Unknown. Interim rule with request for comments
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/register/2007/11/14/07-5624A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
--- schema: federal-register doc_type: fedreg source_file: FR-2007-11-14.xml --- 72 219 Wednesday, November 14, 2007 Contents Agriculture Agriculture Department See Forest Service NOTICES Agency information collection activities; proposals, submissions, and approvals, 64038 E7-22186 Census Census Bureau NOTICES Agency information collection activities; proposals, submissions, and approvals, 64042-64043 E7-22232 Centers Centers for Disease Control and Prevention NOTICES Organization, functions, and authority delegations:
Enterprise Communication Office, 64083-64084 07-5634 Commerce Commerce Department See Census Bureau See Economic Analysis Bureau See International Trade Administration See National Institute of Standards and Technology See National Oceanic and Atmospheric Administration NOTICES Agency information collection activities; proposals, submissions, and approvals, 64038-64042 E7-22217 E7-22224 E7-22273 CITA Committee for the Implementation of Textile Agreements NOTICES Textile and apparel categories:
Honduras; cotton, wool, and man-made fiber socks; safeguard actions, 64050 E7-22156 Commodity Commodity Futures Trading Commission RULES Commodity Exchange Act, etc.: Foreign persons; registration exemption, 63976-63979 E7-22110 Defense Defense Department See Navy Department RULES Civilian health and medical program of uniformed services (CHAMPUS): TRICARE program— Physician assistant services coverage; administrative correction, 63987-63988 07-5624 PROPOSED RULES Federal Acquisition Regulation (FAR):
Contract compliance program and integrity reporting, 64019-64023 07-5670 NOTICES Privacy Act; systems of records, 64050-64060 E7-22194 E7-22252 E7-22259 E7-22260 Economic Economic Analysis Bureau NOTICES Agency information collection activities; proposals, submissions, and approvals, 64043-64044 E7-22231 Emergency Emergency Steel Guarantee Loan Board RULES Organization, functions, and authority delegations: Offices location change, 63975-63976 E7-22253 Employment Employment and Training Administration NOTICES Meetings:
Apprenticeship Advisory Committee, 64090 E7-22130 Energy Energy Department See Federal Energy Regulatory Commission See Western Area Power Administration EPA Environmental Protection Agency RULES Air quality implementation plans; approval and promulgation; various States; air quality planning purposes; designation of areas: Pennsylvania, 63990-63992 E7-22042 Grants and other Federal assistance: Tribal Clean Air Act authority— Mohegan Tribe of Indians of Connecticut; air quality implementation plan, 63988-63990 E7-22221 Pesticides; tolerances in food, animal feeds, and raw agricultural commodities:
Cyprodinil, 63997-64000 E7-22233 Isoxadifen-ethyl, 63994-63997 E7-22223 Sethoxydim, 63992-63994 E7-22220 NOTICES Agency information collection activities; proposals, submissions, and approvals, 64075-64078 E7-22201 E7-22225 Meetings: Acute Exposure Guideline Levels for Hazardous Substances National Advisory Committee, 64078-64079 E7-22226 Children's Health Protection Advisory Committee, 64079-64080 E7-22236 Executive Executive Office of the President See Presidential Documents FAA Federal Aviation Administration PROPOSED RULES Airworthiness directives:
Boeing, 64009-64010 07-5656 Lockheed, 64005-64008 07-5595 McDonnell Douglas, 64008-64009 07-5654 Viking Air Ltd., 64010-64012 E7-22264 FCC Federal Communications Commission PROPOSED RULES Radio services, special: Advanced wireless services in 2155-2175 MHz band; service rules, 64013-64018 07-5632 Federal Energy Federal Energy Regulatory Commission RULES Practice and procedure: Critical energy infrastructure information, 63980-63986 E7-22141 Federal Motor Federal Motor Carrier Safety Administration NOTICES Grants and cooperative agreements; availability, etc.:
Motor Carrier Safety Assistance Program, 64106-64107 E7-22187 Federal Railroad Federal Railroad Administration NOTICES Exemption petitions, etc.: Fayette Central Railroad, 64107 E7-22243 Indiana Rail Road Co., 64107-64108 E7-22271 Watco Companies, Inc., 64108 E7-22270 Railroad Safety Advisory Committee; working group activity update, 64108-64109 E7-22208 Financial Financial Management Service See Fiscal Service Fiscal Fiscal Service NOTICES Surety companies acceptable on Federal bonds:
Southwest Marine & General Insurance Co., 64110-64111 07-5639 Swiss Reinsurance America Corp., 64111 07-5640 Fish Fish and Wildlife Service NOTICES Agency information collection activities; proposals, submissions, and approvals, 64084-64086 E7-22202 Food Food and Drug Administration RULES Animal drugs, feeds, and related products: Chlortetracycline powder, 63986-63987 E7-22261 Sponsor name and address changes— IDEXX Pharmaceuticals, Inc., 63986 E7-22210 Forest Forest Service NOTICES Meetings:
Resource Advisory Committees— Ravalli County, 64038 07-5638 GSA General Services Administration PROPOSED RULES Federal Acquisition Regulation (FAR): Contract compliance program and integrity reporting, 64019-64023 07-5670 Health Health and Human Services Department See Centers for Disease Control and Prevention See Food and Drug Administration See Health Resources and Services Administration NOTICES Agency information collection activities; proposals, submissions, and approvals, 64080-64082 E7-22196 E7-22247 E7-22248 Meetings:
American Health Information Community, 07-5641 64082-64083 07-5642 07-5643 Health Health Resources and Services Administration NOTICES Agency information collection activities; proposals, submissions, and approvals, 64084 E7-22241 Homeland Homeland Security Department See U.S. Customs and Border Protection Interior Interior Department See Fish and Wildlife Service See Land Management Bureau See Minerals Management Service IRS Internal Revenue Service NOTICES Agency information collection activities; proposals, submissions, and approvals, E7-22134 64111-64112 E7-22135 International International Trade Administration NOTICES Antidumping:
Light-walled rectangular pipe and tube from— Various countries, 64044 E7-22274 International International Trade Commission NOTICES Import investigations: Polyethylene terephthalate film, sheet, and strip from— India and Taiwan, 64089-64090 E7-22160 Labor Labor Department See Employment and Training Administration Land Land Management Bureau NOTICES Environmental statements; notice of intent: California Desert Conservation Area, CA; correction, 64086 E7-22173 Maritime Maritime Administration NOTICES Capital Construction Fund Program:
Foreign reconstruction or rebuilding of U.S.-built vessels, 64109 E7-22189 Minerals Minerals Management Service NOTICES Environmental statements; availability, etc.: Beaufort Sea OCS— Deep-penetration seismic survey, 64086 E7-22245 Gulf of Mexico OCS— Oil and gas operations, 64086-64088 E7-22251 Outer Continental Shelf operations: Oil and gas lease sales— Restricted joint bidders list, 64088 E7-22249 NASA National Aeronautics and Space Administration PROPOSED RULES Federal Acquisition Regulation (FAR):
Contract compliance program and integrity reporting, 64019-64023 07-5670 National Institute National Institute of Standards and Technology NOTICES National Voluntary Laboratory Accreditation Program: Personal body armor, 64044-64045 E7-22266 NOAA National Oceanic and Atmospheric Administration RULES Fishery conservation and management: Alaska; fisheries of Exclusive Economic Zone— Northern rockfish, 64001-64002 07-5648 Northeastern United States fisheries— Northeast multispecies, 64000-64001 E7-22240 PROPOSED RULES Fishery conservation and management:
Alaska; fisheries of Exclusive Economic Zone— Pacific halibut and sablefish, 64034-64037 E7-22237 Northeastern United States fisheries— Summer flounder, scup, and black sea bass, 64023-64034 07-5647 NOTICES Agency information collection activities; proposals, submissions, and approvals, 64045-64046 E7-22218 E7-22230 Grants and cooperative agreements; availability, etc.: Pacific groundfish fishery, open access sector; Enhanced Mobile Transmitter Unit Reimbursement Program, 64047 E7-22239 Regional Integrated Ocean Observing Systems, 64047-64048 E7-22244 Meetings:
Caribbean Fishery Management Council, 64048-64049 E7-22198 New England Fishery Management Council, 64049 E7-22197 Pacific Fishery Management Council, 64049-64050 E7-22199 Navy Navy Department NOTICES Meetings: Naval Research Advisory Committee, 64060 E7-22200 Nuclear Nuclear Regulatory Commission RULES Contractors and subcontractors discriminating against employees for engaging in protected activities; civil penalty authority; clarification, 63969-63975 E7-22190 PROPOSED RULES Rulemaking petitions:
California, 64003 E7-22213 NOTICES Environmental statements; availability, etc.: Eastman Kodak Co., 64090-64091 E7-22183 Meetings: Materials Licensing Program; Independent External Review Panel to Identify Vulnerabilities, 64091-64092 E7-22184 Meetings; Sunshine Act, 64092 07-5685 Personnel Personnel Management Office RULES Prevailing rate systems, 63967-63969 E7-22262 E7-22263 Presidential Presidential Documents PROCLAMATIONS *Special observances:* World Freedom Day (Proc. 8202), 64115-64117 07-5701 Public Public Debt Bureau See Fiscal Service Railroad Railroad Retirement Board NOTICES Railroad Unemployment Insurance Act:
Experience rating proclamations, monthly compensation base, and other determinations (2008 CY), 64092-64094 E7-22267 SEC Securities and Exchange Commission NOTICES Meetings; Sunshine Act, 64094 E7-22169 Self-regulatory organizations; proposed rule changes: American Stock Exchange LLC, 64095-64096 E7-22180 American Stock Exchange LLC et al., 64094-64095 E7-22165 Chicago Board Options Exchange, Inc., 64096-64097 E7-22166 Financial Industry Regulatory Authority, Inc., E7-22161 64098-64102 E7-22162 E7-22163 NASDAQ Stock Market LLC, 64102-64103 E7-22164 NYSE Arca, Inc., 64103-64106 E7-22150 State State Department NOTICES Meetings:
International Telecommunication Advisory Committee, 64106 E7-22193 Textile Textile Agreements Implementation Committee See Committee for the Implementation of Textile Agreements Thrift Thrift Supervision Office PROPOSED RULES Savings associations: Consolidated Reports of Conditions and Income (Call Report); conversion from Thrift Financial Report, 64003-64005 E7-22175 Transportation Transportation Department See Federal Aviation Administration See Federal Motor Carrier Safety Administration See Federal Railroad Administration See Maritime Administration Treasury Treasury Department See Fiscal Service See Internal Revenue Service See Thrift Supervision Office NOTICES Committees; establishment, renewal, termination, etc.:
Financial Crimes Enforcement Network; Bank Secrecy Act Advisory Group, 64110 E7-22181 Customs U.S. Customs and Border Protection PROPOSED RULES Air commerce: Private aircraft arriving and departing U.S.; advance information requirement, 64012 E7-22309 Veterans Veterans Affairs Department NOTICES Agency information collection activities; proposals, submissions, and approvals, E7-22209 64112-64113 E7-22211 Western Western Area Power Administration NOTICES Power rates: Loveland Area Projects, 64061-64067 E7-22191 Pick-Sloan Missouri Basin Program—Eastern Division, 64067-64075 E7-22192 Separate Parts in this Issue Part II Executive Office of the President, Presidential Documents, 64115-64117 07-5701 Reader Aids Consult the Reader Aids section at the end of this issue for phone numbers, online resources, finding aids, reminders, and notice of recently enacted public laws.
To subscribe to the Federal Register Table of Contents LISTSERV electronic mailing list, go to http://listserv.access.gpo.gov and select Online mailing list archives, FEDREGTOC-L, Join or leave the list (or change settings); then follow the instructions. 72 219 Wednesday, November 14, 2007 Rules and Regulations OFFICE OF PERSONNEL MANAGEMENT 5 CFR Part 532 RIN 3206-AL43 Prevailing Rate Systems; Definition of the Municipality of Bayamon, Puerto Rico, to a Nonappropriated Fund Federal Wage System Wage Area AGENCY:
U.S. Office of Personnel Management. ACTION: Interim rule with request for comments. SUMMARY: The U.S. Office of Personnel Management is issuing an interim rule to define the municipality of Bayamon, Puerto Rico, as an area of application to the Guaynabo-San Juan, PR, nonappropriated fund
(NAF)Federal Wage System
(FWS)wage area. This change is necessary because there are NAF FWS employees working in the municipality of Bayamon and the municipality is not currently defined to an NAF wage area. DATES: This regulation is effective on November 14, 2007. We must receive comments on or before December 14, 2007. ADDRESSES: Send or deliver comments to Charles D. Grimes III, Deputy Associate Director for Performance and Pay Systems, Strategic Human Resources Policy Division, U.S. Office of Personnel Management, Room 7H31, 1900 E Street, NW., Washington, DC 20415-8200; e-mail *pay-performance-policy@opm.gov;* or Fax:
(202)606-4264. FOR FURTHER INFORMATION CONTACT: Madeline Gonzalez,
(202)606-2838; e-mail *pay-performance-policy@opm.gov;* or Fax:
(202)606-4264. SUPPLEMENTARY INFORMATION: The U.S. Office of Personnel Management
(OPM)is redefining the Guaynabo-San Juan, Puerto Rico, nonappropriated fund
(NAF)Federal Wage System
(FWS)wage area to add the municipality of Bayamon, PR, as an area of application. Rio Bayamon Guest Housing, which is part of U.S. Coast Guard Family Housing, now employs three NAF FWS employees in the municipality of Bayamon. Under section 532.219 of title 5, Code of Federal Regulations, each NAF wage area “shall consist of one or more survey areas, along with nonsurvey areas, if any, having nonappropriated fund employees.” The municipality of Bayamon does not meet the regulatory criteria under 5 CFR 532.219 to be established as a separate NAF wage area; however, nonsurvey counties may be combined with a survey area to form a wage area. Section 532.219 lists the regulatory criteria that OPM considers when defining FWS wage area boundaries:
(i)Proximity of largest facilities activity in each county;
(ii)Transportation facilities and commuting patterns; and
(iii)Similarities of the counties in:
(A)Overall population;
(B)Private employment in major industry categories; and
(C)Kinds and sizes of private industrial establishments. Based on an analysis of the regulatory criteria for defining NAF wage areas, OPM is defining the municipality of Bayamon, PR, as an area of application to the Guaynabo-San Juan, PR, NAF FWS wage area. The Guaynabo-San Juan NAF FWS wage area is the only NAF wage area in Puerto Rico. The U.S. Coast Guard Family Housing is located approximately five miles from Fort Buchanan, the wage area's host activity, and the municipality of Bayamon is adjacent to both Fort Buchanan and the municipality of Guaynabo. In the Guaynabo-San Juan NAF wage area, the survey area will consist of two municipalities (Guaynabo and San Juan) and the area of application will consist of eight municipalities (Aguadilla, Bayamon, Ceiba, Isabela, Ponce, Salinas, Toa Baja, and Vieques) plus the U.S. Virgin Islands of St. Croix and St. Thomas. The Federal Prevailing Rate Advisory Committee, the national labor-management committee responsible for advising OPM on matters concerning the pay of FWS employees, reviewed and recommended this change by consensus. Waiver of Notice of Proposed Rulemaking and Delay in Effective Date Pursuant to 5 U.S.C. 553(b)(3)(B) and (d)(3), I find that good cause exists to waive the general notice of proposed rulemaking. Also pursuant to 5 U.S.C. 553(d)(3), I find that good cause exists for making this rule effective in less than 30 days. This notice is being waived and the regulation is being made effective in less than 30 days because it is necessary to define the municipality of Bayamon, PR, to an NAF wage area as soon as possible to cover existing employees under an appropriate wage schedule. Regulatory Flexibility Act I certify that these regulations will not have a significant economic impact on a substantial number of small entities because they will affect only Federal agencies and employees. List of Subjects in 5 CFR Part 532 Administrative practice and procedure, Freedom of information, Government employees, Reporting and recordkeeping requirements, Wages. U.S. Office of Personnel Management. Linda M. Springer, Director. Accordingly, the U.S. Office of Personnel Management is amending 5 CFR part 532 as follows: PART 532—PREVAILING RATE SYSTEMS 1. The authority citation for part 532 continues to read as follows: Authority: 5 U.S.C. 5343, 5346; 532.707 also issued under 5 U.S.C. 552. 2. Appendix D to subpart B is amended by revising the wage area listing for the Guaynabo-San Juan, Puerto Rico, NAF wage area to read as follows: Appendix D to Subpart B of Part 532—Nonappropriated Fund Wage and Survey Areas **PUERTO RICO** *Guaynabo-San Juan* *Survey Area* Puerto Rico: (municipalities): Guaynabo San Juan *Area of Application. Survey area plus:* Puerto Rico: (municipalities): Aguadilla Bayamon Ceiba Isabela Ponce Salinas Toa Baja Vieques U.S. Virgin Islands St. Croix St. Thomas [FR Doc. E7-22262 Filed 11-13-07; 8:45 am] BILLING CODE 6325-39-P OFFICE OF PERSONNEL MANAGEMENT 5 CFR Part 532 RIN 3206-AL44 Prevailing Rate Systems; Abolishment of Rock Island, IL, as a Nonappropriated Fund Federal Wage System Wage Area AGENCY: U.S. Office of Personnel Management. ACTION: Interim rule with request for comments. SUMMARY: The U.S. Office of Personnel Management is issuing an interim rule to abolish the Rock Island, Illinois, nonappropriated fund
(NAF)Federal Wage System
(FWS)wage area and redefine Rock Island County, IL, and Johnson County, Iowa, as areas of application to the Lake, IL, NAF FWS wage area. Carroll County, IL, will no longer be defined. These changes are necessary because employment has significantly declined in the Rock Island NAF wage area. DATES: *Effective date:* This regulation is effective on November 14, 2007. We must receive comments on or before December 14, 2007. *Applicability date:* FWS employees remaining in Rock Island County, IL, and Johnson County, IA, will be transferred to the Lake, IL, NAF wage area schedule on the first day of the first applicable pay period beginning on or after December 15, 2007. ADDRESSES: Send or deliver comments to Charles D. Grimes III, Deputy Associate Director for Performance and Pay Systems, Strategic Human Resources Policy Division, U.S. Office of Personnel Management, Room 7H31, 1900 E Street, NW., Washington, DC 20415-8200; e-mail *pay-performance-policy@opm.gov* ; or FAX:
(202)606-4264. FOR FURTHER INFORMATION CONTACT: Madeline Gonzalez,
(202)606-2838; e-mail *pay-performance-policy@opm.gov* ; or FAX:
(202)606-4264. SUPPLEMENTARY INFORMATION: The Rock Island, Illinois, nonappropriated fund
(NAF)Federal Wage System
(FWS)wage area is presently composed of one survey county, Rock Island County, IL, and two area of application counties, Carroll County, IL, and Johnson County, Iowa. Under section 532.219 of title 5, Code of Federal Regulations, the U.S. Office of Personnel Management
(OPM)may establish an NAF wage area when there are a minimum of 26 NAF wage employees in the survey area, the local activity has the capability to host annual local wage surveys, and the survey area has at least 1,800 private enterprise employees in establishments within survey specifications. The Department of Defense
(DOD)notified OPM that a reduction in NAF employment in the Rock Island wage area has left only 14 NAF FWS employees in Rock Island County and 9 NAF FWS employees in Johnson County. DOD recommended that OPM abolish the Rock Island NAF FWS wage area and redefine Rock Island and Johnson Counties as areas of application to the Lake, IL, NAF FWS wage area. Since Rock Island and Johnson Counties will have continuing NAF employment and do not meet the regulatory criteria under 5 CFR 532.219 to be separate survey areas, they must be areas of application. In defining counties as area of application counties, OPM considers the following criteria:
(i)Proximity of largest facilities activity in each county;
(ii)Transportation facilities and commuting patterns; and
(iii)Similarities of the counties in:
(A)Overall population;
(B)Private employment in major industry categories; and
(C)Kinds and sizes of private industrial establishments. In selecting a wage area to which Rock Island and Johnson Counties should be redefined, proximity favors the Lake NAF wage area. All other criteria are inconclusive. Based on the application of the regulatory criteria, OPM is defining Rock Island and Johnson Counties as areas of application to the Lake NAF wage area. OPM is removing Carroll County from the wage area definition. There are no longer NAF FWS employees working in Carroll County. Under 5 U.S.C. 5343(a)(1)(B)(i), NAF wage areas “shall not extend beyond the immediate locality in which the particular prevailing rate employees are employed.” Therefore, Carroll County should not be defined as part of an NAF wage area. The Lake NAF wage area will consist of one survey county, Lake County, and eight area of application counties: Cook, Rock Island, and Vermilion Counties, IL; Johnson County, IA; Dickinson and Marquette Counties, Michigan; and Dane and Milwaukee Counties, Wisconsin. FWS employees remaining in the Rock Island wage area will be transferred to the Lake wage area schedule on the first day of the first applicable pay period beginning on or after December 15, 2007. The Federal Prevailing Rate Advisory Committee, the national labor-management committee responsible for advising OPM on matters concerning the pay of FWS employees, has reviewed and recommended this change by consensus. Waiver of Notice of Proposed Rulemaking and Delay in Effective Date Pursuant to 5 U.S.C. 553(b)(3)(B) and (d)(3), I find that good cause exists to waive the general notice of proposed rulemaking. Also pursuant to 5 U.S.C. 553(d)(3), I find that good cause exists for making this rule effective in less than 30 days. This notice is being waived and the regulation is being made effective in less than 30 days because of the need to transfer the remaining NAF FWS employees in Rock Island and Johnson Counties to a continuing wage area as soon as possible. Regulatory Flexibility Act I certify that these regulations will not have a significant economic impact on a substantial number of small entities because they will affect only Federal agencies and employees. List of Subjects in 5 CFR Part 532 Administrative practice and procedure, Freedom of information, Government employees, Reporting and recordkeeping requirements, Wages. U.S. Office of Personnel Management. Linda M. Springer, Director. Accordingly, the U.S. Office of Personnel Management is amending 5 CFR part 532 as follows: PART 532—PREVAILING RATE SYSTEMS 1. The authority citation for part 532 continues to read as follows: Authority: 5 U.S.C. 5343, 5346; § 532.707 also issued under 5 U.S.C. 552. Appendix B to Subpart B of Part 532—Nationwide Schedule of Nonappropriated Fund Regular Wage Surveys 2. Appendix B to subpart B is amended by removing, under the State of Illinois, “Rock Island.” Appendix D to Subpart B of Part 532—Nonappropriated Fund Wage and Survey Areas 3. Appendix D to subpart B is amended for the State of Illinois by removing the wage area listing for Rock Island, Illinois, and revising the wage area listing for Lake, Illinois, to read as follows: **ILLINOIS** * * * * * **Lake** *Survey Area* Illinois: Lake *Area of application. Survey area plus:* Illinois: Cook Rock Island Vermilion Iowa: Johnson Michigan: Dickinson Marquette Wisconsin: Dane Milwaukee [FR Doc. E7-22263 Filed 11-13-07; 8:45 am] BILLING CODE 6325-39-P NUCLEAR REGULATORY COMMISSION 10 CFR Parts 30, 40, 50, 52, 60, 61, 63, 70, 71, 72, and 76 RIN 3150-AH59 Clarification of NRC Civil Penalty Authority Over Contractors and Subcontractors Who Discriminate Against Employees for Engaging in Protected Activities AGENCY: Nuclear Regulatory Commission. ACTION: Final rule. SUMMARY: The Nuclear Regulatory Commission (NRC or Commission) is amending its employee protection regulations to clarify the Commission's authority to impose a civil penalty upon a non-licensee contractor or subcontractor of a Commission licensee, or applicant for a Commission license who violates the NRC's regulations by discriminating against employees for engaging in protected activity. The NRC is also amending its employee protection regulations related to the operation of Gaseous Diffusion Plants to conform with the NRC's other employee protection regulations and to allow the NRC to impose a civil penalty on the United States Enrichment Corporation (USEC or Corporation), as well as a contractor or subcontractor of USEC. DATES: *Effective Date:* The effective date of this final rule is December 14, 2007. FOR FURTHER INFORMATION CONTACT: Doug Starkey, Office of Enforcement, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001; Telephone
(301)415-3456; e-mail *drs@nrc.gov.* SUPPLEMENTARY INFORMATION: Background The Commission's employee protection regulations in 10 CFR 30.7, 40.7, 50.7, 52.5, 1 60.9, 61.9, 63.9, 70.7, 71.9, 72.10, and 76.7 prohibit discrimination by a Commission licensee, applicant for a Commission license, a holder of or applicant for a certificate of compliance
(CoC)or the Corporation, or contractor or subcontractor of these entities, against employees for engaging in certain protected activities. These regulations identify certain enforcement actions for violations of the requirements. The enforcement actions are denial, revocation, or suspension of the license or certificate; imposition of a civil penalty on the licensee or applicant; or other enforcement action. While the employee protection regulations prohibit discrimination by a contractor or subcontractor, they do not explicitly provide for imposition of a civil penalty on a contractor or subcontractor. 1 This final rule amends 10 CFR 52.5(c) to conform with the other employee protection regulations regarding civil penalties to contractors and subcontractors. 10 CFR 52.5(c) was not included in the proposed rule submitted to the Commission in SECY-05-0212 because, at that time, 10 CFR Part 52 did not contain employee protection provisions. 10 CFR Part 52 has since been amended (72 FR 49352, in part, to include a new section, 10 CFR 52.5, Employee protection. On January 16, 1998, the NRC issued an enforcement action against Five Star Products, Inc., and Construction Products Research, Inc., contractors to the nuclear industry, for discriminating against one of its employees. Following this enforcement action, the NRC considered modifications to the NRC's employee protection regulations that would clearly allow the NRC, within the limits of its jurisdiction, to impose civil penalties on non-licensees for discriminating against employees who have engaged in protected activities. At the time that NRC took the enforcement action against Five Star Products, Inc., and Construction Products Research, Inc., the NRC was engaged in litigation with another non-licensee, Thermal Science, Inc., that included an issue concerning the scope of the Commission's civil penalty authority over non-licensees. Consequently, the NRC deferred modifying the NRC's employee protection regulations pending resolution of action in *Thermal Science, Inc.,* v. *NRC* (Case No. 4:96CV02281-CAS). That case was subsequently settled. On April 14, 2000, the NRC Executive Director for Operations
(EDO)approved the establishment of a Discrimination Task Group
(DTG)to, among other things, evaluate the NRC's handling of matters covered by its employee protection regulations. During this review, the DTG held 12 public meetings and provided the public with an opportunity to comment on its draft report. Among other recommendations, the DTG recommended in its report, “Policy Options and Recommendations for Revising the NRC's Process for Handling Discrimination Issues,” dated April 2002, that rulemaking be initiated to allow the NRC to impose civil penalties on contractors working for NRC licensees. The DTG received public comments both in favor of, and opposed to, the recommendation that NRC conduct a rulemaking to allow the imposition of civil penalties against contractors for violating the NRC's employee protection requirements. The DTG's report was forwarded to the Commission as an attachment to SECY-02-0166, “Policy Options and Recommendations for Revising the NRC's Process for Handling Discrimination Issues,” dated September 12, 2002. On March 26, 2003, the Commission issued a Staff Requirements Memorandum
(SRM)on SECY-02-0166, approving the recommendations of the DTG as revised by the Senior Management Review Team, subject to certain comments. The Senior Management Review Team was appointed by the EDO to review the final recommendations of the DTG and provide any additional perspectives that could enhance the potential options. The Commission approved, without comment, the DTG rulemaking recommendation regarding civil penalties against contractors. The NRC staff submitted a proposed rule to amend the employee protection regulations to exercise NRC's authority to impose civil penalties against contractors and subcontractors to the Commission on November 17, 2005 (SECY-05-0212). In SRM-SECY-05-0212, dated December 21, 2005, the Commission approved the staff's recommendation to publish the proposed rule, with certain changes directed by the Commission. The proposed rule was published in the **Federal Register** on January 31, 2006 (71 FR 5015). Public comment was requested on the proposed amendments as well as on the draft environmental assessment and regulatory analysis that had been prepared on the proposed rule. The final rule does not differ from the recommendations in the proposed rule. Discussion The amendments allow the Commission to impose civil penalties on contractors or subcontractors for violations of Commission employee protection requirements. The rule represents a significant change in Commission policy in that, currently, a licensee can receive a civil penalty for the discriminatory activities of its contractor or subcontractor, while the contractor or subcontractor is not subject to civil penalty enforcement action. The amendments clarify the NRC's authority to impose a civil penalty directly on contractors or subcontractors who violate the NRC's employee protection regulations. This authority derives from Section 234 of the Atomic Energy Act, which provides that the Commission may impose civil penalties on any person who violates any rule, regulation, or order issued under any of the enumerated provisions of the Act, or any term, condition, or limitation of any license or certification issued under the Act, or who commits a violation for which a license may be revoked. Section 11s of the Atomic Energy Act broadly defines the term “person” to include any individual, corporation, partnership, firm, association, trust, estate, public or private institution group, Government agency other than the Commission, any State or any political subdivision of, or any political entity within a State, any foreign government or nation or any political subdivision of any such government or nation, or other entity; and any legal successor, representative, agent, or agency of the foregoing. In 1991, the Commission amended its regulations to allow it to take enforcement action against unlicensed persons for deliberate misconduct (56 FR 40664; August 15, 1991). In so doing, the Commission emphasized that “any person” as defined in the Atomic Energy Act necessarily encompasses non-licensees, in order to effectuate the purposes of the Act as it applies to licensees. In that rulemaking, the Commission also noted that it may be able to exercise its Section 234 authority to impose civil penalties on unlicensed persons who deliberately cause a licensee to be in violation of requirements. In 1998, the NRC issued a Severity Level I Notice of Violation without a civil penalty to Five Star Products, Inc. and Construction Products Research, Inc. in response to their discrimination against a former employee who raised safety concerns. Five Star Products, Inc. and Construction Products Research, Inc. were not licensees, but supplied safety-related basic components and services associated with those basic components to the nuclear industry at the time of the discrimination. 2 2 In an earlier case, CLI-93-23, 38 NRC 169, 178-84 (1993), the Commission held that Five Star Products is a “contractor” and Construction Products Research, Inc., is a “subcontractor” within the meaning of Section 211 of the Energy Reorganization Act of 1974, as amended, and 10 CFR 50.7. It is important that contractors and subcontractors abide by the Commission's employee protection regulations to effectuate the purposes of the Act because the activities of contractors and subcontractors can clearly affect the safe operation of a licensee's facility. These amendments allow the Commission to impose civil penalties on any non-licensee employer that discriminates against an employee for engaging in protected activity, if that employer is a contractor or subcontractor of a licensee or the Corporation at the time that the employee engaged in the protected activity that resulted in discrimination. These amendments will serve the dual objectives of deterring contractors and subcontractors from violating NRC's employee protection regulations and allowing employees to raise regulatory and safety concerns without fear of retaliation. Both of these objectives are critical to the nuclear industry's ability to carry out licensed activities safely. However, the Commission emphasizes that the amendments do not affect its ability to impose civil penalties against licensees or applicants for discrimination, nor do they diminish the focus on licensee responsibility in the investigative and enforcement process. The Commission has long held licensees to be responsible for maintaining control and oversight of contractor and subcontractor activities. The modifications to the employee protection regulations do not indicate a change in Commission policy in this regard, nor do they diminish the ability of the NRC to impose civil penalties against licensees. There may be instances when the Commission may wish to issue civil penalties to the responsible contractor or subcontractor, or both, and the licensee. The Commission is maintaining its policy of emphasizing licensee responsibilities for the actions of their contractors and subcontractors. The Commission believes that these amendments are necessary and will offer additional enhancements to the regulatory process by allowing the Commission to exercise its authority to impose a significant enforcement action (i.e., civil penalty) directly on contractors or subcontractors who violate the NRC's employee protection regulations. The NRC is not amending 10 CFR 71.9 and 72.10 to provide for imposing a civil penalty against a holder or applicant for a CoC, or contractor or subcontractor of a holder or applicant for a CoC. However, if a holder of, or applicant for, a CoC is also a contractor or subcontractor of a licensee or applicant for a license, then a civil penalty could be imposed on the holder of, or applicant for, a CoC in its capacity as a contractor or subcontractor. In addition, in drafting the proposed rule, the NRC identified that 10 CFR 76.7 does not specify the availability of civil penalties as an enforcement action. The Supplementary Information that accompanied the promulgation of 10 CFR 76.7 does not indicate that this omission was intentional. 3 Therefore, the NRC is amending 10 CFR 76.7 to bring it into conformance with the provisions of the other NRC's employee protection regulations by providing that the Commission may impose a civil penalty on the Corporation or a contractor or subcontractor of the Corporation. 3 The Supplementary Information states that part 76 is based upon comparable requirements; in particular, 10 CFR part 70, as modified for the certification process. There is no indication that the omission of civil penalties was intended as such a modification (59 FR 48944; September 23, 1994). The NRC has also revised the authority citations to correctly reflect current statutory authority. Comment Analysis The period for submitting comments on the proposed rule, draft environmental assessment, or regulatory analysis expired on April 17, 2006. The NRC received an e-mail from a private citizen and one letter from Project on Government Oversight (POGO). In general, the comments were supportive of the proposed rule. A summary of the issues raised by the commenters, followed by the NRC's responses to the comments, is provided below. *Comment summary.* A commenter stated that it should be a rare exception and require Commission consultation before the NRC staff issues an enforcement action against a contractor without taking some enforcement action against the licensee. The commenter added that the Statement of Considerations in the final rulemaking should include a statement that consultation with the Commission will be required if the NRC staff issues enforcement action against a contractor without taking enforcement action against the licensee. *Response.* The NRC agrees that enforcement action will generally continue to be taken against a licensee for the discriminatory actions of its contractors or subcontractors. The modifications to the employee protection regulations added in this rulemaking do not indicate a change in Commission policy in this regard or diminish the ability of the NRC to impose civil penalties against licensees or applicants for discrimination, nor do they diminish the focus on licensee responsibility in the investigative and enforcement process. The NRC does not believe it is necessary to require Commission consultation should the staff proceed with an enforcement action against a contractor or subcontractor but not the licensee. Instead, the NRC believes that the decision about whether to take enforcement action against a contractor without taking some enforcement action against the licensee should be determined after reviewing the circumstances surrounding the discrimination on a case-by-case basis using the guidance in the Enforcement Policy and NRC Enforcement Manual. Although the staff will not automatically seek Commission consultation in these circumstances, the Enforcement Policy currently provides that the Commission will be provided written notification of all enforcement actions involving civil penalties, and that the Commission will be consulted on any proposed enforcement action on which the Commission requests consultation. *Comment summary.* One commenter stated that the proposed rule should apply to all licensees, applicants, contractors and subcontractors, including a holder or applicant for a Certificate of Compliance
(CoC)under 10 CFR 71.9 and 72.10. *Response.* The NRC is not amending 10 CFR 71.9 or 72.10 in this rulemaking to provide for imposing a civil penalty against a holder or applicant for a CoC. However, the Commission, in SRM-SECY-05-0212, “Proposed Rulemaking—Clarification of the NRC Civil Penalty Authority Over Contractors and Subcontractors Who Discriminate Against Employees for Engaging in Protected Activities,” directed the NRC staff (although as a low priority) to draft appropriate legislative language to be provided in any future legislative request to Congress for the extension of this rulemaking to cover those excluded certificate holders. *Comment summary.* One commenter recommended that the proposed amendments to 10 CFR 30.7, 40.7, 61.9, 70.7, and 71.9 be categorized at the Agreement State Compatibility Category C designation (meets the essential objectives of NRC employee protection requirements) instead of as Agreement State Compatibility Category D (does not need to be adopted by Agreement States), as was proposed. In addition, this comment stated that the NRC should issue a policy statement to Agreement States detailing the obligations under Category C. *Response* . The Commission in SRM-SECY-99-002, dated March 12, 1999, disapproved the staff's plans to designate 10 CFR 19.20, 30.7, 40.7, 61.9, and 70.7 as compatibility Category C for Agreement States. However, the Commission provided direction to the staff that its decision could be revisited if the staff believed at some time in the future that there was a regulatory performance gap that put Agreement State licensee employees at a higher risk than NRC licensee employees as a result of the present compatibility category. The NRC staff is currently reevaluating, under an initiative separate from this rulemaking, the effects of the Category D designation on Agreement State employees. Upon completion of that evaluation, the staff will determine whether additional actions are necessary regarding Agreement State employee protection compatibility categories. That evaluation and any subsequent staff recommendations to the Commission regarding compatibility categories are separate from this rulemaking and will not be included in this rulemaking. Therefore, the current compatibility Category D designation has not been changed in this final rule. Section-by-Section Analysis of Substantive Changes Sections 30.7, 40.7, 50.7, 52.5, 60.9, 61.9, 63.9, and 70.7, are amended to provide that, in addition to imposing a civil penalty against a Commission licensee or applicant for a Commission license, the Commission may impose a civil penalty against a contractor or subcontractor of either of these entities for discriminating against an employee for engaging in protected activity. Section 71.9 is amended to provide that, in addition to imposing a civil penalty against a Commission licensee, or applicant, the Commission may impose a civil penalty against a contractor or subcontractor of these entities for discriminating against an employee for engaging in protected activity. Section 72.10 is amended to provide that, in addition to imposing a civil penalty against a Commission licensee or applicant, the Commission may impose a civil penalty against a contractor or subcontractor of the licensee, or applicant. Section 76.7 is amended to provide that the Commission may impose a civil penalty on the Corporation or contractor or subcontractor of the Corporation. Agreement State Compatibility Under the “Policy Statement on Adequacy and Compatibility of Agreement State Programs” which became effective on September 3, 1997 (62 FR 46517), NRC program elements (including regulations) are placed into Compatibility Categories A, B, C, D, NRC or category Health and Safety (H&S). Category A includes program elements that are basic radiation protection standards or related definitions, signs, labels or terms necessary for a common understanding of radiation protection principles and should be essentially identical to those of the NRC. Category B includes program elements that have significant direct transboundary implications and should be essentially identical to those of the NRC. Compatibility Category C are those program elements that do not meet the criteria of Category A or B, but the essential objectives of which an Agreement State should adopt to avoid conflict, duplication, gaps, or other conditions that would jeopardize an orderly pattern in the regulation of agreement material on a nationwide basis. Compatibility Category D are those program elements that do not meet any of the criteria of Category A, B, or C, and do not need to be adopted by Agreement States. Compatibility Category NRC are those program elements that address areas of regulation that cannot be relinquished to Agreement States under the Atomic Energy Act, as amended, or provisions of Title 10 of the Code of Federal Regulations and cannot be adopted by Agreement States. Category H&S are program elements that are not required for compatibility, but have a particular health and safety role in the regulation of agreement material and the State and should contain the essential objectives of the NRC program elements. The revisions to 10 CFR 50.7, 52.5, 60.9, 63.9, 72.10, and 76.7 are not relevant to Agreement State programs because these NRC regulations address areas of exclusive NRC authority and are designated a Compatibility Category NRC. The revisions to 10 CFR 30.7, 40.7, 61.9, 70.7, and 71.9 are categorized as Compatibility Category D, and therefore do not need to be adopted by Agreement States. Availability of Documents The NRC is making the documents identified below available to interested persons through one or more of the following methods as indicated. Public Document Room (PDR). The NRC PDR is located at 11555 Rockville Pike, Rockville, Maryland. Rulemaking Web site (Web). The NRC's interactive rulemaking Web site is located at *http://ruleforum.llnl.gov.* These documents may be viewed and downloaded electronically via this Web site. NRC's Agencywide Document Access and Management System (ADAMS). The NRC's PARS Library is located at *http://www.nrc.gov/readingrm/adams.html.* Document PDR Web ADAMS Public Comment X X ML060800443 56 FR 40664 X X Not Applicable Public Comment X X ML060880346 Final Rule—Regulatory Analysis X X ML063110473 Final Rule—Environmental Analysis X X ML063110454 Enforcement Policy Revision X X ML063110480 SECY-02-0166 X X ML022120479 SRM-SECY-02-0166 X X ML030850783 Proposed Rule FRN X X ML060120312 SECY-05-0212 X X ML052910161 SRM-SECY-05-0212 X X ML053570177 SRM-SECY-99-002 X X ML003751577 Voluntary Consensus Standards The National Technology Transfer and Advancement Act of 1995, Public Law 104-113, requires that Federal agencies use technical standards that are developed or adopted by voluntary consensus standards bodies unless using such a standard is inconsistent with applicable law or is otherwise impractical. In this final rule, the NRC is amending its regulations to enable the Commission to impose civil penalties upon non-licensee contractors and subcontractors who discriminate against employees for engaging in certain protected activities. This action does not constitute the establishment of a standard that contains generally applicable requirements. Finding of No Significant Environmental Impact: Availability The Commission has determined under the National Environmental Policy Act of 1969, Public Law 97-190 (42 U.S.C. 4321 *et seq.* ), as amended, and the Commission's regulations in Subpart A of 10 CFR Part 51, that this rule, is not a major Federal action significantly affecting the quality of the human environment; and, therefore, an environmental impact statement is not required. The basis for this determination is that this rulemaking will not significantly increase the probability or consequences of accidents, no changes will be made in the types of effluents that may be released offsite, there will be no significant increase in public radiation exposure, nor will there be a direct nor reasonably foreseeable indirect effect on the water, land, or air. The NRC requested the views of the States on the environmental assessment (EA). The EA, upon which the Commission's finding of no significant impact is based, is available for examination and copying at the NRC PDR, One White Flint North, 11555 Rockville Pike, Rockville, Maryland. No comments were received on the EA. Single copies of the analysis may be obtained from the Office of Enforcement, U.S. Nuclear Regulatory Commission, at 301-415-3456 or by e-mail at *drs@nrc.gov.* Paperwork Reduction Act Statement This final rule does not contain new or amended information collection requirements subject to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 *et seq.* ). Existing requirements were approved by the Office of Management and Budget, approval numbers 3150-0017, 3150-0020, 3150-0011, 3150-0127, 3150-0135, 3150-0199, 3150-0009, 3150-0008, 3150-0132 and 3150-0151. Public Protection Notification The NRC may not conduct or sponsor, and a person is not required to respond to, a request for information or an information collection requirement unless the requesting document displays a currently valid OMB control number. Regulatory Analysis The Commission has prepared a regulatory analysis on this final regulation. The analysis examined the costs and benefits of the alternatives considered by the Commission. No comments were received on the regulatory analysis. The regulatory analysis is available for inspection in the NRC's PDR, 11555 Rockville Pike, Rockville, MD 20852. Single copies of the analysis may be obtained from the Office of Enforcement, U.S. Nuclear Regulatory Commission, at 301-415-3456 or by e-mail at *drs@nrc.gov.* Regulatory Flexibility Certification In accordance with the Regulatory Flexibility Act (5 U.S.C. 605(b)), the Commission certifies that this rule does not have a significant economic impact on a substantial number of small entities based on the definition of “small entities” set forth in the Regulatory Flexibility Act or the Size Standards established by the Nuclear Regulatory Commission (10 CFR 2.810). The provisions only impact contractors or subcontractors of licensees or applicants who violate the NRC's regulations by discriminating against employees who engage in protected activities. Backfit Analysis The Commission has determined that the backfit rule is not required for this final rule because these amendments do not include any provisions that would require backfits as defined in 10 CFR Chapter I. Congressional Review Act Under the Congressional Review Act of 1996, the NRC has determined that this action is not a major rule and has verified this determination with the Office of Information and Regulatory Affairs, Office of Management and Budget. List of Subjects 10 CFR Part 30 Byproduct material, Criminal penalties, Government contracts, Intergovernmental relations, Isotopes, Nuclear materials, Radiation protection, Reporting and recordkeeping requirements. 10 CFR Part 40 Criminal penalties, Government contracts, Hazardous materials transportation, Nuclear materials, Reporting and recordkeeping requirements, Source material, Uranium. 10 CFR Part 50 Antitrust, Classified information, Criminal penalties, Fire protection, Intergovernmental relations, Nuclear power plants and reactors, Radiation protection, Reactor siting criteria, Reporting and recordkeeping requirements. 10 CFR Part 52 Administrative practice and procedure, Antitrust, Backfitting, Combined license, Early site permit, Emergency planning, Fees, Inspection, Limited work authorization, Nuclear power plants and reactors, Probabilistic risk assessment, Prototype, Reactor siting criteria, Redress of site, Reporting and recordkeeping requirements, Standard design, Standard design certification. 10 CFR Part 60 Criminal penalties, High-level waste, Nuclear materials, Nuclear power plants and reactors, Reporting and recordkeeping requirements, Waste treatment and disposal. 10 CFR Part 61 Criminal penalties, Low-level waste, Nuclear materials, Reporting and recordkeeping requirements, Waste treatment and disposal. 10 CFR Part 63 Criminal penalties, High-level waste, Nuclear power plants and reactors, Reporting and recordkeeping requirements, Waste treatment and disposal. 10 CFR Part 70 Criminal penalties, Hazardous materials transportation, Material control and accounting, Nuclear materials, Packaging and containers, Radiation protection, Reporting and recordkeeping requirements, Scientific equipment, Security measures, Special nuclear material. 10 CFR Part 71 Criminal penalties, Hazardous materials transportation, Nuclear materials, Packaging and containers, Reporting and recordkeeping requirements. 10 CFR Part 72 Administrative practice and procedure, Criminal penalties, Manpower training programs, Nuclear materials, Occupational safety and health, Penalties, Radiation protection, Reporting and recordkeeping requirements, Security measures, Spent fuel, Whistleblowing. 10 CFR Part 76 Certification, Criminal penalties, Radiation protection, Reporting and recordkeeping requirements, Security measures, Special nuclear material, Uranium enrichment by gaseous diffusion. For the reasons set out in the preamble and under the authority of the Atomic Energy Act of 1954, as amended; the Energy Reorganization Act of 1974, as amended; and 5 U.S.C. 552 and 5 U.S.C. 553; the NRC is adopting the following amendments to 10 CFR Parts 30, 40, 50, 52, 60, 61, 63, 70, 71, 72, and 76. PART 30—RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL 1. The authority citation for part 30 continues to read as follows: Authority: Secs. 81, 82, 161, 182, 183, 186, 68 Stat. 935, 948, 953, 954, 955, as amended, sec. 234, 83 Stat. 444, as amended (42 U.S.C. 2111, 2112, 2201, 2232, 2233, 2236, 2282); secs. 201 as amended, 202, 206, 88 Stat. 1242, as amended, 1244, 1246 (42 U.S.C. 5841, 5842, 5846); sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504 note). Section 30.7 is also issued under Pub. L. 95-601, sec. 10, 92 Stat. 2951 as amended by Pub. L. 102-486, sec. 2902, 106 Stat. 3123 (42 U.S.C. 5851). Section 30.34(b) also issued under sec. 184, 68 Stat. 954, as amended (42 U.S.C. 2234). Section 30.61 also issued under sec. 187, 68 Stat. 955 (42 U.S.C. 2237). 2. In § 30.7, paragraph (c)(2) is revised to read as follows: § 30.7 Employee protection.
(c)* * *
(2)Imposition of a civil penalty on the licensee, applicant, or a contractor or subcontractor of the licensee or applicant. PART 40—DOMESTIC LICENSING OF SOURCE MATERIAL 3. The authority citation for part 40 is revised to read as follows: Authority: Secs. 62, 63, 64, 65, 81, 161, 182, 183, 186, 68 Stat. 932, 933, 935, 948, 953, 954, 955, as amended, secs. 11e(2), 83, 84, Pub. L. 95-604, 92 Stat. 3033, as amended, 3039, sec. 234, 83 Stat. 444, as amended (42 U.S.C. 2014(e)(2), 2092, 2093, 2094, 2095, 2111, 2113, 2114, 2201, 2232, 2233, 2236, 2282); sec. 274, Pub. L. 86-373, 73 Stat. 688 (42 U.S.C. 2021); secs. 201, as amended, 202, 206, 88 Stat. 1242, as amended, 1244, 1246 (42 U.S.C. 5841, 5842, 5846); sec. 275, 92 Stat. 3021, as amended by Pub. L. 97-415, 96 Stat. 2067 (42 U.S.C. 2022); sec. 193, 104 Stat. 2835, as amended by Pub. L. 104-134, 110 Stat. 1321, 1321-349 (42 U.S.C. 2243); sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504 note). Section 40.7 is also issued under Pub. L. 95-601, sec. 10, 92 Stat. 2951 as amended by Pub. L. 102-486, sec. 2902, 106 Stat. 3123 (42 U.S.C. 5851). Section 40.31(g) also issued under sec. 122, 68 Stat. 939 (42 U.S.C. 2152). Section 40.46 also issued under sec. 184, 68 Stat. 954, as amended (42 U.S.C. 2234). Section 40.71 also issued under sec. 187, 68 Stat. 955 (42 U.S.C. 2237). 4. In § 40.7, paragraph (c)(2) is revised to read as follows: § 40.7 Employee protection.
(c)* * *
(2)Imposition of a civil penalty on the licensee, applicant, or a contractor or subcontractor of the licensee or applicant. PART 50—DOMESTIC LICENSING OF PRODUCTION AND UTILIZATION FACILITIES 5. The authority citation for part 50 is revised to read as follows: Authority: Secs. 102, 103, 104, 105, 161, 182, 183, 186, 189, 68 Stat. 936, 937, 938, 948, 953, 954, 955, 956, as amended, sec. 234, 83 Stat. 444, as amended (42 U.S.C. 2132, 2133, 2134, 2135, 2201, 2232, 2233, 2236, 2239, 2282); secs. 201, as amended, 202, 206, 88 Stat. 1242, as amended, 1244, 1246 (42 U.S.C. 5841, 5842, 5846); sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504 note). Section 50.7 is also issued under Pub. L. 95-601, sec. 10, 92 Stat. 2951 as amended by Pub. L. 102-486, sec. 2902, 106 Stat. 3123 (42 U.S.C. 5851). Section 50.10 also issued under secs. 101, 185, 68 Stat. 955, as amended (42 U.S.C. 2131, 2235); sec. 102, Pub. L. 91-190, 83 Stat. 853 (42 U.S.C. 4332). Sections 50.13, 50.54(dd), and 50.103 also issued under sec. 108, 68 Stat. 939, as amended (42 U.S.C. 2138). Sections 50.23, 50.35, 50.55, and 50.56 also issued under sec. 185, 68 Stat. 955 (42 U.S.C. 2235). Sections 50.33a, 50.55a and appendix Q also issued under sec. 102, Pub. L. 91-190, 83 Stat. 853 (42 U.S.C. 4332). Sections 50.34 and 50.54 also issued under sec. 204, 88 Stat. 1245 (42 U.S.C. 5844). Sections 50.58, 50.91, and 50.92 also issued under Pub. L. 97-415, 96 Stat. 2073 (42 U.S.C. 2239). Section 50.78 also issued under sec. 122, 68 Stat. 939 (42 U.S.C. 2152). Sections 50.80-50.81 also issued under sec. 184, 68 Stat. 954, as amended (42 U.S.C. 2234). Appendix F also issued under sec. 187, 68 Stat. 955 (42 U.S.C 2237). 6. In § 50.7, paragraph (c)(2) is revised to read as follows: § 50.7 Employee protection.
(c)* * *
(2)Imposition of a civil penalty on the licensee, applicant, or a contractor or subcontractor of the licensee or applicant. PART 52—EARLY SITE PERMITS; STANDARD DESIGN CERTIFICATIONS; AND COMBINED LICENSES FOR NUCLEAR POWER PLANTS 7. The authority citation for part 52 continues to read as follows: Authority: Secs. 103, 104, 161, 182, 183, 186, 189, 68 Stat. 936, 948, 953, 954, 955, 956, as amended, sec. 234, 83 Stat. 444, as amended (42 U.S.C. 2133, 2201, 2232, 2233, 2236, 2239, 2282); secs. 201, 202, 206, 88 Stat. 1242, 1244, 1246, as amended (42 U.S.C. 5841, 5842, 5846). 8. In § 52.5, paragraph (c)(3) is revised to read as follows: § 52.5 Employee protection.
(c)* * *
(3)Imposition of a civil penalty on the licensee, holder of a standard design approval, or applicant (including an applicant for a standard design certification under this part following Commission adoption of final design certification rule) or a contractor or subcontractor of the licensee, holder of a standard design approval, or applicant. PART 60—DISPOSAL OF HIGH-LEVEL RADIOACTIVE WASTES IN GEOLOGIC REPOSITORIES 9. The authority citation for part 60 is revised to read as follows: Authority: Secs. 51, 53, 62, 63, 65, 81, 161, 182, 183, 68 Stat. 929, 930, 932, 933, 935, 948, 953, 954, as amended (42 U.S.C. 2071, 2073, 2092, 2093, 2095, 2111, 2201, 2232, 2233); secs. 202, 206, 88 Stat. 1244, 1246 (42 U.S.C. 5842, 5846); secs. 10 and 14, Pub. L. 95-601, 92 Stat. 2951 (42 U.S.C. 2021a and 5851); sec. 102, Pub. L. 91-190, 83 Stat. 853 (42 U.S.C. 4332); secs. 114, 121, Pub. L. 97-425, 96 Stat. 2213g, 2228, as amended (42 U.S.C. 10134, 10141), and Pub. L. 102-486, sec. 2902, 106 Stat. 3123 (42 U.S.C. 5851); sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504 note). Section 60.9 is also issued under Pub. L. 95-601, sec. 10, 92 Stat. 2951 as amended by Pub. L. 102-486, sec. 2902, 106 Stat. 3123 (42 U.S.C. 5851). 10. In § 60.9, paragraph (c)(2) is revised to read as follows: § 60.9 Employee protection.
(c)* * *
(2)Imposition of a civil penalty on the licensee, applicant, or a contractor or subcontractor of the licensee or applicant. PART 61—LICENSING REQUIREMENTS FOR LAND DISPOSAL OF RADIOACTIVE WASTE 11. The authority citation for part 61 is revised to read as follows: Authority: Secs. 53, 57, 62, 63, 65, 81, 161, 182, 183, 68 Stat. 930, 932, 933, 935, 948, 953, 954, as amended (42 U.S.C. 2073, 2077, 2092, 2093, 2095, 2111, 2201, 2232, 2233); secs. 202, 206, 88 Stat. 1244, 1246, (42 U.S.C. 5842, 5846); secs. 10 and 14, Pub. L. 95-601, 92 Stat. 2951 (42 U.S.C. 2021a and 5851) and Pub. L. 102-486, sec. 2902, 106 Stat. 3123, (42 U.S.C. 5851); sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504 note). Section 61.9 is also issued under Pub. L. 95-601, sec. 10, 92 Stat. 2951 as amended by Pub. L. 102-486, sec. 2902, 106 Stat. 3123 (42 U.S.C. 5851). 12. In § 61.9, paragraph (c)(2) is revised to read as follows: § 61.9 Employee protection.
(c)* * *
(2)Imposition of a civil penalty on the licensee, applicant, or a contractor or subcontractor of the licensee or applicant. PART 63—DISPOSAL OF HIGH-LEVEL RADIOACTIVE WASTES IN A GEOLOGIC REPOSITORY AT YUCCA MOUNTAIN, NEVADA 13. The authority citation for part 63 continues to read as follows: Authority: Secs. 51, 53, 62, 63, 65, 81, 161, 182, 183, 68 Stat. 929, 930, 932, 933, 935, 948, 953, 954, as amended (42 U.S.C. 2071, 2073, 2092, 2093, 2095, 2111, 2201, 2232, 2233); secs. 202, 206, 88 Stat. 1244, 1246 (42 U.S.C. 5842, 5846); secs. 10 and 14, Pub. L. 95-601, 92 Stat. 2951 (42 U.S.C. 2021a and 5851); sec. 102, Pub. L. 91-190, 83 Stat. 853 (42 U.S.C. 4332); secs. 114, 121, Pub. L. 97-425, 96 Stat. 2213g, 2238, as amended (42 U.S.C. 10134, 10141), and Pub. L. 102-486, sec. 2902, 106 Stat. 3123 (42 U.S.C. 5851); sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504 note). 14. In § 63.9, paragraph (c)(2) is revised to read as follows: § 63.9 Employee protection.
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(2)Imposition of a civil penalty on the licensee, applicant, or a contractor or subcontractor of the licensee or applicant; or PART 70—DOMESTIC LICENSING OF SPECIAL NUCLEAR MATERIAL 15. The authority citation for part 70 is revised to read as follows: Authority: Secs. 51, 53, 161, 182, 183, 68 Stat. 929, 930, 948, 953, 954, as amended, sec. 234, 83 Stat. 444, as amended (42 U.S.C. 2071, 2073, 2201, 2232, 2233, 2282, 2297f); secs. 201, as amended, 202, 204, 206, 88 Stat. 1242, as amended, 1244, 1245, 1246 (42 U.S.C. 5841, 5842, 5845, 5846). Sec. 193, 104 Stat. 2835, as amended by Pub. L. 104-134, 110 Stat. 1321, 1321-349 (42 U.S.C. 2243); sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504 note). Sections 70.1(c) and 70.20a(b) also issued under secs. 135, 141, Pub. L. 97-425, 96 Stat. 2232, 2241 (42 U.S.C. 10155, 10161). Section 70.7 is also issued under Pub. L. 95-601, sec. 10, 92 Stat. 2951 as amended by Pub. L. 102-486, sec. 2902, 106 Stat. 3123 (42 U.S.C. 5851). Section 70.21(g) also issued under sec. 122, 68 Stat. 939 (42 U.S.C. 2152). Section 70.31 also issued under sec. 57d, Pub. L. 93-377, 88 Stat. 475 (42 U.S.C. 2077). Sections 70.36 and 70.44 also issued under sec. 184, 68 Stat. 954, as amended (42 U.S.C. 2234). Section 70.81 also issued under secs. 186, 187, 68 Stat. 955 (42 U.S.C. 2236, 2237). Section 70.82 also issued under sec. 108, 68 Stat. 939, as amended (42 U.S.C. 2138). 16. In § 70.7, paragraph (c)(2) is revised to read as follows: § 70.7 Employee protection.
(c)* * *
(2)Imposition of a civil penalty on the licensee, applicant, or a contractor or subcontractor of the licensee or applicant. PART 71—PACKAGING AND TRANSPORTATION OF RADIOACTIVE MATERIAL 17. The authority citation for part 71 is revised to read as follows: Authority: Secs. 53, 57, 62, 63, 81, 161, 182, 183, 68 Stat. 930, 932, 933, 935, 948, 953, 954, as amended, sec. 1701, 106 Stat. 2951, 2952, 2953 (42 U.S.C. 2073, 2077, 2092, 2093, 2111, 2201, 2232, 2233, 2297f); secs. 201, as amended, 202, 206, 88 Stat.1242, as amended, 1244, 1246 (42 U.S.C. 5841, 5842, 5846); sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504 note). Section 71.9 also issued under Pub. L. 95-601, sec. 10, 92 Stat. 2951, as amended by Pub. L. 102-486, sec. 2902, 106 Stat. 3123 (42 U.S.C. 5851). Section 71.97 also issued under sec. 301, Pub. L. 96-295, 94 Stat. 789-790. 18. In § 71.9, paragraph (c)(2) is revised to read as follows: § 71.9 Employee protection.
(c)* * *
(2)Imposition of a civil penalty on the licensee, applicant, or a contractor or subcontractor of the licensee or applicant; or PART 72—LICENSING REQUIREMENTS FOR THE INDEPENDENT STORAGE OF SPENT NUCLEAR FUEL, HIGH-LEVEL RADIOACTIVE WASTE, AND REACTOR-RELATED GREATER THAN CLASS C WASTE 19. The authority citation for part 72 continues to read as follows: Authority: Secs. 51, 53, 57, 62, 63, 65, 69, 81, 161, 182, 183, 184, 186, 187, 189, 68 Stat. 929, 930, 932, 933, 934, 935, 948, 953, 954, 955, as amended; sec. 234, 83 Stat. 444, as amended (42 U.S.C. 2071, 2073, 2077, 2092, 2093, 2095, 2099, 2111, 2201, 2232, 2233, 2234, 2236, 2237, 2238, 2282); sec. 274, Pub. L. 86-373, 73 Stat. 688, as amended (42 U.S.C. 2021); sec. 201, as amended; 202, 206, 88 Stat. 1242, as amended; 1244, 1246 (42 U.S.C. 5841, 5842, 5846); Pub. L. 95-601, sec. 10, 92 Stat. 2951, as amended by Pub. L. 102-485, sec. 7902, 106 Stat. 3123 (42 U.S.C. 5851); sec. 102, Pub. L. 91-190, 83 Stat. 853 (42 U.S.C. 4332); secs. 131, 132, 133, 135, 137, 141, Pub. L. 97-425, 96 Stat. 2229, 2230, 2232, 2241; sec. 148, Pub. L. 100-203, 101 Stat. 1330-235 (42 U.S.C. 10151, 10152, 10153, 10155, 10157, 10161, 10168); sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504 note). Section 72.44(g) also issued under secs. 142(b) and 148(c), (d), Pub. L. 100-203, 101 Stat. 1330-232, 1330-236 (42 U.S.C. 10162(b), 10168(c), (d)). Section 72.46 also issued under sec. 189, 68 Stat. 955 (42 U.S.C. 2239); sec. 134, Pub. L. 97-425, 96 Stat. 2230 (42 U.S.C. 10154). Section 72.96(d) also issued under sec. 145(g), Pub. L. 100-203, 101 Stat. 1330-235 (42 U.S.C. 10165(g)). Subpart J also issued under secs. 2(2), 2(15), 2(19), 117(a), 141(h), Pub. L. 97-425, 96 Stat. 2202, 2203, 2204, 2222, 2224 (42 U.S.C. 10101, 10137(a), 10161(h)). Subparts K and L are also issued under sec. 133, 98 Stat. 2230 (42 U.S.C. 10153) and sec. 218(a), 96 Stat. 2252 (42 U.S.C. 10198). 20. In § 72.10, paragraph (c)(2) is revised to read as follows: § 72.10 Employee protection.
(c)* * *
(2)Imposition of a civil penalty on the licensee, applicant, or a contractor or subcontractor of the licensee or applicant. PART 76—CERTIFICATION OF GASEOUS DIFFUSION PLANTS 21. The authority citation for part 76 is revised to read as follows: Authority: Sec. 161, 68 Stat. 948, as amended, secs. 1312, 1701, as amended, 106 Stat. 2932, 2951, 2952, 2953, 110 Stat. 1321-349 (42 U.S.C. 2201, 2297b-11, 2297f); secs. 201, as amended, 204, 206, 88 Stat. 1244, 1245, 1246 (42 U.S.C. 5841, 5842, 5845, 5846). Sec. 234(a), 83 Stat. 444, as amended by Pub. L. 104-134, 110 Stat. 1321, 1321-349 (42 U.S.C. 2243(a)); sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504 note). Section 76.7 is also issued under Pub. L. 95-601, sec. 10, 92 Stat. 2951 as amended by Pub. L. 102-486, sec. 2902, 106 Stat. 3123 (42 U.S.C. 5851). Section 76.22 is also issued under sec.193(f), as amended, 104 Stat. 2835, as amended by Pub. L. 104-134, 110 Stat. 1321, 1321-349 (42 U.S.C. 2243(f)). Section 76.35(j) also issued under sec. 122, 68 Stat. 939 (42 U.S.C. 2152). 22. Section 76.7 is amended by revising paragraph (c)(2) and adding a new paragraph (c)(3) to read as follows: § 76.7 Employee protection.
(c)* * *
(2)Imposition of a civil penalty on the Corporation or a contractor or subcontractor of the Corporation.
(3)Other enforcement action. Dated at Rockville, Maryland, this 7th day of November 2007. For the Nuclear Regulatory Commission. Annette L. Vietti-Cook, Secretary of the Commission. [FR Doc. E7-22190 Filed 11-13-07; 8:45 am] BILLING CODE 7590-01-P EMERGENCY STEEL GUARANTEE LOAN BOARD 13 CFR Part 400 [Docket No. 071031635-7636-01] Offices of Emergency Steel Guarantee Loan Board AGENCY: Emergency Steel Guarantee Loan Board. ACTION: Final rule. SUMMARY: The Emergency Steel Guarantee Loan Board (“Board”) has changed the location of its offices and is amending its regulations to reflect such change. DATES: This rule is effective November 14, 2007. ADDRESSES: Comments may be submitted by any of the following: • *E-mail: LoanBoard@doc.gov.* • *Mail:* Marcela Villalta Scott, General Counsel, Emergency Steel Guarantee Loan Board, U.S. Department of Commerce, Room 5876, Washington, DC 20230. • *Fax:* 202-482-0512. FOR FURTHER INFORMATION CONTACT: Marcela Villalta Scott, General Counsel, Emergency Steel Guarantee Loan Board, at
(202)482-3843 or *LoanBoard@doc.gov.* SUPPLEMENTARY INFORMATION: Background The principal offices of the Emergency Steel Guarantee Loan Program as set forth in 13 CFR 400.103 have changed to the U.S. Department of Commerce, Washington, DC 20230. Classification Executive Order 12866 This final rule has been determined to be exempt from Executive Order 12866. Administrative Procedure Act This rule is exempt from the rulemaking requirements contained in 5 U.S.C. 553 pursuant to 5 U.S.C. 553(a)(2), as it involves a matter relating to loans and to Board management. As such, prior notice and an opportunity for public comment and a delay in effectiveness otherwise required under 5 U.S.C. 553 are inapplicable to this rule. Regulatory Flexibility Act Because this rule is not subject to a requirement to provide prior notice and an opportunity for public comment pursuant to 5 U.S.C. 553, or any other law, the analytical requirements of the Regulatory Flexibility Act, 5 U.S.C. 601 *et seq.* , are inapplicable. List of Subjects in 13 CFR Part 400 Administrative practice and procedure, Environmental impact statement, Freedom of Information, Loan Programs—Steel, Reporting and recordkeeping requirements. Dated: November 7, 2007. Marcela Villalta Scott, General Counsel, Emergency Steel Guarantee Loan Board. For the reasons set forth in the preamble, amend 13 CFR part 400 as follows: 1. The authority citation for part 400 continues to read as follows: Authority: Pub. L. 106-51, 113 Stat. 252 (15 U.S.C. 1841 note). 2. Section 400.103 is revised to read as follows: § 400.103 Offices. The principal offices of the Board are in the U.S. Department of Commerce, Washington, DC 20230. [FR Doc. E7-22253 Filed 11-13-07; 8:45 am] BILLING CODE 3510-NB-P COMMODITY FUTURES TRADING COMMISSION 17 CFR Parts 1, 3, 4, 15, and 166 RIN 3038-AC26 Exemption From Registration for Certain Foreign Persons AGENCY: Commodity Futures Trading Commission. ACTION: Final rule. SUMMARY: The Commodity Futures Trading Commission (“Commission”) has amended Commission Regulation 3.10 concerning the registration of firms located outside the U.S. that are engaged in intermediating commodity interest transactions on U.S. designated contract markets (“DCMs”) and U.S. derivative transaction execution facilities (“DTEFs”). 1 The amended regulation codifies past actions of the Commission or its staff to permit certain foreign firms that limit their customers to foreign customers, and submit U.S. DCM and DTEF business on behalf of those customers for clearing on an omnibus basis through a registered futures commission merchant (“FCM”), to be exempt from registration as an FCM pursuant to section 4d of the Commodity Exchange Act (“Act”). The amended regulation similarly extends the relief from registration to those foreign persons acting in the capacity of an introducing broker (“IB”), commodity trading advisor (“CTA”) and commodity pool operator (“CPO”) solely on behalf of foreign customers. 1 Commission regulations referred to herein are found at 17 CFR Ch. I (2007). References to trading on U.S. DCMs or DTEFs shall include trading that is subject to the rules of such entities as well. DATES: *Effective Date:* December 14, 2007. FOR FURTHER INFORMATION CONTACT: Lawrence B. Patent, Deputy Director, or Andrew V. Chapin, Special Counsel, at
(202)418-5430, Division of Clearing and Intermediary Oversight, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street, NW., Washington, DC 20581. Electronic mail: *lpatent@cftc.gov* or *achapin@cftc.gov.* SUPPLEMENTARY INFORMATION: I. Background The Commission published for comment on April 2, 2007 proposed amendments to Commission Regulation 3.10 (“the Proposal”) 2 to clarify when certain persons located outside the U.S. may conduct commodity interest activities with respect to U.S. markets on behalf of customers located outside the U.S. without having to register in the appropriate capacity with the Commission. In particular, the Commission proposed to exempt from registration as an FCM certain foreign firms that limit their customers to foreign customers and submit U.S. DCM and DTEF business on behalf of those customers for clearing on an omnibus basis through a registered FCM. These firms were referred to in the Proposal as “foreign brokers.” The Commission also proposed to create a single definition of “foreign broker” and “commodity interest” consistent with the Proposal. 2 72 FR 15637 (April 2, 2007). Part 3 of the Commission's regulations governs the registration of intermediaries engaged in the offer and sale of, and providing advice concerning, futures and commodity options traded on U.S. markets, including both DCMs and DTEFs. In particular, Regulation 3.10 sets forth the manner in which FCMs, IBs, CTAs, CPOs, and leverage transaction merchants must apply for registration with the Commission. Regulation 3.10(c) also provides an exemption from registration for certain persons. Currently, the only exemption from registration as an FCM is for any person trading solely for proprietary accounts, as defined in Regulation 1.3(y). As explained in the Proposal, the Commission sought to provide clarity to its registration requirements under Part 3 by codifying the longstanding Commission policy, known as the “foreign broker exemption,” regarding the activities of certain foreign intermediaries engaged in soliciting or accepting commodity interest transactions solely on behalf of customers located outside the U.S. In particular, the Commission proposed to exempt from registration as an FCM any person that
(1)limits its customers to customers located outside the U.S.,
(2)confines its commodity interest activities to areas outside the U.S, *and*
(3)submits its trades for clearing on an omnibus basis through a registered FCM. II. Comments Regarding the Proposal The Commission received two comment letters on the Proposal, one from the National Futures Association (“NFA”) and one from the Futures Industry Association (“FIA”). Both NFA and FIA supported the Commission's initiative to codify the foreign broker exemption as a means to provide greater legal certainty to futures industry participants. However, FIA commented that the effect of the Proposal would be to extend the Commission's regulatory requirements over the activities of foreign brokers, rather than simply codify the Commission's existing policy. In particular, FIA stated that, as proposed, amended Regulation 3.10(c)(2)(ii) would subject foreign brokers to the full panoply of Commission regulations applicable to registered FCMs, such as requirements regarding fitness, customer funds segregation, and regulatory capital. 3 As such, FIA recommended that the Commission revise the proposed amendment to Regulation 3.10(c) to limit the extent to which the provisions of the Act and Commission regulations apply in a manner consistent with the Commission's longstanding policy towards foreign brokers. In support of its request, FIA noted that the Commission has recognized that a foreign broker holding a customer omnibus account with a registered FCM does not implicate the same regulatory concerns as a foreign broker that has more direct contact with U.S. markets, such as a registered FCM clearing on a DCM or DTEF. 4 3 Proposed Regulation 3.10(c)(2)(ii) provided that a foreign broker acting in accordance with the codified foreign broker exemption “remains subject to *all* other provisions of the Act and of the rules, regulations, and orders thereunder.” (emphasis added). 4 *See, e.g.,* 72 FR at 15639 (April 2, 2007). Additionally, both FIA and NFA recommended that the Commission provide greater legal certainty to futures industry participants by similarly codifying existing Commission policy with respect to registration exemptions for other foreign intermediaries, i.e., IBs, CTAs and CPOs, that are not engaged in commodity interest activities on behalf of U.S. customers. In support of its request, FIA referred to the **Federal Register** release issued by the Commission promulgating final rules establishing the registration requirements and procedures for introducing brokers and other futures industry professionals. In that release, the Commission stated that: given this agency's limited resources, it is appropriate at this time to focus [the Commission's] customer protection activities upon domestic firms and upon firms soliciting or accepting orders from domestic users of the futures markets and that the protection of foreign customers of firms confining their activities to areas outside this country, its territories, and possessions may best be for local authorities in such areas. 5 5 48 FR 35248, 35261 (August 3, 1983). Accordingly, FIA requested that the Commission amend its regulations to provide an exemption from registration to any foreign person engaged in the activity of an IB solely on behalf of customers located outside the U.S. Similarly, NFA referred to the no-action position taken by the Commission's Office of General Counsel stating that:
(1)A person who operates a commodity pool outside of the territorial U.S. is not required to register as a CPO when such a person confines the pool activities to areas outside the territorial U.S., none of the participants in the pool is a resident or citizen of the U.S., and none of the funds or capital contributed to the pool is from U.S. sources; and
(2)a trading advisor located outside the territorial U.S. who provides advice as to the advisability of trading futures contracts on domestic and foreign exchanges is not required to register when such a person confines its advisory services to areas outside of the territorial U.S., and none of its clients is a citizen or resident of the U.S. 6 Accordingly, NFA requested that the Commission amend its regulations to provide an exemption from registration for any foreign person acting in the capacity of a CTA or CPO solely on behalf of customers located outside the U.S. 6 CFTC Staff Letter 76-21, [1975-1977 Transfer Binder] Comm. Fut. L. Rep.
(CCH)¶ 20,222 (August 15, 1976). Consistent with this request, NFA further requested that the Commission amend Regulation 3.12(h) to create an exemption from registration as an associated person for any individual located in the branch office of a Commission registrant that does not solicit or accept orders from customers located in the U.S. The Commission did not receive any comments regarding its proposal to revise and reserve certain regulations to provide a single definition for “foreign broker” and “commodity interest” that would apply to all of its regulations. III. Final Regulations As set forth in the Proposal, the Commission believes it is appropriate to amend its regulations to provide greater legal certainty with respect to the commodity interest activities on behalf of non-U.S. customers that are undertaken on U.S. markets by persons located outside the U.S. It was the Commission's intent to codify its longstanding policy, and not to extend the scope of its regulations with respect to foreign brokers or other foreign intermediaries. As one of the commenters noted, transactions solicited or accepted by foreign brokers on behalf of non-U.S. customers for trading on U.S. markets directly implicate the pricing and hedging functions of the domestic markets, as would be the case for an entirely domestic transaction. 7 The Commission believes that the presence of a registered FCM in the clearing process obviates the need for a foreign broker to comply with the full panoply of Commission regulations applicable to registered FCMs. A registered FCM clearing a transaction on a DCM or DTEF, among other requirements, must satisfy the fitness standards administered by NFA and the minimum capital requirements set forth in Commission Regulation 1.17, as well as comply with the requirements regarding the segregation of customer funds set forth in section 4d of the Act. 7 *See Tamari* v. *Bache & Co.,* 730 F.2d 1103, 1108 (7th Cir. 1984), *cert. denied,* 469 U.S. 871
(1984)(holding that a U.S. federal district court had subject matter jurisdiction under the Act over a cause of action arising from trading on U.S. exchanges, even though the parties were located outside the U.S. and contacts between them occurred in a foreign country). In light of the comments received and its own reconsideration of the issues involved, the Commission has determined to amend Regulation 3.10 with certain revisions to the Proposal. As amended, Regulation 3.10 will specify that a foreign broker is not required to register as an FCM if it:
(1)Limits its customers to customers located outside the U.S.,
(2)confines its commodity interest activities to areas outside the U.S, *and*
(3)submits its trades for clearing on an omnibus basis through a registered FCM. A foreign broker will remain subject to existing provisions applicable to the activities of a foreign broker, including Parts 15 to 21 of the Commission's regulations regarding large trader reporting, 8 and Regulation 1.58 regarding gross collection of exchange-set margin. Conversely, a foreign broker will not be subject to any provisions of the Act or Commission rules, regulations and orders thereunder applicable solely to a registered FCM or to any person required to be so registered. For example, a foreign broker will not be required to comply with the minimum financial requirements or requirements regarding the segregation of customer funds, reporting or disclosure to customers, and related recordkeeping pertaining to the foregoing requirements. However, the provisions of the Act and Commission regulations applicable to “any person” will apply to a foreign broker, such as those prohibiting fraud or manipulation by a foreign broker trading for its own account. 8 *See, e.g.,* Regulation 15.05, which states that, absent an existing agency agreement between a foreign broker and another U.S. person, an FCM is designated as the agent of a foreign broker for purposes of accepting delivery and service issued to the foreign broker by the Commission. The agency requirement similarly applies to any IB who introduces such an account to an FCM. The Commission also has determined to adopt new Regulation 3.10(c)(3) to provide an exemption from registration to other foreign intermediaries acting solely on behalf of customers located outside the U.S. In particular, the Commission is adopting new Regulation 3.10(c)(3)(i) to provide an exemption from registration for any foreign person acting in the capacity of an IB, CTA or CPO solely with the respect to customers located outside the U.S., provided that all commodity interest transactions are submitted for clearing to a registered FCM. A foreign person acting in the capacity of a CTA or CPO will remain subject to the antifraud prohibition of section 4 *o* of the Act. Otherwise, consistent with the revised regulation applicable to foreign brokers, new Regulation 3.10(c)(3)(ii) states that any foreign person acting in accordance with this registration exemption is not required to comply with those provisions of the Act and of the rules, regulations and orders thereunder applicable solely to any person registered in such capacity, or any person required to be so registered. Consistent with the amendments applicable to foreign intermediaries, the Commission also has determined to amend Regulation 3.12 to provide an exemption from AP registration for any foreign individual located in the foreign branch office of a Commission registrant that engages in any activity as an AP, as defined in Regulation 1.3(aa), solely on behalf of customers located outside the U.S. 9 A person exempt from AP registration pursuant to this provision may not supervise other individuals engaged in the solicitation of customers located in the U.S. for trading on a DCM or DTEF. 9 *Supra,* n. 5. Regulation 1.3(aa) defines “associated person” to mean a natural person engaged in the solicitation or acceptance of customer orders, or the supervision of any person or persons so engaged. Any person seeking to act in accordance with any of the foregoing exemptions from registration should note that the prohibition on contact with U.S. customers applies to solicitation as well as acceptance of orders. If a person located outside the U.S. were to solicit prospective customers located in the U.S. as well as outside of the U.S., these exemptions would *not* be available, even if the only customers resulting from the efforts were located outside the U.S. 10 10 A person wishing to act as an intermediary for security futures transactions on a U.S. DCM or DTEF may notice register as a securities broker-dealer (“BD”) if it is registered as an FCM or IB and is a member of NFA. *See* Section 15(b)(11) of the Securities Exchange Act (15 U.S.C. 78o(b)(11)) and 17 CFR 240.15b11-1. Foreign brokers taking advantage of the exemption from registration under the Act discussed herein would not qualify for notice registration as BDs. Accordingly, if such foreign brokers want to solicit or accept orders for security futures products traded on U.S. DCMs or DTEFs, they must fully register as BDs in accordance with Section 15(b)(1) of the Securities Exchange Act and regulations thereunder, unless other relief from such registration is available. Foreign brokers may wish to consult the U.S. Securities and Exchange Commission (“SEC”) and/or private counsel regarding how taking advantage of this relief might affect their registration status with the SEC. The Commission's adoption of these rule amendments supersedes prior staff positions on these subjects. Because the rule amendments contain no substantive changes to prior staff letters, no party should be disadvantaged. The new regulations will make these staff positions more accessible and widely understood and obviate the need for individual relief. IV. Related Matters A. Administrative Procedure Act The Administrative Procedure Act generally requires that, before an agency adopts a rule, the agency provide an opportunity for notice and comment thereon. That opportunity is not required, however, when the agency for good cause finds such procedure unnecessary. The Commission has determined to amend Regulation 1.55(f) without opportunity for notice or comment. Notice and comment is unnecessary in this instance because the amendment to Regulation 1.55(f) solely corrects the reference to the citation for “institutional customer” in Regulation 1.3. B. Regulatory Flexibility Act The Regulatory Flexibility Act (“RFA”), 5 U.S.C. 601-611, requires that agencies, in proposing regulations, consider the impact of those regulations on small businesses. The Commission has previously established certain definitions of “small entities” to be used by the Commission in evaluating the impact of its regulations on such entities in accordance with the RFA. 11 The Commission previously has determined that registered FCMs are not small entities for the purpose of the RFA because each FCM has an underlying fiduciary relationship with its customers, regardless of the size of the FCM. 12 The Commission notes that certain foreign persons affected by the changes to the Commission's regulations would be registered as FCMs if not for the exemption provided therein and, as such, would maintain a fiduciary relationship with customers similar to the relationship maintained by each registered FCM. The Commission also previously has determined that registered CPOs are not small entities for the purpose of the RFA. 13 11 47 FR 18618-18621 (April 30, 1982). 12 47 FR 18619-18620. 13 47 FR 18619-18620. Other foreign persons affected by the changes would be registered as IBs and CTAs if not for the exemption provided therein. The Commission has stated that it would evaluate within the context of a particular rule whether all or some affected IBs and CTAs would be considered to be small entities and, if so, the economic impact on them of any rule. 14 Although certain foreign IBs and CTAs might be small entities for purposes of the rule, the amended rules will reduce the regulatory burden on all foreign IBs and CTAs. 14 47 FR 18618-18620; *see also* 48 FR at 35276 (August 3, 1983). Therefore, the Acting Chairman, on behalf of the Commission, hereby certifies, pursuant to 5 U.S.C. 605(b), that these regulations will not have a significant economic impact on a substantial number of small entities. No comment was received regarding the impact of these amendments on small businesses. C. Paperwork Reduction Act As required by the Paperwork Reduction Act of 1995, 15 the Commission submitted a copy of the proposed rule amendments to the Office of Management and Budget for its review. The Commission did not receive any public comments relative to its analysis of paperwork burdens associated with this rulemaking. 15 Pub. L. 104-13 (May 13, 1995). D. Costs and Benefits Analysis Section 15(a) of the Act requires the Commission to consider the costs and benefits of its actions before issuing new regulations under the Act. By its terms, Section 15(a) does not require the Commission to quantify the costs and benefits of new regulations or to determine whether the benefits of the regulations outweigh their costs. Rather, Section 15(a) requires the Commission to “consider the cost and benefits” of the subject regulations. The Commission published an analysis of costs and benefits when it proposed the rule amendments that it is now adopting. 16 It did not receive any public comments pertaining to the analysis. 16 72 FR at 15640 (April 2, 2007). List of Subjects 17 CFR Part 1 Definitions, Registration, Minimum financial and reported requirements, Prohibited transactions in commodity options, Customers' money, securities and property, Miscellaneous. 17 CFR Part 3 Definitions, Foreign futures, Consumer protection, Foreign options, Registration requirements. 17 CFR Part 4 Advertising, Commodity futures, Consumer protection, Recordkeeping and reporting requirements. 17 CFR Part 15 Brokers, Reporting and recordkeeping requirements. 17 CFR Part 166 Authorization to trade, Customer protection. In consideration of the foregoing, and pursuant to the authority contained in the Commodity Exchange Act and, in particular, Sections 2(a)(1), 4(b), 4c and 8a thereof, 7 U.S.C. 2, 6(b), 6c and 12a (1982), and pursuant to the authority contained in 5 U.S.C. 552 and 552b (1982), the Commission hereby amends Chapter I of Title 17 of the Code of Federal Regulations as follows: PART 1—GENERAL REGULATIONS UNDER THE COMMODITY EXCHANGE ACT 1. The authority citation for part 1 continues to read as follows: Authority: 7 U.S.C. 1a, 2, 5, 6, 6a, 6b, 6c, 6d, 6e, 6f, 6g, 6h, 6i, 6j, 6k, 6l, 6m, 6n, 6o, 6p, 7, 7a, 7b, 8, 9, 12, 12a, 12c, 13a, 13a-1, 16, 16a, 19, 21, 23, and 24, unless otherwise noted. 2. Section 1.3 is amended by adding paragraphs
(xx)and
(yy)to read as follows: § 1.3 Definitions.
(xx)*Foreign Broker.* This term means any person located outside the United States, its territories or possessions who is engaged in soliciting or in accepting orders only from persons located outside the United States, its territories or possessions for the purchase or sale of any commodity interest transaction on or subject to the rules of any designated contract market or derivatives transaction execution facility and that, in or in connection with such solicitation or acceptance of orders, accepts any money, securities or property (or extends credit in lieu thereof) to margin, guarantee, or secure any trades or contracts that result or may result therefrom.
(yy)*Commodity Interest.* This term means:
(1)Any contract for the purchase or sale of a commodity for future delivery; and
(2)Any contract, agreement or transaction subject to Commission regulation under section 4c or 19 of the Act. 3. Section 1.55 is amended by revising paragraph
(f)to read as follows: § 1.55 Distribution of “Risk Disclosure Statement” by futures commission merchants and introducing brokers.
(f)A futures commission merchant or, in the case of an introduced account, an introducing broker, may open a commodity futures account for an “institutional customer” as defined in § 1.3(g) without furnishing such institutional customer the disclosure statements or obtaining the acknowledgments required under paragraph
(a)of this section §§ 1.33(g) and 1.65(a)(3), and §§ 30.6(a), 33.7(a), 155.3(b)(2), 155.4(b)(2) and 190.10(c) of this chapter. § 1.56 [Amended] 4. Section 1.56 is amended by removing and reserving paragraph (a). PART 3—REGISTRATION 5. The authority citation for part 3 continues to read as follows: Authority: 5 U.S.C. 522, 522b; 7 U.S.C. 1a, 2, 4, 6, 6a, 6b, 6c, 6d, 6e, 6f, 6g, 6h, 6i, 6k, 6m, 6n, 6o, 6p, 8, 9, 9a, 12, 12a, 13b, 13c, 16a, 18, 19, 21, 23, unless otherwise noted. § 3.1 [Amended] 6. Section 3.1 is amended by removing and reserving paragraph (f). 7. Section 3.10 is amended by revising paragraph
(c)to read as follows: § 3.10 Registration of futures commission merchants, introducing brokers, commodity trading advisors, commodity pool operators and leverage transaction merchants.
(c)*Exemption from registration for certain persons.*
(1)A person trading solely for proprietary accounts, as defined in § 1.3(y) of this chapter, is not required to register as a futures commission merchant: *Provided* , that such person remains subject to all other provisions of the Act and of the rules, regulations and orders thereunder. (2)(i) A foreign broker, as defined in § 1.3(xx) of this chapter, is not required to register as a futures commission merchant if it submits any commodity interest transactions executed on or subject to the rules of designated contract market or derivatives transaction execution facility for clearing on an omnibus basis through a futures commission merchant registered in accordance with section 4d of the Act.
(ii)A foreign broker acting in accordance with paragraph (c)(2)(i) of this section is not required to comply with those provisions of the Act and of the rules, regulations and orders thereunder applicable solely to any registered futures commission merchant or any person required to be so registered. (3)(i) A person located outside the United States, its territories or possessions engaged in the activity of: An introducing broker, as defined in § 1.3(mm) of this chapter; a commodity trading advisor, as defined in § 1.3(bb) of this chapter; or a commodity pool operator, as defined in § 1.3(nn) of this chapter, in connection with any commodity interest transaction made on or subject to the rules of any designated contract market or derivatives transaction execution facility only on behalf of persons located outside the United States, its territories or possessions, is not required to register in such capacity: Provided, that any such commodity interest transaction executed on or subject to the rules of designated contract market or derivatives transaction execution facility is submitted for clearing through a futures commission merchant registered in accordance with section 4d of the Act.
(ii)A person acting in accordance with paragraph (c)(3)(i) of this section remains subject to section 4 *o* of the Act, but otherwise is not required to comply with those provisions of the Act and of the rules, regulations and orders thereunder applicable solely to any person registered in such capacity, or any person required to be so registered. 8. Section 3.12 is amended by removing “or” at the end of paragraph (h)(1)(ii), removing the period and adding a semi-colon and “or” at the end of paragraph (h)(1)(iii)(D), and adding paragraph (h)(1)(iv) to read as follows: § 3.12 Regulation of associated persons of futures commission merchants, introducing brokers, commodity trading advisors, commodity pool operators and leverage transaction merchants.
(h)* * *
(1)* * *
(iv)Engaged in any activity as an associated person, as defined in § 1.3(aa) of this chapter, from a location outside the United States, its territories or possessions, and limits such activities to customers located outside the United States, its territories or possessions. PART 4—COMMODITY POOL OPERATORS AND COMMODITY TRADING ADVISORS 9. The authority citation for part 4 continues to read as follows: Authority: 7 U.S.C. 1a, 2, 4, 6(c), 6b, 6c, 6 *l* , 6m, 6n, 6o, 12a and 23. § 4.10 [Amended] 10. Section 4.10 is amended by removing and reserving paragraph (a). PART 15—REPORTS—GENERAL PROVISIONS 11. The authority citation for part 15 continues to read as follows: Authority: 7 U.S.C. 2, 5, 6(c), 6a, 6c(a)-(d), 6f, 6g, 6i, 6k, 6m, 6n, 7, 9, 12a, 19 and 21, as amended by the Commodity Futures Modernization Act of 2000, Appendix E of Pub. L. 106-554, 114 Stat. 2763 (2000). § 15.00 [Amended] 12. Section 15.00 is amended by removing and reserving paragraph (g). PART 166—CUSTOMER PROTECTION RULES 13. The authority citation for part 166 continues to read as follows: Authority: 7 U.S.C. 1a, 2, 6b, 6c, 6d, 6g, 6h, 6k, 6l, 6o, 7, 12a, 21, and 23, as amended by the Commodity Futures Modernization Act of 2000, Appendix E of Pub. L. 106-554, 114 Stat. 2763 (2000). § 166.1 [Amended] 14. Section 166.1 is amended by removing and reserving paragraph (b). Dated: November 7, 2007. By the Commission. David Stawick, Secretary of the Commission. [FR Doc. E7-22110 Filed 11-13-07; 8:45 am] BILLING CODE 6351-01-P DEPARTMENT OF ENERGY Federal Energy Regulatory Commission 18 CFR Part 388 [Docket No. RM06-23-000; Order No. 702] Critical Energy Infrastructure Information Issued October 30, 2007. AGENCY: Federal Energy Regulatory Commission, DOE. ACTION: Final rule. SUMMARY: The Federal Energy Regulatory Commission (Commission) is issuing this final rule amending its regulations for gaining access to critical energy infrastructure information (CEII). The final rule reflects comments filed in response to the September 21, 2006 notice seeking public comment on proposed changes to the Commission's CEII rules. The final rule: Modifies non-disclosure agreements; modifies the Commission's process to allow the CEII Coordinator to respond to CEII requests by letter; provides landowners access to alignment sheets for the routes across or in the vicinity of their properties; includes a fee provision; limits the portions of forms and reports the Commission defines as containing CEII; eliminates as a category of documents the Non-Internet Public designation; and provides that the Commission will seek a requester's date and place of birth on a case-by-case basis rather than require that information with every request for CEII. Finally, the request for social security numbers is being eliminated. DATES: *Effective Date:* The rule will become effective December 14, 2007. FOR FURTHER INFORMATION CONTACT: Jeffrey H. Kaplan, Office of the General Counsel, GC-13, Federal Energy Regulatory Commission, 888 First Street, NE., Washington, DC 20426, 202-502-8788. SUPPLEMENTARY INFORMATION: Before Commissioners: Joseph T. Kelliher, Chairman; Suedeen G. Kelly, Marc Spitzer, Philip D. Moeller, and Jon Wellinghoff 1. On September 21, 2006, the Commission issued a Notice of Proposed Rulemaking
(NOPR)on its procedures for dealing with critical energy infrastructure information (CEII). 1 After receiving comments in response to the NOPR, the Commission amends and clarifies 18 CFR 388.113 and its CEII process. 1 *Critical Energy Infrastructure Information,* 71 FR 58325 (October 3, 2006), FERC Stats. & Regs. ¶ 32,607 (2006). Background 2. Shortly after the attacks on September 11, 2001, the Commission began its efforts with respect to CEII. 2 As a preliminary step, the Commission removed from its public files and Internet page documents such as oversized maps that were likely to contain detailed specifications of facilities, and directed the public to use the Freedom of Information Act
(FOIA)request process to obtain such information. 3 The Commission established its CEII rules in Order Nos. 630 and 630-A. 4 2 *See Statement of Policy on Treatment of Previously Public Documents,* 66 FR 52917 (Oct. 18, 2001), 97 FERC ¶ 61,130 (2001). 3 The FOIA process is specified in 5 U.S.C. 552 and the Commission's regulations at 18 CFR 388.108. 4 *Critical Energy Infrastructure Information,* Order No. 630, 68 Fed. Reg. 9857 (Mar. 3, 2003), FERC Stats. & Regs. ¶ 31,140 (2003); *order on reh'g,* Order No. 630-A, 68 FR 46456 (Aug. 6, 2003), FERC Stats. & Regs. ¶ 31,147 (2003). 3. On the same day as the Commission issued the NOPR in this docket it also issued an instant and final rule that clarified the definition of CEII, required requesters of CEII to submit executed non-disclosure agreements with their requests, and provided that the notice and opportunity to comment on a CEII request would be combined with the notice of release of information. 5 Thus, the current procedures require that each CEII requester file a signed, written request in which he or she provides to the CEII Coordinator detailed information about himself or herself and his or her need for the information, along with an executed non-disclosure agreement. Commission staff verifies and utilizes this information to determine whether to release the CEII to the requester. The current process requires that Commission staff verify each requester when each request is made. This final rule under consideration here reflects the Commission's ongoing commitment to evaluate the effectiveness of the CEII regulations and make changes as necessary. 5 *See Critical Energy Infrastructure Information,* Order No. 683, 71 FR 58273 (October 3, 2006), FERC Stats. & Regs. ¶ 31,228
(2006)(September 21 Order); *order on reh'g* , Order No. 683-A, 72 FR 18572 (April 13, 2007) (Order No. 683-A). Summary and Discussion of Comments Received A. Introduction 4. In the NOPR, the Commission invited comments on the following issues:
(1)Annual certification for repeat requesters,
(2)execution of non-disclosure agreements by authorized representatives of organizations on behalf of all of the organizations' employees,
(3)charging fees,
(4)issuing letter responses to CEII requests;
(5)providing alignment sheets to landowners for the routes across or in the vicinity of their properties;
(6)limiting the portions of forms and reports the Commission now defines as containing CEII; and
(7)eliminating the Non-Internet Public
(NIP)designation. The Commission received thirteen responses to the NOPR. 6 While some of the comments address the specific questions raised by the Commission, many of the comments relate to other aspects of the CEII process. Commenters raise issues regarding verification of requesters and the use of non-disclosure agreements and how to ensure compliance with such agreements. In addition, at least one commenter raises concerns about CEII claims in the context of market-based rate filings, and how the typical CEII response times makes it difficult to participate in such proceedings. Several commenters raise issues regarding state agency requests for CEII. These issues are discussed below. 6 *See* Appendix A for a list of commenters. In addition to the submitted comments, in the Commission's final rule on Regulations for Filing Applications for Permits to Site Interstate Electric Transmission Facilities, the Commission stated that copies of the comments submitted by Western Energy Board, NARUC, and California Resources will be placed in the official record in Docket No. RM06-23-000, and will be addressed in this proceeding. *See Regulations for Filing Applications for Permits to Site Interstate Electric Transmission Facilities,* 71 FR 69440 (Dec. 1, 2006); FERC Stats. & Regs. ¶ 31,234 (2006). B. Annual Certification for Repeat Requesters 5. Several commenters support the Commission's proposal to allow an annual certification for repeat requesters. 7 AGA states that expediting access to frequent requesters is appropriate, particularly since many parties, such as local distribution companies, need repeated access to CEII to evaluate proposed certificate or rate and tariff-related proposals. 8 MidAmerican and Williston Basin both support annual certification for repeat requesters provided that the submitter of the CEII is given notice of each request. 9 Similarly, INGAA requests that the Commission clarify that submitters of CEII receive notice of subsequent requests by certified requesters. 7 Department of the Interior at p. 3, APPA and TAPS at pp. 5-6, AGA at p. 3, and EEI Reply Comments at p. 5. 8 AGA at p. 3. 9 MidAmerican at pp. 2-3 and Williston Basin at p. 3. 6. Although several commenters generally support eliminating redundant requirements, they contend that an annual certification period that does not require a non-disclosure agreement for each requester is not appropriate in all instances. 10 The Department of the Interior suggests that once the CEII Coordinator determines that a requester does not pose a security risk, there should be some mechanism to consider changed circumstances. 11 In addition, Dominion contends that the Commission lacks meaningful sanctions for violations of a non-disclosure agreement. 12 EEI asserts that the Commission's proposal does not clearly state that the first non-disclosure agreement signed by a requester in a given year will apply to all subsequent releases of CEII in that year to that requester. 13 10 Dominion at p. 6 and EEI Reply Comments at p. 5. 11 Department of the Interior at p. 3. 12 Dominion at p. 4. 13 EEI at pp. 10-11. 7. The California Agencies contend that the NOPR relaxes the required showing of a particular need for CEII for a twelve-month period. 14 14 California Agencies at p. 9. Commission Determination 8. The Commission takes this opportunity to clarify several aspects of its CEII procedures. First, the Commission encourages filers to negotiate with requesters to provide data directly to the requesters, where appropriate. Second, if a CEII requester receives an annual certification, it simply means that the Commission does not have concerns about releasing CEII to that individual. In response to the concerns raised by MidAmerican, Williston Basin, and INGAA, such an annual certification does not eliminate the current requirement to notify the submitter of CEII and give the submitter an opportunity to comment on all requests for CEII. 15 In answer to the California Agencies' concerns, as the Commission explained in the NOPR, with each request, the requester will be required to provide detailed information as to why he or she needs the CEII. 16 In response to EEI's concern, the Commission clarifies that the executed non-disclosure agreement originally submitted by the requester will apply to all CEII the requester receives from the Commission that year. In answer to the Department of the Interior's concern for a mechanism to consider changed circumstances, the Commission will modify the sample non-disclosure agreements posted on its Web site to require that a requester notify the Commission of any change in the information the requester originally provided, *e.g.* , a change in employment status. 17 15 *See* 18 CFR 388.112. 16 NOPR at P 5. 17 The Commission clarifies that it will continue to use the five types of NDAs posted on its Web site, *http://www.ferc.gov,* with the modifications discussed above. The five types of NDAs posted on the Commission's Web site are:
(1)A general NDA,
(2)a media NDA,
(3)a state agency employee NDA,
(4)a consultant NDA, and
(5)a Federal Agency Acknowledgement and Agreement. 9. The commenters' concerns regarding the Commission's ability to enforce the terms of the non-disclosure agreements are unwarranted. The Commission will address any violations and utilize sanctions, where appropriate, including civil penalties and criminal referrals. To date, no violations of non-disclosure agreements have been alleged against those granted access to CEII. C. Authorized Representative of an Organization To Execute a Non-Disclosure Agreement 10. A few commenters generally support allowing an authorized representative of an organization to execute a non-disclosure agreement on behalf of the organization's employees. 18 Williston Basin requests that the submitters of the CEII receive notice of all requests for release and have an opportunity to comment, *i.e.* , Williston Basin requests that the Commission clarify that this current practice will continue. 19 18 Williston Basin at p. 3, APPA and TAPS at p. 5, and EEI Reply Comments at p. 5. 19 Williston Basin at p. 3. 11. Several commenters oppose allowing a single representative to execute a non-disclosure agreement on behalf of an entire organization. 20 A couple of commenters contend that certifying all employees of a requesting organization is too broad as it would allow access to CEII by individuals who may not need to review it. 21 Similarly, INGAA states that the NOPR proposal that a “member or employee of an organization” may obtain CEII on behalf of an organization is too broad and undefined. 22 The Allegheny Energy Companies and Dominion express concerns regarding whether a representative could bind an organization. 23 20 SCE at p. 2, AGA at p. 4, Dominion at p. 8, INGAA at pp. 2-3, MidAmerican at p. 3, and EEI at p. 10. 21 AGA at p. 4 and MidAmerican at pp. 3-4. 22 INGAA at p. 3. 23 Allegheny at p. 7, Dominion at pp. 5-6. Commission Determination 12. After reviewing the comments received, the Commission is making the following changes to its proposal in the NOPR. First, all individuals in an organization with access to CEII must be named in the non-disclosure agreement and must also execute the non-disclosure agreement. Second, any subsequent additions to or deletions of names on the non-disclosure agreement must be sent to the Commission as well as to the submitter of the CEII. Further, the revised non-disclosure agreement should be executed by the newly-named individuals. If there is no written opposition within five
(5)days of notifying the CEII Coordinator and the submitter concerning the addition of any newly-named individuals, the CEII Coordinator will issue a standard notice accepting the additions of names to the non-disclosure agreement. If there is a timely opposition from the submitter, the CEII Coordinator will issue a formal determination addressing the merits of such opposition. These changes attempt to ensure that all persons with access to CEII acknowledge their responsibilities while avoiding multiple filings from each organization. D. Fee Provision 13. The Commission sought comments on its proposal to extend the fee schedule used for FOIA requests to CEII requests. One commenter, MidAmerican, states that it is appropriate to charge fees for processing CEII requests. 24 MidAmerican further states that, provided the Commission's administrative costs for processing CEII requests are similar to the costs of processing FOIA requests, it supports the Commission's proposal. 24 MidAmerican at p. 4. 14. As explained in the NOPR, Commission staff expends valuable time and resources searching, reviewing, and copying documents responsive to CEII requests. The administrative costs of processing CEII requests are similar to the costs of processing FOIA requests. Therefore, the Commission's regulations will be modified to extend the FOIA fee schedule to CEII requests. E. Responding to CEII Requests With Letters 15. While most commenters do not address the Commission's proposal to issue letters rather than delegated orders in response to CEII requests, one commenter supports the proposal 25 and two commenters oppose it. 26 EEI asserts that the NOPR “forc[es] submitters who oppose release to pursue complex ‘reverse FOIA' litigation rather than the much more straight forward rehearing request and appellate review.” 27 SCE contends that the Commission's CEII regulations were specifically designed to protect security and safety information, which is different from other confidential information. Therefore, SCE asserts that parties should not be denied remedies, including the right to rehearing, if they believe a serious security risk is posed by the release of CEII. 28 25 MidAmerican at p. 2. 26 SCE at pp. 3-4; EEI at pp. 5-6. 27 EEI at p. 5. EEI contends that the September 21 Order's combination of the notice and opportunity to comment with the notice of release eliminates due process rights of CEII submitters by reducing the notice period. The Commission addressed these concerns in Order No. 683-A at P 9-11. 28 SCE at pp. 3-4. Commission Determination 16. In response to EEI's observation that those who object to the CEII Coordinator's and General Counsel's decisions concerning access to CEII will have to seek judicial rather than Commission remedies, we take this opportunity to clarify and reiterate that a CEII Coordinator's decision denying access to CEII may be appealed by a requester to the General Counsel as a FOIA appeal pursuant to section 388.110. That is the process contemplated in the Administrative Procedure Act 29 for seeking information under the FOIA and there is no reason to have a different process for CEII requests. 30 29 5 U.S.C. Subchapter II. 30 Consistent with FOIA procedures, a CEII determination that withholds information will explain the appeal rights of the CEII requester. 17. SCE is mistaken that the Commission has separate regulations for CEII because the information is “more sensitive than other non-public information.” 31 To the contrary, as CEII, by definition, is exempt from disclosure pursuant to FOIA, 32 the Commission developed its CEII regulations as a disclosure mechanism to provide CEII to those with a legitimate need for it. 33 31 SCE at p. 3. 32 In its comments, AGA states that there appears to be the potential for requesters to circumvent CEII protection by filing FOIA requests. AGA at pp. 5-6. But in the event documents containing CEII are deemed responsive to FOIA requests, they are exempt from mandatory disclosure pursuant to Exemption 7(F). *See* 5 U.S.C. § 552 (b)(7)(F). Therefore, CEII can only be obtained through the CEII process. 33 *See, e.g.,* Order No. 630 at P 16. F. Landowners' Access to Alignment Sheets 18. In the NOPR, the Commission proposed to grant access to alignment sheets filed pursuant to section 380.12(c)(3)(ii) to landowners for routes across or in the vicinity of their properties. 34 SCE does not oppose the proposal provided that the landowners receive only those sheets related to their properties and the alignment sheets retain the CEII designation. 35 Several commenters oppose this proposal and allege that granting access should be accompanied by a non-disclosure agreement or some other restriction on the publication of the information. 36 EEI asserts that the Commission's proposal is overbroad that there must be a limit on access such as to those showing a substantial property nexus to the project. 37 INGAA suggests that the Commission specify which landowners may obtain detailed alignment sheets by utilizing the definition of landowners entitled to notice under section 157.6(d)(2) 38 of the Commission's regulations. 39 Dominion and Williston Basin state that there is some ambiguity concerning the proper classification of alignment sheets as CEII seeks clarification of the type of information found in alignment sheets that could be considered CEII. 40 Williston Basin also seeks clarification on whether companies will be required to post the alignment sheets on their Web sites. 41 34 NOPR at P 13. 35 SCE at p. 4. 36 INGAA at pp. 3-4, AGA at pp. 4-5, Dominion at pp. 8-9, and EEI at p. 10. 37 EEI at p. 10. 38 18 CFR 157.6(d)(2) (2007). 39 INGAA at pp. 3-4. 40 Dominion at p. 9 and Williston Basin at p. 4. 41 Williston Basin at p. 4. Commission Determination 19. The Commission notes that alignment sheets can be labeled CEII only if they contain qualifying detailed engineering information. Alignment sheets often do not contain such detail, and, therefore, will simply be public information. The Commission clarifies its proposal that, for alignment sheets that do contain CEII, each landowner access only the alignment sheet for the limited portion of a project that would affect his or her land and the adjacent parcel on each side (or those on the same alignment sheet). The Commission understands that a landowner may want to discuss the proposed project with other family members, with legal counsel, or others. The Commission will not limit such discussions by requiring a landowner to sign a non-disclosure agreement. The Commission further clarifies that it does not require that companies post alignment sheets on their Web sites yet acknowledges that companies may choose to do so based on their public participation plans. 20. The Commission accepts INGAA's proposal to use the definition of landowner at 18 CFR 157.6(d)(2) as the means of identifying which landowners may obtain alignment sheets containing CEII without executing non-disclosure agreements. G. Forms Containing CEII 21. In the NOPR, the Commission provided guidelines for labeling specific documents submitted to the Commission as CEII. There were several comments regarding the guidelines. 42 APPA and TAPS support the guidance. 43 MidAmerican suggests that the Commission incorporate the guidelines into specific filing instructions for documents regularly filed with the Commission. 44 INGAA and Williston Basin both note that the Commission did not include Exhibit G-II, which contains flow diagram data, in its guidelines for identifying CEII. 45 They contend that this exhibit includes information that may be useful to those with intent to do harm and request that the Commission include Exhibit G-II in its guidelines as a document that contains CEII. 46 42 APPA and TAPS at pp. 6-7, MidAmerican at p. 4, INGAA at pp. 6-7, and Williston Basin at 6. 43 APPA and TAPS at pp. 6-7. 44 MidAmerican at p. 4. 45 INGAA at pp. 6-7 and Williston Basin at p. 6. 46 *Id.* Commission Determination 22. The Commission clarifies that Exhibit G-II may contain CEII. Further, if an applicant believes that information in Exhibit G-II meets the definition of CEII, then the relevant part of the exhibit should be filed as CEII. Therefore, the Commission adopts the guidelines proposed in the NOPR with the addition of the Exhibit G-II as a document that may contain CEII. 47 47 NOPR at P 10-15. H. Elimination of the Non-Internet Public Category 23. Two commenters support the Commission proposal to eliminate the NIP category of documents. 48 Dominion states that abolishing NIP category will be more efficient and will make the information more accessible to interested parties. AGA asserts that the Commission's proposal to eliminate NIP “appears to reflect the reality of the public's continued access to energy infrastructure data from sources beyond the Commission's control.” 49 48 Dominion at p. 5 and AGA at p. 3. 49 AGA at p. 3. 24. Several commenters oppose the elimination of the NIP designation claiming that elimination will make it easier for individuals with malicious intent to obtain locational information. 50 Further, these commenters contend that the fact that such information is publicly available from other sources is not a valid reason to abolish the NIP designation. Rather, they contend that the Commission should set an example by retaining the NIP category to encourage other sources to be more cautious in their treatment of sensitive information. Before abolishing the NIP designation, NHA suggests that the Commission “make a last attempt to resolve the confusion through the issuance of additional guidance or outreach[.]” 51 50 EEI at pp. 9-10, Williston Basin at pp. 4-5, and INGAA at pp. 4-6. 51 NHA at p. 2. Commission Determination 25. The Commission does not agree that NIP should be retained. Much of the information now designated as NIP is easily available on-line from other sources, such as the United States Geological Survey or commercial mapping firms. As such, retaining the NIP designation does not enhance security or safety. Further, the information is publicly available from the Commission's Public Reference Room. Withholding this information from the Commission's Web site may be perceived as a hindrance to individuals seeking to access public information. 26. Regarding the approximately 5,400 NIP documents currently in the Commission's e-library records, the NOPR proposed that these documents simply retain the NIP designation in e-library. 52 The Commission has determined that this will create confusion. Therefore, the Commission will provide a sixty-day time period from the date this order is issued in which previous submitters of NIP may specifically identify any documents they believe may now qualify for CEII protection. After the sixty-day period, all NIP documents not identified as CEII will be made publicly available. 52 A list of these documents may be obtained by performing an advanced search on e-library, selecting only “Non-Internet Public” in the “Availability” section. 27. Submitters of NIP who believe that the documents contain CEII should file requests with the Secretary in this docket (RM06-23-000) within sixty-days requesting that the designations be changed. Such requests should identify the specific documents by accession numbers and provide an accurate description of the documents. I. State and Local Agencies' Comments 28. Several state agencies, organizations of states, and a county government requested that state agencies and those similarly situated be allowed to obtain CEII outside the normal process because they are entrusted with the public safety of their citizens. 53 EEI contends that such agencies should not be allowed special access to CEII. 54 53 California State Agencies at pp. 8-10, County of Butte at pp. 2-3, WIEB and CREPC at pp. 7-8, NARUC at p. 12, and California Resources Agency at pp. 1-2. 54 EEI Reply Comments at p. 6. Commission Determination 29. The Commission will not allow state agencies and local governments special access to CEII on a generic basis because such entities (unlike other federal agencies) may not be required to maintain the documents in the way the Commission maintains them. Moreover, state FOIA laws vary, and generic access to CEII for state agencies and local governments may not sufficiently protect CEII from release pursuant to state law. Nonetheless, the Commission will utilize a case-by-case approach that may permit states and other governmental entities to enter into memoranda of understanding with the Commission to simplify access to CEII while ensuring appropriate protection of CEII. J. A Requestor Shall Submit a Date and Place of Birth Upon Request; Social Security Numbers Are Not Needed 30. Currently, section 388.113(d) requires that a requester provide his or her date and place of birth in each request for CEII. Experience in processing requests for CEII since issuance of Order No. 630 has shown that the legitimacy of a particular requester can usually be determined from information other than the requester's date and place of birth. However, occasionally, a date and place of birth are needed to assess the legitimacy of a requester. Therefore, we are revising section 388.113(d) to obtain that information on a case-by-case basis rather than obtain it in every instance. When needed, the CEII Coordinator will ask the requester to provide his or her date and place of birth to process the request for CEII. 31. In a similar vein, the Commission will revise section 388.113(d) to eliminate the request for voluntary submission of social security numbers. Again, experience has shown that social security numbers are not needed to determine the legitimacy of requesters. 32. These revisions will minimize privacy concerns regarding the Commission's collection and maintenance of personally identifiable information without compromising security regarding the release of CEII. K. Miscellaneous Issues 33. The Department of the Interior states that the NOPR offers a more efficient process for handling CEII requests. Nonetheless, the Department of the Interior contends that it needs ready access to such information. 55 In Order No. 662, the Commission modified its CEII regulations to simplify federal agencies' access to CEII. 56 Pursuant to section 388.113(d)(2) of the Commission's regulations, “An employee of a federal agency acting within the scope of his or her federal employment may obtain CEII directly from Commission staff without following the procedures outlined in paragraph (d)(3) of this section.” 55 Department of the Interior at p. 2. 56 *See Critical Energy Infrastructure Information* , Order No. 662, 70 FR 37031 (June 28, 2005), FERC Stats. & Regs. ¶ 31,189
(2005)(Order No. 662). 34. APPA and TAPS state that the time frame for requesting, obtaining, and reviewing CEII is insufficient in market-based rate proceedings that routinely provide a notice period of 21 days. 57 As the Commission explained in Order No. 662, it is willing to consider on a case-by-case basis requests for extensions of time to prepare protests to market-based rate filings where an intervenor demonstrates that it needs additional time to obtain and analyze CEII. 58 The Commission further encourages the parties in cases in which CEII is filed to promptly negotiate a protective order in the proceeding. 59 Moreover, the Commission, in its NOPR regarding market-based rates for wholesale sales of electric energy, capacity and ancillary services by public utilities, sought comments on whether CEII designations remain a concern since issuance of Order No. 662. 60 In the market-based rate Final Rule, the Commission adopted procedures, now codified as section 37.35(f) of the Commission's regulations, to ensure that intervenors have prompt access to relevant information for which privileged treatment, including CEII, is claimed. 61 57 APPA and TAPS at pp. 4-5. 58 Order No. 662 at P 25. 59 *Id.* 60 *Market-Based Rates for Wholesale Sales of Electric Energy, Capacity and Ancillary Services by Public Utilities* , 71 FR 33102, FERC Stats. & Regs. ¶ 32,602
(2006)(MBR NOPR). 61 * See also Market-Based Rates for Wholesale Sales of Electric Energy, Capacity and Ancillary Services by Public Utilities * , Order No. 697, 119 FERC ¶ 61,295 (June 21, 2007) (market-based rate Final Rule). 35. In the NOPR, the Commission stated that it “retains its concern for CEII filing abuses and will take action against applicants or parties who knowingly misfile information as CEII, including rejection of an application where information is mislabeled as CEII.” 62 While some commenters welcome the Commission's reminder regarding filing abuses, 63 several commenters express concern. 64 Dominion requests that the Commission clarify that errors in classification based upon a reasonable, good faith interpretation of the Commission's regulations will not result in a rejection of a filing. 65 Dominion and NHA both recommend that the Commission reject a license application only as a measure of last resort and only for the most egregious of cases. 66 NHA further recommends continued outreach to the industry to reduce designation errors. 67 EEI urges the Commission to notify the submitter of the information if the Commission believes that he or she has improperly labeled information as CEII or if the submitter has failed to provide a justification for treating the information as CEII. 68 62 NOPR at P 16. 63 APPA and TAPS at p. 6 and AGA at p. 3. 64 NHA at pp. 1-2, Dominion at pp. 10-12, and EEI at pp. 8-9. 65 Dominion at p. 11. 66 Dominion at p. 12 and NHA at p. 2. 67 *Id* . 68 EEI at p. 9. 36. The Commission has continuously sought to dissuade applicants from carelessly using the CEII designation because such misuse prevents interested parties and other members of the public with a legitimate need from accessing information in a timely manner. The Commission stated as a reminder in the NOPR that applications may be rejected for failing to comply with the Commission's regulations at 18 CFR 388.112(b)(1). 69 As the Commission explained in the Order No. 683-A, “[i]n instances in which documents are rejected for filing, the rejection is usually without prejudice and no substantive rights are lost. The application must merely be refiled in accordance with the procedural requirements.” 70 69 NOPR at P 16-17. 70 Order No. 683-A, P 12. 37. The Commission agrees that continued outreach will help to diminish designation errors. To this end, the Secretary of the Commission will continue to post filing guidance on the Commission's Web site. 38. The Commission will also revise section 388.112(d) to reflect an internal procedural change. Section 388.112(d) currently provides that, when a FOIA or CEII request is received for information that was submitted to the Commission with a claim of privilege or CEII status, or when the Commission is considering release of such information, the Commission official who will determine whether to release the information will notify the submitter and provide an opportunity to comment. But in many instances, it is practical for an individual other than the official responsible for determining whether to release the information to provide such notice. Therefore, the Commission has decided to revise section 388.112(d) of its regulations to provide that any appropriate official may provide notice to the submitter. Information Collection Statement 39. The Office of Management and Budget's (OMB's) regulations require that OMB approve certain information collection requirements imposed by agency rule. 71 This final rule does not impose any additional information collection requirements. Therefore, the information collection regulations do not apply to this final rule. 71 5 CFR 1320.12. Environmental Analysis 40. The Commission is required to prepare an Environmental Assessment or an Environmental Impact Statement for any action that may have a significant adverse effect on the human environment. 72 The Commission has categorically excluded certain actions from this requirement as not having a significant effect on the human environment. Included in the exclusions are rules that are clarifying, corrective, or procedural or that do not substantially change the effect of the regulations being amended. 73 This rule is procedural in nature and therefore falls under this exception; consequently, no environmental consideration is necessary. 72 Order No. 486, *Regulations Implementing the National Environmental Policy Act,* 52 FR 47897 (Dec. 17, 1987), FERC Stats. & Regs. Preambles 1986-1990 ¶ 30,783 (1987). 73 18 CFR 380.4(a)(2)(ii). Regulatory Flexibility Act Certification 41. The Regulatory Flexibility Act of 1980 74 generally requires a description and analysis of final rules that will have significant economic impact on a substantial number of small entities. The Commission is not required to make such analyses if a rule would not have such an effect. The Commission certifies that this rule would not have such an impact on small entities. 74 5 U.S.C. 601-612. Document Availability 42. In addition to publishing the full text of this document in the **Federal Register** , the Commission provides all interested persons an opportunity to view and/or print the contents of this document via the Internet through FERC's Home Page ( *http://www.ferc.gov* ) and in FERC's Public Reference Room during normal business hours (8:30 a.m. to 5 p.m. Eastern time) at 888 First Street, NE., Room 2A, Washington, DC 20426. 43. From FERC's Home Page on the Internet, this information is available in the Commission's document management system, eLibrary. The full text of this document is available on eLibrary in PDF and Microsoft Word format for viewing, printing, and/or downloading. To access this document in eLibrary, type the docket number excluding the last three digits of this document in the docket number field. 44. User assistance is available for eLibrary and the FERC's Web site during normal business hours. For assistance, please contact FERC Online Support at 1-866-208-3676 (toll free) or 202-502-6652 (e-mail at *FERCOnlineSupport@FERC.gov* ), or the Public Reference Room at 202-502-8371, TTY 202-502-8659 (e-mail at *public.referenceroom@ferc.gov).* Effective Date 45. These regulations are effective December 14, 2007. 46. The provisions of 5 U.S.C. 801 regarding Congressional review of Final Rules do not apply to this Final Rule, because the rule concerns agency procedure and practice and will not substantially affect the rights of non-agency parties. List of Subjects in 18 CFR Part 388 Confidential business information, Freedom of information. By the Commission. Kimberly D. Bose, Secretary. In consideration of the foregoing, the Commission amends part 388, Chapter I, Title 18, *Code of Federal Regulations,* as follows: PART 388—INFORMATION AND REQUESTS 1. The authority citation for part 388 continues to read as follows: Authority: 5 U.S.C. 301-305, 551, 552 (as amended), 553-557; 42 U.S.C. 7101-7352. 2. Section 388.109 is amended by revising paragraph
(b)to read as follows: § 388.109 Fees for record requests.
(b)*Fees for records not available through the Public Reference Room (FOIA or CEII requests).* The cost of duplication of records not available in the Public Reference Room will depend on the number of documents requested, the time necessary to locate the documents requested, and the category of the persons requesting the records. The procedures for appeal of requests for fee waiver or reduction are set forth in § 388.110. 3. Section 388.112 is amended by removing paragraph (a)(3) and revising paragraphs
(b)and
(d)to read as follows: § 388.112 Requests for special treatment of documents submitted to the Commission.
(b)Procedures. A person claiming that information warrants special treatment as CEII or privileged must file:
(1)A written statement requesting CEII or privileged treatment for some or all of the information in a document, and the justification for special treatment of the information; and
(2)The following, as applicable:
(i)An original plus the requisite number of copies of the public volume filed and marked in accordance with instructions issued by the Secretary;
(ii)An original plus two copies of the CEII volume, if any, filed and marked in accordance with instructions issued by the Secretary; and
(iii)An original only of the privileged volume, if any, filed and marked in accordance with instructions issued by the Secretary.
(d)Notification of request and opportunity to comment. When a FOIA or CEII requester seeks a document for which privilege or CEII status has been claimed, or when the Commission itself is considering release of such information, the Commission official who will decide whether to release the information or any other appropriate Commission official will notify the person who submitted the document and give the person an opportunity (at least five calendar days) in which to comment in writing on the request. A copy of this notice will be sent to the requester. 4. Section 388.113 is amended by redesignating paragraph (d)(3) as paragraph (d)(4), revising newly designated paragraph (d)(4), and adding new paragraphs (d)(3) and
(e)to read as follows: § 388.113 Accessing critical energy infrastructure information.
(d)* * *
(3)A landowner whose property is crossed by or in the vicinity of a project may receive detailed alignment sheets containing CEII directly from Commission staff without submitting a non-disclosure agreement as outlined in paragraph (d)(4) of this section. A landowner must provide Commission staff with proof of his or her property interest in the vicinity of a project.
(4)If any other requester has a particular need for information designated as CEII, the requester may request the information using the following procedures:
(i)File a signed, written request with the Commission's CEII Coordinator. The request must contain the following: Requester's name (including any other name(s) which the requester has used and the dates the requester used such name(s)), title, address, and telephone number; the name, address, and telephone number of the person or entity on whose behalf the information is requested; a detailed statement explaining the particular need for and intended use of the information; and a statement as to the requester's willingness to adhere to limitations on the use and disclosure of the information requested. A requester shall provide his or her date and place of birth upon request, if it is determined by the CEII Coordinator that this information is necessary to process the request. Unless otherwise provided in Section 113(d)(3), a requester must also file an executed non-disclosure agreement.
(ii)A requester who seeks the information on behalf of all employees of an organization should clearly state that the information is sought for the organization, that the requester is authorized to seek the information on behalf of the organization, and that all the requesters agree to be bound by a non-disclosure agreement that must be executed by and will be applied to all individuals who have access to the CEII.
(iii)After the request is received, the CEII Coordinator will determine if the information is CEII, and, if it is, whether to release the CEII to the requester. The CEII Coordinator will balance the requester's need for the information against the sensitivity of the information. If the requester is determined to be eligible to receive the information requested, the CEII Coordinator will determine what conditions, if any, to place on release of the information.
(iv)If the CEII Coordinator determines that the CEII requester has not demonstrated a valid or legitimate need for the CEII or that access to the CEII should be denied for other reasons, this determination may be appealed to the General Counsel pursuant to § 388.110 of this Chapter. The General Counsel will decide whether the information is properly classified as CEII, which by definition is exempt from release under FOIA, and whether the Commission should in its discretion make such CEII available to the CEII requester in view of the requester's asserted legitimacy and need.
(v)Once a CEII requester has been verified by Commission staff as a legitimate requester who does not pose a security risk, his or her verification will be valid for the remainder of that calendar year. Such a requester is not required to provide detailed information about him or herself with subsequent requests during the calendar year. He or she is also not required to file a non-disclosure agreement with subsequent requests during the calendar year because the original non-disclosure agreement will apply to all subsequent releases of CEII.
(vi)If an organization is granted access to CEII as provided by paragraph (d)(4)(iii) of this section, and later seeks to add additional individuals to the non-disclosure agreement, the names of these individuals must be sent to the CEII Coordinator with certification that notice has been given to the submitter. Any newly added individuals must execute a supplement to the original non-disclosure agreement indicating their acceptance of its terms. If there is no written opposition within five
(5)days of notifying the CEII Coordinator and the submitter concerning the addition of any newly-named individuals, the CEII Coordinator will issue a standard notice accepting the addition of names to the non-disclosure agreement. If the submitter files a timely opposition with the CEII Coordinator, the CEII Coordinator will issue a formal determination addressing the merits of such opposition.
(e)Fees for processing CEII requests will be determined in accordance with 18 CFR 388.109. Note: The following appendix will not appear in the Code of Federal Regulations. APPENDIX A List of Commenters Abbreviation Name Allegheny Allegheny Power and Allegheny Energy Supply Company, L.L.C. AGA American Gas Association. APPA and TAPS American Public Power Association and Transmission Access Policy Study Group. Butte County Butte County, California. California Resources California Resources Agency. California State Agencies California Coastal Commission, California Energy Commission, California Electricity Oversight Board, and California State Lands Commission. Dominion Dominion Transmission Inc., Dominion Cove Point, LNG, LP, and Dominion South Pipeline Company, LP. EEI Edison Electric Institute. INGAA Interstate Natural Gas Association of America. MidAmerican MidAmerican Energy Company. NARUC National Association of Regulatory Utility Commissioners. NHA National Hydropower Association. SCE Southern California Edison Company. Western Energy Board Western Interstate Energy Board and Committee on Regional Electric Power Cooperation. Williston Basin Williston Basin Interstate Pipeline Company. Department of the Interior United States Department of the Interior. [FR Doc. E7-22141 Filed 11-13-07; 8:45 am] BILLING CODE 6717-01-P DEPARTMENT OF HEALTH AND HUMAN SERVICES Food and Drug Administration 21 CFR Part 510 New Animal Drugs; Change of Sponsor's Address AGENCY: Food and Drug Administration, HHS. ACTION: Final rule. SUMMARY: The Food and Drug Administration
(FDA)is amending the animal drug regulations to reflect a change of sponsor address for IDEXX Pharmaceuticals, Inc. DATES: This rule is effective November 14, 2007. FOR FURTHER INFORMATION CONTACT: David R. Newkirk, Center for Veterinary Medicine (HFV-100), Food and Drug Administration, 7500 Standish Pl., Rockville, MD 20855, 301-827-6967, e-mail: *david.newkirk@fda.hhs.gov* . SUPPLEMENTARY INFORMATION: IDEXX Pharmaceuticals, Inc., 4249-105 Piedmont Pkwy., Greensboro, NC 27410, has informed FDA of a change of address to 7009 Albert Pick Rd., Greensboro, NC 27409. Accordingly, the agency is amending the regulations in 21 CFR 510.600(c) to reflect the change. This rule does not meet the definition of “rule” in 5 U.S.C. 804(3)(A) because it is a rule of “particular applicability.” Therefore, it is not subject to the congressional review requirements in 5 U.S.C. 801-808. List of Subjects in 21 CFR Part 510 Administrative practice and procedure, Animal drugs, Labeling, Reporting and recordkeeping requirements. Therefore, under the Federal Food, Drug, and Cosmetic Act and under authority delegated to the Commissioner of Food and Drugs and redelegated to the Center for Veterinary Medicine, 21 CFR part 510 is amended as follows: PART 510—NEW ANIMAL DRUGS 1. The authority citation for 21 CFR part 510 continues to read as follows: Authority: 21 U.S.C. 321, 331, 351, 352, 353, 360b, 371, 379e. 2. In § 510.600, in the table in paragraph (c)(1) revise the entry for “IDEXX Pharmaceuticals, Inc.”; and in the table in paragraph (c)(2) revise the entry for “065274” to read as follows: § 510.600 Names, addresses, and drug labeler codes of sponsors of approved applications.
(c)* * *
(1)* * * Firm name and address Drug labeler code * * * * * IDEXX Pharmaceuticals, Inc., 7009 Albert Pick Rd., Greensboro, NC 27409 065274 * * * * *
(2)* * * Drug labeler code Firm name and address * * * * * 065274 IDEXX Pharmaceuticals, Inc., 7009 Albert Pick Rd., Greensboro, NC 27409 * * * * * Dated: November 6, 2007. Bernadette Dunham, Deputy Director, Center for Veterinary Medicine. [FR Doc. E7-22210 Filed 11-13-07; 8:45 am] BILLING CODE 4160-01-S DEPARTMENT OF HEALTH AND HUMAN SERVICES Food and Drug Administration 21 CFR Part 520 Oral Dosage Form New Animal Drugs; Chlortetracycline Powder AGENCY: Food and Drug Administration, HHS. ACTION: Final rule. SUMMARY: The Food and Drug Administration
(FDA)is amending the animal drug regulations to reflect approval of a supplemental new animal drug application
(NADA)filed by Fort Dodge Animal Health, Division of Wyeth Holdings Corp. The supplemental NADA provides for label revisions for chlortetracycline soluble powder. DATES: This rule is effective November 14, 2007. FOR FURTHER INFORMATION CONTACT: Joan C. Gotthardt, Center for Veterinary Medicine (HFV-130), Food and Drug Administration, 7500 Standish Pl., Rockville, MD 20855, 301-827-7571, e-mail: *joan.gotthardt@fda.hhs.gov* . SUPPLEMENTARY INFORMATION: Fort Dodge Animal Health, Division of Wyeth Holdings Corp., P.O. Box 1339, Fort Dodge, IA 50501, filed a supplement to NADA 65-440 for AUREOMYCIN (chlortetracycline) Soluble Powder Concentrate, approved for oral use in medicated drinking water of chickens, growing turkeys, swine, calves, beef cattle, and nonlactating dairy cattle for the control and/or treatment of various bacterial diseases. The supplemental NADA provides for label revisions. The supplemental application is approved as of October 18, 2007, and the regulations are amended in 21 CFR 520.445b to reflect the approval. Approval of this supplemental NADA did not require review of additional safety or effectiveness data or information. Therefore, a freedom of information summary is not required. The agency has determined under § 25.33(a)(1) that this action is of a type that does not individually or cumulatively have a significant effect on the human environment. Therefore, neither an environmental assessment nor an environmental impact statement is required. This rule does not meet the definition of “rule” in 5 U.S.C. 804(3)(A) because it is a rule of “particular applicability.” Therefore, it is not subject to the congressional review requirements in 5 U.S.C. 801-808. List of Subjects in 21 CFR Parts 520 Animal drugs. Therefore, under the Federal Food, Drug, and Cosmetic Act and under authority delegated to the Commissioner of Food and Drugs and redelegated to the Center for Veterinary Medicine, 21 CFR part 520 is amended as follows: PART 520—ORAL DOSAGE FORM NEW ANIMAL DRUGS 1. The authority citation for 21 CFR part 520 continues to read as follows: Authority: 21 U.S.C. 360b. 2. In § 520.445b, revise paragraph (b)(2) and add paragraph (d)(5) to read as follows: § 520.445b Chlortetracycline powder.
(b)* * *
(2)No. 053501 for use as in paragraph (d)(5) of this section.
(d)* * *
(5)Use in a drench or drinking water as follows:
(i)*Chickens* —(A) *Amount* . 200 to 400 mg/gal, for 7 to 14 days. ( *1* ) *Indications for use* . Control of infectious synovitis caused by *M. synoviae* susceptible to chlortetracycline. ( *2* ) *Limitations* . Prepare fresh solution daily; use as the sole source of chlortetracycline; do not use for more than 14 consecutive days; do not use in laying chickens; do not administer to chickens within 24 hours of slaughter.
(B)*Amount* . 400 to 800 mg/gal, for 7 to 14 days. ( *1* ) *Indications for use* . Control of chronic respiratory disease
(CRD)and air-sac infections caused by *M. gallisepticum* and *E. coli* susceptible to chlortetracycline. ( *2* ) *Limitations* . As in paragraph (d)(5)(i)(A)( *2* ) of this section.
(C)*Amount* . One thousand mg/gal, for 7 to 14 days. ( *1* ) *Indications for use* . Control of mortality due to fowl cholera caused by Pasteurella multocida susceptible to chlortetracycline. ( *2* ) *Limitations* . As in paragraph (d)(5)(i)(A)( *2* ) of this section.
(ii)*Growing Turkeys* —(A) *Amount* . 400 mg/gal, for 7 to 14 days. ( *1* ) *Indications for use* . Control of infectious synovitis caused by Mycoplasma synoviae susceptible to chlortetracycline. ( *2* ) *Limitations* . Prepare fresh solution daily; use as the sole source of chlortetracycline; do not use for more than 14 consecutive days; do not administer to growing turkeys within 24 hours of slaughter.
(B)*Amount* . 25 mg/lb body weight daily, for 7 to 14 days. ( *1* ) *Indications for use* . Control of complicating bacterial organisms associated with bluecomb (transmissible enteritis, coronaviral enteritis) susceptible to chlortetracycline. ( *2* ) *Limitations* . As in paragraph (d)(5)(ii)(A)( *2* ) of this section.
(iii)*Swine* —(A) *Amount* . 10 mg/lb body weight daily, for 3 to 5 days.
(B)*Indications for use* . Control and treatment of bacterial enteritis (scours) caused by *E. coli* and ** Salmonella spp., and bacterial pneumonia associated with ** Pasteurella spp., *A. pleuropneumoniae* , and *Klebsiella* spp. susceptible to chlortetracycline.
(C)*Limitations.* Prepare fresh solution daily; use as the sole source of chlortetracycline; do not use for more than 5 days; do not administer to swine within 24 hours of slaughter.
(iv)*Calves, beef cattle, and nonlactating dairy cattle* —(A) *Amount* . 10 mg/lb body weight daily in divided doses, for 3 to 5 days.
(B)*Indications for use* . Control and treatment of bacterial enteritis (scours) caused by ** Escherichia coli and ** Salmonella spp., and bacterial pneumonia associated with ** Pasteurella spp., *Histophilus* spp., and *Klebsiella* spp. susceptible to chlortetracycline.
(C)*Limitations* . Prepare fresh solution daily; use as a drench; use as the sole source of chlortetracycline; do not use for more than 5 days; do not administer to cattle within 24 hours of slaughter; do not use in lactating dairy cattle; do not administer this product with milk or milk replacers; administer 1 hour before or 2 hours after feeding milk or milk replacers; a withdrawal period has not been established in preruminating calves; do not use in calves to be processed for veal. Dated: November 2, 2007. Bernadette Dunham, Deputy Director, Center for Veterinary Medicine. [FR Doc. E7-22261 Filed 11-13-07; 8:45 am] BILLING CODE 4160-01-S DEPARTMENT OF DEFENSE Office of the Secretary [DOD-2007-HA-0118] 32 CFR Part 199 TRICARE, Formerly Known as the Civilian Health and Medical Program of the Uniformed Services (CHAMPUS); Coverage of Physician Assistant Services AGENCY: Department of Defense. ACTION: Administrative correction. SUMMARY: This action corrects the reference to a re-designated paragraph within this part regarding the allowable charge for physician assistant services. This document is published to improve the accuracy of 32 CFR part 199. DATES: *Effective Dates:* November 14, 2007. ADDRESSES: TRICARE Management Activity, 16401 East Centretech Parkway, Aurora, CO 80011. FOR FURTHER INFORMATION CONTACT: Michael Kottyan, Office of Medical Benefits and Reimbursement Systems, TRICARE Management Activity, telephone
(303)676-3520. SUPPLEMENTARY INFORMATION: The final rule published in the **Federal Register** on August 1, 1990 (55 FR 31179) provided the authority for CHAMPUS payment of services rendered by physician assistants
(PA)and included a reference to a paragraph elsewhere in this part. Subsequent actions re-designated that paragraph. This action provides the correct designation of the paragraph being referenced. List of Subjects in 32 CFR Part 199 Claims, Handicapped, Health insurance, Military personnel. Accordingly, 32 CFR part 199 is amended as follows: PART 199—[AMENDED] 1. The authority citation for part 199 continues to read as follows: Authority: 5 U.S.C. 301; 10 U.S.C. chapter 55. 2. Section 199.6(c)(3)(iii)(H) is amended by revising “199.14(g)(1)(iii)” to read “199.14(j)(1)(ix)”. 3. Paragraph 199.14(j) is amended by revising “provers” to read “providers”. Dated: November 5, 2007. L.M. Bynum, Alternate OSD Federal Register Liaison Officer, Department of Defense. [FR Doc. 07-5624 Filed 11-13-07; 8:45 am]
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Traces to 69 documents
U.S. Code
- Rule making§ 553
- Prevailing rate determinations; wage schedules; night differentials§ 5343
- Public information; agency rules, opinions, orders, records, and proceedings§ 552
- Congressional declaration of purpose§ 4321
- Purposes§ 3501
- Avoidance of duplicative or unnecessary analyses§ 605
- Domestic distribution§ 2111
- Establishment and transfers§ 5841
- Authority and functions of Director§ 3504
- Employee protection§ 5851
- Inalienability of licenses§ 2234
- Modification of license§ 2237
- Definitions§ 2014
- Cooperation with States§ 2021
- Health and environmental standards for uranium mill tailings§ 2022
- Licensing of uranium enrichment facilities§ 2243
- Policies contained in international arrangements§ 2152
- Utilization and production facilities for industrial or commercial purposes§ 2132
- License required§ 2131
- Cooperation of agencies; reports; availability of information; recommendations; international and national coordination of efforts§ 4332
- Suspension of licenses during war or national emergency§ 2138
- Construction permits and operating licenses§ 2235
- Office of Nuclear Safety and Safeguards§ 5844
- Hearings and judicial review§ 2239
- Commercial licenses§ 2133
- Determination of other material as special nuclear material; Presidential assent; effective date§ 2071
- Licensing and related regulatory functions respecting selected Administration facilities§ 5842
- Storage or disposal facility planning§ 2021a
- Site approval and construction authorization§ 10134
- Domestic distribution of special nuclear material§ 2073
- Storage of spent nuclear fuel§ 10155
- Unauthorized dealings in special nuclear material§ 2077
- Revocation of licenses§ 2236
- Findings and purposes§ 10151
- Authorization of monitored retrievable storage§ 10162
- Licensing of facility expansions and transshipments§ 10154
- Site selection§ 10165
- Definitions§ 10101
- Interim at-reactor storage§ 10153
- Research and development on spent nuclear fuel§ 10198
- General duties of Commission§ 2201
- Definitions§ 601
- Emergency Loan Guarantee Board; establishment; membership; voting§ 1841
- Registration and regulation of brokers and dealers§ 78o
- Jurisdiction of Commission; liability of principal for act of agent; Commodity Futures Trading Commission; transaction in interstate commerce§ 2
- Definitions§ 1a
- SHORT TITLE.§ 801
- EXPEDITED PROCESSING OF REQUESTS FOR JAPANESE IMPERIAL GOVERNMENT RECORDS.§ 804
- Definitions; generally§ 321
- New animal drugs§ 360b
- Departmental regulations§ 301
CFR
- Employee protection.§ 30.7
- Employee protection.§ 52.5
- Employee protection.§ 50.7
- Employee protection.§ 71.9
- Employee protection.§ 76.7
- Employee protection.§ 19.20
- NRC size standards.§ 2.810
- Offices.§ 400.103
- Critical Energy/Electric Infrastructure Information (CEII).§ 388.113
- Requests for Commission records not available from the Commission's website, https://www.ferc.gov.§ 388.108
- Requests for privileged treatment for documents submitted to the Commission.§ 388.112
- Applications; general requirements.§ 157.6
- Projects or actions categorically excluded.§ 380.4
- Fees for record requests.§ 388.109
- Names, addresses, and drug labeler codes of sponsors of approved applications.§ 510.600
- Chlortetracycline and sulfamethazine powder.§ 520.445
register
88 references not yet in our index
- 5 CFR 532
- 5 CFR 532.219
- 10 CFR 52
- 10 CFR 70
- Pub. L. 104-113
- Pub. L. 97-190
- 10 CFR 51
- 10 CFR 30
- 10 CFR 40
- 10 CFR 50
- 10 CFR 60
- 10 CFR 61
- 10 CFR 63
- 10 CFR 71
- 10 CFR 72
- 10 CFR 76
- 68 Stat. 935
- 83 Stat. 444
- 88 Stat. 1242
- 112 Stat. 2750
- Pub. L. 95-601
- 92 Stat. 2951
- Pub. L. 102-486
- 106 Stat. 3123
- 68 Stat. 954
- 68 Stat. 955
- 68 Stat. 932
- Pub. L. 95-604
- 92 Stat. 3033
- Pub. L. 86-373
- 73 Stat. 688
- 92 Stat. 3021
- Pub. L. 97-415
- 96 Stat. 2067
- 104 Stat. 2835
- Pub. L. 104-134
- 68 Stat. 939
- 68 Stat. 936
- Pub. L. 91-190
- 83 Stat. 853
+ 48 more
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SCOTUS469 U.S. 871
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