjustments. All requests among Participants and to the LCC for trade adjustments shall be in the form of administrative messages sent through the System. For the purposes of this section 6(a)(vi), administrative messages sent or received among Participant Markets, or sent to the LCC, shall be deemed to have been issued by supervisors of Participant Markets authorized by such Participant Markets to issue such administrative messages.
(A)*Adjustments on Trade Day* . The LCC shall make an adjustment to a trade entered into that same day based upon an administrative message request made from a supervisor of the Participant Market that received and executed the order (“executing market supervisor”). Such request shall not be made to the LCC unless an executing market supervisor has received from a supervisor in the Participant Market that issued the order (“issuing market supervisor”), in the form of an administrative message sent through the System, agreement as to the terms of, and authorization to make, the adjustment. The administrative message request to the LCC by the executing market supervisor shall specify the terms of, and authorization to the LCC to make, the adjustment. In the event that, notwithstanding the provisions of the prior paragraph, an executing market supervisor requests the LCC to make a trade adjustment without having received an administrative message from an issuing market supervisor, and the LCC has made such requested adjustment, then the LCC shall, at the request and direction of an issuing market supervisor, made prior to the settlement for such trade, readjust such trade to its terms as they existed prior to such adjustment.
(B)*Adjustments for Prior Trade Day* . Except as provided in the preceding paragraph, the LCC shall make an adjustment to a trade entered into on a prior day only upon administrative message requests made from both executing and issuing market supervisors, each message specifying the same terms of, and authorization to the LCC to make, the adjustment.
(C)The provisions of paragraphs
(A)and
(B)of this section 6(a)(iv) shall not restrict the ability of any Participant Market to unilaterally request the LCC to end adjustments to trades or to cancel or adjust any System trade executed in its market pursuant to its rules pertaining to clearly erroneous transactions or obvious errors, and system malfunctions. The sending market may invoke any appellate or review process provided by such rules on behalf of the Sponsoring Member. In the event of any cancellation or adjustment, the executing market shall notify the LCC and all affected Participants by administrative message specifying the terms of the cancellation or adjustment and authorizing the LCC to make the adjustments or cancel the trades.
(D)*LCC Confirmation* . The LCC shall, after making a trade adjustment, send an administrative message to both the executing and sending market supervisors confirming that the adjustment has been made and specifying the terms of the adjustment.
(v)*Intermarket Sweep Orders* . All routed limit orders shall be presumed by the executing market to be orders sent pursuant to the intermarket sweep order exception in SEC Rule 611(b).
(vi)*Other* . Each Participant shall also determine how orders received in the market for which it has responsibility are to be handled therein and agrees that any procedures it may adopt in this regard shall be consistent with the provisions of the Linkage Plan and the efficient operation of the System. Participants are required to execute orders at a minimum at the size of their displayed quotes. Each Participant shall insure that no communication shall be entered into the System from its market except
(A)on behalf of a member of such Participant who is permitted by the Linkage Plan and such Participant's rules to use the System with respect to the security or securities that are the subject of the communication or
(B)by employees of such Participant in performance of such Participant's obligations under the Linkage Plan.
(b)*Participant Trading Rules* . The trading rules applicable in destination Participant Markets shall apply to orders received in such market and executions of orders therein. Each Participant shall determine the extent to which its trading rules shall apply to members within its market insofar as such members' issuance of orders from such market and resulting executions are concerned. 7. *Comparison and Settlement* . Comparison of a side of a System trade furnished by a Participant shall be the responsibility of such Participant.
(a)*After Hours Functions* . The functions of the System after the close of trading in all Participant Markets shall consist of the following:
(i)The System's daily log of messages will be put on tape for retention;
(ii)The System will generate four reports:
(A)An order/response report that will match orders to trade with the appropriate responses,
(B)An order/cancellation report that will list all orders to trade that were canceled,
(C)A trade adjustment report that will list all adjustments made to previously executed System trades, and
(D)A traffic summary report that will indicate the number of orders to trade, the number of responses and the number of administrative messages entered from each Participant Market during the trading day; and
(iii)The System will generate the clearing tape referred to in section 7(b).
(b)*Clearing Tape* . At the end of each trading day, the System generates a clearing tape as part of after-hours processing. This tape is in OID sequence, includes all of the day's System trades, and shows:
(i)The OID,
(ii)The originating Participant and clearing member(s), or the clearing corporation(s) through which such clearing member(s) shall settle the trade,
(iii)The destination Participant and destination clearing member(s), or the clearing corporation(s) through which such clearing member(s) shall settle the trade,
(iv)The type of trade action (buy or sell),
(v)The security symbol,
(vi)The executed quantity and price, and
(vii)The date and time of trade. Adjustments to any System trade made by agreement between both sides of the trade are included in the tape and shown as a separate “trade adjustment record”. If a trade has been adjusted, the original trade record is followed by trade adjustment record(s). The trade adjustment record(s) carry the same OID as the original trade record. There are two types of trade adjustments, System trade cancellations and System trade changes. For System trade cancellations, the adjustment record negates the original trade record. For example, a cancellation of a trade to buy is reflected on the adjustment record as a “negative buy”. For System trade changes, there are two adjustment records. The first adjustment record negates the original trade record. The second adjustment record logs the trade data as adjusted for, e.g., a change in action, security, quantity and/or price. The adjustment records are generated from the trade adjustment file that is created during trading hours and from inputs from the Linkage control center pursuant to requests from the Participants' supervisors.
(c)*Comparison of System Trades* . The contra side of each System trade ultimately is the clearing interface account used to identify the clearing corporation through which the comparison of such side is completed. If both sides of a System trade are to settle through the same clearing corporation, the clearing corporation may, at its option, either book each side against the clearing member responsible for that side or offset each side against an internal omnibus account (in which case the omnibus account will net to zero). While sorting and format changes may be required, the various clearing corporations are able to use the System clearing tape as the basic input to their trade comparison operations. The clearing member(s) responsible for an Exchange-supplied side of a System trade shall follow routine comparison procedures. In instances where an uncompared transaction cannot be resolved through routine procedures, the Exchange-supplied side(s) of the trade discrepancy will be handled in accordance with the rules of the Participant(s) and clearing corporation(s) involved. Once comparison has been completed, clearance and settlement can proceed in a routine manner. System trades are processed with all other transactions through established clearing interfaces.
(d)*Participant Settlement Obligations* . The rules of each Participant shall be designed to assure that if a System trade reported on the clearing tape (as adjusted) at the close of any trading day, as such trade relates to such Participant, cannot be compared notwithstanding the use of routine comparison procedures, such Participant shall on the scheduled settlement date honor such uncompared trade; provided, however, that, if such a System trade as it relates to such Participant is rejected or excluded from the settlement operation conducted by the clearing corporation to which it was reported for settlement either because of the insolvency of the member(s) for whose account(s) it was to be settled or for any other reason (other than failure to compare), such Participant shall not be obligated to honor such trade and such trade shall be returned to such member(s). In the event that a System trade as it relates to any Participant is rejected or excluded from the settlement operation conducted by the clearing corporation to which it was reported for settlement for any reason other than failure to compare, neither the Participant from whose market the side of the trade that is rejected or excluded was supplied, the Participant from whose market the contra side of such trade was supplied nor any clearing corporation to which either side of the trade was submitted shall be obligated to honor the trade. Instead, the member(s) constituting the contra side of the rejected or excluded trade (the “contra party”) shall, without unnecessary delay after receipt of notice of such rejection or exclusion, close out such trade in the best available market, except insofar as the rules of the clearing corporation to which the contra side was submitted or of the Participant from whose market the contra side was supplied are applicable and provide an alternative method for closing. The rules of each Participant shall state the foregoing closing obligations of the contra party. 8. *Pre-Opening Price Information* . The NYSE and AMEX will disseminate, through the System, pre-opening price information whenever a member in that Participant market, in arranging an opening transaction in his or her market in a System security, anticipates that the opening transaction will be at a price that represents a change from the “previous day's consolidated closing price” of more than the “applicable price change”. The “previous day's consolidated closing price” is the last price at which a transaction in the security was reported by the CTA Plan Processor on the last previous day on which transactions in the security were reported by the CTA Plan Processor. The “applicable price changes” are: Security Consolidated closing price Applicable price change ($) (more than) Network A Under $15 $15 or over 0.10 4 0.25 Network B Under $5 $5 or over 0.10 5 0.25 Prior to the opening of trading in a System security for which the NYSE or AMEX has disseminated pre-opening price information, orders in that security shall be sent to that Participant through the Participant's order delivery system and not the NMS Linkage. 4 If the previous day's consolidated closing price of a Network A Eligible Security exceeded $100 and the security does not underlie an individual stock option contract listed and currently trading on a national securities exchange, the “applicable price change” is one dollar. 5 If the previous day's consolidated closing price of a Network B Eligible Security exceeded $75 and the security is not a Portfolio Depositary Receipt, Index Fund Share, or Trust Issued Receipt, or does not underlie an individual stock option contract listed and currently trading on a national securities exchange, the “applicable price change” is one dollar. 9. *Operating Hours.* Regular trading hours are from 9:30 a.m. to 4 p.m. eastern time. The normal operating hours of the System are 9 a.m. to 6:30 p.m. eastern time or such other period as the Supervisory Committee, by affirmative vote of all its members, may specify. Any period outside the normal operating hours of the System is herein referred to as an “additional period”. The System shall be operable during any additional period requested in writing by any two or more Participants; provided that such Participants have agreed to pay all costs and expenses attributable to the operation of the System during such additional period as agreed to by those Participants. 10. *Financial Matters.*
(a)Costs. The Participants shall share the “development costs” and “production costs”, in accordance with the provisions of this section 10(a).
(i)Costs Definitions
(A)“Computer software” includes all programs or routines developed by or at the direction of the System's facilities manager (including such development in connection with the Intermarket Trading System) to cause computers to perform tasks required for any one or more Applications and the documentation required to describe and maintain those programs. Computer programs of all classes, for example, operating systems, execution systems, monitors, compilers and translators, assembly routines, and utility programs are included.
(B)“Development costs” mean all costs incurred by the System's facilities manager in developing and improving the computer software and installing hardware as necessary to facilitate System functionality (including any testing conducted in connection with the System).
(C)“Installing hardware as necessary” includes, but is not limited to, installation and maintenance of all installations and computer facilities required to support the System.
(D)“New Participant” means any national securities exchange or national securities association that becomes a Participant in accordance with section 3(c) after SEC approval of this Linkage Plan.
(E)“Production costs” mean all operating expenses associated with the operation of the System, including all costs and expenses (including appropriate overhead costs and all applicable taxes however designated, exclusive of net income taxes) of the System's facilities manager associated with, relating to, or resulting from its operation or maintenance of the System, but excluding any cost or expense associated with any Participant's self-regulatory function. Production costs also include the costs and expenses of the facilities manager:
(i)In maintaining “hot lines” that permit conversations among broker-dealers and staff in different Participant Markets and with the Systems control center; and
(ii)associated with reports rendered by a firm of independent accountants pursuant to paragraph (a)(vi) of this section 10.
(F)“Routed orders base” for any calendar quarter means the total number of orders sent through the System.
(G)“Share of the routed orders base” of any Participant as computed for any calendar quarter means a fraction, the numerator of which is the total number of orders sent through the System by that Participant during the calendar quarter and the denominator of which is the routed orders base for the calendar quarter.
(H)“Share of the transactions base” for a calendar quarter means:
(1)For any Participant other than AMEX or NYSE, a fraction, the numerator of which is the total number of transactions in Network A Eligible Securities that the Participant reports to the CTA Plan Processor during that quarter and the denominator of which is the quarter's transactions base;
(2)For AMEX, a fraction, the numerator of which is the number of transactions in “Top Ten Network B Eligible Securities” (as clause
(2)of section 10(a)(i)(I) defines that term) that AMEX reports to the CTA Plan Processor during that quarter and the denominator of which is the quarter's transactions base; and
(3)For NYSE, the fraction derived by subtracting from 1
(one)the sum of all other Participants' shares of the transaction base for the quarter.
(I)“Transactions base” for any calendar quarter means the sum of
(1)the number of transaction reports in Network A Eligible Securities that the CTA Plan Processor disseminates during the quarter and
(2)the number of transaction reports in the “Top Ten Network B Eligible Securities” that the CTA Plan Processor disseminates during the quarter. A quarter's “Top Ten Network B Eligible Securities” refers to the ten Network B Eligible securities for which the CTA Plan Processor disseminates the greatest number of transaction reports during that quarter.
(ii)*Dispute Costs Excluded.* The development costs and production costs shall not include any cost or expense incurred by any Participant as a result of or in connection with the defense of any claim, suit or proceeding against the Supervisory Committee or any one or more of the Participants relating to the Linkage Plan or the operation of the System. All such costs and expenses incurred by any Participant shall be borne by such Participant without contribution or reimbursement.
(iii)*Development Costs.*
(A)*New Development Costs Sharing.* Development costs shall not be incurred except as agreed to by all Participants. Each Participant shall pay a fraction equal to its share of the transactions base for the calendar quarter preceding the calendar quarter during which the Participants agree to incur such cost. Any development costs that are incurred for the benefit of less than all Participants shall be shared by the Participant or Participants that benefit therefrom as they shall mutually agree.
(B)*Development Costs Payment.* Development costs will be computed by the System's facilities manager as soon as practicable following the close of the calendar month or, if relatively small, the calendar quarter during which they were incurred. Each Participant's share shall be billed to, and payable by, such Participant promptly thereafter.
(C)*New Participant's Share of Development Costs.* At the time any national securities exchange or national securities association applies to become a new Participant, such applicant shall be charged by, and shall pay to, the System's facilities manager an amount estimated by the System's facilities manager to cover development costs to be incurred to accommodate such applicant's status as a Participant. Prior to the effective date of the SEC's approval of such Participant status, the applicant shall pay to the System's facility manager actual development costs in excess of estimated development costs, if any, or the System's facility manager shall reimburse to the applicant estimated development costs that were paid and that are in excess of actual development costs. Each new Participant shall share in development costs incurred after it becomes a Participant in accordance with section 10(a)(iii)(A).
(D)*Title to Software.* The entire right, title and interest in and to all “computer software” (as defined in section 10(a)(i)(A)) developed prior to July 1, 1978 shall be vested in the Participants who share the cost of such computer software as joint owners. The entire right, title and interest in and to all computer software developed after June 30, 1978 shall be vested in the Participant who pays the cost thereof. If more than one Participant shares in the cost of computer software developed after June 30, 1978, then the entire right, title and interest in and to such computer software, the cost of which is so shared, shall be vested in the Participants who share such cost as joint owners. The System's facilities manager shall use computer software solely for the purpose of performing tasks required for the Applications as provided in the Linkage Plan.
(iv)*Production Costs*
(A)*Production Costs Sharing.* The production costs attributable to any calendar quarter shall be shared by the markets that were Participants during any portion of the calendar quarter. Each such Participant, except the NYSE, shall pay 50% of the fraction of such production costs equal to its share of the routed orders base as computed for the calendar quarter. Notwithstanding the foregoing, the aggregate dollar amount of all of a Participant's quarterly payments shall not exceed its “Production Costs Sharing Cap”. A Participant's “Production Costs Sharing Cap” means total production costs for calendar year 2005 multiplied by 50 percent of the Participant's percentage of the routed order base for the period commencing January 1, 2005, and ending July 31, 2005. The NYSE shall pay those production costs that this Paragraph does not require the other Participants to pay.
(B)*Production Costs Payment.* Production costs will be computed by the System's facilities manager as soon as practicable following the close of each calendar month. Each Participant's (or former Participant's) estimated share thereof shall be billed by the System's facilities manager and shall be payable to the System's facilities manager promptly following receipt. Any appropriate adjustment will be made between the System's facilities manager and each Participant promptly following the close of each calendar quarter.
(v)*Communications Connection Costs.* Each Participant shall bear 100% of the costs to provide communication connection from a Participant's facilities to the System's communications facilities maintained by the facilities manager.
(vi)*Accounts.* The System's facilities manager and the independent public accountants hereinafter referred to shall furnish any information and/or documentation reasonably requested in writing by a majority of the Participants in support of or relating to any of the computations referred to in this section 10(a). All expenses, allocations and computations referred to or required by this section 10(a) shall be reported at least annually to the Participants. For even numbered years, (or such other yearly interval as the Supervisory Committee, by affirmative vote of all its members, may specify), such reports shall be rendered by a firm of independent public accountants (which may be the firm regularly employed by the NYSE or the System's facilities manager), and such accountants shall render their opinion that such expenses, allocations and computations have been reported in accordance with the understanding among the Participants as set forth in this section 10(a). For those years when a firm of independent public accountants is not engaged to render a report, the facilities manager's internal auditor shall review all expenses, allocations and computations referred to or required by this section 10(a) and that internal auditor shall report that such expenses, allocations and computations have been reported in accordance with the understanding among the Participants as set forth in this section 10(a).
(b)*User Charges.* Each Participant shall be free to determine whether or not to impose a fee or charge on some or all of its members in connection with use of its facilities to access the System and, if so, the amount of such fee or charge. Any fee or charge that may be imposed by any Participant shall not be of such size, and shall not be so structured, as to discourage use of the System.
(c)*Facilities Manager Liability Limits.* The System's facilities manager shall not be liable to any Participant or to any member of any Participant using or having access to the System or to any other person for any loss or damage resulting from any non-performance, or interruption in the operation of the System, from any inaccuracies, errors or omissions in any of the information conveyed or received through the System, or from any delays or errors in the transmission of any such information, or for making trade adjustments. 11. *Termination; withdrawal.* The Linkage Plan will terminate on June 30, 2007. Participants that wish to extend the term may agree to do so, subject to filing with and approval by the SEC. During the term of the Plan a Participant may withdraw with 30 days notice if it continues to maintain connectivity to all other Participants and accept orders through the Linkage until June 30, 2007. A withdrawing Participant's right to send orders through the Linkage shall terminate on the date the withdrawal is effective. In addition, a withdrawing Participant's obligation to share development and production costs shall terminate on the date the withdrawal is effective, provided, however, that such Participant shall remain liable for, and shall pay upon demand, its portion of the costs of developing and operating the System and any other amounts payable by it as determined pursuant to sections 10 and 12 of the Linkage Plan. 12. *System Inoperability.*
(a)*General* . In the event of a disaster that renders the System inoperable, the NYSE has authorized the facilities manager to utilize a designated NYSE operating system (the “NYSE System”) on a preemptive and priority basis to function as detailed in section (c)(i), below.
(b)*Participants' Implementation Obligations.*
(i)At any time the NYSE System assumes the functions of the System, all Plan provisions not inconsistent with this section 12, and Participant rules and policies governing use of the System will continue to apply.
(ii)Each Participant's cost of maintaining communications connectivity to the NYSE System shall be borne by that Participant.
(c)*NYSE Implementation Obligations.* In consideration of the fees to be paid to the NYSE as specified in paragraph
(d)of this section 12, the NYSE agrees:
(i)To have and to make available the NYSE System to assume the functions of the System on a preemptive and priority basis in the event of a disaster which renders the System inoperable. Such system is composed of computers and peripheral equipment sufficient to operate the System at a minimum of 50% of the System's rated 150 messages per second capacity and 75% of the System's disk capacity.
(ii)that the facilities manager is authorized to take the actions necessary to make the NYSE System available to assume the functions of the System within two hours in the event of a limited disaster and on the next day in the event of a full site disaster. The facilities manager is authorized to make the determinations that, in its good faith judgment, there has been a limited disaster or full site disaster, the System is inoperable, and the NYSE System will assume the functions of the System.
(iii)That the NYSE System will be located at a site remote from the site where the System is located.
(d)*Implementation Obligations of Participants Other than NYSE (“Other Participants”).*
(i)*Fees* . In consideration of the NYSE's making available the NYSE System to assume the functions of the System in the event of a disaster, the Other Participants agree to pay to the NYSE:
(A)a preemptive and priority reserve fee totaling $24,800 per calendar quarter (such reserve fee shall be adjusted each January by the same percentage change as in the Consumer Price Index as calculated by the U.S. Department of Commerce for the preceding calendar year); and
(B)a *per diem* fee, if in the event of a disaster the NYSE System assumes the functions of the System, for each day in excess of five consecutive trading days that the NYSE System is so utilized. Such *per diem* fee shall equal 1/250 of the yearly dollar amount the facilities manager charges the NYSE to operate the NYSE System. This subsection (d)(i) shall become effective on the date that the facilities manager confirms in writing to the Supervisory Committee that it has taken all actions necessary to make the NYSE System available to assume the functions of the System as specified in subsection
(c)of this section 12. If such effective date is other than the first day of the calendar quarter, then the preemptive and priority reserve fee for such calendar quarter shall be calculated pro rata based upon the number of days in such calendar quarter that the NYSE System is so available.
(ii)*Fee Sharing.* Each of the Other Participants agrees to pay a share of the preemptive and priority reserve and per diem fees based upon a proportional share of its production costs excluding the NYSE's share.
(iii)*Fee Payment.* Fee payment will be computed by the System's facilities manager as soon as practicable following the close of each calendar month. Each Other Participant's (or former Participant's) estimated share thereof shall be billed by the System's facilities manager and shall be payable to the System's facilities manager promptly following receipt. Any appropriate adjustment will be made between the System's facilities manager and each Other Participant promptly following the close of each calendar quarter. The facilities manager shall forward such payments to the NYSE as the NYSE may from time to time instruct the facilities manager.
(e)*Liability Limits.* Neither the NYSE nor the facilities manager shall be liable to any Participant, to any member of any Participant using or having access to the NYSE system, or to any other person for any loss or damage resulting from any non-performance or interruption in the operation of the NYSE System, from any inaccuracies, errors or omissions in any of the information conveyed or received through the NYSE System, or from any delays, omissions, or errors in the transmissions, or errors in the transmission of any such information.
(f)*Termination.*
(i)In the event that the NYSE determines to withdraw the NYSE System from use by the Linkage, it shall so notify the Supervisory Committee, in writing, a minimum of six months prior to such withdrawal.
(ii)In the event of such withdrawal, this section 12 shall be terminated and the Participants must then determine whether they should provide for alternative procedures in the event of System inoperability. 13. Effective Date: The Linkage Plan shall become operative on October 1, 2006. 14. *Counterparts.* The Linkage Plan may be executed in any number of counterparts, no one of which need contain all signatures of all Participants, and as many of such counterparts as shall together contain all such signatures shall constitute one and the same instrument. By AMERICAN STOCK EXCHANGE LLC. By NATIONAL STOCK EXCHANGE. By BOSTON STOCK EXCHANGE, INC. By NEW YORK STOCK EXCHANGE LLC. By CHICAGO BOARD OPTIONS EXCHANGE, INC. By NYSE ARCA, INC. By CHICAGO STOCK EXCHANGE, INC. By PHILADELPHIA STOCK EXCHANGE, INC. By NASDAQ STOCK MARKET LLC. [FR Doc. 06-8543 Filed 10-5-06; 8:45 am]
Connectionstraces to 26
Traces to 26 documents
CFR
13 references not yet in our index
  • 43 CFR 3108.2-3(a)
  • 36 CFR 60
  • 10 CFR 52
  • 10 CFR 100
  • 10 CFR 51
  • 10 CFR 2
  • 10 CFR 40
  • 10 CFR 73
  • 88 Stat. 1244
  • 5 CFR 6.6
  • 3 CFR 1954
  • 17 CFR 270.30
  • 17 CFR 239.17
Citation graph
cites case law
Notices
Notice
U.S.C.§ 4321
U.S.C.§ 188
C.F.R.§ 1910.7
C.F.R.§ 2.315
C.F.R.§ 52.21
C.F.R.§ 2.390
C.F.R.§ 50.92
C.F.R.§ 50.91
C.F.R.§ 50.59
Cite43 CFR 3108.2-3(a)
Cite36 CFR 60
Cite10 CFR 52
Cites 39 · showing 12Cited by 0 across 0 sources
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