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Code · REGISTER · 2007-01-05 · SECURITIES AND EXCHANGE COMMISSION · Notices

Notices. Notice of Reporting Requirements Submitted for OMB Review

27,460 words·~125 min read·/register/2007/01/05/07-9

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

BILLING CODE 8011-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-55008; File No. SR-Amex-2006-98] Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change Relating to the Codification of Exchange Policy Regarding Specialist Commissions December 22, 2006. I. Introduction On October 4, 2006, the American Stock Exchange LLC (“Amex” or “Exchange”) filed with the Securities and Exchange Commission (“Commission”), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”) 1 and Rule 19b-4 thereunder, 2 a proposed rule change to amend Amex Rule 154 to codify policies regarding specialist commissions.
The proposed rule change was published for comment in the **Federal Register** on October 25, 2006. 3 The Commission received two comment letters regarding the proposal. 4 On November 28, 2006, the Exchange submitted a response to the comments. 5 On December 5, 2006, one of the initial commenters submitted a response to the Amex Response. 6 This order approves the proposed rule change. 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b-4. 3 *See* Securities Exchange Act Release No. 54618 (October 18, 2006), 71 FR 62492. 4 *See* letter from Jonathan Q.
Frey, Managing Partner, J. Streicher & Co. L.L.C., to Nancy M. Morris, Secretary, Commission, dated November 13, 2006 (“Streicher Letter I”), and Web comment from William Silver, Managing Partner, Weiskopf, Silver Co, dated November 6, 2006 (“Weiskopf Letter”). 5 *See* letter from Neal L. Wolkoff, Chairman & Chief Executive Officer, Amex, to Nancy M. Morris, Secretary, Commission, dated November 28, 2006 (“Amex Response”). 6 *See* letter from Jonathan Q. Frey, Managing Partner, J.
Streicher & Co. L.L.C., to Nancy M. Morris, Secretary, Commission, dated December 5, 2006 (“Streicher Letter II”). II. Description The Exchange proposes to codify in new subparagraph
(b)to Amex Rule 154 its policies regarding situations where specialists may charge a commission for trades that are executed in whole or in part. Specifically, proposed Amex Rule 154(b) would prohibit a specialist from:
(i)Charging a commission on an off-floor order in equities that is electronically delivered to the specialist unless the order requires special handling by the specialist or the specialist provides a service, and
(ii)billing for electronically delivered orders in equities that are executed automatically by the Exchange's order processing facilities upon receipt. In addition, proposed Amex Rule 154(b) would reference Amex Rule 152(c), which prohibits specialists from charging a commission where they act as principal in the execution of an order entrusted to them as agent. Lastly, proposed Amex Rule 154(b) sets forth the types of orders specialists would be allowed to bill a commission. In particular, these orders would include limit orders that remain on the book for more than two minutes, market on close or limit on close orders, tick sensitive orders, orders for non-regular way settlement, stop or stop limit orders, orders stopped at one price and executed at a better price, fill-or-kill, and immediate-or-cancel orders, and orders for the account of a competing market maker. III. Summary of Comments The Commission received three comment letters regarding the proposed rule change from two specialists. Two of these comment letters, submitted by Streicher, opposed the proposed rule change for the three reasons discussed below. 7 The third comment letter, submitted by Weiskopf, supported the proposed rule change, because “the specialist's commission charges, if not competitive, have the potential to drive business away from the exchange and eliminate an important competitor from the market place.” 8 Weiskopf also stated its view that the proposed rule change is “a very constructive step towards fostering greater competition in The National Market System.” 9 7 *See* Streicher Letter I and Streicher Letter II. 8 *See* Weiskopf Letter. 9 *Id.* Streicher argued that the proposed rule change would “adversely impact investors by reducing the qualify [sic] of markets offered by the Amex.” In particular, Streicher argued that Amex's proposed elimination of certain specialist commissions would harm investors by putting pressure on specialists to increase spreads to offset the lost commissions. Streicher stated that “[w]hile an increase in spreads may not be practical in highly competitive markets, many of the securities listed on the Amex are thinly traded with most of their trading volume taking place primarily on the Amex.” According to Streicher, “there is often little effective competition from other markets” for these securities, and, thus, the resulting increased spreads will “have an adverse impact investors * * *.” 10 10 Streicher Letter I at 2-3. In its response, the Exchange stated that the purpose of the proposed rule change “is to attract and maintain order flow to Amex specialists by providing transparency, clarity and consistency to the costs of doing business on the Exchange.” The Exchange argued that Streicher's position that the elimination of certain specialist commissions would lead to specialists seeking higher spreads is flawed, because “it is against each specialist's own economic interest to widen its spreads and thereby risk losing order flow.” Furthermore, the Exchange disagreed with Streicher's assertion that “there is often little effective competition from other markets” and noted that “[a]ll Amex listed securities trade in at least one additional market center” and that “[t]he large majority of Amex issues trade on multiple venues.” The Exchange concluded that “[w]idening of the spreads in these securities will likely result in further market share erosion as order flow providers mindful of their best execution responsibilities direct their orders elsewhere.” 11 11 Amex Response at 3-4. Streicher responded by taking issue with Exchange's assertion regarding competition from other markets, by stating that many of the other markets for Amex-listed securities “frequently offer little more than a means to internalize order flow using the quote established by the Amex as the dominant marketplace for the security in question.” Streicher also disagreed with Exchange's statement that “it is against each specialist's own economic interest to widen its spreads and thereby risk losing order flow,” by stating that there might be circumstances in which “a greater return on fewer orders might very well make sense and be in [the commenter's] best economic interest.” 12 12 Streicher Letter II at 3. Second, Streicher noted that Amex's purpose for this proposal is to strengthen Amex's competitive position. However, Streicher asserted that Amex's concerns regarding its competitive position would be better addressed by current Amex Rules 26 and 27. 13 The Exchange, however, disagreed with Streicher, arguing that, while Amex Rules 26 and 27 are “useful to the Exchange in its efforts to be competitive,” the two rules do not create the “transparency and clarity” that the current proposal would provide. 14 13 Streicher Letter I at 3. Amex Rules 26 and 27 provide the Exchange with the ability to:
(1)limit or prohibit the awarding of new allocations to specialists who fail to respond to competition by offering competitive markets and competitively priced services, and
(2)remove allocations from specialists who fail to meet certain levels of performance in handling of those securities. 14 Amex Response at 4. Third, Streicher expressed concerns that the rule change would “result in significant implementation costs” that are “difficult to justify” given the proposed rule change's temporary nature. 15 The Exchange, however, disputed Streicher's argument, indicating that the implementation costs would be minimal since “most if not all specialist units” have already complied with the proposed limitations on specialist commissions. 16 The Exchange also noted that it does not intend for the proposed rule to remain in effect for a short period; rather, the Exchange intends to expand the rule to apply to equities and ETFs traded on the Exchange's Auction and Electronic Market Integration Platform (“AEMI”) system. 17 In response, Streicher suggested that implementation costs would be saved if the Exchange defers this proposed rule change and has one proposed rule change when the Exchange “is ready to finalize and allowable commission schedule under AEMI.” 18 15 Streicher Letter I at 3. 16 Amex Response at 4. 17 *Id.* 18 Streicher Letter II at 3. IV. Discussion The Commission has carefully reviewed the proposed rule change, the comment letters received, and Amex's response, and the Commission finds that the proposed rule change is consistent with the requirements of Section 6 of the Act 19 and the rules and regulations thereunder applicable to a national securities exchange. 20 In particular, the Commission finds that the proposal is consistent with Section 6(b)(5) of the Act, 21 because it is designed to promote just and equitable principles of trade, to remove impediments to and perfect the mechanism of a free and open market and a national market system, and, in general, to protect investors and the public interest. The Commission also believes that the proposed rule change is consistent with Section 11(A)(a)(1)(C) of the Act 22 which states that it is in the public interest and appropriate for the protection of investors and the maintenance of fair and orderly markets to assure, among other things, economically efficient execution of securities transactions, and fair competition among brokers and dealers, among exchange markets, and between exchange markets and markets other than exchange markets. 19 15 U.S.C. 78f. 20 In approving this proposed rule change the Commission has considered the proposed rule's impact on efficiency, competition, and capital formation. 15 U.S.C. 78c(f). The Commission notes that it previously approved a similar proposed rule change relating to commissions on options orders, filed by the Chicago Board Options Exchange, Inc. *See* Securities Exchange Act Release No. 51235 (February 22, 2005), 70 FR 9687 (February 28, 2005) (Approval of CBOE Rule 8.85(b)(iv)). In addition, the New York Stock Exchange, Inc. (“NYSE”) recently adopted a rule prohibiting specialists from charging commissions on orders in their speciality securities. *See* Securities Exchange Act Release No. 54850 (November 30, 2006), 71 FR 71217 (December 8, 2006) (Notice of Filing and Immediate Effectiveness of Amendments to NYSE Rule 123B and Adoption of NYSE Rule 104B). 21 15 U.S.C. 78f(b)(5). 22 15 U.S.C. 78k-1(a)(1)(C). The Commission notes that the Exchange's proposed rule change codifies the Exchange's policy regarding specialist commissions by specifying the particular types of orders in which a specialist may charge a commission and the types of orders in which a specialist may not charge a commission. The Commission notes that the Streicher Letters' concern expressed about the possibility of specialists attempting to widen spreads to compensate for lost commissions. In this regard, the Commission believes that competition for order flow among competing markets should continue to provide an incentive for specialists not to widen spreads. In addition, the Commission finds that the proposal is consistent with Section 6(e)(1) of the Act, 23 because it is not designed to permit unfair discrimination between customers, issuers, brokers and dealers, or to impose any schedule or fix rates of commissions, allowances, discounts, or other fees to be charged by its members. Section 6(e) of the Act 24 was adopted by Congress in 1975 to statutorily prohibit the fixed minimum commission rate system. As noted on a report of the House of Representatives one of the purposes of the legislation was to “reverse the industry practice of charging fixed rates of commission for transaction on the securities exchanges.” 25 The fixed minimum commission rate system allowed exchanges to set minimum commission rates that their members had to charge their customers, but allowed members to charge more. Amex's proposal, by contrast, does not establish a minimum commission rate, but instead prohibits the Exchange's specialists from charging a commission for handling an order in equities that is executed on an opening or reopening or an order in equities (or portion thereof) that is executed against the specialist as principal, or for the execution of an off-floor equities order delivered to the specialist through the Exchange's electronic order routing systems, subject to certain exceptions. Accordingly, the Commission does not believe that the Amex's proposal constitutes fixing commissions, allowances, discounts, or other fees for purposes of Section 6(e)(1) of the Act. 26 The Commission also notes that Amex's limits on fees that specialists may charge applies only to members who choose to be specialists on Amex. By limiting fees, the Amex is merely imposing a condition, which is consistent with the Act, on a member's appointment as a specialist. 23 15 U.S.C. 78f(e)(1). 24 15 U.S.C. 78f(e). 25 H.R. Rep. No. 94-123, 94th Cong., 1st Sess. 42 (1975). 26 15 U.S.C. 78f(e)(1). V. Conclusion For the foregoing reasons, the Commission finds that the proposed rule change is consistent with the Act and the rules and regulations thereunder applicable to a national securities exchange, and, in particular, with Sections 6(b)(5) and 6(e)(1) of the Act. 27 *It is therefore ordered,* pursuant to Section 19(b)(2) of the Act, 28 that the proposed rule change (SR-Amex-2006-98) is approved. 27 15 U.S.C. 78f(b)(5) and 78f(e)(1). 28 15 U.S.C. 78s(b)(2). 29 17 CFR 200.30-3(a)(12). For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 29 Jill M. Peterson, Assistant Secretary. [FR Doc. E6-22592 Filed 1-4-07; 8:45 am] BILLING CODE 8011-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-55006; File No. SR-Amex-2006-57] Self-Regulatory Organizations; American Stock Exchange LLC; Order Approving Proposed Rule Change Relating To Stop Orders for Exchange Traded Funds and Trust Issued Receipts December 22, 2006. On August 18, 2006, the American Stock Exchange LLC (“Amex”) filed with the Securities and Exchange Commission (“Commission”), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”) 1 and Rule 19b-4 thereunder, 2 a proposed rule change to amend the rules applicable to stop orders for exchange traded funds and trust issued receipts. The proposed rule change was published for comment in the **Federal Register** on October 17, 2006. 3 The Commission received no comments regarding the proposal. 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b-4. 3 *See* Securities Exchange Act Release No. 54584 (October 6, 2006), 71 FR 61111. The Commission finds that the proposed rule change is consistent with the requirements of the Act and the rules and regulations thereunder applicable to a national securities exchange. 4 In particular, the Commission finds that the proposed rule change is consistent with Section 6(b)(5) of the Act, 5 which requires, among other things, that the rules of a national securities exchange be designed to promote just and equitable principles of trade, to remove impediments to and perfect the mechanism of a free and open market, and, in general, to protect investors and the public interest. The Commission believes that the rule change, to amend Commentary .04(b) to Amex Rule 154 to provide that a specialist who elects a stop order on his book by selling stock to the existing bid or buying stock at the existing offer for his own account is not required to obtain floor official approval if the transaction is 0.10 point or less away from the prior transaction, 6 will benefit investors by facilitating a more efficient and orderly marketplace. The Commission notes that Amex will continue to conduct its existing surveillances to monitor specialists' compliance with the specific requirements of Commentary .04 to Amex Rule 154 ( *i.e.* , obtaining floor official approval when required and executing the stop order at the same price as the electing trade) as well as their agency obligations to the impacted stop orders. 4 In approving this proposal, the Commission has considered the proposed rule's impact on efficiency, competition, and capital formation. 15 U.S.C. 78c(f). 5 15 U.S.C. 78f(b)(5). 6 This exception would only apply to transactions in Exchange-Traded Fund Shares and Trust Issued Receipts. *It is therefore ordered,* pursuant to Section 19(b)(2) of the Act, 7 that the proposed rule change (SR-Amex-2006-57) is approved. 7 15 U.S.C. 78s(b)(2). For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 8 8 17 CFR 200.30-3(a)(12). Jill M. Peterson, Assistant Secretary. [FR Doc. E6-22594 Filed 1-4-07; 8:45 am] BILLING CODE 8011-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-55012; File No. SR-CBOE-2006-109] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing of a Proposed Rule Change Regarding Complex Trades December 27, 2006. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”), 1 and Rule 19b-4 thereunder, 2 notice is hereby given that on December 21, 2006, the Chicago Board Options Exchange, Incorporated (“CBOE” or “Exchange”) filed with the Securities and Exchange Commission (“Commission”) the proposed rule change, as described in Items I, II, and III below, which Items have been substantially prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The CBOE proposes to amend CBOE Rule 6.80 to revise the definition of “Complex Trade,” a term that applies to trades through the Intermarket Linkage (“Linkage”). The text of the proposed rule change appears below, with additions *italicized* and deletions in [brackets]: Rule 6.80. Definitions (1)-(3) No change.
(4)“Complex Trade” means the execution of an order in an option series in conjunction with the execution of one or more related order(s) in different options series in the same underlying security occurring at or near the same time [for the equivalent number of contracts and for the purpose of executing a particular investment strategy] *for the purpose of executing a particular investment strategy and for an equivalent number of contracts, provided that the number of contracts of the legs of a spread, straddle, or combination order may differ by a permissible ratio. The permissible ratio for this purpose is any ratio that is equal to or greater than one-to-three (.333) and less than or equal to three-to-one (3.00).* (5)-(21) No change. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the Exchange included statements concerning the purpose of, and basis for, the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The Exchange has substantially prepared summaries, set forth in Sections A, B, and C below, of the most significant aspects of such statements. A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose The CBOE proposes to amend the definition of “Complex Trade,” which is a term that the CBOE uses for Linkage purposes. A Complex Trade is an execution of an order in an options series in conjunction with one or more other orders in different series with the same underlying security “for the equivalent number of contracts.” 3 A Complex Trade is exempt from the trade-through rule. 4 3 *See* CBOE Rule 6.80(4). 4 *See* CBOE Rule 6.83(b)(7). In contrast to the Linkage term, Complex Trade, CBOE Rule 6.53C(a) defines the term “Complex Order” for purposes other than Linkage. According to that definition, one type of Complex Order is a “Ratio Order,” which need not have an equivalent number of contracts. 5 Specifically, a Ratio Order may have a ratio ranging from one-to-three (.333) to three-to-one (3.00). The Exchange applies modified priority rules to Complex Orders. 6 5 *See* CBOE Rule 6.53C(a)(5). 6 *See* CBOE Rule 6.45. This proposal will make the Linkage term, Complex Trade, consistent with the general term, Complex Order. According to the CBOE, the other five options exchanges are adopting a similar definition of Complex Trade, which will result in uniform application of the term across all options exchanges. The CBOE believes that such uniformity will facilitate the rapid execution of complex trades in all markets. 2. Statutory Basis The CBOE believes the proposed rule change is consistent with the Act and the rules and regulations under the Act applicable to a national securities exchange and, in particular, with the requirements of Section 6(b) of the Act. 7 Specifically, the Exchange believes the proposed rule change is consistent with the Section 6(b)(5) 8 requirements that the rules of an exchange be designed to promote just and equitable principles of trade and to protect investors and the public interest. 7 15 U.S.C. 78f(b). 8 15 U.S.C. 78f(b)(5). B. Self-Regulatory Organization's Statement on Burden on Competition The CBOE does not believe that the proposed rule change will impose any burden on competition not necessary or appropriate in furtherance of the purposes of the Act. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others The CBOE neither solicited nor received comments on the proposal. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Within 35 days of the date of publication of this notice in the **Federal Register** or within such longer period
(i)as the Commission may designate up to 90 days of such date if it finds such longer period to be appropriate and publishes its reasons for so finding or
(ii)as to which the self-regulatory organization consents, the Commission will: A. By order approve such proposed rule change; or B. Institute proceedings to determine whether the proposed rule change should be disapproved. IV. Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's Internet comment form *http://www.sec.gov/rules/sro.shtml* ; or • Send an e-mail to *rule-comments@sec.gov.* Please include File No. SR-CBOE-2006-109 on the subject line. Paper Comments • Send paper comments in triplicate to Nancy M. Morris, Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1090. All submissions should refer to File Number SR-CBOE-2006-109. This file number should be included on the subject line if e-mail is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commissions Internet Web site ( *http://www.sec.gov/rules/sro.shtml* ). Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for inspection and copying in the Commission's Public Reference Room. Copies of such filing also will be available for inspection and copying at the principal office of the CBOE. All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR-CBOE-2006-109 and should be submitted on or before January 26, 2007. For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 9 9 17 CFR 200.30-3(a)(12). Jill M. Peterson, Assistant Secretary. [FR Doc. E6-22595 Filed 1-4-07; 8:45 am] BILLING CODE 8011-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-55007; File No. SR-NASDAQ-2006-053] Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing of Proposed Rule Change To Assess Previously-Approved Fees to Former INET Data Recipients December 22, 2006. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”), 1 and Rule 19b-4 thereunder, 2 notice is hereby given that on December 7, 2006, The NASDAQ Stock Market LLC (“Nasdaq” or “Exchange”), filed with the Securities and Exchange Commission (“Commission”) the proposed rule change as described in Items I, II, and III below, which Items have been substantially prepared by Nasdaq. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change Nasdaq is proposing to, beginning February 1, 2007, assess the Commission-approved fee for its TotalView data entitlement to former INET subscribers and market data vendors that previously received only the INET ITCH 1.0 and/or INET ITCH 2.0 data feeds which were free of charge and are now receiving TotalView data from the Nasdaq Market Center execution system which is fee-liable. Commission-approved Nasdaq Rule 7023(a) describes TotalView as follows: The TotalView entitlement allows a subscriber to see all individual Nasdaq Market Center participant orders and quotes displayed in the system as well as the aggregate size of such orders and quotes at each price level in the execution functionality of the Nasdaq Market Center, including the NQDS feed and the Brut System Book Feed. Nasdaq Rule 7023 states that “for the TotalView entitlement there shall be a $70 monthly charge” and “a charge of $6 per month per controlled device for OpenView.” As described in detail below, as a result of the Commission's July 14, 2006, approval of Nasdaq's new Market Center execution system (“NMC Approval Order”), 3 the INET ECN no longer exists for the trading of Nasdaq stocks and, therefore, the INET System Book Feed is no longer available for those stocks. 4 3 Securities Exchange Act Release No. 54155 (Jul. 14, 2006), 71 FR 41291 (Jul. 20, 2006) (SR-NASDAQ-2006-001) (“NMC Approval Order”). 4 Nasdaq has separately proposed to modify Rule 7023 governing the user fees for TotalView and OpenView as well as Rule 7019 governing the distributor fees for that data. *See* SR-NASDAQ-2006-048 and -049. There is no new rule text. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, Nasdaq included statements concerning the purpose of, and basis for, the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. Nasdaq has prepared summaries, set forth in Sections A, B, and C below, of the most significant aspects of such statements. A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose Background In January of 2001, the Commission approved Nasdaq's proposal to unify its two existing execution systems—SelectNet and SOES—into a single execution system 5 originally known as “SuperMontage” and later re-named the “Nasdaq Market Center.” 6 The order approving SuperMontage also approved the dissemination of quote and order data emanating from SuperMontage. 5 Securities Exchange Act Release No. 43863 (Jan. 19, 2001), 66 FR 8020 (Jan. 26, 2001) (SR-NASD-99-53). 6 Securities Exchange Act Release No. 50074 (Jul. 23, 2004), 69 FR 45866 (Jul. 30, 2004) (SR-NASD-2004-076). In November of 2002, Nasdaq received Commission approval to disseminate a SuperMontage “depth of book” product for Nasdaq stocks called TotalView. 7 TotalView originally contained data representing all quotes and orders in Nasdaq stocks trading on Nasdaq's SuperMontage system. The Commission approved an initial TotalView fee of $150 per user per month, and later approved Nasdaq's proposal to reduce the fee to $70 per month for professional users and $14 per month for non-professional users. 8 The Commission later approved Nasdaq's proposal to disseminate an equivalent full depth of book product for NYSE/Amex stocks. 9 That product, called “OpenView,” contained all quotes and orders for NYSE/Amex-listed stocks in Nasdaq's execution system. The Commission-approved fee for OpenView was $6 per user per month. 7 Securities Exchange Act Release No. 46843 (Nov. 18, 2002), 67 FR 70471 (Nov. 22, 2002) (SR-NASD-2002-33). 8 Securities Exchange Act Release No. 48581 (Oct. 1, 2003), 68 FR 57945 (Oct. 7, 2003) (SR-NASD-2003-111). 9 Securities Exchange Act Release No. 49349 (Mar. 2, 2004), 69 FR 10775 (Mar. 8, 2004) (SR-NASD-2003-149). In September of 2004, Nasdaq completed its acquisition of Brut, Inc., a registered broker-dealer operating the Brut electronic communications network (“ECN”). Nasdaq operated the Brut ECN side-by-side with the Nasdaq Market Center. Prior to Nasdaq's acquisition, Brut disseminated a depth of book data feed containing order information from the Brut execution system—the Brut System Book Feed—free of charge to its subscribers and to market data vendors. Following Nasdaq's acquisition, Brut continued to disseminate the Brut System Book Feed free of charge. In March of 2005, the Commission approved Nasdaq's proposal to integrate the Brut System Book Feed into the TotalView data entitlement thereby rendering the Brut System Book Feed fee-liable at the same $70 and $14 monthly rates as TotalView. Nasdaq did not, however, integrate the Brut and Nasdaq Market Center execution systems; those two systems continued to operate independently and to disseminate separate data from their separate execution systems. On December 7, 2005, Nasdaq acquired INET ATS, Inc., a registered broker-dealer and member of the NASD, and operator of the INET ATS (“INET”), and the Commission approved Nasdaq's proposed rule change to establish rules governing the operation of the INET facility. 10 Prior to Nasdaq's acquisition, INET disseminated a depth of book data feed containing order information from the INET execution system—the INET System Book Feed—free of charge to its subscribers and to market data vendors. Following Nasdaq's acquisition, INET continued to disseminate the INET System Book Feed free of charge. Unlike Brut, Nasdaq did not propose to integrate the INET System Book Feed into the TotalView data entitlement. Nasdaq continued to operate INET independently and to disseminate the INET System Book Feed free of charge to INET subscribers and market data vendors. 10 Securities Exchange Act Release No. 52902 (Dec. 7, 2005), 70 FR 73810 (Dec. 13, 2005) (SR-NASD-2005-128). On February 5, 2006, Nasdaq filed a proposal to integrate Nasdaq's three execution systems—the Nasdaq Market Center, the Brut ECN, and the INET ECN—into a single execution system commonly known as the Nasdaq Single Book. 11 That proposal was designed to establish the Single Book as the new Nasdaq Market Center execution system to replace the existing Nasdaq Market Center execution system formerly known as SuperMontage. Like its predecessor, the new Nasdaq Market Center execution system would have three parts:
(1)An execution service,
(2)a trade-reporting service, and
(3)a data feed service that “can be used to display with attribution to Participants” MPIDs all Quotes and Displayed Orders on both the bid and offer side of the market for all price levels then within the Nasdaq Market Center.” 12 11 Securities Exchange Act Release No. 53583 (Mar. 31, 2006), 71 FR 19573 (Apr. 14, 2006) (SR-NASDAQ-2006-001) (“Single Book Proposal”). 12 Compare new Nasdaq Rule 4751(a) with previous NASD Rule 4701(a). The Elimination of INET and Brut On July 14, 2006, following a lengthy and contentious comment period, the Commission approved Nasdaq's Single Book Proposal. 13 As a result of that approval order, two of Nasdaq's three execution facilities—Brut and INET—ceased to operate and Nasdaq emerged with a single, unified execution system, the new Nasdaq Market Center execution system. When Brut and INET ceased operating as separate execution facilities, they consequentially lost the ability to offer separate data feeds. In the Single Book Approval Order, the Commission itself noted that the Brut and INET facilities would cease to exist: 13 *See* NMC Approval Order, *supra* note 3. * * * under this proposal Nasdaq would integrate the Brut and INET execution systems with the Nasdaq Market Center, utilizing the INET platform; only Brut's broker-dealer routing functionality would continue upon the unification of the three trading platforms. Thus, this proposal could not advantage Nasdaq-affiliated ECNs over other ECNs because Nasdaq affiliated ECNs would not exist. In addition, the Commission notes that Nasdaq's acquisitions of Brut and INET were reviewed and approved by the Commission as positive developments in the ever-changing, dynamic market environment. 14 14 NMC Approval Order, *supra* note 3 at 41301. Thus, the proposal and the Commission order approving it clearly contemplated that the Brut and INET facilities were to be eliminated along with their corresponding data feeds. In fact, the Commission contemplated the elimination of the Brut and INET facilities as early a s December 2005 when it approved Nasdaq's rules for operating INET as a subsidiary, as well as in the Commission's order approving Nasdaq's application to operate as a national securities exchange: In the Commission's approval of Nasdaq's exchange application in January 2006, the Commission emphasized that Nasdaq's approval was based on a set of rules with price/time priority. In addition, the Commission noted in the Exchange Application Order that the two ECNs that Nasdaq had recently acquired—Brut and INET—both applied rules that required their orders to be executed in price/time priority. As discussed above, the Single Book concept of integrating the three Nasdaq Facilities was discussed by the Commission in the Exchange Application Order and the Commission believed that such an integration would be beneficial, though the Commission permitted the three Nasdaq Facilities to operate separately for a temporary period, until September 30, 2006, because the Brut and INET facilities had only been recently acquired by Nasdaq (citations omitted). 15 15 *Id.* at 41303. To reduce the impact to former Brut and INET users, the new Nasdaq Market Center system was designed to provide the same depth of book data that the previous system provided, namely all Nasdaq Market Center participants' quotes and orders displayed within the system. Like its predecessor, the new system will disseminate depth of book data in multiple formats using multiple data feeds. 16 Because the Nasdaq Market Center system will provide the same quote and order data in multiple formats, all Nasdaq, Brut, and INET users can continue to receive depth of book data in the format that they historically use. 16 Prior to the integration, the Nasdaq Market Center issued the following data: TotalView legacy, which contains depth of book data for Nasdaq stocks aggregated by price level using the format developed by Nasdaq; OrderView, which contains depth of book data for Nasdaq stock on an order-by-order basis; NQDS, which contains each market participant's best quote in Nasdaq stocks; and OpenView, which contains each market participant's best quote in NYSE and Amex stocks. Following the integration, the Nasdaq Market Center also issues the following feeds: TotalView ITCH, which contains depth of book data on an attributed and order-by-order basis for Nasdaq, NYSE, and Amex stocks on a single feed using the ITCH format that was developed by INET; a separate TotalView ITCH feed containing depth of book data on an unattributed and order-by-order basis for Nasdaq, NYSE, and Amex stocks; and another separate TotalView ITCH feed containing depth of book data aggregated by price level and attributed for Nasdaq, NYSE, and Amex stocks. Reasonableness of the TotalView Fee Nasdaq is required by Section 6(b)(4) of the Act to “provide for the equitable allocation of reasonable dues, fees, and other charges among its members and issuers and other persons” using its facilities, and by Section 11A(c)(1)(D) to make market information available on terms that are “not unreasonably discriminatory.” In light of this statutory mandate, Nasdaq is required to assess the same fee to all recipients of the same data, in this case TotalView data. Former recipients of INET ITCH 1.0 and/or INET ITCH 2.0 data feed that choose to receive Nasdaq TotalView data must pay the same fee for that data as every other recipient on an equitable and non-discriminatory basis. In 2002, the Commission determined that Nasdaq's TotalView fee was fair and reasonable and Nasdaq is simply proposing to assess that fee to a group of new users. TotalView is a comprehensive source of Nasdaq order and quote information, and provides the greatest level of transparency into the Nasdaq stock market. Nasdaq states that today, TotalView provides 23 times the liquidity displayed and nearly 5 times the orders disseminated by the Nasdaq Quotation Dissemination Service (“NQDS”). Nasdaq's full depth in NYSE- and Amex-listed stocks (OpenView) also provides access to 40% more liquidity than the top-of-file quotes provided via the Consolidated Quotation System feed from the Securities Information Automation Corporation. Since the Commission first approved the fee for TotalView, Nasdaq has lowered that fee from $150 per month to $70 per month for professional users or $14 per month for non-professional users. In addition, Nasdaq has augmented the TotalView product many times while holding the Commission-approved fees constant. In 2004 and 2005, Nasdaq added to TotalView all data from Nasdaq's opening and closing crosses. In March of 2005, Nasdaq added to the TotalView entitlement a separate data feed disseminating depth of book data in an unprocessed, order-by-order format. Also in 2005, Nasdaq added a separate data feed containing depth of book data from its Brut Facility. By 2006, Nasdaq was disseminating via TotalView, depth of book data from the Nasdaq Market Center (formerly, SuperMontage) and the Brut Facility using multiple formats and multiple data feeds. Integrating the Brut, INET and Nasdaq Market Center systems and liquidity into a unified whole will further enhance the data available via TotalView, again with no fee increase to recipients. This integration came at significant cost to Nasdaq, as the Commission is aware: In addition, Nasdaq endured significant cost in 2005 to acquire INET and, through the Single Book Proposal, Nasdaq seeks to use the INET platform as the basis for its Integrated System going forward in order to provide a faster and more efficient system with greater capacity. As competition increases both in the United States and globally, and with the Commission's approval of Regulation NMS, nearly all national securities exchanges are in the process of transforming their systems to better compete. Through implementation of its Single Book Proposal, Nasdaq seeks to maximize the advantages of the INET trading platform—faster executions and increased certainty (citations omitted). 17 17 NMC Approval Order, *supra* note 3 at 41302. In assessing its Commission-approved fee for TotalView, Nasdaq is seeking to recover on a reasonable, equitable and non-discriminatory basis some of the “significant cost” it endured to acquire INET. Application of the Fee This proposal seeks to impose the Commission-approved TotalView fee to all new TotalView distributors that:
(1)distributed INET ITCH 1.0 and/or INET ITCH 2.0 data feed free of charge, and
(2)did not previously distribute TotalView data. Prior to completing the integration of its execution systems, Nasdaq identified 63 distributors that meet this test. Of those, 45 chose to execute TotalView distributor agreements indicating their intentions to distribute TotalView data at the prevailing TotalView fee schedule and 18 chose not to execute such agreements. Therefore, Nasdaq believes this proposal will impact 45 TotalView distributors and their customers. Distributors that previously received either TotalView only or both TotalView and either INET ITCH 1.0 or INET ITCH 2.0 data (or both), would continue to pay TotalView rates at the TotalView fee schedule. For those firms this in this category who had previously provided only the INET ITCH 1.0 and/or INET ITCH 2.0 data to certain customers, and who are able to separately identify these users from those users as receiving TotalView data via the INET ITCH 1.0 and/or INET ITCH 2.0 data feed, these users also would be afforded the same period (until February 1, 2007) to begin their TotalView fee liability. 2. Statutory Basis Nasdaq believes that the proposed rule change is consistent with the provisions of Section 6 of the Act 18 in general, and Section 6(b)(4) of the Act 19 in particular, in that it provides an equitable allocation of reasonable fees among users and recipients of the data, and it makes TotalView data available on a non-discriminatory basis to similarly situated recipients. 18 15 U.S.C. 78f. 19 15 U.S.C. 78f(b)(4). B. Self-Regulatory Organization's Statement on Burden on Competition Nasdaq does not believe that the proposed rule change will result in any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act. As a general matter, the Commission has long held the view that “competition and innovation are essential to the health of the securities markets. Indeed, competition is one of the hallmarks of the national market system.” 20 The Commission has also stated “that the notion of competition is inextricably tied with the notion of economic efficiency, and the Act seeks to encourage market behavior that promotes such efficiency, lower costs, and better service in the interest of investors and the general public.” 21 20 Securities Exchange Act Release No. 43863 (Jan. 19, 2001), 66 FR 8020 (Jan. 26, 2001) (SR-NASD-99-53) at 8049. 21 NMC Approval order, *supra* note 3 at 41298. The Commission goes on to state its belief “that the appropriate analysis to determine a proposal's competitive impact is to weigh the proposal's overall benefits and costs to competition based on the particular facts involved, such as examining whether the proposal would promote economically efficient execution of securities and fair competition between and among exchange markets and other market centers, as well as fair competition between the participants of a particular market.” 22 The current proposal is designed to increase transparency and the efficiency of executions by enabling vendors to provide additional market data in a cost efficient manner. 22 *Id.* There is significant competition for the provision of market data to broker-dealers and other market data consumers, as well as competition for the orders that generate the data. Nasdaq fully expects its competitors to quickly respond to this proposal as they have responded to other Nasdaq data products in the past. Moreover, market forces have shaped the market data fees that Nasdaq has charged for this product in the past and will continue to shape those fees in the future. As noted above, the Commission originally approved a fee of $150 for TotalView. Nasdaq lowered that fee to $70 and $14 in response to the lack of demand by vendors and users. Furthermore, NASDAQ introduced both professional and non-professional Enterprise License pricing to accommodate firms interest in paying a fixed fee for unlimited distribution of TotalView data. Vendors simply will only utilize the service unless and until they conclude that it is economically beneficial to them and to their users. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others Written comments were neither solicited nor received. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Within 35 days of the date of publication of this notice in the **Federal Register** or within such longer period
(i)as the Commission may designate up to 90 days of such date if it finds such longer period to be appropriate and publishes its reasons for so finding, or
(ii)as to which Nasdaq consents, the Commission will:
(A)By order approve such proposed rule change; or
(B)Institute proceedings to determine whether the proposed rule change should be disapproved. IV. Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's Internet comment form ( *http://www.sec.gov/rules/sro.shtml* ); or • Send an e-mail to *rule-comments@sec.gov* . Please include File Number SR-NASDAQ-2006-053 on the subject line. Paper Comments • Send paper comments in triplicate to Nancy M. Morris, Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1090. All submissions should refer to File Number SR-NASDAQ-2006-053. This file number should be included on the subject line if e-mail is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's Internet Web site ( *http://www.sec.gov/rules/sro.shtml* ). Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for inspection and copying in the Commission's Public Reference Room. Copies of such filing also will be available for inspection and copying at the principal office of Nasdaq. All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR-NASDAQ-2006-053 and should be submitted on or before January 26, 2007. For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 23 23 17 CFR 200.30-3(a)(12). Jill M. Peterson, Assistant Secretary. [FR Doc. E6-22593 Filed 1-4-07; 8:45 am] BILLING CODE 8011-01-P SMALL BUSINESS ADMINISTRATION Reporting and Recordkeeping Requirements Under OMB Review AGENCY: Small Business Administration. ACTION: Notice of Reporting Requirements Submitted for OMB Review. SUMMARY: Under the provisions of the Paperwork Reduction Act (44 U.S.C. Chapter 35), agencies are required to submit proposed reporting and recordkeeping requirements to OMB for review and approval, and to publish a notice in the **Federal Register** notifying the public that the agency has made such a submission. DATES: Submit comments on or before February 5, 2007. If you intend to comment but cannot prepare comments promptly, please advise the OMB Reviewer and the Agency Clearance Officer before the deadline. *Copies:* Request for clearance (OMB 83-I), supporting statement, and other documents submitted to OMB for review may be obtained from the Agency Clearance Officer. ADDRESSES: Address all comments concerning this notice to: Agency Clearance Officer, Jacqueline White, Small Business Administration, 409 3rd Street, SW., 5th Floor, Washington, DC 20416; and *David_Rostker@omb.eop.gov* , fax number 202-395-7285, Office of Information and Regulatory Affairs, Office of Management and Budget. FOR FURTHER INFORMATION CONTACT: Jacqueline White, Agency Clearance Officer, *Jacqueline.white@sba.gov* (202-205-7044). SUPPLEMENTARY INFORMATION: *Title:* Gulf Cost Relief Financing Pilot. *Form No.:* 2276 (Parts A, B, and C), 2281, 2282. *Frequency:* On Occasion. Description of Respondents: Small Businesses Devastated by Hurricanes Katrina/Rita. *Annual Responses:* 250. *Annual Burden:* 188. *Title:* Statement of Personal History. *Form No.:* 1081. *Frequency:* On Occasion. *Description of Respondents:* Small Business Lending Companies. *Responses:* 200. *Annual Burden:* 100. *Title:* Application for Section 504 Loan. *Form No.:* 1244. *Frequency:* On Occasion. *Description of Respondents:* Loan Applicants. *Annual Responses:* 10,000. *Annual Burden:* 10,000. Jacqueline White, Chief, Administrative Information Branch. [FR Doc. E6-22587 Filed 1-4-07; 8:45 am] BILLING CODE 8025-01-P SMALL BUSINESS ADMINISTRATION National Small Business Development Center Advisory Board; Public Meeting The U.S. Small Business Administration National Small Business Development Center
(SBDC)Advisory Board will be hosting a conference call to discuss such matters that may be presented by members, and the staff of the U.S. Small Business Administration. The conference call will be held on Tuesday, January 16, 2007 at 1 p.m. Eastern Standard Time. The purpose of the meeting is to welcome new board member, discuss internal board matters such as the status of proposed new Board members, administrative issues, the Spring Meeting agenda, the Chair's Dialogue with the State Directors' aftermath, and the marketing of the SBDC Program. Anyone wishing to make an oral presentation to the Board must contact Erika Fischer, Senior Program Analyst, U.S. Small Business Administration, Office of Small Business Development Centers, 409 3rd Street, SW., Washington, DC 20024-3212, telephone
(202)205-7045 or fax
(202)481-0681. Matthew Teague, Committee Management Officer. [FR Doc. E6-22625 Filed 1-4-07; 8:45 am] BILLING CODE 8025-01-P SMALL BUSINESS ADMINISTRATION Small Business Size Standards: Waiver of the Nonmanufacturer Rule AGENCY: U.S. Small Business Administration. ACTION: Notice of intent to Waive the Nonmanufacturer Rule for Re-refining Used Petroleum Lubricating Oils (MIL-PRF-2104, Type 10W; Type 15W40; Type 30W; and Type 40W). SUMMARY: The U.S. Small Business Administration
(SBA)is considering granting a request for a waiver of the Nonmanufacturer Rule for Re-refining Used Petroleum Lubricating Oils (MIL-PRF-2104, Type 10W; Type 15W40; Type 30W; and Type 40W). According to the request, no small business manufacturers supply these classes of products to the Federal Government. If granted, the waiver would allow otherwise qualified regular dealers to supply the products of any domestic manufacturer on a Federal contract set aside for small businesses; service-disabled veteran-owned small businesses or SBA's 8(a) Business Development Program. DATES: Comments and source information must be submitted January 22, 2007. ADDRESSES: You may submit comments and source information to Sarah Ayers, Program Analyst, U.S. Small Business Administration, Office of Government Contracting, 409 3rd Street, SW., Suite 8800, Washington, DC 20416. FOR FURTHER INFORMATI0N CONTACT: Sarah Ayers, Program Analyst, by telephone at
(202)205-6413; by fax at
(202)205-6390; or by e-mail at *sarah.ayers@sba.gov.* SUPPLEMENTARY INFORMATION: Section 8(a)(17) of the Small Business Act (Act), 15 U.S.C. 637(a)(17), requires that recipients of Federal contracts set aside for small businesses, service-disabled veteran-owned small businesses, or SBA's 8(a) Business Development Program provide the product of a small business manufacturer or processor, if the recipient is other than the actual manufacturer or processor of the product. This requirement is commonly referred to as the Nonmanufacturer Rule. The SBA regulations imposing this requirement are found at 13 CFR 121.406(b). Section 8(a)(17)(b)(iv) of the Act authorizes SBA to waive the Nonmanufacturer Rule for any “class of products” for which there are no small business manufacturers or processors available to participate in the Federal market. As implemented in SBA's regulations at 13 CFR 121.1202(c), in order to be considered available to participate in the Federal market for a class of products, a small business manufacturer must have submitted a proposal for a contract solicitation or received a contract from the Federal Government within the last 24 months. The SBA defines “class of products” based on six digit coding system. The coding system is the Office of Management and Budget North American Industry Classification System (NAICS). The SBA is currently processing a request to waive the Nonmanufacturer Rule for Re-refining Used Petroleum Lubricating Oils (MIL-PRF-2104, Type 10W; Type 15W40; Type 30W; and Type 40W). North American Industry Classification System (NAICS) code 324191. The public is invited to comment or provide source information to SBA on the proposed waivers of the Nonmanufacturer Rule for this class of NAICS code within 15 days after date of publication in the **Federal Register** . Arthur E. Collins, Acting Associate Administrator for Government Contracting. [FR Doc. E6-22624 Filed 1-4-07; 8:45 am] BILLING CODE 8025-01-P SOCIAL SECURITY ADMINISTRATION [Docket No. SSA-2006-0111] Rate for Assessment on Direct Payment Fees to Representatives in 2007 AGENCY: Social Security Administration (SSA). ACTION: Notice SUMMARY: SSA is announcing that the assessment percentage rate under sections 206(d) and 1631(d)(2)(C) of the Social Security Act (the Act), 42 U.S.C. 406 (d), and 1383(d)(2)(C) is 6.3 percent for 2007. FOR FURTHER INFORMATION CONTACT: Gwen Jones Kelley, Acting Associate General Counsel for Program Law, Office of the General Counsel, SSA. Phone:
(410)965-0495, e-mail *Gwen.Jones.Kelley@ssa.gov.* SUPPLEMENTARY INFORMATION: Section 406 of Public Law No. 106-170, the Ticket to Work and Work Incentives Improvement Act of 1999, established an assessment for the services required to determine and certify payments to attorneys from the benefits due claimants under Title II of the Act. This provision is codified in section 206 of the Act (42 U.S.C. 406). That legislation set the assessment for the calendar year 2000 at 6.3 percent of the amount that would be required to be certified for direct payment to the attorney under section 206(a)(4) or 206(b)(1) before the application of the assessment. For subsequent years, the legislation requires the Commissioner of Social Security to determine the percentage rate necessary to achieve full recovery of the costs of determining and certifying fees to attorneys, but not in excess of 6.3 percent. Beginning in 2005, sections 302 and 303 of Public Law 108-203, the Social Security Protection Act of 2004 (SSPA), extended the direct payment of fees to attorneys in cases under Title XVI of the Act and to eligible non-attorney representatives in cases under Title II and/or Title XVI of the Act. Fees directly paid under these provisions are subject to the same assessment. In addition, sections 301 and 302 of the SSPA imposed a dollar cap on the amount of the assessment so that the assessment may not exceed the lesser of that dollar cap or the amount determined using the assessment percentage rate. The Commissioner of Social Security has determined, based on the best available data, that the current rate of 6.3 percent will continue for 2007. We will continue to review our costs on a yearly basis. Dated: December 28, 2006. Dale W. Sopper, Deputy Commissioner for Budget, Finance, and Management. [FR Doc. E6-22591 Filed 1-4-07; 8:45 am] BILLING CODE 4191-02-P DEPARTMENT OF STATE [Public Notice 5659] Culturally Significant Objects Imported for Exhibition; Determinations: “Greek and Roman Galleries” *Summary:* Notice is hereby given of the following determinations: Pursuant to the authority vested in me by the Act of October 19, 1965 (79 Stat. 985; 22 U.S.C. 2459), Executive Order 12047 of March 27, 1978, the Foreign Affairs Reform and Restructuring Act of 1998 (112 Stat. 2681, *et seq.* ; 22 U.S.C. 6501 note, *et seq.* ), Delegation of Authority No. 234 of October 1, 1999, Delegation of Authority No. 236 of October 19, 1999, as amended, and Delegation of Authority No. 257 of April 15, 2003 [68 FR 19875], I hereby determine that the objects to be included in the exhibition “Greek and Roman Galleries”, imported from abroad for temporary exhibition within the United States, are of cultural significance. The objects are imported pursuant to loan agreements with the foreign owners or custodians. I also determine that the exhibition or display of the exhibit objects at The Metropolitan Museum of Art, New York, New York, from on or about April 10, 2007, until on or about April 10, 2008, and at possible additional venues yet to be determined, is in the national interest. Public Notice of these Determinations is ordered to be published in the **Federal Register** . *For Further Information Contact:* For further information, including a list of the exhibit objects, contact Paul Manning, Attorney-Adviser, Office of the Legal Adviser, U.S. Department of State (telephone:
(202)453-8050). The address is U.S. Department of State, SA-44, 301 4th Street, SW. Room 700, Washington, DC 20547-0001. Dated: December 20, 2006. C. Miller Crouch, Principal Deputy Assistant Secretary for Educational and Cultural Affairs, Department of State. [FR Doc. E6-22622 Filed 1-4-07; 8:45 am] BILLING CODE 4710-05-P DEPARTMENT OF STATE [Public Notice 5629] Announcement of Meetings of the International Telecommunication Advisory Committee *Summary:* This notice announces meetings of the International Telecommunication Advisory Committee
(ITAC)to prepare advice on U.S. positions for the ITU Telecommunication Standardization Advisory Group (TSAG), and Telecommunication Development Advisory Group. In addition to the previously announced meeting to prepare advice on U.S. positions to be taken at the March meeting of the Telecommunication Sector Advisory Group
(TSAG)on January 18, 2007, the ITAC will also meet on February 1 and February 13, 2007, all meetings from 9:30-noon. Locations of these meetings may be obtained by calling the secretariat below. The ITAC will meet to prepare advice on U.S. positions to be taken at the Telecommunication Development Advisor Group
(TDAG)on January 25 and February 1, 2007 in Room 2533A of the Harry S Truman building (Main State) from 2-4 p.m. People desiring to attend these meetings should send pre-clearance information to *minardje@state.gov* . Access to the Department of State is through the doors at 2201 C Street, have picture ID and proof of citizenship available. We strongly suggest arriving at least 30 minutes before the start of the meeting. These meetings are open to the public. Further information may be obtained from the secretariat *minardje@state.gov* , telephone 202-647-3234. Dated: December 28, 2006. Douglas R. Spalt, Electronics Engineer, International Communications & Information Policy, Multilateral Affairs, Department of State. [FR Doc. E6-22621 Filed 1-4-07; 8:45 am] BILLING CODE 4710-07-P DEPARTMENT OF STATE [Public Notice 5660] Bureau of International Security and Nonproliferation; Imposition of Nonproliferation Measures Against Foreign Persons, Including a Ban on U.S. Government Procurement AGENCY: Department of State. ACTION: Notice. SUMMARY: A determination has been made that twenty-four foreign persons have engaged in activities that warrant the imposition of measures pursuant to Section 3 of the Iran and Syria Nonproliferation Act, which provides for penalties on entities and individuals for the transfer to or acquisition from Iran since January 1, 1999 or the transfer to or acquisition from Syria since January 1, 2005, of equipment and technology controlled under multilateral export control lists (Missile Technology Control Regime, Australia Group, Chemical Weapons Convention, Nuclear Suppliers Group, Wassenaar Arrangement) or otherwise having the potential to make a material contribution to the development of weapons of mass destruction
(WMD)or cruise or ballistic missile systems. The latter category includes
(a)items of the same kind as those on multilateral lists, but falling below the control list parameters, when it is determined that such items have the potential of making a material contribution to WMD or cruise or ballistic missile systems,
(b)other items with the potential of making such a material contribution, when added through case-by-case decisions, and
(c)items on U.S. national control lists for WMD/missile reasons that are not on multilateral lists. DATES: *Effective Date:* December 28, 2006. FOR FURTHER INFORMATION CONTACT: On general issues: Pamela K. Durham, Office of Missile Threat Reduction, Bureau of International Security and Nonproliferation, Department of State (202-647-4931). On U.S. Government procurement ban issues: Gladys Gines, Office of the Procurement Executive, Department of State (703-516-1691). SUPPLEMENTARY INFORMATION: Pursuant to Sections 2 and 3 of the Iran and Syria Nonproliferation Act (Pub. L. 109-112), the U.S. Government determined on December 22, 2006 that the measures authorized in Section 3 of the Act shall apply to the following foreign persons identified in the report submitted pursuant to Section 2(a) of the Act: China National Electronic Import-Export Company (CEIEC) (China) and any successor, sub-unit, or subsidiary thereof; China National Aero-Technology Import and Export Company (CATIC) (China) and any successor, sub-unit, or subsidiary thereof; Zibo Chemet Equipment Company (China) and any successor, sub-unit, or subsidiary thereof; Defense Industries Organization
(Iran)and any successor, sub-unit, or subsidiary thereof; Iran Electronics Industries
(Iran)and any successor, sub-unit, or subsidiary thereof; Sanam Industrial Group
(Iran)and any successor, sub-unit, or subsidiary thereof; NAB Export Company
(Iran)and any successor, sub-unit, or subsidiary thereof; Abu Hamadi
(Iraq)and any successor, sub-unit, or subsidiary thereof; Kal Al-Zuhiry (Iraq); Korea Mining Development Corporation (KOMID) (North Korea) and any successor, sub-unit, or subsidiary thereof; Target Airfreight (Malaysia) and any successor, sub-unit, or subsidiary thereof; Aerospace Logistics Services (Mexico) and any successor, sub-unit, or subsidiary thereof; Arif Durrani (Pakistan); Rosoboronexport (Russia) and any successor, sub-unit, or subsidiary thereof; Kolomna Design Bureau of Machine-Building
(KBM)(Russia) and any successor, sub-unit, or subsidiary thereof; Tula Design Bureau of Instrument Building
(KBP)(Russia) and any successor, sub-unit, or subsidiary thereof; Alexey Safonov (Russia); Al Zarga Optical and Electronics Co. (Sudan) and any successor, sub-unit, or subsidiary thereof; Giad Industrial Complex (Sudan) and any successor, sub-unit, or subsidiary thereof; Yarmouk Industrial Complex (Sudan) and any successor, sub-unit, or subsidiary thereof; Army Supply Bureau (Syria) and any successor, sub-unit, or subsidiary thereof; Industrial Establishment of Defense
(IED)(Syria) and any successor, sub-unit, or subsidiary thereof; Ministry of Defense (Syria) and any successor, sub-unit, or subsidiary thereof; and Scientific Studies and Research Center
(SSRC)(Syria) and any successor, sub-unit, or subsidiary thereof. Accordingly, pursuant to the provisions of the Act, the following measures are imposed on these entities and individuals: 1. No department or agency of the United States Government may procure, or enter into any contract for the procurement of, any goods, technology, or services from these foreign persons; 2. No department or agency of the United States Government may provide any assistance to the foreign persons, and these persons shall not be eligible to participate in any assistance program of the United States Government; 3. No United States Government sales to the foreign persons of any item on the United States Munitions List (as in effect on August 8, 1995) are permitted, and all sales to these persons of any defense articles, defense services, or design and construction services under the Arms Export Control Act are terminated; and, 4. No new individual licenses shall be granted for the transfer to these foreign persons of items the export of which is controlled under the Export Administration Act of 1979 or the Export Administration Regulations, and any existing such licenses are suspended. These measures shall be implemented by the responsible departments and agencies of the United States Government and will remain in place for two years from the effective date, except to the extent that the Secretary of State may subsequently determine otherwise. A new determination will be made in the event that circumstances change in such a manner as to warrant a change in the duration of sanctions. Dated: December 28, 2006. Andrew K. Semmel, Acting Assistant Secretary of State for International Security and Nonproliferation, Department of State. [FR Doc. E6-22630 Filed 1-4-07; 8:45 am] BILLING CODE 4710-25-P DEPARTMENT OF TRANSPORTATION Office of the Secretary Aviation Proceedings, Agreements Filed the Week Ending December 22, 2006 The following Agreements were filed with the Department of Transportation under the Sections 412 and 414 of the Federal Aviation Act, as amended (49 U.S.C. 1383 and 1384) and procedures goving proceeding to enforce these provisions. Answers may be filed within 21 days after the filing of the application. *Docket Number:* OST-2006-26662. *Date Filed:* December 18, 2006. *Parties:* Members of the International Air Transport Association. *Subject:* TC3 Japan-Korea, Expedited Resolution 002kk, (Memo 1011), *Intended effective date:* 15 January 2007. *Docket Number:* OST-2006-26663. *Date Filed:* December 18, 2006. *Parties:* Members of the International Air Transport Association. *Subject:* TC3 Within South East Asia, except between Malaysia and Guam, Expedited Resolutions, (Memo 1017), *Intended effective date:* 15 January 2007. *Docket Number:* OST-2006-26664. *Date Filed:* December 18, 2006. *Parties:* Members of the International Air Transport Association. *Subject:* TC3 South East Asia—South Asian Subcontinent, Expedited Resolution 002ma, (Memo 1018), *Intended effective date:* 15 January 2007. *Docket Number:* OST-2006-26665. *Date Filed:* December 18, 2006. *Parties:* Members of the International Air Transport Association. *Subject:* TC3 Within South West Pacific, except between French Polynesia, New Caledonia and, American Samoa, Expedited Resolutions, (Memo 1019), *Intended effective date:* 15 January 2007. *Docket Number:* OST-2006-26666. *Date Filed:* December 18, 2006. *Parties:* Members of the International Air Transport Association. *Subject:* TC3 Japan, Korea-South East Asia, except between Korea and Guam, Northern Mariana Islands, Expedited Resolution 002bb, (Memo 1020), *Intended effective date:* 15 January 2007. *Docket Number:* OST-2006-26667. *Date Filed:* December 18, 2006. *Parties:* Members of the International Air Transport Association. *Subject:* TC3 Areawide, Expedited Resolution 250m, (Memo 1021), *Intended effective date:* 15 January 2007. *Docket Number:* OST-2006-26668. *Date Filed:* December 18, 2006. *Parties:* Members of the International Air Transport Association. *Subject:* TC23 Europe-South East Asia, Expedited Resolutions, (Memo 0244), *Intended effective date:* 7 January 2007. *Docket Number:* OST-2006-26699. *Date Filed:* December 20, 2006. *Parties:* Members of the International Air Transport Association. *Subject:* Mail Vote 524—Resolution 010h, TC2 Special Passenger Amending Resolution, From Israel
(IL)to Europe, (Memo 0234), *Intended effective date:* 1 January 2007. *Docket Number:* OST-2006-26700. *Date Filed:* December 20, 2006. *Parties:* Members of the International Air Transport Association. *Subject:* Mail Vote 522—Resolution 010aa, CTC COMP Special, Cargo Amending Resolution—Bulgaria and Romania, (Memo 0585), *Intended effective date:* 1 January 2007. *Docket Number:* OST-2006-26701. *Date Filed:* December 20, 2006. *Parties:* Members of the International Air Transport Association. *Subject:* *Minutes:* TC31/TC123 Passenger Tariff Coordinating Conference, Bangkok, 23 October-28 October 2006, TC31 North and Central Pacific Minutes, TC123 Minutes, (Memo 0398), *Agreement:* Mail Vote 523—Resolution 010g, TC31 North & Central Pacific, Special Passenger Amending Resolution, from Korea (Rep. of) to Canada, Mexico, Caribbean, (Memo 0399), *Intended effective date:* 15 January 2007. Barbara J. Hairston, Supervisory Docket Officer, Docket Operations, Alternate Federal Register Liaison. [FR Doc. E6-22608 Filed 1-4-07; 8:45 am] BILLING CODE 4910-9X-P DEPARTMENT OF TRANSPORTATION Office of the Secretary Notice of Applications for Certificates of Public Convenience and Necessity and Foreign Air Carrier Permits Filed Under Subpart B (Formerly Subpart Q) During the Week Ending December 22, 2006 The following Applications for Certificates of Public Convenience and Necessity and Foreign Air Carrier Permits were filed under Subpart B (formerly Subpart Q) of the Department of Transportation's Procedural Regulations (See 14 CFR 301.201 et. seq.). The due date for Answers, Conforming Applications, or Motions to Modify Scope are set forth below for each application. Following the Answer period DOT may process the application by expedited procedures. Such procedures may consist of the adoption of a show-cause order, a tentative order, or in appropriate cases a final order without further proceedings. *Docket Number:* OST-2006-26670. *Date Filed:* December 18, 2006. *Due Date for Answers, Conforming Applications, or Motion to Modify Scope:* January 8, 2007. *Description:* Application of Spirit Airlines, Inc. (“Spirit”) requesting an exemption and a certificate of public convenience and necessity that would authorize Spirit to engage in scheduled foreign air transportation of persons, property and mail between points in the United States, on the one hand, and St. Maarten, on the other hand. *Docket Number:* OST-2006-26702. *Date Filed:* December 20, 2006. *Due Date for Answers, Conforming Applications, or Motion to Modify Scope:* January 10, 2007. *Description:* Application of Flying Service N.V. requesting a foreign air carrier permit to engage in
(i)charter foreign air transportation of persons and property between Belgium and the United States, either directly or via intermediate points in other countries, with or without stopovers, coextensive with the rights provided under the “open skies” U.S.-Belgium Air Transport Agreement, and
(ii)fifth freedom charter service. *Docket Number:* OST-2006-26720. *Date Filed:* December 21, 2006. *Due Date for Answers, Conforming Applications, or Motion to Modify Scope:* January 11, 2007. *Description:* Application of Air Midwest Inc. requesting the Department to disclaim jurisdiction over the transfer of its operating authority to Air Midwest, LLC, a newly formed Nevada corporation. *Docket Number:* OST-2006-24629. *Date Filed:* December 22, 2006. *Due Date for Answers, Conforming Applications, or Motion to Modify Scope:* January 12, 2007. *Description:* Application of Yangtze River Express Airlines Co., Ltd. requesting a foreign air carrier permit to operate scheduled cargo-only air services between Shanghai, People's Republic of China and Los Angeles, CA, United States of America, via Anchorage, AK, USA (technical stop only). Barbara J. Hairston, Supervisory Docket Officer, Docket Operations, Alternate Federal Register Liaison. [FR Doc. E6-22607 Filed 1-4-07; 8:45 am] BILLING CODE 4910-9X-P DEPARTMENT OF TRANSPORTATION Federal Highway Administration Notice of Final Federal Agency Actions on Proposed Highway in California AGENCY: Federal Highway Administration (FHWA), DOT. ACTION: Notice of Limitation on Claims for Judicial Review of Actions by FHWA and other Federal agencies. SUMMARY: This notice announces actions taken by the FHWA and other Federal agencies that are final within the meaning of 23 U.S.C. 139( *I* )(1). These actions relate to a proposed highway project. U.S. Route 101 Willits Bypass Project between kilo post R69.4 and R78.9 (post mile R43.1 to 49.0) in Mendocino County, State of California. These actions grant approvals for the project. DATES: By this notice, the FHWA is advising the public of final agency actions subject to 23 U.S.C. 139( *I* )(1). A claim seeking judicial review of the Federal agency actions on the highway project will be barred unless the claim is filed on or before July 5, 2007. If the Federal law that authorizes judicial review of a claim provides a time period of less than 180 days for filing such claim, then that shorter time period still applies. FOR FURTHER INFORMATION CONTACT: Maiser Khaled, Director, Project Development & Environment, Federal Highway Administration, 650 Capitol Mall, Suite 4-100, Sacramento, CA 95814, weekdays between 7 a.m. and 4 p.m., telephone 916-498-5020, *maiser.khaled@fhwa.dot.gov* . For U.S. Fish and Wildlife Service, Ray Bosch, Wildlife Biologist, Endangered Species Program, Arcata Fish and Wildlife Office, telephone 707-822-7201, *ray_bosch@fws.gov.* For National Oceanic and Atmospheric Administration—National Marine Fisheries Service, Thomas Daugherty, Fisheries Biologist, Ukiah Office, Telephone 707-468-4057, *Tom.Daugherty@noaa.gov.* For California Department of Transportation, Jeremy Ketchum, Senior Environmental Planner, 2389 Gateway Oaks Dr., Sacramento, CA 95833, weekdays between 8 a.m. and 5 p.m.,
(916)274-0621, *jeremy_ketchum@dot.ca.gov.* SUPPLEMENTARY INFORMATION: Notice is hereby given that the FHWA and other Federal agencies have taken final agency actions subject to 23 U.S.C. 139( *I* )(1) by issuing approvals for the following highway project in the State of California: U.S. Route 101 Willits Bypass Project between kilo post R69.4 and R78.9 (post mile R43.1 to 49.0) in Mendocino County. This project would reduce delays, improve safety, and provide at least a Level of Service C for interregional traffic on U.S. 101 in the vicinity of the City of Willits, Mendocino County, California. This would be accomplished by constructing a four-lane freeway around the city of Willits, in Mendocino County, from 0.8 mile south of the Haehl Overhead to 2.9 miles south of Reynolds Highway. The actions by the Federal agencies, and the laws under which such actions were taken, are described in the Final Environmental Impact Statement
(FEIS)for the project, approved on November 25, 2006, in the Record of Decision
(ROD)issued on December 18, 2006, and in other documents in the FHWA project files. The FEIS, ROD, and other project records are available by contacting the FHWA or the California Department of Transportation at the addresses provided above. The FHWA FEIS and ROD can be viewed and downloaded from the project Web site *http://www.dot.ca.gov/dist1/d1projects/willits/reports.htm* or viewed at public libraries in the project area. This notice applies to all Federal agency decisions as of the issuance date of this notice and all laws under which such actions were taken, including but not limited to: 1. *General:* National Environmental Policy Act
(NEPA)[42 U.S.C. 4321-4351]; Federal-Aid Highway Act [23 U.S.C. 109]. 2. *Air:* Clean Air Act, 42 U.S.C. 7401-7671(q). 3. *Land:* Section 4(f) of the Department of Transportation Act of 1966 [49 U.S.C. 303]. 4. *Wildlife:* Endangered Species Act [16 U.S.C. 1531-1544 and Section 1536], Marine Mammal Protection Act [16 U.S.C. 1361], Anadromous Fish Conservation Act [16 U.S.C. 757(a)-757(g)], Migratory Bird Treaty Act [16 U.S.C. 703-712], Magnuson-Stevens Fishery Conservation and Management Act of 1976, as amended [16 U.S.C. 1801 *et seq.* ]. 5. *Historic and Cultural Resources:* Section 106 of the National Historic Preservation Act of 1966, as amended [16 U.S.C. 470(f) *et seq.* ]; Archeological Resources Protection Act of 1977 [16 U.S.C. 470(aa)-11]; Archeological and Historic Preservation Act [16 U.S.C. 469-469(c)]. 6. *Social and Economic:* Civil Rights Act of 1964 [42 U.S.C. 2000(d)-2000(d)(1)]; Farmland Protection Policy Act
(FPPA)[7 U.S.C. 4201-4209]. 7. *Wetlands and Water Resources:* Clean Water Act, 33 U.S.C. 1251-1377 (Section 404, Section 401, Section 319); Coastal Barrier Resources Act, 16 U.S.C. 3501-3510; Coastal Zone Management Act, 16 U.S.C. 1451-1465; Land and Water Conservation Fund (LWCF), 16 U.S.C. 4601-4604; 42 U.S.C. 300(f)-300(j)(6); Emergency Wetlands Resources Act, 16 U.S.C. 3921, 3931; TEA-21 Wetlands Mitigation, 23 U.S.C. 103(b)(6)(m), 133(b)(11); Flood Disaster Protection Act, 42 U.S.C. 4001-4128. 8. *Hazardous Materials:* Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA), 42 U.S.C. 9601-9675; Superfund Amendments and Reauthorization Act of 1986 (SARA); Resource Conservation and Recovery Act (RCRA), 42 U.S.C. 6901-6992(k). 9. *Executive Orders:* E.O. 11990 Protection of Wetlands; E.O. 11988 Floodplain Management; E.O. 12898, Federal Actions to Address Environmental Justice in Minority Populations and Low Income Populations; E.O. 11593 Protection and Enhancement of Cultural Resources; E.O. 13175 Consultation and Coordination with Indian Tribal Governments; E.O. 11514 Protection and Enhancement of Environmental Quality; E.O. 13112 Invasive Species. (Catalog of Federal Domestic Assistance Program Number 20.205, Highway Planning and Construction. The regulations implementing Executive Order 12372 regarding intergovernmental consultation on Federal programs and activities apply to his program.) Authority: 23 U.S.C. 139( *I* )(1). Issued on: December 28, 2006. Gene K. Fong, Division Administrator, Federal Highway Administration. [FR Doc. E6-22596 Filed 1-4-07; 8:45 am] BILLING CODE 4910-RY-P DEPARTMENT OF TRANSPORTATION Federal Railroad Administration [Docket No. FRA-2005-23281, Notice No. 3] Safety of Private Highway-Rail Grade Crossings; Notice of Safety Inquiry AGENCY: Federal Railroad Administration (FRA), Department of Transportation (DOT). ACTION: Notice of safety inquiry. SUMMARY: On July 27, 2006, the FRA published a notice announcing its intent to conduct a series of open meetings throughout the United States, in cooperation with appropriate State agencies, to consider issues related to the safety of private highway-rail grade crossings. This notice indicated that the first of these meetings would be held August 30, 2006, in Fort Snelling, Minnesota. On September 22, 2006, the FRA published a second notice, which announced that FRA had scheduled subsequent meetings, to be held on September 27, 2006, in Raleigh, North Carolina; October 26, 2006, in San Francisco, California; and December 6, 2006, in New Orleans, Louisiana. This Notice No. 3 announces that the FRA has scheduled an additional meeting, to be held on February 15, 2007, in Syracuse, New York. At the meeting, FRA intends to solicit oral statements from private crossing owners, railroads and other interested parties on issues related to the safety of private highway-rail grade crossings, which will include, but not be limited to, current practices concerning responsibility for safety at private grade crossings, the adequacy of warning devices at private crossings, and the relative merits of a more uniform approach to improving safety at private crossings. FRA has also opened a public docket on these issues, so that interested parties may submit written comments for public review and consideration. DATES: The public meeting will be held in Syracuse, New York on February 15, 2007, at the Doubletree Hotel, 6301 State Route 298, Syracuse, New York, 13057, beginning at 9:30 a.m. Persons wishing to participate are requested to provide their names, organizational affiliation and contact information to Michelle Silva, Docket Clerk, FRA, 1120 Vermont Avenue, NW., Washington, DC 20590 (telephone 202-493-6030). Persons needing sign language interpretation or other reasonable accommodation for disability are also encouraged to contact Ms. Silva. Additional public meetings will be announced as they are scheduled. FOR FURTHER INFORMATION CONTACT: Ron Ries, Office of Safety, FRA, 1120 Vermont Avenue, NW., Washington, DC 20590 (telephone 202-493-6299); Miriam Kloeppel, Office of Safety, FRA, 1120 Vermont Avenue, NW., Washington, DC 20590 (telephone 202-493-6299); or Kathryn Shelton, Office of Chief Counsel, FRA, 1120 Vermont Avenue, NW., Washington, DC 20590 (telephone 202-493-6038). SUPPLEMENTARY INFORMATION: For additional information, please see the initial notice, published July 27 in the **Federal Register** (citation: 71 FR 42713) and available at *http://a257.g.akamaitech.net/7/257/2422/01jan20061800/edocket.access.gpo.gov/2006/pdf/06-6501.pdf* Request for Comments While FRA solicits discussion and comments on all areas of safety at private highway-rail grade crossings, we particularly encourage comments on the following topics: ❑ At-grade highway-rail crossings present inherent risks to users, including the railroad and its employees, and to other persons in the vicinity should a train derail into an occupied area or release hazardous materials. When passenger trains are involved, the risks are heightened. From the standpoint of public policy, how do we determine whether creation or continuation of a private crossing is justified? ❑ Is the current assignment of responsibility for safety at private crossings effective? To what extent do risk management practices associated with insurance arrangements result in “regulation” of safety at private crossings? ❑ How should improvement and/or maintenance costs associated with private crossing be allocated? ❑ Is there a need for alternative dispute resolution mechanisms to handle disputes that may arise between private crossing owners and the railroads? ❑ Should the State or Federal government assume greater responsibility for safety at private crossings? ❑ Should there be Nationwide standards for warning devices at private crossings, or for intersection design of new private grade crossings? ❑ How do we determine when a private crossing has a ``public purpose'' and is subject to public use? ❑ Should some crossings be categorized as ``commercial crossings'', rather than as ``private crossings''? ❑ Are there innovative traffic control treatments that could improve safety at private crossings on major rail corridors, including those on which passenger service is provided? ❑ Should the Department of Transportation request enactment of legislation to address private crossings? If so, what should it include? Issued in Washington, DC, on December 29, 2006. Jo Strang, Associate Administrator for Safety. [FR Doc. E6-22606 Filed 1-4-07; 8:45 am] BILLING CODE 4910-06-P DEPARTMENT OF TRANSPORTATION Research and Innovative Technology Administration [RITA-2006-26758] Statement Regarding a Coordinated Framework for Regulation of a Hydrogen Economy AGENCY: Research and Innovative Technology Administration, U.S. Department of Transportation. ACTION: Notice of inquiry and request for public comment. SUMMARY: The purpose of this **Federal Register** notice is to inform the public of current U.S. statutes and regulations that may be applicable to a hydrogen economy and to request comments on their interface . This notice describes and indexes several statutory and regulatory provisions of each major Federal agency and discusses possible applications of these provisions to aspects of a hydrogen economy, including construction and certification of transportation/ports infrastructure, the use of fuel cells to power automobiles and generate electricity for homes and businesses, and effects on public safety and health. The notice also describes the regulatory jurisdictions of each Federal agency in the context of a hydrogen economy. In addition, public comments are invited on a Web site that was created to depict the regulatory framework of a hydrogen economy. The Web site is located at *http://hydrogen.gov/regulations.html.* Comments will be used to improve the Web site. DATES: Comments must be received on or before March 6, 2007. *Public Participation:* The Ad Hoc Committee on a Regulatory Framework for a Hydrogen Economy (Ad Hoc Committee) of the Interagency Working Group on Hydrogen and Fuel Cells (IWG), which is part of the Executive Office of the President's National Science and Technology Council (NSTC), is seeking comments and advice from individuals, public interest groups, industry and academia on this statement regarding the framework for regulation of a hydrogen economy. The Ad Hoc Committee members include the Office of Science and Technology Policy (OSTP), Department of State (DOS), U.S. Department of Transportation
(DOT)(including the Federal Aviation Administration (FAA), Federal Highways Administration (FHWA), Federal Railroad Administration (FRA), National Highway Traffic Safety Administration (NHTSA), Federal Transit Administration (FTA), the Maritime Administration (MARAD), Federal Motor Carrier Administration (FMCSA), Pipeline and Hazardous Materials Safety Administration (PHMSA) and Research and Innovative Technology Administration (RITA)), Department of Agriculture (USDA), Department of Labor's (DOL's) Occupational Safety and Health Administration (OSHA), Environmental Protection Agency (EPA), National Aeronautics and Space Administration
(NASA)and Federal Energy Regulatory Commission (FERC). It is the intent of the Ad Hoc Committee that comments be received in a common docket. Thereafter, participating agencies with relevant statutory authority may review the comments or the comments may be read and considered by the Ad Hoc Committee. ADDRESSES: If you wish to file comments using the Internet, you may use the DOT DMS Web site at *http://dms.dot.gov.* Please follow the online instructions for submitting an electronic comment. You can also review comments on-line at the DMS Web site at *http://dms.dot.gov.* Please note that anyone is able to electronically search all comments received into our docket management system by the name of the individual submitting the comment (or signing the comment if submitted on behalf of an association, business, labor union, etc.). You may review DOT's complete Privacy Act Statement in the **Federal Register** published on April 11, 2000 (Volume 65, Number 70; pages 19477-78) or you may review the Privacy Act Statement at *http://dms.dot.gov.* You can also mail or hand-deliver comments to the U.S. Department of Transportation (DOT), Dockets Management System (DMS). You may submit your comments by mail or in person to the Docket Clerk, Docket No. RITA-2006-26758, U.S. Department of Transportation, 400 Seventh Street, SW., Room PL-401, Washington, DC 20590-0001. Comments should identify the docket number; paper comments should be submitted in duplicate. Do not submit information that you consider to be proprietary or confidential business information to the Docket. Instead, send or deliver this information directly to the person identified in the FOR FURTHER INFORMATION CONTACT section of this document. You must mark the information that you consider proprietary or confidential. If you send the information on a disk or CD-ROM, mark the outside of the disk or CD-ROM and also identify electronically within the disk or CD-ROM the specific information that is proprietary or confidential. The DMS is open for examination and copying, at the above address, from 9 a.m. to 5 p.m., Monday through Friday, except federal holidays. If you wish to receive confirmation of receipt of your written comments, please include a self-addressed, stamped postcard with the following statement: “Comments on Docket RITA-2006-26758.” The Docket Clerk will date stamp the postcard prior to returning it to you via the U.S. mail. Please note that due to delays in the delivery of U.S. mail to Federal offices in Washington, DC, we recommend that persons consider an alternative method (the Internet, fax, or professional delivery service) to submit comments to the docket and ensure their timely receipt at U.S. DOT. You may fax your comments to the DMS at
(202)493-2251. FOR FURTHER INFORMATION CONTACT: William Chernicoff, Office of Research, Development and Technology, Research and Innovative Technology Administration, Department of Transportation, Room 2440, 400 Seventh Street, SW., Washington, DC 20590 or *hydrogenregs@dot.gov* or 202-366-4999 or 800-853-1351. SUPPLEMENTARY INORMATION: Table of Contents 1.0 Introduction 2.0 Regulatory Matrix 3.0 Statements of Agency/Department Regulations Applicable to a Hydrogen Economy 3.1 U. S. Department of Labor/Occupational Safety and Health Administration
(OSHA)3.2 U.S. DOT/Federal Aviation Administration
(FAA)3.3 U.S. DOT/Federal Railroad Administration
(FRA)3.4 U.S. DOT/National Highway Transportation Safety Administration (NHTSA) 3.5 U.S. DOT/Federal Motor Carriers Safety Administration (FMCSA) 3.6 U.S. DOT/Pipeline and Hazardous Materials Safety Administration (PHMSA) 3.7 Environmental Protection Agency
(EPA)3.8 Federal Energy Regulatory Commission
(FERC)3.9 U.S. Coast Guard
(USCG)4.0 Statement of Consensus Regulatory Statements in Specific Areas 4.1 Hydrogen Transportation and Port Regulatory Framework 4.2 Hydrogen Vehicle Regulatory Framework 4.3 Hydrogen Stationary Fuel Cells Regulatory Framework 5.0 General Comments on State and Local Jurisdiction 1.0 Introduction As a result of the promise of hydrogen as a clean and renewable energy resource, the Hydrogen Fuel Initiative was launched shortly after the President's 2003 State of the Union address. “With a new national commitment * * * the first car driven by a child born today could be powered by hydrogen, and pollution-free. Join me in this important innovation to make our air significantly cleaner, and our country much less dependent on foreign sources of energy.” Section 806 of the Energy Policy Act of 2005 (EPAct) (Pub. L. 109-58) directs the establishment of a Hydrogen and Fuel Cell Technical Task Force, which is to include representatives from OSTP, DOT, DOD, DOC (including NIST), DOS, EPA, NASA and any other federal agencies as the Secretary of Energy determines appropriate. The NSTC IWG, which is co-chaired by DOE and OSTP, carries out the duties specified in EPAct Section 806. Sec. 806(b)(1)(D)-(E) calls for the Task Force to work toward “uniform hydrogen codes, standards and safety protocols;” and “vehicle hydrogen fuel system integrity safety performance.” Therefore, the IWG has created the Ad Hoc Committee to examine existing authorities related to these issues in order to minimize uncertainties and inefficiencies in the commercial sector that can stifle innovation and impair the competitiveness of U.S. industry. Members of the Ad Hoc Committee were from the chief legal office of each participating agency or department, paired with a technical representative from the same agency or department. This arrangement represents a new model for examining the current regulatory framework at the same time that the emerging technology is being researched and developed. The Ad Hoc Committee is chaired by the Chief Counsel of the Research and Innovative Technology Administration
(RITA)of the U.S. Department of Transportation. The Committee includes representation from the Department of Transportation
(DOT)which includes air (Federal Aviation Administration), motor vehicles, e.g., cars, trucks and buses (National Highway Traffic Safety Administration), motor carriers (Federal Motor Carriers Safety Administration), rail (Federal Rail Administration), mass transit systems (Federal Transit Administration) and pipelines (Pipeline and Hazardous Materials Safety Administration); and the Department of State (DOS), U.S. Department of Agriculture (USDA), the United States Coast Guard (USCG), the National Aeronautics and Space Administration (NASA), the Occupational Safety and Health Administration (OSHA), the Environmental Protection Agency
(EPA)and the Federal Energy Regulatory Commission staff (FERC). The Ad Hoc Committee met on March 9, May 11, May 25, June 5, June 22, July 13 and July 20, 2006. The purpose of the Ad Hoc Committee is to identify existing regulatory and statutory authorities and the lead agency (or instances in which shared authorities exist) that will govern these hydrogen technologies and applications as they move from development into the marketplace, focusing specifically on issues of safety, economic utility, and environmental soundness. In so doing, the Ad Hoc committee recognizes the value in consistent and comprehensive communications about the regulatory framework for a hydrogen economy between government, industry, and academia. 2.0 Regulatory Matrix BILLING CODE 4810-HY-P EN05JA07.018 BILLING CODE 4810-HY-C 3.0 Statements of Agency/Department Regulations Applicable to a Hydrogen Economy 3.1 U. S. Department of Labor/Occupational Safety and Health Administration
(OSHA)The Occupational Safety Health Administration's (OSHA's) mission is to assure the safety and health of America's workers by setting and enforcing standards; providing training, outreach, and education; establishing partnerships; and encouraging continual improvement in workplace safety and health. OSHA receives its authority to fulfill this mission through the Occupational Safety and Health Act of 1970, 29 U.S.C. 651, et seq. OSHA standards are contained in 29 CFR part 1910 for General Industry, in part 1926 for Construction Industry, and in parts 1915, 1917, and 1918 for Maritime Industry. In the absence of specific OSHA standards, employers are obligated under Section 5(a)(1)—“the General Duty Clause” of the OSHA Act to protect employees from serious recognized hazards. Note: OSHA standards apply to private sector employers, and to agencies of the United States Government. OSHA standards do not apply to particular working conditions for which other federal agencies have issued worker safety or health regulations. States and their political subdivisions are required to comply with OSHA standards only in the 26 states and territories that administer OSHA-approved state plans. This **Federal Register** notice is limited to providing information on OSHA standards which may be applicable to, or might be considered useful sources for information pertaining to, hazards related to workplace use of hydrogen. The worksites involving hydrogen operations may contain additional occupational hazards which may be covered by other OSHA standards. The omission of such standards from this **Federal Register** notice in no way limits their applicability. The following standards, as noted above, may be applicable to, or might be considered useful sources for information pertaining to hazards related to workplace use of hydrogen: 29 CFR 1910.38, Emergency action plans, specifies the required content of an emergency action plan when an emergency action plan is required by another standard. 29 CFR 1910.101, Compressed gases (general requirements), contains requirements for compressed gases in containers including cylinders, portable tanks, rail tankcars, or motor vehicle cargo tanks. The inspection requirements of compressed gas cylinders are contained under 1910.101(a); the in-plant handling, storage, and utilization of all compressed gases in cylinders, portable tanks, rail tankcars, or motor vehicle cargo tanks under paragraph (b); and the safety relief device requirements for compressed gas containers in paragraph 1910.101(c). 29 CFR 1910.103, Hydrogen, contains requirements for hydrogen systems. Paragraph
(b)of this section applies to gaseous hydrogen systems on consumer premises where the hydrogen supply originates outside the consumer premises and is delivered by mobile equipment. It does not apply to gaseous hydrogen systems having a total hydrogen content of less than 400 cubic feet, nor to hydrogen manufacturing plants or other establishments operated by the hydrogen supplier or his agent for the purpose of storing hydrogen and refilling portable containers, trailers, mobile supply trucks, or tank cars. Paragraph
(c)under § 1910.103 applies to liquefied hydrogen systems on consumer premises. The standard excludes liquefied hydrogen portable containers of less than 150 liters (39.63 gallons) capacity and liquefied hydrogen manufacturing plants or other establishments operated by the hydrogen supplier or his agent for the sole purpose of storing liquefied hydrogen and refilling portable containers, trailers, mobile supply trucks, or tank cars. 29 CFR 1910.119, Process safety management of highly hazardous chemicals, covers processes containing a threshold quantity of a highly hazardous chemical. A process is defined as “* * * any activity involving a highly hazardous chemical including any use, storage, manufacturing, handling or on-site movement of such chemicals, or combination of these activities.” The standard applies to flammable liquids and gases at a threshold quantity of 10,000 pounds or more, specified quantities of chemicals listed in Appendix A of the standard, and to the manufacture of explosives. Because hydrogen would be covered as a flammable gas, the PSM standard would apply to processes containing hydrogen in quantities of 10,000 pounds or more, with some exceptions. 29 CFR 1910.120, Hazardous waste operations and emergency response, contains requirements for emergency response operations. When there is more than an incidental release of hydrogen, or a substantial threat of a release, then emergency response operations must comply with § 1910.120(q)., “Emergency response to hazardous substance releases.” 29 CFR 1910.132(a), Personal protective equipment, requires that protective equipment, including personal protective equipment for eyes, face, head, and extremities, protective clothing, respiratory devices, and protective shields and barriers, shall be provided, used, and maintained in a sanitary and reliable condition wherever necessary. 29 CFR 1910.156, Fire brigades, contains requirements for the organization, training, and personal protective equipment of fire brigades whenever they are established by an employer. The requirements under 1910.156 apply to fire brigades, industrial fire departments and private or contractual type fire departments. Personal protective equipment requirements contained in this section apply only to members of fire brigades performing interior structural fire fighting. 29 CFR 1910.307, Hazardous (Classified) locations, contains requirements for electrical installations in hazardous locations. Locations where flammable concentrations of hydrogen may exist under normal or abnormal conditions may be classified as Class I, Division 1 or 2 locations. Electric equipment in these locations must be:
(1)Approved as intrinsically safe for locations,
(2)approved for installation in locations classified due to the presence of hydrogen, or
(3)of a type and design which the employer demonstrates will provide protection from the hazards arising from the combustibility and flammability of hydrogen. 29 CFR 1910.1200, Hazard communication requires that hazards associated with hydrogen must be conveyed to employees. In addition, the standard requires that the information be transmitted through a comprehensive hazard communication program, including, but not limited to, container labeling, material safety data sheets, and employee training on the hazards associated with handling hydrogen. 3.2 U.S. DOT/ Federal Aviation Administration
(FAA)I. Statutory Authority Safety Regulation; General Requirements (49 U.S.C. 44701(a)(5)) The Federal Aviation Administration has the statutory authority to regulate hydrogen under its safety regulations. The Administrator is charged with promoting safe flight of civil aircraft in air commerce by prescribing regulations and minimum standards for practices and methods, and procedures the Administrator finds necessary for safety in air commerce and national security. II. Current Regulatory Framework FAA regulations directly impact the use of hydrogen in 14 CFR part 420, License to Operate a Launch Site. This part applies to any person seeking a license to operate a launch site or to a person licensed to operate a launch site for rockets. The FAA included these safety regulations to the keep public a safe distance from the storage and handling of liquid hydrogen, used as rocket fuel (14 CFR 420.67, 420.69 and Part 420 Appendix E). The FAA regulates the use of hydrogen in airships. For instance, 14 CFR 21.1(b) governs the airworthiness of airships. It points an applicant seeking an airworthiness certificate for an airship to various other aircraft certification provisions. The FAA also published an advisory circular, AC 21.17-1A, which advises that hydrogen is not an acceptable lifting gas for use in airships. The FAA also regulates hydrogen, if it is used in a manned free balloon. For example, airworthiness standards for manned free balloons appear in 14 CFR part 31, with mention of lighter than-air gas in 14 CFR 31.1(c)(1). There is nothing in the FAA regulations that would explicitly prohibit the use of new technologies utilizing hydrogen. However, many FAA regulations in parts 21, 23, 25, 27, 29, 31, 33, 34 and 36 provide aircraft and aircraft part certification requirements. To the extent an applicant were to seek approval of an aircraft that utilizes hydrogen, as a fuel or in some other way, the applicant would have to comply with the applicable aircraft certificate requirements, just like any other applicant. Likewise, an operator of an aircraft with new technologies using hydrogen would have to comply with operational requirements in parts 91, 119, 121, 125, or 135, just like any other operator. The FAA currently has not received funding to conduct research on the use of hydrogen as an alternative fuel for aircraft. 3.3 U.S. DOT/ Federal Railroad Administration
(FRA)FRA has broad statutory authority to regulate all areas of railroad safety. *See* 49 U.S.C. 20101 et seq. Pursuant to its statutory authority, FRA promulgates and enforces a comprehensive regulatory program that addresses the three major elements of the railroad system: the rolling equipment, the track and signal system over which the rolling equipment operates, and the rules for conducting such operations. *See e.g.* , 49 CFR parts 209-236. FRA is also responsible for enforcing the hazardous materials regulations
(HMR)promulgated by PHMSA (49 CFR parts 171-180). The HMR classify hydrogen, in its various forms, as a hazardous material, and specifically as a flammable gas. *See* 49 CFR 172.101 (column 3 of Hazardous Materials Table). Accordingly, the transportation of hydrogen would be subject to the packaging and hazard communication requirements of the HMR. Specific to the transportation of hydrogen by rail, Part 174 of the HMR contains general operating, handling, loading, and unloading requirements specific to the rail transportation of hazardous materials and detailed requirements for the handling and transportation of flammable gases such as hydrogen. *See* 49 CFR 174.200-174.204 for provisions specific to flammable gases. Although under the HMR, hydrogen may be transported as a compressed gas or a cryogenic liquid ( *see* 49 CFR 172.101, 173.302, .304, .314, .316, .318, and .319), as a practical matter, because of cost considerations and the limited number of specialized rail tank cars capable of safely transporting hydrogen in its gaseous form, most hydrogen transported by rail would have to be in a cryogenic liquid form. *See* 49 CFR 173.314(c) and 173.319 (authorizing DOT class 107 tank cars for transportation of hydrogen as a compressed gas and DOT class 113 tank cars for transportation of hydrogen as a cryogenic liquid). 3.4 U.S. DOT/National Highway Traffic Safety Administration (NHTSA) Motor Vehicle Safety: Research, Standards and Compliance; Defects, Recall, and Enforcement (49 U.S.C. 30101 *et seq.* , 49 CFR 501-596) NHTSA has the authority to regulate the safety of all motor vehicles (e.g., passenger vehicles, multipurpose passenger vehicles, trucks and buses), and to that end, conducts basic research, develops and issues motor vehicle safety standards and regulations, issues interpretations of and exemptions to the standards based on technical knowledge, enforces compliance with the standards, makes determinations regarding safety related defects in vehicles and equipment, and mandates safety recalls of non-compliant and defective vehicles and equipment. • NHTSA currently regulates fuel system integrity of vehicles, including gasoline, diesel, compressed natural gas
(CNG)and electric powered vehicles (Federal Motor Vehicle Safety Standards 301, 303, 304 and 305). The existing standards ensure safety either by simply regulating full vehicle crash performance or in the case of CNG vehicles, by also regulating the safety of components and on-board fuel storage systems. NHTSA enforces compliance with these standards and conducts safety defects investigations on fuel leaks and fires. • NHTSA has established an agencywide hydrogen project team to
(1)study existing technologies in coordination with other agencies of the U.S. government and industry, and
(2)devise a plan of action identifying the research and testing needed to establish a performance oriented safety standard that does not limit innovation or slow down the development of and marketing of hydrogen vehicles. Vehicles fueled by gasoline or diesel fuel are currently subject to performance requirements based on crash testing. It is important that occupants of hydrogen vehicles are provided with a level of safety comparable to that provided for occupants of vehicles fueled by gasoline or diesel fuel. Such a standard will, among other things, help build consumer confidence in the technology. For details about NHTSA's four year research plan, see *http://www-nrd.nhtsa.dot.gov/departments/nrd-11/H2-4yr-plan.pdf.* • The team is focusing on component performance testing for leak prevention and detection and safety effectiveness for powertrain, tanks, regulator valves, and connecting lines. In addition, the team is evaluating how to test the performance of these vehicles in a crash in order to limit fire exposure and prevent catastrophic events. • In the international arena, NHTSA leads the United States delegation to the United Nations Economic Commission for Europe (UN/ECE) World Forum for the Harmonization of Vehicle Regulations (WP.29). In that forum, NHTSA represents the U.S. on issues related to the safety of all types of vehicle fuel systems. NHTSA identifies best practices and seeks to harmonize its regulations with foreign regulations in order to improve safety and reduce costs. • In the area of hydrogen-powered vehicles, NHTSA has been representing the U.S. in a WP.29 Working Group on Hydrogen since 2002. The purpose of the group is to develop a global technical regulation for hydrogen-powered vehicles under the 1998 Global Agreement. NHTSA is promoting the development of a performance standard for hydrogen vehicles, which is science-based and data driven. • NHTSA, along with counterparts in Germany and Japan are currently leading this effort under WP.29. To facilitate and guide the process of developing such a GTR, NHTSA is working with the co-sponsors, Germany and Japan, to develop a work plan that can be accepted by all signatories to the 1998 Agreement for the Harmonization of Vehicle Regulations. • NHTSA expects consideration and adoption of the work plan at the March 2007 session. Work on development of the GTR should commence shortly thereafter. *Consumer Information* (49 U.S.C. 32301 *et seq.* ); and *Fuel Economy* (49 U.S.C. 32901 *et seq.* ; 49 CFR 523-538) • NHTSA generates and provides consumer information to the public regarding the crashworthiness and other safety characteristics of vehicles in order to assist consumers in making sound decisions regarding the purchase of safe vehicles. • NHTSA has the authority to regulate fuel economy of hydrogen-powered vehicles. Hydrogen is an alternative fuel for the purposes of the Corporate Average Fuel Economy
(CAFE)program. Vehicles that use hydrogen as their only source of fuel (dedicated vehicles) or can alternately use hydrogen and petroleum fuel (dual-fuel vehicles) qualify for special calculation of their fuel economy performance under regulations administered by NHTSA. These special calculation procedures provide manufacturers with powerful incentives to develop and produce these vehicles, which could contribute to our efforts to reduce our dependence on foreign energy supply. 3.5 U.S. DOT/Federal Motor Carriers Safety Administration (FMCSA) There are certain citations and regulatory authorities FMCSA believes are applicable in various uses of hydrogen. They are as follows: 49 U.S.C. 5121—General Authority.—To carry out this chapter, the Secretary of Transportation may investigate, make reports, issue subpoenas, conduct hearings, require the production of records and property, take depositions, and conduct research, development, demonstration, and training activities. After notice and an opportunity for a hearing, the Secretary may issue an order requiring compliance with this chapter or a regulation prescribed under this chapter. For example, hydrogen is a flammable gas that may be transported by a motor carrier and there are regulations that govern the safe transportation of hydrogen. Under this statutory authority, FMCSA has the ability to enforce the hazardous materials regulations and cite shippers and carriers of hazardous materials. 49 U.S.C. 31136 and 31502(b)—Minimum Safety Standards.—Subject to section 30103(a) of this title, the Secretary of Transportation shall prescribe regulations on commercial motor vehicle safety. The regulations shall prescribe minimum safety standards for commercial motor vehicles. At a minimum, the regulations shall ensure that—
(1)Commercial motor vehicles are maintained, equipped, loaded, and operated safely;
(2)The responsibilities imposed on operators of commercial motor vehicles do not impair their ability to operate the vehicles safely;
(3)The physical condition of operators of commercial motor vehicles is adequate to enable them to operate the vehicles safely; and
(4)The operation of commercial motor vehicles does not have a deleterious effect on the physical condition of the operators. 49 U.S.C. 31502(b).—Requirements for qualifications, hours of service, safety, and *equipment standards*
(b)Motor Carrier and Private Motor Carrier Requirements.—The Secretary of Transportation may prescribe requirements for—
(1)Qualifications and maximum hours of service of employees of, and *safety of operation and equipment* of, a motor carrier; and
(2)Qualifications and maximum hours of service of employees of, and *standards of equipment* of, a motor private carrier, when needed to promote safety of operation. For example, if a commercial motor vehicle will use hydrogen as a fuel source, the specific regulations regarding fuel systems of a commercial motor vehicle are found in 49 CFR subpart E. 3.6 U.S. DOT/Pipeline and Hazardous Materials Safety Administration (PHMSA) The Pipeline and Hazardous Materials Safety Administration (PHMSA) is the Federal agency charged with the safe and secure movement of hazardous materials to industry and consumers by all transportation modes, including the nation's pipelines. Pipeline Safety PHMSA is responsible for prescribing and enforcing regulations to promote the safety of interstate and intrastate pipelines transporting hazardous liquids, natural gas, and other flammable, corrosive and toxic gases. PHMSA regulates pipeline safety pursuant to the Federal Pipeline Safety Law, codified in 49 U.S.C. 60101, *et seq.* and implementing regulations, Pipeline Safety Regulations (PSR), 49 CFR parts 190-199. Part 192 of the PSR regulates the transportation of natural gas and other gases in pipelines, including hydrogen, which is transported as a compressed flammable gas. Section 192.3 defines the “transportation of gas” as the “gathering, transmission, or distribution of gas by pipeline or the storage of gas in, or affecting interstate or foreign commerce.” States may enforce safety standards on intrastate pipelines if the State has been certified by PHMSA under 49 U.S.C. 60105. Hazardous Materials Safety PHMSA also prescribes the Hazardous Materials Regulations (HMR), 49 CFR parts 171-180, implementing the Federal Hazardous Materials Transportation Law, 49 U.S.C. 5101 *et seq.* , to promote the safe transportation of hazardous materials in commerce. PHMSA shares authority for enforcement of the HMR with the Federal Aviation Administration, the Federal Motor Carrier Safety Administration, the Federal Railroad Administration, and the U.S. Coast Guard. In addition to packaging and hazard communication requirements, the HMR prescribe requirements for training employees, registration and security plans. Hydrogen, a hazardous material, is classified as a flammable gas in the Hazardous Materials Table (49 CFR 172.101) and is subject to all applicable requirements in the HMR, including packaging and hazard communication requirements. Hydrogen may be transported as a compressed gas in cylinders or as a cryogenic liquid in portable tanks, cargo tank motor vehicles, or rail tank cars. 3.7 Environmental Protection Agency
(EPA)Solid Waste 1. Fuel cell production and hydrogen fuel production may use toxic or hazardous process inputs and process catalysts, and may produce solid waste streams that require management under RCRA. 2. End-of-life disposal of fuel cells and fuel cell-powered vehicles will require effective management of hazardous materials, and may produce significant quantities of these materials. Hazardous materials found in existing fuel cells include corrosive electrolytes, flouride-containing plastics, and heavy metal catalysts. 3. Hydrogen fuel production, distribution, and storage operations required to support the hydrogen economy (stationary and portable fuel cell applications) may present risks associated with accidental releases or spills of hazardous and explosive materials. Authority Rule Category Regulation 42 U.S.C. 6921 40 CFR Part 261 Waste Identification and Listing of Hazardous Waste. 42 U.S.C. 6922 40 CFR Part 262 Waste Standards Applicable to Generators of Hazardous Waste. 42 U.S.C. 6924 40 CFR Part 264 Waste Standards For Owners and Operators of Treatment, Storage and Disposal Facilities. CERCLA/EPCRA—Reportable Quantities
(RQs)1. By definition, any hazardous waste having the characteristics identified under or listed pursuant to section 3001 of the Solid Waste Disposal Act (42 USCA § 6921) is a CERCLA “hazardous substance.” (see CERCLA § 101(14)(C)) 2. Reportable Quantity
(RQ)is that quantity of a hazardous substance, the release of which requires notification to the National Response Center. Reportable Quantities are established by regulation and the levels are based on an evaluation of the intrinsic physical, chemical, and toxicological properties of each substance. Upon proposal to list under RCRA (above), the RQ will be proposed for CERCLA and EPCRA notification requirements. 3. CERCLA adopts the same definition for the purposes of the notification requirements as its “source” statute (in this case section 3001 of SWDA). EPCRA uses the CERCLA hazardous substance list for its emergency reporting. Authority Rule Category Regulation 42 U.S.C. 9602, 9603 and 9604; 33 U.S.C. 1321 and 1361 CERCLA—40 CFR Part 302 Waste/Hazardous Substance Identification and Listing of Hazardous Waste. 42 U.S.C. 9604, 9605; 33 U.S.C. 1321 and 1361 CERCLA—40 CFR Part 300 Waste/Hazardous Substance National Oil and Hazardous Substances Pollution Contingency Plan (NCP). 42 U.S.C. 11002, 11004, and 11048 EPCRA—40 CFR Part 355 Waste/Hazardous Substance Emergency Planning and Notification. Mobile Sources The role of EPA with regard to vehicle regulations is multiple. The EPA establishes emission standards for vehicles, regulates fuels and fuel additives, specifies the procedures for testing and certification, conducts basic research, provides guidance to the state programs, and performs compliance enforcement. The table below lists regulations that are, or may be, applicable to a hydrogen economy. Both exhaust and evaporative emissions that result from the conversion or combustion of hydrogen-based fuels (e.g. fuel cells, H <sup>2</sup> internal combustion engine) are areas that would require management under the CAA. Authority Rule Category Regulation 42 U.S.C. 7521-7554 and 7601 40 CFR Parts 85 and 86 Passenger vehicles and light-duty trucks and heavy-duty highway engines (trucks and buses) Control of Air Pollution from New and In-Use Motor Vehicles and Engines. 42 U.S.C. 7521-7554 and 7601 40 CFR Parts 85, 89-92, 94, 1048, 1051, 1065, 1068 Nonroad engines and vehicles, including locomotives and marine engines Control of Emissions from New and In-Use Nonroad Engines. 42 U.S.C. 7571-7574 and 7601 40 CFR Part 87 Aircraft engines Control of Air Pollution From Aircraft and Aircraft Engines; Emission Standards and Test Procedures. 42 U.S.C. 7581-7590 and 7601 40 CFR Part 88 Clean Fuel Vehicles Emission Standards for Clean-Fuel Vehicles. 42 U.S.C. 7545 and 7601 40 CFR Part 80 Fuels Used in Mobile Sources Regulations of Fuels and Fuel Additives. 15 U.S.C. 2001-2006, and 2013 40 CFR Part 600 Fuel Economy Fuel Economy Regulations. Note: EPA performed fuel economy tests on hydrogen fuel cell vehicles in November 2002 and again in September 2003. The results of EPA's preliminary efforts have been documented. 1 Currently, the EPA is also participating with the Society of Automotive Engineers on developing SAE J2572: Recommended Practice for Measuring the Fuel Consumption and Range of Fuel Cell Powered Electric Vehicles Using Compressed Gaseous Hydrogen. It would be the intent of SAE J2572 to provide standardized tests that allow for determination of fuel consumption and range based on the Federal Emission Test Procedure. The SAE practice would be expected to cover fuel cell powered vehicles which use compressed hydrogen gas onboard. 1 C. Paulina, Hydrogen fuel cell vehicle fuel economy testing at the U.S. EPA National Vehicle and Fuel Emissions Laboratory, Society of Automotive Engineers, Powertrain & Fluid Systems Conference and Exhibition, 01-2900, 2004; and E.W. Lemmon, M.L. Huber, D.G. Friend, and C. Paulina, Standardized Equation for Hydrogen Gas Densities for Fuel Consumption Applications, National Institute of Standards and Technology, 01-0434, 2006. Stationary Sources The number of stationary power applications using hydrogen as a fuel is expected to grow in the future. For example, potential hydrogen fuel cell applications include both distributed and baseload power generation, utility and residential power sources, auxiliary or emergency power generation, and off-grid power supplies. Such facilities, as well as facilities that produce hydrogen (e.g. regeneration of natural gas or coal to hydrogen) may be covered by EPA rules under the Clean Air Act. The following are a list of certain regulations that may be applicable to hydrogen-related applications. Other regulations may also apply. Authority Rule Category Regulation 42 U.S.C. 7412 40 CFR part 63 Boilers and Heater Emission Standards (Boiler MACT) National Emission Standards for Hazardous Air Pollutants for Industrial, Commercial, and Institutional Boilers and Process Heaters. Combustion Turbines (Turbine MACT) National Emission Standards for Hazardous Air Pollutants for Stationary Combustion Turbines. Internal Combustion Engines (Engine MACT) National Emission Standards for Hazardous Air Pollutants for Stationary Reciprocating Internal Combustion Engines. 42 U.S.C. 7411 40 CFR part 60 Steam Generating Units (Boiler NSPS) Standards of Performance for Steam Generating Units. Combustion Turbines (Turbine NSPS) Standards of Performance for Stationary Combustion Turbines. Internal Combustion Engines (Engine NSPS) Standards of Performance for Stationary Spark-Ignited and Compression Ignition Internal Combustion Engines. 42 U.S.C. 7470—7479 40 CFR 52.21 40 CFR 51.166 New Source Review: Major Stationary Sources in Attainment Area Prevention of significant deterioration of air quality—Covers the construction of new major stationary sources or any project to an existing source. 40 CFR 51.165 New Source Review: Major Stationary Sources in Nonattainment Area Permit Requirements. 40 CFR part 51 subpart I New Source Review: Minor Stationary Sources Review of New Sources and Modifications. 3.8 Federal Energy Regulatory Commission
(FERC)Electricity Jurisdiction The rates, terms, and conditions applicable to the transmission of electric energy in interstate commerce and the sale of electric energy at wholesale (i.e., for resale) in interstate commerce by public utilities are subject to FERC's authority pursuant to Parts II and III of the Federal Power Act (FPA), 16 U.S.C. 824 et seq. Part II of the FPA is neutral as to the type of fuel used to generate electricity. Natural Gas Jurisdiction Under Congressional authorization in the Natural Gas Act of 1938, FERC regulates the transportation and storage of natural gas in interstate commerce and the construction and operation of pipeline facilities that a natural gas company uses to transport natural gas in interstate commerce (15 U.S.C. 717, et seq.; 18 CFR 157.1-157.22 and 18 CFR 157.201-157.218). FERC does not have jurisdiction over the transportation of hydrogen in interstate commerce or over the construction of facilities related to hydrogen transportation (i.e., pipeline, compression, import/export). 3.9 State and Local Utility Regulations States are developing programs to promote the hydrogen economy, e.g., Florida's One-Stop Uniform Hydrogen Siting Program and California's 2010 Hydrogen Highway Network for fueling stations and the use of hydrogen as a transportation fuel. Under California's Highway Network, an energy station would be classified as distributed generation if the energy station's electrical power is not consumed solely on site and is interconnected to the grid. 3.9 U.S. Coast Guard
(USCG)Summary of U.S. Coast Guard Jurisdiction on Hydrogen
(H2)Issues The Coast Guard (CG), based on current practice and regulatory authority, would have two roles relating to transportation of H2. One concerns the licensing and operation of hypothetical H2 deepwater ports, and the second concerns safety standard setting and enforcement authority for vessels that might carry H2 as bulk cargo, such as hypothetical H2 tank vessels. The first role would arise only if there develops a need to ship hydrogen to the U.S. in vessels that would offload the cargo at deepwater ports, as is currently being done with liquefied natural gas. Assuming Congress amends the Deepwater Ports Act to encompass H2, the CG's Deepwater Ports Standards Division would likely be responsible for developing and maintaining regulations and standards for H2 deepwater ports and for assisting the Maritime Administration in processing H2 deepwater port license applications. The CG's regulations for deepwater ports in 33 Code of Federal Regulations Subchapter NN are based on delegated authority, and contain design, construction, equipment, and operational requirements for deepwater ports. The CG also manages the development of Environmental Impact Statements for deepwater port license approval. The CG coordinates interagency review of and public comment on license applications, and develops guidance for oversight of post-licensing activities associated with the development of deepwater ports, including the design, construction, and activation phases, environmental monitoring programs, operational procedures, risk assessments, security plans, safety and inspections. In its second role, the Coast Guard has regulatory authority to ensure safe design and operation of vessels that could carry hydrogen. This authority derives from 46 U.S.C. 3703 and 33 U.S.C. 1903(b). The CG has determined that hydrogen is hazardous when transported in bulk by vessel, either in gaseous or liquid form. The relevant regulations are in 46 CFR Subchapter O, Certain Dangerous Bulk Cargoes, and specify cargo compatibility and aspects of vessel design, construction, materials, and operations. Which particular standards would apply depend on the form in which the hydrogen is transported (compressed gas or liquefied), and what kind of vessel is being employed. To enhance transportation safety, hydrogen is most likely to be transported as a metallic hydride, adsorbed onto metal particles. Assuming the metal particles would be a hazardous bulk solid, they would be regulated under CG regulations in 46 CFR Part 148, Carriage of Solid Hazardous Materials in Bulk. Although these regulations have some special provisions for transporting certain gases, there are currently no requirements specifically for hydrogen. Should the need for marine transportation of hydrogen materialize, these regulations would need to be modified to include special hydrogen requirements, due to hydrogen's metal embrittlement properties. Absent such modifications, 46 CFR 150.140 would prohibit the bulk transportation by vessel of hydrogen, without special permission from the CG Commandant. The shipment of unlisted hazardous bulk solids (metallic hydride) would also require express permission of the Commandant. 4.0 Statement of Consensus Regulatory Statements in Specific Areas 4.1 Hydrogen Transportation and Port Regulatory Framework Agency Jurisdictional Consensus Statement for Hydrogen Transportation* A transition from America's current hydrocarbon-based energy economy to a hydrogen economy will require a suitable water and land-based transportation infrastructure. In the future, cryogenic hydrogen-carrying vessels powered by fuel cells may be able to unload their shipments of liquid hydrogen at ports located in Federal (so-called “deepwater ports”) and state waters or at land-based terminals. Currently, pipelines (interstate and intrastate) transport hydrogen gas to specialized industrial markets. Hydrogen is also currently transported to industrial customers in cylinders, portable tanks, cargo tank motor vehicles, or rail tank cars. For the hydrogen economy to develop, hydrogen must either be shipped to market-area fuel cells to generate electricity for near-by users or be used to power supply-area fuel cells to generate electricity for market areas. A hydrogen economy will require reliable and safe interconnections between distributed generators using hydrogen fuel cells and electric utilities, as well as between electric utilities, to allow for the delivery of hydrogen-generated electricity for retail consumption. The statement includes regulatory analyses by the members of the Hydrogen Port Subcommittee and is not a statement of policy of the participating federal agencies. This consensus statement identifies the respective current authorities, if any, of the Pipeline and Hazardous Materials Safety Administration (PHMSA) and the Maritime Administration (MARAD) of the U.S. Department of Transportation (DOT), the Federal Energy Regulatory Commission (FERC), and the U.S. Coast Guard, Department of Homeland Security
(CG)with respect to the transportation of hydrogen. The statement also includes the authority of the Minerals Management Service
(MMS)of the U.S. Department of the Interior on the issue of storage and withdrawal of sequestered carbon dioxide. Certain jurisdictional responsibilities of the various agencies as to hydrogen are clearly set forth in statutes and regulations. The consensus statement concludes:
(1)Currently no Federal agency has the statutory authority to approve the construction or siting of interstate hydrogen pipelines or hydrogen deepwater ports;
(2)PHMSA and CG currently have regulations in place regulating the transportation of hydrogen as a hazardous material; and
(3)MARAD has the authority to provide loan guarantees for hydrogen-carrying vessels. The statement recognizes that the Surface Transportation Board (STB), the Federal economic regulator of railroads, also regulates economic aspects of interstate hydrogen pipelines. The STB provides limited regulation of the transportation rates and common carrier terms of service of such pipelines. Under the STB's hydrogen pipeline authority, hydrogen pipeline rates must be just and reasonable, but the STB may not on its own initiative investigate and alter rates charged by a hydrogen pipeline and has no authority over hydrogen pipeline construction. A functioning hydrogen economy will be subject to the regulatory oversight of certain Federal (as well as state and local) agencies, but not others. • PHMSA. PHMSA's current pipeline safety regulations apply to the safe transportation of hydrogen gas in interstate and intrastate pipelines, including pipeline transportation facilities within the limits of the Outer Continental Shelf
(OCS)(generally from 3 to 200 miles off-shore). Numerous provisions of PHMSA's Hazardous Materials Regulations apply to the transportation of hydrogen by non-pipeline modes. • MMS. To the extent that carbon dioxide
(CO2)sequestered from hydrogen production is injected into and withdrawn from storage in the OCS, MMS would be required to grant pipeline rights-of-way through and a lease of submerged portions of the OCS. • FERC. FERC currently has jurisdiction over the transportation of natural gas (methane) in interstate commerce and over the facilities (on and off-shore) used for such transportation. FERC also has exclusive authority to approve the siting, construction, or operation of natural gas import facilities, including LNG terminals on-shore and in state waters. FERC has no jurisdiction regarding the construction of facilities for, or the storage or transportation of, gaseous or liquefied hydrogen, or the importation of hydrogen. • MARAD. MARAD is responsible for issuing licenses for deepwater ports in Federal waters for natural gas, LNG, and oil, but has no current authority over prospective hydrogen deepwater ports. MARAD's current authority to make loan guarantees for vessels would apply to the construction of hydrogen-carrying vessels. • CG. The CG has primary safety and security authority over port areas and navigable waterways and is responsible for matters relating to navigation safety, vessel engineering, and safety standards for vessels carrying hazardous materials, including hydrogen. The CG processes applications for deepwater ports for natural gas and oil, but has no current authority over prospective hydrogen deepwater port applications. I. PHMSA A. Pipeline Safety PHMSA is responsible for prescribing and enforcing regulations to promote public and environmental safety for over 2 million miles of pipelines for hazardous liquids, natural gas, and other flammable, corrosive and toxic gases, including hydrogen. PHMSA regulates pipeline safety pursuant to the Federal Pipeline Safety Laws, codified in 49 U.S.C. 60101, et seq., and implementing regulations, 49 CFR parts 190-199. Currently, the pipeline safety regulations apply to the transportation of hydrogen gas by pipeline, but would not apply to the transportation of liquefied hydrogen by pipeline. Specifically, PHMSA regulations at 49 CFR part 192 prescribe the minimum safety requirements for pipeline facilities and the transportation of gas, including natural gas, flammable gas, or gas that is toxic or corrosive. Because hydrogen is flammable, current pipeline safety regulations apply to the transportation of hydrogen gas by pipeline. Section 192.3 defines the “transportation of gas” as the “gathering, transmission, or distribution of gas by pipeline or the storage of gas in or affecting interstate or foreign commerce.” PHMSA's pipeline safety authority extends to pipeline facilities and the transportation of gas on-shore and offshore within the limits of the OCS. PHMSA's regulations apply to transmission lines serving deepwater ports. The pipeline safety regulations in 49 CFR part 195 prescribe safety standards for pipeline facilities used in the transportation of hazardous liquids (petroleum, petroleum products, or anhydrous ammonia) or carbon dioxide. Hydrogen is not included in the definition of hazardous liquid and, therefore, liquefied hydrogen is not subject to Part 195. The Secretary of Transportation is authorized, pursuant to 49 U.S.C. 60101(a)(4)(B), to designate as hazardous a substance that “may pose an unreasonable risk to life or property when transported by a hazardous liquid pipeline facility in a liquid state (except for liquefied natural gas).” Pursuant to 49 CFR 1.53, the Secretary has delegated that authority to the Administrator of PHMSA. PHMSA has not revised the pipeline safety regulations to designate hydrogen as a hazardous liquid. If so designated, liquefied hydrogen would be subject to PHMSA's pipeline safety regulations. B. Hazardous Materials Safety PHMSA is responsible for issuing the regulations to implement the Federal Hazardous Materials Transportation Law, 49 U.S.C. 5101 et seq., to promote the safe transportation of hazardous materials in commerce. PHMSA's Hazardous Materials Regulations
(HMR)are found at 49 CFR parts 171-180. PHMSA shares authority for enforcement of the HMR with the Federal Aviation Administration, the Federal Motor Carrier Safety Administration, the Federal Railroad Administration, and the U.S. Coast Guard. In addition to packaging and hazard communication requirements, the HMR prescribe requirements for training employees, registration and security plans. Hydrogen, a hazardous material, is classified as a flammable gas in the Hazardous Materials Table (49 CFR 172.101) and is subject to all applicable requirements in the HMR, including packaging and hazard communication requirements. Hydrogen may be transported as a compressed gas in cylinders or as a cryogenic liquid in portable tanks, cargo tank motor vehicles, or rail tank cars. The HMR include design, manufacturing, and maintenance standards for packaging used for the transportation of hydrogen. C. International Effect By its terms, the Federal Hazardous Materials Transportation Law applies to the transportation of hazardous materials in intrastate, interstate, and foreign commerce. 49 U.S.C. 5101. As a matter of longstanding practice, however, PHMSA asserts jurisdiction over a hazardous materials shipment only when those materials are affecting transportation in the United States. Shippers and carriers of hazardous materials coming into or leaving the United States must comply with U.S. law while that product is being shipped within the United States. Shipments of hazardous materials into or within other countries must comply with the laws of those countries. PHMSA is actively involved in international efforts to establish uniform and effective safety standards for hazardous materials transportation. PHMSA participates in United Nations committees and other international working groups and has taken steps to harmonize its regulations with UN Recommendations, the International Maritime Organization's International Maritime Dangerous Goods Code (IMDG), and the International Civil Aviation Organization's Technical Instructions for the Safe Transport of Dangerous Goods by Air (ICAO). Under certain conditions, PHMSA's regulations allow the use of the IMDG Code and ICAO Technical instructions for transportation into, within, or out of the U.S. D. Carbon Dioxide Sequestration Carbon dioxide results from producing hydrogen from natural gas or LNG. The hydrogen economy would require capturing, separation, and storage or reuse of carbon dioxide. One plan is to transport captured carbon dioxide by pipeline for injection and storage in subsea strata. Carbon dioxide is not a “gas” within pipeline safety regulations, but when transported as a liquid, compressed carbon dioxide is subject to Part 195 of the pipeline safety regulations. Carbon dioxide is classified as a non-flammable gas (non-flammable gas includes both liquefied and non-liquefied compressed gases) under the HMR, 49 CFR 172.101. Carbon dioxide may be transported as liquefied or non-liquefied compressed gas in cylinders, portable tanks, cargo tanks, or rail tank cars, in accordance with 49 CFR parts 171-180. Other Federal agencies may have a future role to play with respect to carbon dioxide sequestration. MMS oversees facility permitting, grants pipeline rights-of-way through submerged portions of the OCS, and performs facility inspections, including safety related items as the CG authorizes. A producer of hydrogen seeking to store carbon dioxide in the ocean floor on the OCS within the Federal domain must obtain permission from the MMS. In addition, existing laws, regulations, and treaties that apply to minerals mining and oil and gas production potentially apply to the injection of carbon dioxide into the geological sub-seabed of the ocean. II. FERC The FERC regulates under the Natural Gas Act of 1938 (15 U.S.C. 717, *et seq.* ):
(1)The rates, terms, and conditions applicable to the transportation of natural gas by natural gas companies in interstate commerce within the United States (Sections 4 and 5 and Part 154 regulations);
(2)the construction (with the right of eminent domain), operation, acquisition, and abandonment of natural gas pipeline facilities operating in interstate commerce (Section 7 and Part 157 regulations); and
(3)the place of entry or exit, siting, and the construction and operation of LNG terminal facilities, onshore or in State waters, operating in foreign commerce (Section 3 and Part 153 regulations). The FERC has no authority to regulate the transportation, or facilities associated with the transportation, of hydrogen in interstate commerce or the importation of hydrogen. FERC regulates the transmission of electric energy in interstate commerce and the sale of electric energy at wholesale in interstate commerce by public utilities, pursuant to Parts II and III of the Federal Power Act (16 U.S.C. 824, *et seq.* ). The statute does not differentiate between electric energy produced from one source as opposed to another. III. MARAD By its authority delegated from the Secretary of Transportation, MARAD is the lead Federal agency for the licensing of deepwater ports. The Deepwater Port Act of 1974, as amended by the Maritime Security Act of 2002, 33 U.S.C. 1501, *et seq.* (DWPA), and related regulations at 33 CFR parts 148, 149, and 150, establish a licensing system for the ownership, construction, and operation of deepwater port structures located seaward of State territorial waters. Deepwater ports are fixed or floating manmade facilities which are used as ports or terminals to offload and transfer oil and natural gas from ships and may also include storage facilities for oil or natural gas, and vaporization facilities for LNG. MARAD is responsible for determining the financial responsibility of potential licensees, rendering citizenship determinations for ownership, and securing operational and decommissioning guarantees for deepwater port projects. Additionally, MARAD is responsible for issuing records of decision to grant or deny approval of project applications and issuing licenses to construct, operate, and decommission deepwater ports. The DWPA defines “natural gas” in section 3(13) as “either natural gas unmixed, or any mixture of natural or artificial gas, including compressed or liquefied natural gas.” Therefore, MARAD has no current jurisdiction over prospective hydrogen gas importation through deepwater ports. However, the operation of a hydrogen deepwater port would be similar to a natural gas deepwater port. Because liquefied hydrogen shares similar properties to LNG ( *i.e.* , it can be liquefied, transported, and re-vaporized), an amendment to the DWPA would allow for the importation of liquefied hydrogen via deepwater ports. MARAD also has loan guarantee authority to finance hydrogen-carrying ships constructed in the United States. See the Merchant Marine Act of 1936, as amended, 46 App. U.S.C. 1271, *et seq.* , and related regulations at 46 CFR part 298. IV. CG A. Deepwater Ports The CG's Deepwater Ports Standards Division, within the Office of Operating and Environmental Standards, is responsible for developing and maintaining regulations and standards for deepwater ports and for processing deepwater port license applications for oil and natural gas (not hydrogen). The CG's main functions as stated in delegated authority are: • Develop and update the regulations for deepwater ports, 33 Code of Federal Regulations Subchapter NN. These regulations contain general requirements, design, construction and equipment requirements, and operational requirements. • Develop Interagency Memorandums of Understanding, Memorandums of Agreement, and Cooperating Agreements among Federal and State Agencies for licensing. • Manage the development of Environmental Impact Statements for compliance with the National Environmental Policy Act of 1969
(NEPA)for license approval. • Coordinate interagency review of and public comment to license applications within the statutory timeframe of 330 days from the time a complete application is received. • Develop guidance for oversight of post-licensing activities associated with the development of deepwater ports including the design, construction, and activation phases, environmental monitoring programs, operational procedures, risk assessments, security plans, safety and inspections. B. Vessel Standards The Coast Guard regulates vessel construction and operating standards, including standards for vessels that could carry hydrogen. This authority derives from 46 U.S.C. 3703 and 33 U.S.C. 1903(b). The standards that would apply depend on the form in which the hydrogen is transported, and what kind of vessel is being employed. a. Carriage as a Compressed or Liquefied Gas PHMSA lists compressed and liquefied hydrogen in the hazardous materials table at 49 CFR 172.101. This causes it to be subject to CG regulation under the Hazardous Materials Transportation Act, 49 U.S.C. 5100, et seq., if carried in packaged or containerized form. The CG has made the determination that hydrogen is hazardous when transported in bulk by vessel, either in gaseous or liquid form. This determination was made in 46 CFR 153.40(f)(1), pursuant to delegated authority from the Secretary of Transportation. The Secretary's authority derives from 49 U.S.C. 5103 and was originally delegated in 49 CFR 1.46(t). The CG function was preserved after the CG was transferred into the Department of Homeland Security, by operation of §§ 888(b and c) and 1512(d) of the Homeland Security Act of 2002, Public Law 107-296. If carried as a bulk liquid, hydrogen would be regulated under 46 U.S.C. Chapter 37. Bulk gas tank vessel cargoes (such as hydrogen) are regulated under CG regulations at 46 CFR part 153, Ships Carrying Bulk Liquid, Liquefied Gas, or Compressed Gas Hazardous Materials. This Part consists mainly of design and operational standards including general vessel requirements, cargo containment systems, cargo tanks, piping systems and cargo handling equipment, cargo venting, pumprooms, gauging, temperature control systems, and certain special requirements. If hydrogen were transported as a liquefied gas, it would also be regulated under 46 CFR part 154, Safety Standards for Self-Propelled Vessels Carrying Bulk Liquefied Gases. This Part regulates design and construction of hull structure, cargo tank location and survival capability, ship arrangements, cargo containment systems, special requirements for different types of tanks, piping, hoses, materials, construction, pressure and temperature control, venting and ventilation, atmospheric control, electrical, instrumentation, firefighting equipment, and special operational requirements. If hydrogen were to be shipped in a tank barge, it would be regulated under 46 CFR parts 38, Liquefied Flammable Gases, and under part 151, Barges Carrying Bulk Liquid Hazardous Material Cargoes, which include compressed gases. Although all these regulations have some special provisions for transporting certain gases, there are no requirements specifically for hydrogen. Should the need for marine transportation of hydrogen materialize, these regulations would need to be modified to include special hydrogen requirements, due to hydrogen's metal embrittlement properties. Absent such modifications, 46 CFR 150.140 would prohibit the bulk transportation by vessel of hydrogen, without special permission from the CG Commandant. b. Carriage as Metallic Hydride An unpublished USCG study concluded that hydrogen is most likely to be transported as a metallic hydride, adsorbed onto metal particles that could then be transported more safely. The hydrogen would be stripped off at the destination and the metal shipped back for reuse. The metal particles would then presumably be treated like any other hazardous bulk solid, which would be regulated under 46 CFR part 148, Carriage of Solid Hazardous Materials in Bulk. These regulations contain manifesting, reporting, loading, transporting, and stowage requirements. There is a list of certain hazardous bulk cargoes that can be transported pursuant to the regulations, including ferrous metal borings, shavings, turnings, and cuttings. The shipment of unlisted hazardous bulk solids (metallic hydride) would require express permission of the CG Commandant after filing a special petition for a special permit. C. Additional Resources Hotlinks to Laws & Regulations Applicable to the Deepwater Ports Standards Division Maritime Transportation Security Act of 2002 National Environmental Policy Act of 1969. Deepwater Port Act of 1974: Title 14 (US Code) Coast Guard Code of Federal Regulations. Title 33 (US Code) Navigation and Navigable Waters CFR 33 Ch I (Parts 1-199). Title 46 (US Code) Shipping CFR 46 Ch I (Parts 1-199). Title 49 (US Code) Transportation CFR 49 Vol 1&2 (Parts 1-185); 190-195. 4.2 Hydrogen Vehicle Regulatory Framework Federal Regulations Governing Introduction of Hydrogen Motor Vehicles Into Commerce Manufacturers of hydrogen fueled motor vehicles will have to meet certain federal requirements prior to introducing their vehicles into commerce in the United States. This statement identifies requirements applicable to manufacturers under the Clean Air Act, the National Traffic and Motor Vehicle Safety Act (Vehicle Safety Act), and Motor Vehicle Information and Cost Savings Act (Cost Savings Act), and the regulations promulgated pursuant to those statutes. This statement highlights the more major provisions for manufacturers, but manufacturers and others should consult the specific statutes, regulations and standards to determine the full and precise substantive and procedural requirements. Manufacturers of hydrogen fueled vehicles may also be subject to other federal, state or local regulations. Under the Clean Air Act, motor vehicles or engines must generally be certified by EPA as conforming to applicable regulations before the vehicle or engine can be sold or otherwise introduced into commerce in the United States. Under the Vehicle Safety Act, motor vehicles and motor vehicle equipment must be certified by the manufacturer as meeting all applicable Federal motor vehicle safety standards. Under the Cost Savings Act, manufacturers must meet specified corporate average fuel economy
(CAFE)standards for passenger cars and light trucks, and bumper standards for passenger cars. I. Requirements Under the Clean Air Act Section 203(a) of the Clean Air Act (42 U.S.C. 7522(a)) prohibits manufacturers from introducing into commerce (including sale, importation, etc.) any new motor vehicle or new motor vehicle engine subject to emissions standards under the Act unless that vehicle or engine is covered by a certificate of conformity issued by EPA. EPA has promulgated standards applicable to all motor vehicles and motor vehicle engines under section 202 of the Act (42 U.S.C. 7521), so this means that, unless a motor vehicle or engine is covered by an exemption, discussed below, a manufacturer may not introduce a motor vehicle into commerce in the United States without an EPA certificate. 2 2 The Clean Air Act defines motor vehicles as “any self-propelled vehicle designed for transporting persons or property on a street or highway” (42 U.S.C. 7550(2)). This definition is further clarified in 40 CFR 85.1703. Although motor vehicles generally do not include vehicles designed for use off roads, like tractors or construction equipment, such “nonroad vehicles” and “nonroad engines” powered by internal combustion engines would be covered by similar restrictions under the Act ((see 42 U.S.C. 7550(10) and
(11)and 42 U.S.C. 7547). Standards and other requirements applicable to various types of nonroad engines (e.g., diesel nonroad engines, locomotives, marine engines), including requirements to certify nonroad engines and vehicles prior to introduction into commerce, can be found in 40 CFR Parts 89-92, 94, 1039, 1048 and 1051. The regulatory provisions applicable to motor vehicles and engines are found in 40 CFR parts 85 and 86. These regulations detail the specific standards and other requirements that must be met and provide the mechanism that manufacturers must use to receive certifications of conformity for their vehicles and engines. In general, manufacturers must test vehicles or engines that represent the highest emitters (the “worst-case” vehicle or engine) within a group of similar type vehicles or engines (called the “test group” or the “engine family”). The manufacture must show that the vehicles or engines in the group or family meet all requirements. The manufacture must also provide information indicating that the vehicles or engines will meet such requirements for the full useful life of the vehicle or engine. The useful life is usually 8-10 years or a certain number of miles, depending on the type of vehicle. If EPA finds that the manufacturer has met the requirements of the regulations, EPA will grant a certificate of conformity for all vehicles in the test group or engines in the engine family. The manufacturer then must label the vehicles or engines to identify them as meeting EPA requirements for the model year of the vehicle or engine. The vehicle or engine can then be introduced into commerce. Manufacturers must receive separate certificates of conformity for all test groups and engine families and must receive new certificates every year. Manufacturers who introduce only small volumes of vehicles into commerce in the United States are often subject to special provisions that allow some flexibility in meeting the requirements in part 86. See, e.g., 40 CFR 86.1838-01 (Small Volume Manufacturer Certification Procedures). There are certain exemptions from the requirement to certify motor vehicles and engines. These exemptions are specified under 40 CFR part 85, subpart R. Of particular importance for the purposes of hydrogen powered vehicles, there are exemptions for test programs, pre-certification vehicles, and display vehicles. The standards applicable to motor vehicles are generally fuel neutral, but standards applicable to engines (in particular, engines used in heavy-duty vehicles like 18-wheelers) are often broken into provisions for diesel engines and spark-ignited engines. It is unclear how hydrogen-powered vehicles would be categorized. The provisions applicable to motor vehicles in general will likely be directly applicable to hydrogen-powered motor vehicles. The testing provisions are designed so that vehicles are tested, generally on vehicle dynamometers. The testing provisions simulate normal driving and pollutants are measured by unit of distance (e.g. grams per mile). One concern for hydrogen-powered vehicles is that for engine-certified vehicles, the testing is done using engine dynamometers and pollutants are measured by unit of power consumption (e.g. grams per brake horse-power hour). These tests have generally been designed for standard internal combustion engines, so engines powered by fuel cells or hybrid-fuel cells might need to use special testing provisions (see, e,g, 40 CFR 86.090-27), which may involve substantial complexity and questions regarding proper representation of actual driving conditions. In addition, even for vehicles certified on vehicle dynamometers, there are likely to be complexities concerning the testing of hybrid engines and fuel cells, and the use of a non-carbon-based fuel for measurement of fuel consumption. Therefore, especially as hydrogen-powered (particularly fuel-cell powered and hybrid) vehicles are first introduced into the market, and particularly for heavy-duty engines, it is recommended that manufacturers come to EPA well before the traditional period for certification to discuss any complications that might result from a manufacturer's intention to request certification of a hydrogen-powered motor vehicle or engine. II. Requirements Under the Vehicle Safety Act (Codified at 49 U.S.C. Chapter 301) Federal Motor Vehicle Safety Standards Title 49, United States Code (U.S.C.), section 30101, et seq. (the Act) authorizes NHTSA to issue safety standards for new motor vehicles and new items of motor vehicle equipment. All motor vehicles and items of motor vehicle equipment manufactured or imported for sale in the United States must comply with all applicable safety standards set forth in 49 CFR part 571. Manufacturers of motor vehicles must self-certify compliance of their products in accordance with part 567, *Certification.* Persons altering a new vehicle prior to its first retail sale to a consumer are considered vehicle alterers under NHTSA's certification regulation. Part 567.7, *Requirements For Persons Who Alter Certified Vehicles* , requires alterers to certify that the vehicle, as altered, complies with all applicable safety standards. Manufacturers, distributors, dealers, or motor vehicle repair businesses modifying a new or used vehicle are prohibited by 49 U.S.C. 30122 from knowingly making inoperative any device or element of design installed on or in a motor vehicle or item of motor vehicle equipment in compliance with an applicable Federal motor vehicle safety standard. The Act provides NHTSA limited grounds on which to grant a motor vehicle manufacturer a temporary exemption from one or more of the safety standards. The procedures for a temporary exemption are found at 49 CFR part 555. The Act does not authorize the agency to grant temporary exemptions to manufacturers of motor vehicle equipment. Several of the existing Federal motor vehicle safety standards address fuel system integrity, electrical isolation, and flammability. A research plan for hydrogen, fuel cell and alternative fuel vehicle safety was published July 14, 2004 (69 FR 42126). The plan and comments are contained in docket 18039 and can be accessed through the Department of Transportation's Document Management System at *http://dms.dot.gov/.* International Harmonization NHTSA, along with counterparts in Germany and Japan are currently leading an effort under the United Nations' World Forum for the Harmonization of Vehicle regulations to develop safety performance requirements under a comprehensive Global Technical Regulation
(GTR)that would apply to hydrogen vehicles. To facilitate and guide the process of developing such a GTR, NHTSA is working with the co-sponsors, Germany and Japan, to develop a work plan that can be accepted by all signatories to the 1998 Agreement for the Harmonization of Vehicle Regulations. NHTSA expects consideration and adoption of the work plan at the March 2007 session. Work on development of the GTR should commence shortly thereafter. Safety-Related Defects and Noncompliances The Act prohibits the sale or lease of defective or noncompliant vehicles or equipment except under certain circumstances. It requires manufacturers to notify consumers that a motor vehicle or item of equipment they purchased contains a safety-related defect or failed to comply with the standards, and requires manufacturers to remedy such defects and noncompliances without charge. The following regulations relate to the defect and noncompliance notification and remedy campaigns and prohibitions: Part 556, *Exemption for Inconsequential Defect or Noncompliance; Part 573, Defect and Noncompliance Responsibility and Reports* ; Part 577, *Defect and Noncompliance Notification* ; and Part 576, *Record Retention* , sets forth requirements for manufacturers' retention of complaints, reports and other records concerning defects and malfunctions that may be related to motor vehicle safety. In addition, Part 579, *Reporting of Information and Communications About Potential Defects* , sets forth requirements for manufacturers' reporting certain information that may help identify defects and noncompliances, including reports of foreign recalls and safety campaigns, and early warning information. Vehicle Identification Number 49 CFR part 565 requires that each motor vehicle have a vehicle identification number (VIN), and specifies the content requirements for the VIN. Manufacturer Identification Under 49 CFR Part 566, *Manufacturer Identification* , a manufacturer of motor vehicles or motor vehicle equipment to which a motor vehicle safety standard applies, must submit information identifying itself and its products to NHTSA not later than 30 days after it begins manufacture. Designation of Agent for Foreign Manufacturers Under 49 CFR part 551, *Procedural Rules* , all manufacturers headquartered outside of the United States must designate a permanent resident of the United States as the manufacturer's agent for service of all process, notices, orders and decisions. III. Requirements Under the Cost Savings Act Fuel Economy 49 U.S.C. Chapter 329 requires each motor vehicle manufacturer to achieve at least a minimum Corporate Average Fuel Economy (CAFE). NHTSA has established standards for passenger cars (49 CFR part 531, *Passenger Automobile Average Fuel Economy Standard* ), and light trucks (part 533, *Light Truck Fuel Economy Standards* ). Manufacturers are required to file CAFE reports under part 537, *Automotive Fuel Economy Reports* . Manufacturers of hydrogen-powered vehicles should be familiar with Part 538, Manufacturing Incentives for Alternative Fuel Vehicles. In 1996, NHTSA issued a final rule entitled “Manufacturing Incentives for Alternative Fuel Vehicles,” which established gasoline gallon equivalent
(GGE)factors for gaseous fuels in CAFE calculations, including hydrogen and Hythane®, when used in internal combustion engine
(ICE)vehicles. The GGE factors are set forth in section 538.8. For hydrogen, the GGE factor is 0.259, meaning that 100 standard cubic feet of hydrogen at a standard pressure of 14.6 psi and at 60 degrees Fahrenheit is equivalent on an energy content basis to 0.259 gallons of unleaded gasoline. A GGE for hydrogen fuel cells remains to be established. Several regulations provide procedures under which manufacturers may apply for exemptions from or for flexibility in achieving compliance with the CAFE standards. *See* Part 525, *Exemptions from Average Fuel Economy Standards* (for low-volume manufacturers); Part 526, *Petitions and Plans for Relief under the Automotive Fuel Efficiency Act of 1980* ; and Part 535, *Three-year Carryforward and Carryback of Credits for Light Trucks.* Credits may also be available for a manufacturer of passenger cars under 49 U.S.C. 32903. Manufacturers should also be aware of Part 529, *Manufacturers of Multistage Automobiles.* Bumpers 49 U.S.C. Chapter 325 directs NHTSA to issue and enforce bumper standards for passenger cars to reduce the economic loss resulting from damage to cars involved in motor vehicle accidents. Part 581, *Bumper Standard* , sets forth the requirements for the impact resistance of passenger cars in low speed front and rear collisions. 4.3 Hydrogen Stationary Fuel Cells Regulatory Framework I. Occupational Safety and Health Administration *Disclaimer:* This guidance is limited to OSHA standards which may be applicable to, or might be considered useful sources for information pertaining to, occupational hazards related to workplace stationary fuel cells. The omission of any OSHA standards from this notice in no way limits their applicability to any other workplace hazards. In addition, any potential application of the standards referenced below may be dependent on specific factual situations at individual worksites. Background Stationary fuel cells can be used for backup power, power for remote locations, stand-alone power plants for towns and cities, distributed generation for buildings, and co-generation (in which excess thermal energy from electricity generation is used for heat). When these fuel cells are used at a workplace, then employers are required to comply with OSHA requirements. Potentially Applicable Standards The two primary potential hazards associated with stationary fuel cells are:
(1)electrical hazards; and
(2)fire and explosion hazards from flammable gases (such as hydrogen, liquefied petroleum gases (LPG), etc.) associated with the operation of stationary fuel cells. A. OSHA Standards That May Apply to Electrical Hazards Associated With Stationary Fuel Cells Because stationary fuel cells generate electric power, OSHA's electrical standards contained in 29 CFR part 1910 for general industry; part 1926 for construction industry; and parts 1915, 1917, and 1918 for Maritime Industry may be applicable. Typically, electric power generators (such as Stationary Fuel Cells) are covered by OSHA Subpart S standards in part 1910, if they are not connected to distribution systems (i.e., a system that is supplying power to two or more buildings) or if they are only emergency or standby in nature. If a Stationary Fuel Cell supplies power to a distribution system, then the provisions contained in 29 CFR 1910.269, Electric Power Generation, Transmission, and Distribution, may apply. B. OSHA Standards That May Apply to Fire and Explosion Hazards Associated With Fuel Sources to Stationary Fuel Cells In addition to the potential electrical hazards, the materials used to fuel the reactions within stationary fuel cells may present explosion hazards due to their composition and amounts present in the workplace. Several OSHA standards may have some application to these hazards. For example, if hydrogen is fed directly into the stationary fuel cell, OSHA's hydrogen standard at 29 CFR 1910.103 may apply to stationary fuel cells, depending upon their location and use. Likewise, if a liquefied petroleum gas is used as a fuel source, then OSHA's liquefied petroleum gas standard at 29 CFR 1910.110 may apply. In addition, if 10,000 pounds or more of a flammable liquid or gas such as hydrogen is present at the worksite and is involved in a process, then OSHA's Process Safety Management Standard may apply. Additionally, other OSHA standards, such as, 1910.38, 1910.101, 1910.120, and 1910.156 may apply. Electric equipment in the vicinity of hydrogen sources may need to meet 29 CFR 1910.307 requirements depending on such factors as the quantity of flammable material that might escape in case of accident, the adequacy of ventilating equipment, and the total area involved. C. The Applicability of Section 5(a)(1) of the Occupational Safety and Health Act of 1970. In the absence of specific OSHA standards, employers are obligated under Section 5(a)(1)—“the General Duty Clause” of the OSH Act to protect employees from serious recognized hazards. OSHA would consider several sources to determine whether a hazard is recognized by an employer. II. Pipeline and Hazardous Materials Safety Administration, USDOT The Pipeline and Hazardous Materials Safety Administration (PHMSA) has existing regulations governing the safe transportation of hydrogen gas by pipeline and prescribing packaging standards (among other requirements) for the movement in commerce of hydrogen gas or cryogenic liquid by other transportation modes. PHMSA regulations also would apply to transportation in commerce of fuel cells or fuel cell components, to the extent that they contain other hazardous materials. A. Transportation of Hydrogen to Site of Stationary Fuel Cell PHMSA issues and enforces the Pipeline Safety Regulations (PSR), 49 CFR parts 190-199, implementing the Federal Pipeline Safety Law, 49 U.S.C. 60101 et seq. to promote the safety of interstate and intrastate pipelines transporting hazardous liquids, natural gas, and other flammable, corrosive and toxic gases. Part 192 of the PSR regulates the transportation of natural and other gases in pipelines, including hydrogen, which is transported as a compressed flammable gas. PHMSA would regulate the transportation of hydrogen gas by pipeline to the site of the stationary fuel cell. (States may enforce safety standards on intrastate pipelines if the State has been certified by PHMSA under 49 U.S.C. 60105.) PHMSA issues the Hazardous Materials Regulations (HMR), 49 CFR parts 171-180, implementing the Federal Hazardous Materials Transportation Law, 49 U.S.C. 5101 et seq., to promote the safe transportation of hazardous materials in commerce. Hydrogen, a hazardous material, is classified as a flammable gas in the Hazardous Materials Table (49 CFR 172.101). Therefore, the transportation in commerce of hydrogen as a gas or refrigerated liquid in cylinders, portable tanks, or cargo tank vehicles to the site of a stationary fuel cell would be regulated by PHMSA, subject to all applicable requirements in the HMR including packaging and hazard communication requirements. B. Transportation of Fuel Cell or Fuel Cell Components Containing Hazardous Materials A variety of types of stationary fuel cells appear to be under development containing different electrolytes. Depending on the type of fuel cell, PHMSA may regulate it under the Federal Hazardous Materials Transportation Law, 49 U.S.C. 5101 et seq. and HMR, 49 CFR parts 171-180, when the fuel cell or fuel cell component is in transportation in commerce to the site. PHMSA would only regulate a fuel cell or fuel cell component in transportation if it contains a material identified in the Hazardous Materials Table (49 CFR 172.101) or meeting the definition of a hazardous material in 49 CFR part 173. Electrolytes used to carry electrically charged particles from one electrode to another within a fuel cell include materials such as potassium hydroxide, sodium carbonate, magnesium carbonate, phosphoric acid, calcium oxide, and zirconium oxide. Several of these—potassium hydroxide, phosphoric acid, and calcium oxide—are listed as hazardous materials in the Hazardous Materials Table and would be subject to the applicable requirements of the HMR, including packaging requirements. The HMR provide exceptions from packaging and labeling requirements for limited quantities of certain hazardous materials meeting specified criteria. For units or components too large to be packaged in accordance with the HMR, or for which there is an alternative method of packaging not provided for in the HMR, the offer may apply to PHMSA for a special permit. (49 CFR 107.105) III. Federal Energy Regulatory Commission The Federal Energy Regulatory Commission's
(FERC)regulatory authority with respect to stationary fuel cells depends on whether the owner or operator of stationary fuel cells is a public utility, i.e., a person that sells electric energy at wholesale in interstate commerce (a person that sells electric energy for resale). If the owner or operator is a public utility, the rates, terms and conditions of such sale are subject to the authority of the FERC pursuant to Parts II and III of the Federal Power Act, 16 U.S.C. 824, et seq. IV. Environmental Protection Agency The extent to which particular stationary fuel cells are regulated directly by EPA under the Clean Air Act can usually be determined by whether they are part of a source category (like boilers or process heaters) that is covered by a New Source Performance Standard (40 CFR part 60), National Emission Standard for Hazardous Air Pollutants (40 CFR part 63) or a New Source Review Regulation (40 CFR parts 51 and 52). Smaller stationary fuel cells may also be regulated as consumer or commercial products under Clean Air Act section 183(e), 42 U.S.C. 7511b(e). 5.0 General Comments on State and Local Jurisdiction The regulatory role in a hydrogen economy for state and local jurisdictions includes, but is not limited to, health and safety regulations of local building codes and safety codes applicable to the use and generation of hydrogen, many aspects of hydrogen fueling stations including tank and infrastructure installation and maintenance for hydrogen fueling operations, the design and structure of parking garages and any other infrastructure regulated by local governments and state governments. Issued in Washington, DC, on December 22, 2006. Victoria Sutton, Chief Counsel, Research and Innovative Technology Administration. [FR Doc. E6-22554 Filed 1-4-07; 8:45 am] BILLING CODE 4910-HY-P DEPARTMENT OF TRANSPORTATION Surface Transportation Board [STB Docket No. AB-33 (Sub-No. 236X); STB Docket No. AB-576 (Sub-No. 2X)] Union Pacific Railroad Company—Abandonment Exemption—in Bexar County, TX; Alamo Gulf Coast Railroad Company—Discontinuance of Service Exemption—in Bexar County, TX On December 15, 2006, Union Pacific Railroad Company
(UP)and Alamo Gulf Coast Railroad Company (AGCR), jointly filed with the Surface Transportation Board (Board) a petition under 49 U.S.C. 10502 for exemption from the provisions of 49 U.S.C. 10903. UP seeks to abandon and AGCR seeks to discontinue service over a line of railroad extending between milepost 253.26 and milepost 256.0 on UP's Kerrville Subdivision, a distance of 2.74 miles in Bexar County, TX. The line traverses United States Postal Service Zip Codes 78028 and 78029, and includes no stations. The line does not contain Federally granted rights-of-way. Any documentation in UP's or AGCR's possession will be made available promptly to those requesting it. The interest of railroad employees will be protected by the conditions set forth in *Oregon Short Line R. Co.—Abandonment—Goshen* , 360 I.C.C. 91 (1979). By issuance of this notice, the Board is instituting an exemption proceeding pursuant to 49 U.S.C. 10502(b). A final decision will be issued by April 4, 2007. Any offer of financial assistance
(OFA)under 49 CFR 1152.27(b)(2) will be due no later than 10 days after service of a decision granting the petition for exemption. Each offer must be accompanied by a $1,300 filing fee. *See* 49 CFR 1002.2(f)(25). All interested persons should be aware that, following abandonment of rail service and salvage of the line, the line may be suitable for other public use, including interim trail use. Any request for a public use condition under 49 CFR 1152.28 or for trail use/rail banking under 49 CFR 1152.29 will be due no later than January 24, 2007. Each trail use request must be accompanied by a $200 filing fee. See 49 CFR 1002.2(f)(27). All filings in response to this notice must refer to STB Docket No. AB-33 (Sub-No. 236X) and AB-576 (Sub-No. 2X) and must be sent to:
(1)Surface Transportation Board, 1925 K Street, NW., Washington, DC 20423-0001; and
(2)Mack H. Shumate, Jr., Senior General Attorney, 101 North Wacker Drive, Room 1920, Chicago, IL 60606. Replies to the petition are due on or before January 24, 2007. Persons seeking further information concerning abandonment procedures may contact the Board's Office of Public Services at
(202)565-1592 or refer to the full abandonment or discontinuance regulations at 49 CFR part 1152. Questions concerning environmental issues may be directed to the Board's Section of Environmental Analysis
(SEA)at
(202)565-1552. [Assistance for the hearing impaired is available through the Federal Information Relay Service
(FIRS)at 1-800-877-8339.] An environmental assessment
(EA)(or environmental impact statement (EIS), if necessary), prepared by SEA will be served upon all parties of record and upon any agencies or other persons who commented during its preparation. Other interested persons may contact SEA to obtain a copy of the EA (or EIS). EAs in these abandonment proceedings normally will be made available within 60 days of the filing of the petition. The deadline for submission of comments on the EA will generally be within 30 days of its service. Board decisions and notices are available on our Web site at *http://www.stb.dot.gov.* Decided: December 28, 2006. By the Board, Joseph H. Dettmar, Acting Director, Office of Proceedings. Vernon A. Williams, Secretary. [FR Doc. E6-22612 Filed 1-4-07; 8:45 am] BILLING CODE 4915-01-P DEPARTMENT OF THE TREASURY Financial Crimes Enforcement Network; Bank Secrecy Act Advisory Group; Solicitation of Application for Membership; Correction AGENCY: Financial Crimes Enforcement Network (FinCEN), Treasury. ACTION: Notice; correction. SUMMARY: On December 7, 2006, FinCEN published a **Federal Register** notice inviting the public to nominate financial organizations and trade groups for membership in the Bank Secrecy Act Advisory Group. Inadvertently the available vacancies announced for “Industry Representatives Banking” and the list of members whose terms end as of February 28, 2007 were incorrect. This document corrects that information. Persons responding to the previous notice need not respond again. DATES: Nominations must be received by January 8, 2007. ADDRESSES: Applications may be mailed (not sent by facsimile) to Regulatory Policy and Programs Division, Financial Crimes Enforcement Network, P.O. BOX 39, Vienna, VA 22183 or e-mailed to: *BSAAG@fincen.gov.* FOR FUTHER INFORMATION CONTACT: Yesenia Armijo, Regulatory Policy Specialist at 202-354-6400. SUPPLEMENTARY INFORMATION: The Annunzio-Wylie Anti-Money Laundering Act of 1992 required the Secretary of the Treasury to establish a Bank Secrecy Act Advisory Group (BSAAG) consisting of representatives from federal regulatory and law enforcement agencies, financial institutions, and trade groups subject to the reporting requirements of the Bank Secrecy Act, 31 CFR part 103 *et seq.* or Section 6050I of the Internal Revenue Code of 1986. The BSAAG is the means by which the Secretary receives advice on the operations of the Bank Secrecy Act. New members will be selected to serve a three-year term. Applications should consist of: • Point of contact, title, address, e-mail address, phone number • Description of the financial institution or trade group and its involvement with the Bank Secrecy Act, 31 CFR part 103 *et seq.* • Reasons why its participation on the BSAAG will bring value to the group Entities may nominate themselves. Based on current BSAAG position openings we encourage applications from the following sectors or types of organizations with experience working on the Bank Secrecy Act: • State Regulatory Agency (1 vacancy). • State Banking Trade Group (1 vacancy). • Industry Trade Group—Banking Sector (1 vacancy). • Industry Trade Group—Casino (1 vacancy). • Industry Trade Group—Precious Metals, Stones, and Jewels (1 vacancy). 1 1 This is a newly created position in light of the decision adopted at the May 2006 BSAAG Plenary. • Industry Trade Group-Money Services Business Sector (1 vacancy). • Industry Representatives Banking (3 vacancies). • Industry Representatives Securities/ Futures (2 vacancies). 2 2 An additional position was created in light of the decision adopted at the May 2006 BSAAG Plenary. • Industry Representatives Money Services Business (1 vacancy). BSAAG members whose terms end as of February 28, 2007, 3 are: 3 State regulatory agencies, state regulator trade groups, self-regulatory organizations, and industry trade groups can serve renewable three-year terms at the discretion of the Director of FinCEN. Industry members may not serve consecutive terms but may serve multiple terms. *State Regulatory Agency:* • New York State Banking Department. *State Banking Trade Group:* • California Bankers Association. *Industry Trade Group—Banking Sector:* • Independent Community Bankers Association. *Industry Trade Group—Casino:* • American Gaming Association. *Industry Trade Group—Money Services Business Sector:* • Financial Service Center of America. *Industry Representatives Banking:* • Bank of America. • Branch Bank & Trust. • Pentagon Federal Credit Union. *Industry Representatives Securities/Futures:* • Morgan Stanley. *Industry Representatives Money Services Business:* • American Express. Dated: December 27, 2006. William F. Baity, Deputy Director, Financial Crimes Enforcement Network. [FR Doc. E6-22572 Filed 1-4-07; 8:45 am] BILLING CODE 4810-02-P DEPARTMENT OF THE TREASURY Financial Literacy and Education Commission's Two-Day Summit on Kindergarten Through Postsecondary Financial Education AGENCY: Departmental Offices, Treasury. ACTION: Notice of open meeting. SUMMARY: This notice announces a two-day summit on kindergarten through postsecondary financial education of the Financial Literacy and Education Commission (the “Commission”), established by the Financial Literacy and Education Improvement Act, Title V of the Fair and Accurate Credit Transactions (“FACT”) Act of 2003 (Pub. L. 108-159). This summit is being co-hosted by the Departments of Education and Treasury. DATES: See SUPPLEMENTARY INFORMATION section for meeting dates. ADDRESSES: See SUPPLEMENTARY INFORMATION section for meeting addresses. SUPPLEMENTARY INFORMATION: *First Day of the Summit:* The first day of the Summit will be held on February 21, 2007 at the Department of Education. The program, which will include several sessions, will begin at 10 a.m. and end at 4 p.m. (EST). There will be an hour and a half lunch break. ADDRESSES: The first day of the Summit will be held in the Departmental Auditorium FB-6 at the Department of Education, located at 400 Maryland Avenue, SW., Washington, DC. Limited seating is available to the public on a first-come, first-serve basis. Attendees will be required to provide the following information not later than 5 p.m.
(EST)on February 13, 2007: Visitor name, visitor's organization, and date and time of visit to *FLECrsvp@do.treas.gov.* For entry into the building, attendees will be required to provide a valid picture I.D. *Second Day of the Summit:* The second day of the Summit will be held on February 22, 2007 at the Department of the Treasury. The program, which will include several sessions, will begin at 9 a.m. and end at 4 p.m. (EST). There will be an hour and half a lunch break. ADDRESSES: The second day of the Summit will be held in the Cash Room at the Department of Education, located at 1500 Pennsylvania Avenue, NW., Washington, DC. Limited seating is available to the public on a first-come, first-serve basis. Attendees will be required to provide the following information not later than 5 p.m.
(EST)on February 13, 2007: Visitor name, visitor's organization, phone number, Social Security number, date of birth and country of citizenship to *FLECrsvp@do.treas.gov* or
(202)622-1783 (not a toll-free number). For entry into the building, attendees will be required to provide a valid picture I.D. Background This two-day summit on kindergarten through postsecondary financial education is part of the implementation of the National Strategy for Financial Literacy issued by the Commission. The FACT Act established the Commission to improve financial literacy and education of persons in the United States. The Commission is composed of the Secretary of the Treasury and the head of the Office of the Comptroller of the Currency; the Office of Thrift Supervision; the Federal Reserve; the Federal Deposit Insurance Corporation; the National Credit Union Administration; the Securities and Exchange Commission; the Departments of Education, Agriculture, Defense, Health and Human Services, Housing and Urban Development, Labor, and Veterans Affairs; the Federal Trade Commission; the General Services Administration; the Small Business Administration; the Social Security Administration; the Commodity Futures Trading Commission; and the Office of Personnel Management. This financial education summit, co-hosted by the Departments of Education and Treasury, will be held during two days at separate locations each day. For each day of the summit, there will be at least 50 seats reserved for members of the public. Seating is available on a first-come basis. FOR FURTHER INFORMATION CONTACT: For additional information, contact Luz Figuereo by e-mail at: *FLECstrategy@do.treas.gov* or by telephone at
(202)622-5770 (not a toll free number). Additional information regarding the Financial Literacy and Education Commission and the Department of the Treasury's Office of Financial Education may be obtained through the Office of Financial Education's Web site at: *http://www.treas.gov/financialeducation.* Dated: December 21, 2006. Dan Iannicola, Jr., Deputy Assistant Secretary for Financial Education. [FR Doc. E6-22614 Filed 1-4-07; 8:45 am] BILLING CODE 4811-42-P DEPARTMENT OF THE TREASURY Internal Revenue Service Open Meeting of the Wage & Investment Reducing Taxpayer Burden (Notices) Issue Committee of the Taxpayer Advocacy Panel AGENCY: Internal Revenue Service (IRS), Treasury. ACTION: Notice of time change. SUMMARY: An open meeting of the Wage & Investment Reducing Taxpayer Burden (Notices) Issue Committee of the Taxpayer Advocacy Panel will be conducted (via teleconference). The Taxpayer Advocacy Panel is soliciting public comments, ideas and suggestions on improving customer service at the Internal Revenue Service. DATES: The meeting will be held Thursday, January 4, 2007, at 1 p.m. ET. FOR FURTHER INFORMATION CONTACT: Sallie Chavez at 1-888-912-1227, or 954-423-7979. SUPPLEMENTARY INFORMATION: Notice is hereby given pursuant to section 10(a)(2) of the Federal Advisory Committee Act, 5 U.S.C. App.
(1988)that an open meeting of the Wage & Investment Reducing Taxpayer Burden (Notices) Issue Committee of the Taxpayer Advocacy Panel will be held Thursday, January 4, 2007, at 1 p.m. ET via a telephone conference call. If you would like to have the TAP consider a written statement, please call 1-888-912-1227 or 954-423-7979, or write Sallie Chavez, TAP Office, 1000 South Pine Island Road, Suite 340, Plantation, FL 33324. Due to limited conference lines, notification of intent to participate in the telephone conference call meeting must be made with Sallie Chavez. Ms. Chavez can be reached at 1-888-912-1227 or 954-423-7979, or post comments to the Web site: *http://www.improveirs.org.* The agenda will include: Various IRS issues. Dated: December 22, 2007. John Fay, Acting Director, Taxpayer Advocacy Panel. [FR Doc. 07-9 Filed 1-3-07; 1:07 pm]
Connectionstraces to 80
Traces to 80 documents
U.S. Code
CFR
81 references not yet in our index
  • 17 CFR 240.19
  • Pub. L. 106-170
  • Pub. L. 108-203
  • 79 Stat. 985
  • Pub. L. 109-112
  • 49 USC 1383
  • 14 CFR 301.201
  • 42 USC 4321-4351
  • 42 USC 7401-7671(q)
  • 16 USC 1531-1544
  • 16 USC 703-712
  • 16 USC 469-469(c)
  • 42 USC 2000(d)
  • 7 USC 4201-4209
  • 33 USC 1251-1377
  • 16 USC 3501-3510
  • 16 USC 1451-1465
  • 16 USC 4601-4604
  • 42 USC 4001-4128
  • 42 USC 9601-9675
  • 42 USC 6901-6992(k)
  • Pub. L. 109-58
  • 29 CFR 1910
  • 14 CFR 420
  • 14 CFR 31
  • 49 CFR 172.101
  • 49 CFR 174.200-174
  • 49 CFR 173.314(c)
  • 49 CFR 501
  • 49 CFR 523
  • 40 CFR 261
  • 40 CFR 262
  • 40 CFR 264
  • 40 CFR 302
  • 40 CFR 300
  • 40 CFR 355
  • 42 USC 7521-7554
  • 42 USC 7571-7574
  • 40 CFR 87
  • 42 USC 7581-7590
+ 41 more
Citation graph
cites case law
Notices
Notice of Reporting Requirements Submitted for OMB Review
U.S.C.§ 78s
U.S.C.§ 78f
U.S.C.§ 78c
U.S.C.§ 78k–1
C.F.R.§ 200.30-3
U.S.C.§ 552
U.S.C.§ 637
C.F.R.§ 121.406
C.F.R.§ 121.1202
Cite17 CFR 240.19
Pub. L.Pub. L. 106-170
Pub. L.Pub. L. 108-203
Cites 161 · showing 12Cited by 0 across 0 sources
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