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Code · REGISTER · 2007-11-16 · PROPOSED RULES · Agriculture Agriculture Department See Animal and Plant Health Inspection Service See Forest Service NOTICES Meetings: Expert Review of Synthesis and Assessment Product 4.3 Advisory Committee, 64574 0 · Unknown

Unknown. Final rule

12,336 words·~56 min read·/register/2007/11/16/07-5698

A 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-2007-11-16.xml --- 72 221 Friday, November 16, 2007 Contents Agriculture Agriculture Department See Animal and Plant Health Inspection Service See Forest Service NOTICES Meetings: Expert Review of Synthesis and Assessment Product 4.3 Advisory Committee, 64574 07-5689 Animal Animal and Plant Health Inspection Service PROPOSED RULES Agricultural Bioterrorism Protection Act of 2002; implementation: Select agent and toxin list; biennial review and republication, 64540 E7-22431 Army Army Department See Engineers Corps RULES Publication of rules affecting public; requirements and policies; withdrawn, 64538 07-5682 Blind Blind or Severely Disabled, Committee for Purchase From People Who Are See Committee for Purchase From People Who Are Blind or Severely Disabled Centers Centers for Disease Control and Prevention NOTICES Agency information collection activities; proposals, submissions, and approvals; correction, 64650-64653 E7-22418 E7-22420 E7-22421 Centers Centers for Medicare & Medicaid Services PROPOSED RULES Medicare:
Electronic Prescription Drug Program; E-prescribing, 64900-64918 07-5681 NOTICES Agency information collection activities; proposals, submissions, and approvals, E7-22255 64653-64654 E7-22268 Children Children and Families Administration NOTICES Agency information collection activities; proposals, submissions, and approvals, 64654-64655 07-5652 Coast Guard Coast Guard NOTICES Meetings: Great Lakes Regional Waterways Management Forum, 64662 07-5687 Commerce Commerce Department See International Trade Administration See National Oceanic and Atmospheric Administration Committee for Purchase Committee for Purchase From People Who Are Blind or Severely Disabled NOTICES Procurement list; additions and deletions, E7-22458 64576-64577 E7-22459 Defense Defense Department See Army Department See Engineers Corps See Navy Department RULES Civilian health and medical program of the uniformed services (CHAMPUS):
TRICARE program— Retiree Dental Program; overseas locations expansion, 64536-64538 E7-22445 NOTICES Federal Acquisition Regulation (FAR): Agency information collection activities; proposals, submissions, and approvals, 64587 07-5711 Drug Drug Enforcement Administration NOTICES *Applications, hearings, determinations, etc.:* Almac Clinical Services Inc., 64672 E7-22512 American Radiolabeled Chemical, Inc., 64672-64673 E7-22471 Amri Rensselaer, Inc., 64673 E7-22473 Applied Science Labs, 64673-64674 E7-22466 Aptuit, 64674 E7-22491 Archimica, Inc., 64674-64675 E7-22519 Austin Pharma LLC, 64675 E7-22463 Boehringer Ingelheim Chemicals, Inc., E7-22499 64675-64676 E7-22521 Cambrex Charles City, Inc., 64676 E7-22464 E7-22513 E7-22517 Cambrex North Brunswick, Inc., 64676-64677 E7-22468 Cambridge Isotope Lab, 64677 E7-22505 Cody Laboratories, 64677-64678 E7-22515 Dade Behring Inc., 64678 E7-22470 E7-22477 Fisher Clinical Services Inc., 64678-64679 E7-22486 Formulation Technologies LLC, 64679 E7-22496 Isotec, 64679-64680 E7-22475 JFC Technologies, LLC, 64680-64681 E7-22488 E7-22520 Johnson Matthey Inc., 64681 E7-22478 Knoll Pharmaceutical Co., 64681 E7-22476 Lin Zhi International Inc., 64681-64682 E7-22479 Lonza Riverside, 64682 E7-22485 National Center for Natural Products Research -NIDA MProject, University of Mississippi, 64682 E7-22518 Rhodes Technologies, 64682-64683 E7-22487 Siegfried (USA), Inc., 64683 E7-22493 Sigma Aldrich Research Biochemicals, Inc., 64683-64684 E7-22497 Stepan Co., 64684 E7-22507 Tocris Cookson, Inc., 64684-64685 E7-22503 Education Education Department NOTICES Agency information collection activities; proposals, submissions, and approvals, 64588-64590 07-5660 07-5661 Employee Employee Benefits Security Administration RULES Employee Retirement Income Security Act:
Annual reporting and disclosure, 64710-64730 E7-21765 NOTICES Employee Retirement Income Security Act: Annual information return reports forms; revision, 64731-64857 07-5521 Employment Employment and Training Administration NOTICES Adjustment assistance; applications, determinations, etc.: Honeywell Sensing and Control, 64685 E7-22407 Non-Metallic Components, Inc., 64685 E7-22408 Energy Energy Department See Federal Energy Regulatory Commission NOTICES Electricity export and import authorizations, permits, etc.:
Royal Bank of Scotland plc, 64590-64591 E7-22424 E7-22434 Environmental statements; availability, etc.: Western States designated as energy corridors; public hearings, 64591-64596 07-5716 Engineers Engineers Corps NOTICES Environmental statements; availability, etc.: Rueter-Hess Reservoir Expansion Project, CO, 64587-64588 E7-22317 EPA Environmental Protection Agency RULES Air pollution; standards of performance for new stationary sources: Volatile organic compounds (VOC)— Synthetic organic chemicals manufacturing industry and petroleum refineries; equipment leaks, 64860-64897 E7-21814 Pesticides; tolerances in food, animal feeds, and raw agricultural commodities:
Pendimethalin, 64538-64539 E7-22354 PROPOSED RULES Air programs: Outer Continental Shelf regulations— California; consistency update, 64563-64570 E7-22457 Air programs: Aircraft and aircraft engines— General aviation aircraft; lead emissions limitation, 64570-64573 E7-22456 NOTICES Agency information collection activities; proposals, submissions, and approvals, 64609-64617 E7-22368 E7-22506 07-5712 Environmental statements; availability, etc.: Agency comment availability, 64617-64618 E7-22498 Agency weekly receipts, 64618-64619 07-5713 Meetings:
Science Advisory Board, 64619-64620 E7-22452 Pesticide programs: Special reviews— Ethyl parathion, 64621-64623 E7-22374 Oxydemeton-methyl, 64620-64621 E7-22362 Pesticide registration, cancellation, etc.: M-44 sodium cyanide capsules and sodium fluoroacetate (compound 1080), 64623-64624 E7-22369 Pesticides: Risk assessments— Endosulfan, 64624-64626 E7-22385 Reports and guidance documents; availability, etc.: Framework for determining a mutagenic mode of action for carcinogenicity; ... assessing susceptiblity from early-life exposure to carcinogens, 64617 E7-22508 Toxic and hazardous substances control:
Integrated Risk Information System— 1,2,3-trichloropropane; toxicological review in support of summary information, 64626-64627 E7-22444 Equal Equal Employment Opportunity Commission NOTICES Senior Executive Service Performance Review Board; membership, 64627 E7-22388 Executive Executive Office of the President See Trade Representative, Office of United States Export Export-Import Bank NOTICES Meetings; Sunshine Act, 64627-64628 07-5733 FAA Federal Aviation Administration RULES Airworthiness directives:
Airbus, 64532-64533 E7-22305 Airworthiness standards: Special conditions— DynCorp International, 64529-64532 07-5698 Standard instrument approach procedures, 64533-64536 E7-22206 E7-22246 PROPOSED RULES Airworthiness directives: Bell Helicopter Textron Canada, 64540-64545 E7-22440 E7-22441 NOTICES Agency information collection activities; proposals, submissions, and approvals, 64696-64697 07-5688 FCC Federal Communications Commission NOTICES Rulemaking proceedings; petitions filed, granted, denied, etc., 64628 E7-22522 E7-22523 Federal Energy Federal Energy Regulatory Commission NOTICES Complaints filed:
Wisconsin Public Service Corp., 64598 E7-22393 Electric rate and corporate regulation combined filings, 64598-64603 E7-22391 E7-22392 Hydroelectric applications, 64603-64609 E7-22396 E7-22400 E7-22401 *Applications, hearings, determinations, etc.:* Floridian Natural Gas Storage Co., LLC, 64596-64597 E7-22402 NedPower Mount Storm, LLC, 64597 E7-22395 New England Power Co., 64598 E7-22394 Federal Highway Federal Highway Administration NOTICES Grants and cooperative agreements; availability, etc.:
Truck Parking Initiative, 64697-64700 E7-22432 Meetings: Motorcyclist Advisory Council, 64700-64701 E7-22433 Federal Housing Federal Housing Finance Board NOTICES Agency information collection activities; proposals, submissions, and approvals, 64628-64645 07-5715 Federal Reserve Federal Reserve System NOTICES Agency information collection activities; proposals, submissions, and approvals, 64645 E7-22454 Banks and bank holding companies: Formations, acquisitions, and mergers, E7-22341 64645-64646 E7-22455 Fish Fish and Wildlife Service NOTICES Endangered and threatened species permit applications, determinations, etc., 64665 E7-22414 Forest Forest Service NOTICES Environmental statements; notice of intent:
White River National Forest, CO, 64574-64576 E7-22429 GSA General Services Administration NOTICES Agency information collection activities; proposals, submissions, and approvals, 64646-64650 07-5724 07-5735 Federal Acquisition Regulation (FAR): Agency information collection activities; proposals, submissions, and approvals, 64587 07-5711 Health Health and Human Services Department See Centers for Disease Control and Prevention See Centers for Medicare & Medicaid Services See Children and Families Administration See National Institutes of Health Homeland Homeland Security Department See Coast Guard See Transportation Security Administration See U.S.
Customs and Border Protection NOTICES Meetings: Homeland Security Science and Technology Advisory Committee, 64661-64662 E7-22344 Housing Housing and Urban Development Department NOTICES Grants and cooperative agreements; availability, etc.: Homeless assistance; excess and surplus Federal properties, 64664 07-5649 Interior Interior Department See Fish and Wildlife Service See Land Management Bureau See National Indian Gaming Commission See Reclamation Bureau IRS Internal Revenue Service PROPOSED RULES Income taxes:
Benefit restrictions; underfunded pension plans Correction, 64708 C7-4262 Corporate reorganizations and tax-free liquidations; accounting method changes, 64545-64558 E7-22411 NOTICES Employee Retirement Income Security Act: Annual information return reports forms; revision, 64731-64857 07-5521 International International Trade Administration NOTICES Antidumping: Ball bearings and parts from— Japan and United Kingdom, 64578-64579 E7-22472 Various countries, 64577-64578 E7-22343 Canned pineapple fruit from— Thailand, 64579 E7-22462 Fresh garlic from— China, 64579-64580 E7-22348 Honey from— China, 64580 E7-22345 Polyethylene retail carrier bags from— Thailand, 64580-64582 E7-22474 Purified carboxymethylcellulose from— Netherlands, 64582-64583 E7-22500 Steel concrete reinforcing bars from— Turkey, 64583-64584 E7-22467 Countervailing duties:
Polyethylene terephthalate film from— India, 64584 E7-22465 *Applications, hearings, determinations, etc.:* Penn State University, 64584 E7-22469 Justice Justice Department See Drug Enforcement Administration NOTICES Pollution control; consent judgments: Belle Tire Distr., Inc., et al., 64669 07-5692 Hercules Inc., 64669-64670 07-5694 Honeywell International Inc., 64670 07-5691 Honeywell International, Inc., et al., 64670-64671 07-5696 Kansas City Southern Ry. Co., 64671 07-5695 Mimms, Kenneth L., et al., 64671 07-5690 Stauffer Management Co.
LLC and Bayer CropScience Inc., 64671-64672 07-5693 Labor Labor Department See Employee Benefits Security Administration See Employment and Training Administration Land Land Management Bureau NOTICES Closure of public lands: Arizona, 64665-64666 E7-22390 Environmental statements; availability, etc.: Bald Mountain Ski Resort, ID; master development plan, 64666-64667 E7-22502 Smoky Canyon Mine, Panels F and G, Caribou-Targhee National Forest, ID, 64667 07-5684 Western States designated as energy corridors; public hearings, 64591-64596 07-5716 Meetings:
Resource Advisory Councils— Arizona, 64668 E7-22435 Realty actions; sales, leases, etc.: New Mexico, 64668-64669 E7-22438 NASA National Aeronautics and Space Administration NOTICES Federal Acquisition Regulation (FAR): Agency information collection activities; proposals, submissions, and approvals, 64587 07-5711 National Archives National Archives and Records Administration PROPOSED RULES Public availability and use: Agency information and production of records in legal proceedings; testimony by NARA employees, 64558-64563 E7-22494 National Highway National Highway Traffic Safety Administration NOTICES Motor vehicle safety standards; exemption petitions, etc.:
Graco Children's Products, Inc.; correction, 64708 Z7-21903 National Indian National Indian Gaming Commission PROPOSED RULES Indian Gaming Regulatory Act, etc.: Electronic or electromechanical facsimile definition, etc.; comment periods extended, 64545 E7-22409 NIH National Institutes of Health NOTICES Meetings: National Cancer Institute, 64655-64656 07-5677 National Center for Complementary and Alternative Medicine, 64656 07-5665 National Eye Institute, 64656 07-5664 National Institute of Allergy and Infectious Diseases, 64660 07-5679 National Institute of Arthritis and Musculoskeletal and Skin Diseases, 64659 07-5675 National Institute of Child Health and Human Development, 64658-64660 07-5667 07-5673 07-5678 National Institute of Diabetes and Digestive and Kidney Diseases, 64660-64661 07-5680 National Institute of Environmental Health Sciences, 64657-64659 07-5662 07-5663 07-5674 National Institute on Alcohol Abuse and Alcoholism, 64659-64660 07-5676 Scientific Review Center, 64661 07-5666 NOAA National Oceanic and Atmospheric Administration NOTICES Endangered and threatened species:
Critical habitat designations— Loggerhead turtle, 64585-64587 07-5710 Endangered and threatened species permit applications, determinations, etc., 64584-64585 E7-22450 Meetings: South Atlantic Fishery Management Council, 64587 E7-22404 National Science National Science Foundation NOTICES Meetings: Business and Operations Advisory Committee, 64685 E7-22403 Navy Navy Department RULES Privacy Act; implementation, 64538 E7-22195 Nuclear Nuclear Regulatory Commission RULES Practice and procedure:
Electronic submissions use in agency hearings Correction, 64529 E7-22378 NOTICES *Applications, hearings, determinations, etc.:* Southern Nuclear Operating Co., 64686-64687 E7-22413 Office of U.S. Trade Office of United States Trade Representative See Trade Representative, Office of United States Pension Pension Benefit Guaranty Corporation NOTICES Employee Retirement Income Security Act: Annual information return reports forms; revision, 64731-64857 07-5521 Personnel Personnel Management Office RULES Federal Workforce Flexibility Act of 2004; implementation:
Retention incentives, 64523-64528 E7-22490 Reclamation Reclamation Bureau NOTICES Water resources planning; discount rate change, 64669 E7-22427 SEC Securities and Exchange Commission NOTICES Securities Exchange Act: Broker-dealer registration requirements, etc.; exemptions— National Association of Realtors, 64688-64694 E7-22425 Self-regulatory organizations; proposed rule changes: Chicago Board Options Exchange, Inc., 64694-64696 E7-22412 State State Department NOTICES Culturally significant objects imported for exhibition:
Gerome and Dahl; assorted paintings, 64696 E7-22448 Surface Surface Transportation Board NOTICES Railroad operation, acquisition, construction, etc.: BNSF Railway Co. and BNSF Acquisition, Inc., 64701 E7-22359 Maryland Midland Railway, Inc., 64702 E7-22423 Maryland Transit Administration, 64702-64703 E7-22436 Railroad services abandonment: Everett Railroad Co., 64703 E7-22430 Portland Terminal Co. et al, 64703-64704 E7-22153 Willamette Valley Railway Co., 64704-64705 E7-22437 Thrift Thrift Supervision Office NOTICES *Applications, hearings, determinations, etc.:* Kaiser Federal Bank et al., 64705 07-5714 Trade Trade Representative, Office of United States NOTICES World Trade Organization:
Dispute settlement panel proceedings— European Communities; laws, regulations, and methodology for calculating dumping margins (zeroing), 64687-64688 E7-22451 Transportation Transportation Department See Federal Aviation Administration See Federal Highway Administration See National Highway Traffic Safety Administration See Surface Transportation Board Transportation Transportation Security Administration NOTICES Maritime and land transportation security: Transportation Worker Identification Credential; enrollment— Dundalk, MD, et al., 64662-64663 E7-22422 Treasury Treasury Department See Internal Revenue Service See Thrift Supervision Office See United States Mint Customs U.S.
Customs and Border Protection NOTICES Environmental statements; availability, etc.: Border Patrol Office; tactical infrastructure construction, operation, etc.— Rio Grande Valley sector, TX, 64663-64664 E7-22483 U.S. Mint United States Mint NOTICES Dolly Madison first spouse gold coins; price increase, 64705 E7-22417 Veterans Veterans Affairs Department NOTICES Agency information collection activities; proposals, submissions, and approvals, 64705-64707 E7-22370 E7-22373 Separate Parts In This Issue Part II Labor Department, Employee Benefits Security Administration, 64710-64730 E7-21765 Part II Labor Department, Employee Benefits Security Administration;
Pension Benefit Guaranty Corporation; Treasury Department, Internal Revenue Service, 64731-64857 07-5521 Part III Environmental Protection Agency, 64860-64897 E7-21814 Part IV Health and Human Services Department, Centers for Medicare & Medicaid Services, 64900-64918 07-5681 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. 72 221 Friday, November 16, 2007 Rules and Regulations OFFICE OF PERSONNEL MANAGEMENT 5 CFR Part 575 RIN 3206-AL41 Retention Incentives AGENCY:
U.S. Office of Personnel Management. ACTION: Final rule. SUMMARY: The U.S. Office of Personnel Management
(OPM)is issuing final regulations to implement a provision of the Federal Workforce Flexibility Act of 2004 granting agencies additional flexibility to pay retention incentives. The final regulations permit an agency to pay a retention incentive to an employee who would be likely to leave for a different position in the Federal service before the closure or relocation of the employee's office, facility, activity, or organization. The final regulations provide agencies with additional flexibility to help retain employees critical to important agency missions and better meet strategic human capital needs. DATES: *Effective Date:* The final regulations will become effective on December 17, 2007. *Applicability Date:* The final regulations apply to retention incentives authorized under 5 U.S.C. 5754 and 5 CFR 575.315 on the first day of the first pay period beginning on or after December 17, 2007. FOR FURTHER INFORMATION CONTACT: Jeanne Jacobson by telephone at
(202)606-2858; by fax at
(202)606-0824; or by e-mail at *pay-performance-policy@opm.gov* . SUPPLEMENTARY INFORMATION: On May 13, 2005, the U.S. Office of Personnel Management
(OPM)published interim regulations (70 FR 25732) to implement section 101 of the Federal Workforce Flexibility Act of 2004 (Pub. L. 108-411, October 30, 2004). Section 101 amended 5 U.S.C. 5753 and 5754 by providing a new authority to make recruitment, relocation, and retention payments. The amended law replaced the former recruitment and relocation bonus and retention allowance authority provided by 5 U.S.C. 5753 and 5754. The 60-day comment period for the interim regulations ended on July 12, 2005. The Supplementary Information for the interim regulations posed a number of questions about whether the final regulations should provide agencies with the authority to pay recruitment incentives to help recruit current employees (as authorized by 5 U.S.C. 5753(b) under conditions that would be described in OPM regulations) and to pay retention incentives to help retain employees likely to leave for a different position in the Federal service (as authorized by 5 U.S.C. 5754(b) under conditions that would be described in OPM regulations) and, if so, under what circumstances. This **Federal Register** notice addresses the comments we received in response to the questions regarding retention incentives. The comments we received in response to the questions regarding recruitment incentives are not addressed in these final regulations, but will be addressed in a future **Federal Register** notice. These final regulations provide agencies with the discretionary authority to pay a retention incentive to an employee who, in the absence of such an incentive, would be likely to leave for a different position in the Federal service before the closure or relocation of the employee's office, facility, activity, or organization. The comments on the situations proposed in the interim regulations and the changes made in these final regulations relating to the use of retention incentives are discussed further in the following sections of this Supplementary Information. Comments on Retention Incentives for Employees Likely to Leave for a Different Position in the Federal Service Section 5754(b) of title 5, United States Code, allows OPM to authorize the head of an agency to pay retention incentives to employees who, in the absence of an incentive, would be likely to leave their positions for a different position in the Federal service under the conditions described in OPM's regulations. In recognition that costly and inefficient interagency competition could occur if agencies are permitted to pay retention incentives in this manner, in the May 13, 2005, interim regulations, we asked for comments on the following circumstances in which agencies could grant a retention incentive to encourage employees to stay in their current position and not move to another Federal agency: • Would it be desirable to allow an agency to offer a retention incentive to a current employee when the head of that agency determines that the loss of the employee's unique competencies (i.e., knowledge, skills, abilities, behaviors, and other characteristics) required for the position would adversely affect the successful accomplishment of an important agency mission or the completion of a critical project? • Would it be desirable to allow an agency to offer a retention incentive to a current employee when the offered position is under a pay system that differs from the pay system of the employee's position before the move and the head of that agency determines that the loss of the employee in the current position would adversely affect the successful accomplishment of an important agency mission or the completion of a critical project? • Would it be desirable to allow an agency to offer a retention incentive when the employee's position requires him or her to work under unusually severe or arduous working conditions (e.g., an extreme climate; unreliable essential services, such as basic utility or telecommunication services; or other harsh conditions) that the agency cannot control and the head of that agency has determined that these conditions have a significant negative effect on the agency's ability to retain that employee at the worksite? • Would it be desirable to allow an agency to offer a retention incentive to a current employee in order to retain an employee who is likely to leave his or her position for another Federal position before the closure or relocation of the employee's office or facility and the head of that agency has determined that the employee's services are critical to the successful closure or relocation? OPM also invited comments on whether the regulations should limit the payment of a retention incentive in any of the circumstances listed above to only those employees whose rating of record is at the highest level under the applicable performance appraisal or evaluation system. We received mixed reactions to the situations proposed in the previous bullets for paying a retention incentive to an employee who would be likely to leave for a different position in the Federal service in the absence of such an incentive. Some commenters expressed concerns about possible bidding wars and increased costs to the Government of the proposed retention incentive flexibility; controlling the use of the flexibility; and the need for adequate funding and specific payment criteria, accountability measures, and a trial period to prevent abuse. Finally, several agencies noted authorities already exist to compensate for working under difficult conditions, such as post differentials, hazardous duty pay, and environmental differential pay, and the proposed retention incentive authority is not needed for these purposes. However, some commenters also stated the flexibility to pay retention incentives to employees who would be likely to leave for a different position in the Federal service would help agencies retain knowledgeable, skilled, and experienced employees to finish work on critical projects and train replacement employees. One agency stated the use of this flexibility would help avoid
(1)the cost of recruiting for unique skill sets,
(2)the inability to get the job done after the employee leaves and prior to a replacement coming on board, and
(3)the risk of not being able to fill the position at all. Another agency noted, while there are concerns about bidding wars, it is a fact that agencies are in competition with one another as well as private sector employers for the most talented employees, and additional pay flexibility is desirable to meet these needs. Commenters provided a number of suggestions for additional criteria to use when authorizing a retention incentive for an employee who would be likely to leave for a different position in the Federal service. Some stated any payment criteria should focus on the employee's unique competencies, and the type of pay system and working conditions should not be a deciding factor in determining whether to offer a retention incentive. One agency felt the payment criteria should be written broadly to cover any of the proposed situations, but acknowledged the nature of the relevant pay systems may be an issue for consideration in authorizing a retention incentive. Another stated payment of a retention incentive should be based on staffing needs related to a “critical agency mission,” rather than just an “important agency mission,” and an agency should determine the critical agency mission or project would likely fail without the employee's services. Other suggestions for the regulations included requiring an employee to have an offer of other employment in hand before a retention incentive is paid, limiting the length of service agreements, ensuring service agreements make clear the retention incentive will be terminated when the critical project or program is complete, limiting the payment of a retention incentive to a lump-sum payment at the end of the service period (rather than biweekly or other installment payments), and establishing additional retention incentive flexibility for a trial period during which compliance with the regulations would be closely monitored. Regarding the question as to whether the regulations should limit the payment of a retention incentive to only those employees whose rating of record is at the highest level under the applicable performance appraisal or evaluation system, commenters overwhelmingly objected to this proposed requirement. Commenters felt the needs of agencies and the employee's capabilities should be the determining factors in deciding whether to pay an incentive and that including such a limit in the regulations would be a disservice to the office attempting to meet a critical mission need or project. They pointed out that an employee with a “Fully Successful” rating might have the competencies or experience that are essential for the agency to attract or retain. Another commenter agreed an employee's performance level must be a factor when determining whether an incentive should be paid to an employee and suggested the performance level be limited to at least “Fully Successful” (or equivalent) consistent with other recruitment, relocation, and retention incentive provisions. Response to Comments Ensuring agencies have an effective civilian workforce to achieve their goals is one of the primary objectives of strategic human capital management in the Government. To meet this objective, agencies must have the necessary human resources tools to retain essential employees to perform mission-critical work. The retention incentive authority is one of several tools providing agencies substantial flexibility to pay additional compensation to help retain key employees. We carefully considered the comments received on the circumstances proposed in the interim regulations under which agencies would be allowed to pay a retention incentive to an employee who would be likely to leave for a different position in the Federal service in the absence of an incentive. In determining whether to provide additional retention incentive flexibility, we must balance the workforce needs of a single agency with the workforce needs of other agencies. An employee providing valuable services to one agency also may possess the competencies that are valuable to another agency. We also need to be cautious when establishing new flexibilities that have the potential to result in costly and inefficient interagency competition. We agree with several of the commenters who expressed concerns about controlling any increased retention incentive flexibility and possible bidding wars between agencies. The regulations must include the appropriate approval criteria, controls, and monitoring and reporting requirements to help ensure agencies continue to use the retention incentive authority judiciously and responsibly. In light of these concerns and the issues identified by commenters, we have not amended the regulations to establish a broad authority to pay a retention incentive to an employee who would be likely to leave for a different position in the Federal service in the absence of the incentive. We understand interagency compensation already exists and some agencies are disadvantaged because other agencies have the flexibility to pay higher salaries. However, we must balance single agency needs against the Governmentwide interest of avoiding costly and inefficient interagency competition. In this regard, these final regulations provide agencies with the authority to pay a retention incentive to an employee who would be likely to leave for a different position in the Federal service before the closure or relocation of the employee's office, facility, activity, or organization. The need to retain employees when facilities are closing or relocating is especially acute. Such employees may be more likely than others to seek other Federal employment, especially if they will otherwise be separated from Federal service when their office or facility closes or if they cannot relocate with their office or facility. At the same time, agencies typically must continue to perform mission-critical work at sites subject to closure and relocation. Recruiting and training employees to replace those who leave may not be a viable or cost-effective option. While this final regulation does not provide agencies the flexibility to pay retention incentives in all the circumstances proposed in the interim regulations, it will provide OPM an opportunity to monitor the effects of such pay flexibility on interagency competition and compensation costs in narrow closure and relocation situations to determine if the flexibility should be expanded. In addition, no commenters objected to providing the authority to pay retention incentives to employees who would be likely to leave for a different position in the Federal service before the closure or relocation of the employee's office or facility. Of those who commented on this specific proposal, all agreed such flexibility should be provided. Some commenters noted the importance of retaining employees with critical skills before a closure or relocation. One agency stressed the importance of maintaining operations and retaining needed expertise in such situations. Another recognized retention incentives alone may not be adequate to retain the services of employees facing eventual separation, but they might be of benefit in certain circumstances. One agency stated the use of retention incentives for employees who would be likely to leave for a different position in the Federal service before the closure or relocation of the employee's office or facility would require coordination between the losing and gaining agencies to ensure the employee is not harmed. We do not agree that coordination between the gaining and losing agency is necessary. The service agreement signed by the employee will define the terms and conditions of the employee's retention incentive. The same agency noted in closure and relocation situations, reduction in force procedures may be an issue and would have to be considered and followed. We agree. Allowing agencies to pay retention incentives to employees who would be likely to leave for a different position in the Federal service before the closure or relocation of the employee's office or facility does not affect any requirement for agencies to follow reduction in force procedures in appropriate circumstances. Changes to the Regulations This notice amends the retention incentive regulations at 5 CFR part 575, subpart C, by establishing a new § 575.315 to provide agencies with the authority to pay a retention incentive to an employee who would be likely to leave for a different position in the Federal service before the closure or relocation of the employee's office, facility, activity, or organization. The regulations regarding this new flexibility are contained only in this section. However, § 575.315 includes numerous cross-references to provisions that must be followed in other sections of 5 CFR part 575, subpart C. While many of the provisions in § 575.315 are the same as the requirements for a retention incentive authorized for an employee likely to leave the Federal service, § 575.315 contains additional parameters. Under this final regulation, agencies will continue to have the authority to pay a retention incentive to an employee in a closure or relocation situation who would be likely to leave the Federal service in the absence of an incentive. Under § 575.315(a)(1), an agency may approve a retention incentive for an individual employee when the agency determines— • Given the agency's mission requirements and the employee's competencies, the agency has a special need for the employee's services that makes it essential to retain the employee in his or her current position during a period of time before the closure or relocation of the employee's office, facility, activity, or organization; and • In the absence of a retention incentive, the employee would be likely to leave for a different position in the Federal service. Section 575.315(a)(2) also provides an agency with the authority to approve a retention incentive for a group or category of employees if
(1)the agency has a special need for the employees' services that makes it essential to retain the employees in their current positions during a period of time before a closure or relocation and
(2)there is a high risk that a significant number of the employees in the group would be likely to leave for different positions in the Federal service in the absence of a retention incentive. An agency may not include an employee in a senior-level or scientific or professional, Senior Executive Service, or Executive Schedule position, or in certain other senior positions, in a group retention incentive authorization. (See §§ 575.315(a)(2) and 575.305(c).) Agencies may use this new retention incentive flexibility for an employee in a position listed in § 575.303 (e.g., General Schedule or prevailing rate position) who is not excluded by § 575.304 (e.g., Presidential appointees). The employee must have a rating of record (or an official performance appraisal or evaluation under a system not covered by 5 U.S.C. chapter 43 or 5 CFR part 430) of at least “Fully Successful” or equivalent. In addition, the employee must have received a general or specific written notice from the agency that his or her position may or would be affected by the closure or relocation of the employee's office, facility, activity, or organization (e.g., the employee's position may or would move to a new geographic location or the employee's position may or would be eliminated). (See § 575.315(b).) Under § 575.315(c), an agency must include in its retention incentive plan established under § 575.307(a) the conditions and requirements governing the use of retention incentives for employees who would be likely to leave for a different position in the Federal service before the closure or relocation of the employee's office, facility, activity, or organization. The plan also must designate the authorized agency officials who may approve such retention incentives, consistent with the approval requirements in § 575.307(b). For each determination to pay a retention incentive under new § 575.315, an agency must document in writing the basis for authorizing the incentive and for the amount and timing of approved incentive payments. (See § 575.315(d).) When documenting the determination to pay a retention incentive for an individual employee who would be likely to leave for a different Federal position, agencies must consider the factors in § 575.306(b), as applicable, and— • The extent to which the employee's departure for a different position in the Federal service would affect the agency's ability to carry out an activity, perform a function, or complete a project the agency deems essential to its mission before and during the closure or relocation period (e.g., the agency's need
(1)to retain the employee to ensure minimal disruption in the performance of mission-critical functions, continuity of key operations, or minimal disruption of service to the public before and during the closure or relocation;
(2)to train new employees who will move with the organization to the new geographic location;
(3)to assist with the actual closure or relocation of the office, facility, activity, or organization; or
(4)to perform similar mission-essential functions before or during the closure or relocation); • The competencies possessed by the employee that are essential to retain; and • The agency (which may be in the executive, judicial, or legislative branch) for which the employee would be likely to leave in the absence of the retention incentive (as required by the reporting requirements in section 101(c)(2) of Pub. L. 108-411). Agencies must address similar factors in documenting each determination to pay a retention incentive to a group or category of employees. (See § 575.315(d)(3).) In addition, the agency must narrowly define a targeted category of employees. The factors that may be appropriate are described in § 575.306(c)(2), except that each group retention incentive authorized under new § 575.315 may cover no more than one occupational series. Under § 575.315(e), the payment options, calculations, and limitations in § 575.309 apply to the payment of retention incentives to employees who would be likely to leave for a different position in the Federal service before the closure or relocation of the employees' office, facility, activity, or organization, except an agency may not pay retention incentives in biweekly installments at the full retention incentive percentage rate established for the employee under § 575.309(a). Agencies will need to consider options to pay all or a significant portion of the retention incentive at the end of the full period of service required by the service agreement to maximize the effectiveness of the retention incentive. For example, an agency could pay the retention incentive in a single lump-sum payment at the end of the full period of service required by the service agreement. An agency also could pay the retention incentive in installment payments that are less than the full percentage retention incentive rate authorized. The agency could defer payment of a portion of the full payment (e.g., 50 percent or more) until the end of the full period of service required by the service agreement. Guidance on such strategic payment options is provided at *http://www.opm.gov/oca/pay/HTML/retpaycalc.asp* . The service agreement provisions in §§ 575.310(b) through 575.310(e) apply to retention incentive service agreements for employees who would be likely to leave for a different position in the Federal service under this final regulation, subject to the additional requirements in § 575.315(f). The period of employment under such a service agreement may be of any length, not to exceed the date on which the employee's position is actually affected by the closure or relocation. The service agreement must include the conditions under which the agency must terminate the service agreement in § 575.310(d) and
(e)and § 575.315(g), including the conditions under which the agency will pay an additional retention incentive payment for partially completed service. The service agreement also must notify employees that the agency will review the retention incentive at least annually to determine if payment is still warranted. Under § 575.315(f), the service agreement termination provisions in § 575.311 apply to retention incentive service agreements for employees who would be likely to leave for a different position in the Federal service in the absence of such an incentive. Section 575.315(f) also requires agencies to review each determination to pay a retention incentive under new § 575.315 at least annually to determine if payment is still warranted. In addition, § 575.315(g)(2) requires an agency to terminate a retention incentive service agreement when— • The closure or relocation is cancelled and no longer affects the employee's position; • The employee moves to another position not affected by the closure or relocation (including another position within the same agency); • For relocation situations, the employee accepts the agency's offer to relocate with his or her the office, facility, activity, or organization and, thus, the employee is no longer likely to leave for a different position in the Federal service; or • The employee moves to a different position in the same office, facility, activity, or organization subject to closure or relocation not covered by the employee's service agreement. (The agency may authorize a new retention incentive under § 575.315 for the employee, as appropriate.). If an authorized agency official terminates a service agreement under the conditions specified above, the employee is entitled to keep any retention incentive installment payments already received. Under certain conditions, the employee also may receive a portion or all of any amount attributable to completed service, similar to the provisions under § 575.311. Monitoring and Reporting Requirements The Federal Workforce Flexibility Act of 2004 provided additional monitoring and reporting requirements for retention incentives authorized for employees who would be likely to leave for a different position in the Federal service in the absence of an incentive. Section 101(a)(3) provides a sense of Congress statement that OPM should be notified within 60 days after the date on which a retention incentive is paid to retain an employee who might otherwise leave one Government agency for another within the same geographic area. This section also states OPM should monitor the payment of such retention incentives to ensure they are an effective use of the Federal Government's funds and have not adversely affected Government agencies' ability to carry out their mission. In addition, section 101(c)(2) requires OPM to include in its report to Congress on recruitment, relocation, and retention incentives information and data on the use of retention incentives to prevent individuals from moving between positions in different agencies but the same geographic area (including the names of the agencies involved). The frequent notification provisions in section 101(a)(3) of the Federal Workforce Flexibility Act of 2004 for the new retention incentive flexibility would be administratively difficult for agencies to implement and follow. Retention incentive monitoring and recordkeeping requirements in § 575.312 and 575.313(a) are already in place, and OPM and agencies will apply them to retention incentives authorized under new § 575.315 for employees who would be likely to leave for a different position in the Federal service in the absence of an incentive. In addition, consistent with the reporting requirements in section 101(c)(2) the Federal Workforce Flexibility Act of 2004, § 575.315(i) specifies an additional annual reporting requirement for such retention incentives. This annual report will allow OPM to monitor and evaluate the use of the new retention incentive flexibility. Section 575.315(i) requires each agency to submit a written report to OPM by March 31 of each year on the use of retention incentives under § 575.315. In each of the years 2008 through 2010, the written report may be included in the agency's written report for OPM's report to Congress under § 575.313(b). Each report must include— • A description of how the authority to pay retention incentives under § 575.315 was used in the agency during the previous calendar year; • The number and dollar amount of retention incentives paid during the previous calendar year to individuals under § 575.315 by occupational series and grade, pay level, or other pay classification; • The agency (which may be in the executive, judicial, legislative branch) to which each individual employee would be likely to leave in the absence of a retention incentive; • Each individual employee's official worksite and the geographic location of the agency (which may be in the executive, judicial, or legislative branch) to which each individual employee would be likely to leave in the absence of a retention incentive; and • Other information, records, reports, and data as OPM may require. E.O. 12866, Regulatory Review This rule has been reviewed by the Office of Management and Budget in accordance with E.O. 12866. 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 apply only to Federal agencies and employees. List of Subjects in 5 CFR Part 575 Government employees, Reporting and recordkeeping requirements, Wages. Office of Personnel Management. Linda M. Springer, Director. Accordingly, OPM amends 5 CFR part 575 as follows: PART 575—RECRUITMENT, RELOCATION, AND RETENTION INCENTIVES; SUPERVISORY DIFFERENTIALS; AND EXTENDED ASSIGNMENT INCENTIVES 1. The authority citation for part 575 is revised to read as follows: Authority: 5 U.S.C. 1104(a)(2) and 5307; subparts A and B also issued under 5 U.S.C. 5753 and sec. 101, Public Law 108-411, 118 Stat. 2305; subpart C also issued under 5 U.S.C. 5754 and sec. 101, Public Law 108-411, 118 Stat. 2305; subpart D also issued under 5 U.S.C. 5755; subpart E also issued under 5 U.S.C. 5757 and sec. 207 of Public Law 107-273, 116 Stat. 1780. Subpart C—Retention Incentives § 575.301 [Amended] 2. In § 575.301, remove “the Federal service” from the second sentence. 3. Add a new § 575.315 to subpart C to read as follows: § 575.315 Retention incentives for employees likely to leave for a different position in the Federal service.
(a)*Authority* .
(1)An agency in its sole and exclusive discretion, subject only to OPM review and oversight, may approve a retention incentive for an individual employee under the conditions prescribed in this section when the agency determines that—
(i)Given the agency's mission requirements and employee's competencies, the agency has a special need for the employee's services that makes it essential to retain the employee in his or her current position during a period of time before the closure or relocation of the employee's office, facility, activity, or organization; and
(ii)The employee would be likely to leave for a different position in the Federal service in the absence of a retention incentive.
(2)An agency in its sole and exclusive discretion, subject only to OPM review and oversight, may approve a retention incentive for a group or category of employees (subject to the exclusions in § 575.305(c)) under the conditions prescribed in this section when the agency determines that—
(i)Given the agency's mission requirements and employees' competencies, the agency has a special need for the employees' services that makes it essential to retain the employees in their current positions during a period of time before the closure or relocation of the employees' office, facility, activity, or organization; and
(ii)There is a high risk that a significant number of the employees in the group would be likely to leave for different positions in the Federal service in the absence of a retention incentive.
(b)*Employee eligibility* . An agency may pay a retention incentive to an employee under this section when—
(1)The employee holds a position listed in § 575.303, and is not excluded by § 575.304;
(2)The employee's rating of record (or an official performance appraisal or evaluation under a system not covered by 5 U.S.C. chapter 43 or 5 CFR part 430) is at least “Fully Successful” or equivalent; and
(3)The agency has provided a general or specific written notice to the employee that his or her position may or would be affected by the closure or relocation of the employee's office, facility, activity, or organization (e.g., the employee's position may or would move to a new geographic location or the employee's position may or would be eliminated).
(c)*Retention incentive plan and approval levels* . Before authorizing a retention incentive under this section, an agency must include in its retention incentive plan established under § 575.307(a) the conditions and requirements governing the use of retention incentives under this section for employees who would be likely to leave for a different position in the Federal service before the closure or relocation of the employees' office, facility, activity, or organization, including a designation of the authorized agency officials who may approve retention incentives under this section, consistent with the approval requirements in § 575.307(b).
(d)*Approval criteria and written determination* .
(1)For each determination to pay a retention incentive under this section, an agency must document in writing—
(i)The basis for determining the agency has a special need for the employee's (or group of employees') services that makes it essential to retain the employee(s), based on the agency's mission needs and the employee's (or group of employees') competencies, during a period of time before the closure or relocation of the employee's (or group of employees') office, facility, activity, or organization;
(ii)The basis for determining, in the absence of a retention incentive, the employee (or a significant number of employees in a group) would be likely to leave for a different position in the Federal service; and
(iii)The basis for establishing the amount and timing of the approved retention incentive payment and the length of the required service period.
(2)An agency must address the following factors when documenting the determination required by paragraph
(a)of this section for an individual employee:
(i)The factors for authorizing a retention incentive for an individual employee described in § 575.306(b) as they relate to a determination made under paragraph (a)(1) of this section;
(ii)The extent to which the employee's departure for a different position in the Federal service would affect the agency's ability to carry out an activity, perform a function, or complete a project the agency deems essential to its mission before and during the closure or relocation period (e.g., the agency's need to retain the employee to ensure minimal disruption in the performance of mission-critical functions, continuity of key operations, or minimal disruption of service to the public before and during the closure or relocation; to train new employees who will move with the organization to the new geographic location; to assist with the actual closure or relocation of the office, facility, activity, or organization; or to perform similar mission-essential functions before or during the closure or relocation);
(iii)The competencies possessed by the employee that are essential to retain; and
(iv)The agency (which may be in the executive, judicial, or legislative branch) for which the employee would be likely to leave in the absence of the retention incentive.
(3)An agency must address the following factors when documenting the determination required by paragraph
(a)of this section for a group or category of employees:
(i)The factors for authorizing a retention incentive for a group or category of employees described in § 575.306(c) as they relate to the determination made under paragraph (a)(2) of this section; and
(ii)The factors in paragraphs (d)(2)(ii) through (d)(2)(iv) of this section as they relate to the determination made under paragraph (a)(2) of this section for the group or category of employees.
(4)An agency must narrowly define a targeted category of employees using factors that relate to the conditions described in paragraph (a)(2) of this section. The factors that may be appropriate are described in § 575.306(c)(2), except that each group retention incentive authorized under this section may cover no more than one occupational series.
(e)*Payment of retention incentives.*
(1)Except as provided in paragraph (e)(2) of this section, the provisions regarding computing and paying retention incentives under § 575.309 apply to computing and paying retention incentives under this section for employees who would be likely to leave for a different position in the Federal service before the closure or relocation of the their office, facility, activity, or organization.
(2)An agency may not pay retention incentives under this section in biweekly installments at the full retention incentive percentage rate established for the employee under § 575.309(a).
(f)*Service agreement requirements.*
(1)The service agreement provisions in §§ 575.310(b) through 575.310(e) apply to retention incentive service agreements under this section, subject to the additional requirements in paragraphs (f)(2) through (f)(5) of this section.
(2)Before paying a retention incentive under this section, an agency must require an employee, including each employee covered by a group retention incentive authorization, to sign a written service agreement to complete a specified period of employment with the agency.
(3)In no event, may the service period under a service agreement established under this paragraph extend past the date on which the employee's position is actually affected by the relocation or closure of the employee's office, facility, activity, or organization (e.g., the date the employee's position moves to a new geographic location or the date the employee's position is eliminated).
(4)In addition to the terminating conditions in § 575.310(d) and (e), the service agreement must include the conditions under which the agency must terminate the service agreement under paragraph
(g)of this section, including the conditions under which the agency will pay an additional retention incentive payment for partially completed service under § 575.311.
(5)The service agreement must include a notification to the employee that the agency will review the determination to pay the retention incentive at least annually to determine whether payment is still warranted, as required by paragraph
(g)of this section.
(g)*Termination of retention incentives.*
(1)The provisions in § 575.311 regarding termination of retention incentive service agreements and paragraphs (g)(2) through (g)(4) of this section apply to the termination of retention incentives authorized under this section. Each determination to pay a retention incentive under this section must be reviewed at least annually to determine if payment is still warranted. An authorized agency official must certify this determination in writing.
(2)In addition to the terminating conditions in § 575.311(a) and (b), an authorized agency official must terminate a retention incentive service agreement under this section if—
(i)The closure or relocation is cancelled or no longer affects the employee's position;
(ii)The employee moves to another position not affected by the closure or relocation (including another position within the same agency);
(iii)For relocation situations, the employee accepts the agency's offer to relocate with his or her the office, facility, activity, or organization and, thus, the employee is no longer likely to leave for a different position in the Federal service; or
(iv)The employee moves to a different position in the same office, facility, activity, or organization subject to closure or relocation that is not covered by the employee's service agreement. In this situation, the agency may authorize a new retention incentive for the employee under this section, as appropriate.
(3)If an authorized agency official terminates a service agreement under paragraph (g)(2)(ii) or
(iv)of this section in cases in which the employee's movement to another position is by management action and not at the employee's request or under paragraph (g)(2)(i) of this section, the employee is entitled to retain any retention incentive payments that are attributable to completed service and to receive any portion of a retention incentive payment owed by the agency for completed service.
(4)If an authorized agency official terminates a service agreement in termination actions under paragraph (g)(2) of this section that are not covered by paragraph (g)(3) of this section, the employee is entitled to retain retention incentive payments previously paid by the agency that are attributable to the completed portion of the service period. If the employee received retention incentive payments that are less than the amount that would be attributable to the completed portion of the service period, the agency is not obligated to pay the employee the amount attributable to completed service, unless the agency agreed to such payment under the terms of the retention incentive service agreement.
(h)*Monitoring requirements.* The monitoring requirements in § 575.312 apply to retention incentives authorized under this section.
(i)*Records and reports.*
(1)In addition to the recordkeeping requirements in § 575.313(a), each agency must submit a written report to OPM by March 31 of each year on the use of retention incentives under this section. Each report must include—
(i)A description of how the authority to pay retention incentives under this section was used in the agency during the previous calendar year;
(ii)The number and dollar amount of retention incentives paid during the previous calendar year to individuals under this section by occupational series and grade, pay level, or other pay classification;
(iii)The agency (which may be in the executive, judicial, legislative branch) to which each employee would be likely to leave in the absence of a retention incentive;
(iv)Each employee's official worksite and the geographic location of the agency (which may be in the executive, judicial, or legislative branch) for which each employee would be likely to leave in the absence of a retention incentive; and
(v)Other information, records, reports, and data as OPM may require.
(2)In each of the years 2008 through 2010, the written report required by paragraph (i)(1) of this section may be included in the agency's written report to OPM for OPM's report to Congress under § 575.313(b). [FR Doc. E7-22490 Filed 11-15-07; 8:45 am] BILLING CODE 6325-39-P NUCLEAR REGULATORY COMMISSION 10 CFR Parts 2 and 13 RIN 3150-AH74 Use of Electronic Submissions in Agency Hearings; Correction AGENCY: Nuclear Regulatory Commission. ACTION: Final rule; correction. SUMMARY: This document corrects a final rule appearing in the **Federal Register** on August 28, 2007 (72 FR 49139), that requires the use of electronic submissions in all agency hearings, consistent with the existing practice for the high-level radioactive waste repository application. This document is necessary to correct two typographical errors. DATES: This correction is effective November 16, 2007, and is applicable to October 15, 2007. FOR FURTHER INFORMATION CONTACT: Darani Reddick, Office of the General Counsel, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, telephone 301-415-3841, e-mail *dmr@nrc.gov* , or Steven Hamrick, Office of the General Counsel, telephone 301-415-4106, e-mail *sch1@nrc.gov.* SUPPLEMENTARY INFORMATION: As published, the final regulations contain errors which may prove to be misleading and need to be clarified. List of Subjects 10 CFR Part 2 Administrative practice and procedure, Classified information, Confidential business information, Freedom of information, Hazardous waste, Nuclear materials, Nuclear power plants and reactors, Penalties, Reporting and recordkeeping requirements, Sex discrimination. 10 CFR Part 13 Administrative practice and procedure, Claims, Fraud, Penalties. Accordingly, 10 CFR part 2 is corrected by making the following correcting amendment: PART 2—RULES OF PRACTICE FOR DOMESTIC LICENSING PROCEEDINGS AND ISSUANCE OF ORDERS 1. The authority citation for part 2 continues to read as follows: Authority: Secs. 161, 181, 68 Stat. 948, 953, as amended (42 U.S.C. 2201, 2231); sec. 191, as amended, Pub. L. 87-615, 76 Stat. 409 (42 U.S.C. 2241); sec. 201, 88 Stat. 1242, as amended (42 U.S.C. 5841); 5 U.S.C. 552; sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504 note). Section 2.101 also issued under secs. 53, 62, 63, 81, 103, 104, 105, 68 Stat. 930, 932, 933, 935, 936, 937, 938, as amended (42 U.S.C. 2073, 2092, 2093, 2111, 2133, 2134, 2135); sec. 114(f); Pub. L. 97-425, 96 Stat. 2213, as amended (42 U.S.C. 10143(f); sec. 102, Pub. L. 91-190, 83 Stat. 853, as amended (42 U.S.C. 4332); sec. 301, 88 Stat. 1248 (42 U.S.C. 5871). Sections 2.102, 2.103, 2.104, 2.105, 2.321 also issued under secs. 102, 103, 104, 105, 183i, 189, 68 Stat. 936, 937, 938, 954, 955, as amended (42 U.S.C. 2132, 2133, 2134, 2135, 2233, 2239). Section 2.105 also issued under Pub. L. 97-415, 96 Stat. 2073 (42 U.S.C. 2239). Sections 2.200-2.206 also issued under secs. 161b, i, o, 182, 186, 234, 68 Stat. 948-951, 955, 83 Stat. 444, as amended (42 U.S.C. 2201(b), (i), (o), 2236, 2282); sec. 206, 88 Stat. 1246 (42 U.S.C. 5846). Section 2.205(j) also issued under Pub. L. 101-410, 104 Stat. 90, as amended by section 3100(s), Pub. L. 104-134, 110 Stat. 1321-373 (28 U.S.C. 2461 note). Subpart C also issued under sec. 189, 68 Stat. 955 (42 U.S.C. 2239). Sections 2.600-2.606 also issued under sec. 102, Pub. L. 91-190, 83 Stat. 853, as amended (42 U.S.C. 4332). Section 2.301 also issued under 5 U.S.C. 554. Sections 2.343, 2.346, 2.712, also issued under 5 U.S.C. 557. Section 2.340 also issued under secs. 135, 141, Pub. L. 97-425, 96 Stat. 2232, 2241 (42 U.S.C. 10155, 10161). Section 2.390 also issued under sec. 103, 68 Stat. 936, as amended (42 U.S.C. 2133) and 5 U.S.C. 552. Sections 2.800 and 2.808 also issued under 5 U.S.C. 553. Section 2.809 also issued under 5 U.S.C. 553, and sec. 29, Pub. L. 85-256, 71 Stat. 579, as amended (42 U.S.C. 2039). Subpart K 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). § 2.4 [Corrected] 2. In the definition for “participant,” in the second sentence, remove “§ 2,315(b)” and add in its place “§ 2.315(c).” PART 13—PROGRAM FRAUD CIVIL REMEDIES 3. The authority citation for part 13 continues to read as follows: Authority: Public Law 99-509, secs. 6101-6104, 100 Stat. 1874 (31 U.S.C. 3801-3812); sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504 note). Sections 13.13
(a)and
(b)also issued under section Pub. L. 101-410, 104 Stat. 890, as amended by section 31001(s), Pub. L. 104-134, 110 Stat. 1321-373 (28 U.S.C. 2461 note). § 13.2 [Corrected] 4. In the definition for “participant,” in the second sentence, remove “§ 2,315(b)” and add in its place “§ 2.315(c).” Dated at Rockville, Maryland, this 8th day of November 2007. For the Nuclear Regulatory Commission. Annette L. Vietti-Cook, Secretary of the Commission. [FR Doc. E7-22378 Filed 11-15-07; 8:45 am] BILLING CODE 7590-01-P DEPARTMENT OF TRANSPORTATION Federal Aviation Administration 14 CFR Parts 21 and 29 [Docket No. SW015; Special Condition No. 29-015-SC] Special Conditions: DynCorp International, Supplemental Type Certificate (STC), Project Number ST2902RC-R, Installation of Pratt & Whitney Canada PT6-67D Engine With Full Authority Digital Engine Control (FADEC) on Global Helicopter Technology, Inc. (GHTI), Restricted Category Model UH-1H Helicopters, Type Certificate
(TC)Number R00002RC AGENCY: Federal Aviation Administration (FAA), DOT. ACTION: Final special condition; request for comments. SUMMARY: This special condition is issued for Supplemental Type Certificate (STC), Project Number ST2902RC-R, for the installation of a Pratt and Whitney PT6-67D Turbine Engine on Global Helicopter Technology Inc. (GHTI), Restricted Category, U.S. Army military surplus helicopters, Model UH-1H, type certificated under type certificate
(TC)R00002RC. The installation of the PT6-67D on the Restricted Category UH-1H will have a novel or unusual design feature associated with the installation of the Full Authority Digital Engine Control (FADEC). The applicable airworthiness regulations do not contain adequate or appropriate safety standards to protect systems that perform critical control functions from the effects of a high-intensity radiated field (HIRF). This special condition contains the additional safety standards that the Administrator considers necessary to ensure that critical control functions of systems will be maintained when exposed to HIRF. DATES: The effective date of this special condition is November 7, 2007. We must receive your comments by January 15, 2008. ADDRESSES: You must mail two copies of your comments to: Federal Aviation Administration (FAA), Rotorcraft Directorate, Attention: Rules Docket (ASW-111), Docket No. SW015, Fort Worth, Texas 76193-0111. You may deliver two copies to the Rotorcraft Directorate at the above address. You must mark your comments: Docket No. SW015. You can inspect comments in the Rules Docket weekdays, except Federal holidays, between 8:30 a.m. and 4 p.m. The Rules Docket for special conditions is maintained at the Federal Aviation Administration, Rotorcraft Directorate, 2601 Meacham Blvd., Room 448, Fort Worth, Texas 76137. FOR FURTHER INFORMATION CONTACT: Tyrone D. Millard, FAA, Rotorcraft Directorate, Rotorcraft Standards Staff, Fort Worth, Texas 76193-0110; telephone 817-222-5439, fax 817-222-5961. SUPPLEMENTARY INFORMATION: The FAA has determined that notice and opportunity for prior public comment hereon are unnecessary because the substance of this special condition has been subject to the public comment process in several prior instances with no substantive comments received. We are satisfied that new comments are unlikely. The FAA therefore finds that good cause exists for making this special condition effective upon issuance. Comments Invited We invite interested people to take part in this rulemaking by sending written comments, views, or data. The most helpful comments reference a specific portion of the special condition, explain the reason for any recommended change, and include supporting data. We will file in the docket all comments we receive, as well as a report summarizing each substantive public contact with FAA personnel about this special condition. You can inspect the docket before and after the comment closing date. If you wish to review the docket in person, go to the address in the ADDRESSES section of this preamble between 8:30 a.m. and 4 p.m., Monday through Friday, except Federal holidays. We will consider all comments we receive by the closing date for comments. We will consider comments filed late if it is possible to do so without incurring additional expense or delay. We may change this special condition based on the comments we receive. If you want us to let you know we received your comments on this special condition, send us a pre-addressed, stamped postcard on which the docket number appears. We will stamp the date on the postcard and mail it back to you. Background On January 9, 2007, DynCorp International applied for an STC for the installation of a Pratt & Whitney PT6-67D Turbine Engine on the GHTI, U.S. Army UH-1H, Restricted Category Helicopter, type certificated under Type Certificate R00002RC. This UH-1H Restricted Category helicopter is a utility/heavy lift helicopter with a two-bladed teetering main rotor system. It is to be powered by a single Pratt and Whitney PT6-67D engine that incorporates a full authority digital engine control (FADEC). The maximum gross weight of the aircraft is 9,500 pounds. Supplemental Type Certification Basis Under the provisions of 14 CFR 21.101, DynCorp International must show that the Engine Installation meets the applicable provisions of the regulations as listed below: • 14 CFR part 29 as amended through and including Amendment 29-1, effective August 12, 1965. • 14 CFR part 29.1529, Instructions for Continued Airworthiness, Amendment Number 20, effective September 11, 1980. In accordance with 14 CFR part 36.1(a)(4), compliance with the noise requirements was not shown for the aircraft. Therefore, the engine installations under this supplemental type certificate are only eligible for external load operations excepted by § 36.1(a)(4) and defined under § 133.1(b). Any alteration to the aircraft for special purpose not identified above will require further FAA approval and in addition, may require noise testing, flight testing, or a combination of noise and flight testing. In addition, the certification basis includes an equivalent safety finding pertaining to a limitation associated with repetitive high torque cycle events that is not relevant to this special condition. If the Administrator finds that the applicable airworthiness regulations do not contain adequate or appropriate safety standards for this STC because of a novel or unusual design feature, special conditions are prescribed under the provisions of § 21.16. The FAA issues special conditions as defined in § 11.19, and issued in accordance with § 11.38, and they become part of the STC certification basis under § 21.17(a)(2). Special conditions are initially applicable to the model, the modification, or a combination of the model and the modification for which they are issued. Should this STC be revised to include any other model that incorporates the same novel or unusual design feature, this special condition would also apply to the other model under the provisions of § 21.101. Novel or Unusual Design Features The GHTI UH-1H Restricted Category Helicopter with a Pratt & Whitney PT6-67D engine installed will incorporate the following novel or unusual design features: Electrical, electronic, or a combination of electrical and electronic (electrical/electronic) systems, specifically a FADEC, that will be performing critical control functions for the continued safe flight and landing of the helicopter. A FADEC is an electronic device that performs the critical functions of engine control during flight operations. Discussion The DynCorp International installation of the PT6-67D in the UH-1H helicopter, at the time of application, was identified as incorporating an electronic FADEC system. After the design is finalized, DynCorp International will provide the FAA with a preliminary hazard analysis. This analysis will identify the critical control functions that are required for safe flight and landing that are performed by the FADEC system. Recent advances in technology have given rise to the application in aircraft designs of advanced electrical/electronic systems that perform critical control functions. These advanced systems respond to the transient effects of induced electrical current and voltage caused by HIRF incidents on the external surface of the helicopter. These induced transient currents and voltages can degrade the performance of the electrical/electronic systems by damaging the components or by upsetting the systems' functions. Furthermore, the electromagnetic environment has undergone a transformation not envisioned by the current application of § 29.1309(a). Higher energy levels radiate from operational transmitters currently used for radar, radio, and television. Also, the number of transmitters has increased significantly. Existing aircraft or alteration certification requirements are inappropriate in view of these technological advances. In addition, the FAA has received reports of some significant safety incidents and accidents involving military aircraft equipped with advanced electrical/electronic systems when they were exposed to electromagnetic radiation. The combined effects of the technological advances in helicopter design and the changing environment have resulted in an increased level of vulnerability of the electrical/electronic systems required for the continued safe flight and landing of the helicopter. The design and installation of these systems will provide effective measures to protect this engine installation on this helicopter against the adverse effects of exposure to HIRF. The following primary factors contributed to the current conditions:
(1)Increased use of sensitive electronics that perform critical control functions;
(2)reduced electromagnetic shielding afforded helicopter systems by advanced technology airframe materials;
(3)adverse service experience of military aircraft using these technologies; and
(4)an increase in the number and power of radio frequency emitters and the expected increase in the future. On July 30, 2007, we issued a final HIRF rule (72 FR 44016, August 6, 2007). This rule provides standards to protect aircraft electrical and electronic systems from HIRFs. It was effective September 5, 2007. However, that rule included provisions that provide relief from the new testing requirements for equipment previously certificated under HIRF special conditions issued in accordance with 14 CFR § 21.16. To obtain this relief, the applicant must be able to—
(1)Provide evidence that the system was the subject of HIRF special conditions issued before December 1, 2007;
(2)Show that there have been no system design changes that would invalidate the HIRF immunity characteristics originally demonstrated under the previously issued HIRF special conditions; and
(3)Provide the data used to demonstrate compliance with the HIRF special conditions under which the system was previously approved. DynCorp's FADEC installation is eligible for this relief provided in 14 CFR § 29.1317(d) of the final HIRF rule. However, to meet their HIRF requirements, they must comply with this Special Condition, which is based on similar, historical HIRF protections requirements. These special conditions will require the systems that perform critical control functions, as installed in the aircraft, to meet certain standards based on either a defined HIRF environment or a fixed value using laboratory tests. The applicant may demonstrate that the operation and operational capabilities of the installed electrical/electronic systems that perform critical control functions are not adversely affected when the aircraft is exposed to the defined HIRF test environment. The FAA has determined that the test environment defined in Table 1 is acceptable for critical control functions in helicopters. The applicant may also demonstrate by a laboratory test that the electrical/electronic systems that perform critical control functions can withstand a peak electromagnetic field strength in a frequency range of 10 KHz to 18 GHz. If a laboratory test is used to show compliance with the defined HIRF environment, no credit will be given for signal attenuation due to installation. A level of 200 volts per meter (v/m) is more appropriate for critical functions during VFR operations. Laboratory test levels are defined according to RTCA/DO-160D Section 20 Category Y (200 v/m and 300 mA). As defined in DO-160D Section 20, the test levels are defined as the peak of the root means squared
(rms)envelope. As a minimum, the modulations required for RTCA/DO-160D Section 20 Category Y will be used. Other modulations should be selected as the signal most likely to disrupt the operation of the system under test, based on its design characteristics. For example, flight control systems may be susceptible to 3 Hz square wave modulation while the video signals for electronic display systems may be susceptible to 400 Hz sinusoidal modulation. If the worst-case modulation is unknown or cannot be determined, default modulations may be used. Suggested default values are a 1 KHz sine wave with 80 percent depth of modulation in the frequency range from 10 KHz to 400 MHz and 1 KHz square wave with greater than 90 percent depth of modulation from 400 MHz to 18 GHz. For frequencies where the unmodulated signal would cause deviations from normal operation, several different modulating signals with various waveforms and frequencies should be applied. Applicants must perform a preliminary hazard analysis to identify electrical/electronic systems that perform critical control functions. The term “critical control” means those functions whose failure would contribute to or cause an unsafe condition that would prevent the continued safe flight and landing of the helicopter. The FADEC system identified by the hazard analysis as performing critical control functions is required to have HIRF protection. Compliance with HIRF requirements will be demonstrated by tests, analysis models, similarity with existing systems, or a combination of these methods. The two basic options of either testing the FADEC system to the defined environment or laboratory testing may not be combined. The laboratory test allows some frequency areas to be undertested and requires other areas to have some safety margin when compared to the defined environment. The areas required to have some safety margin are those shown, by past testing, to exhibit greater susceptibility to adverse effects from HIRF; and laboratory tests, in general, do not accurately represent the aircraft installation. Service experience alone will not be acceptable since such experience in normal flight operations may not include an exposure to HIRF. Reliance on a system with similar design features for redundancy, as a means of protection against the effects of external HIRF, is generally insufficient because all elements of a redundant system are likely to be concurrently exposed to the radiated fields. The modulation that represents the signal most likely to disrupt the operation of the system under test, based on its design characteristics should be selected. For example, flight control systems may be susceptible to 3 Hz square wave modulation. If the worst-case modulation is unknown or cannot be determined, default modulations may be used. Suggested default values are a 1 KHz sine wave with 80 percent depth of modulation in the frequency range from 10 KHz to 400 MHz, and 1 KHz square wave with greater than 90 percent depth of modulation from 400 MHz to 18 GHz. For frequencies where the unmodulated signal would cause deviations from normal operation, several different modulating signals with various waveforms and frequencies should be applied. Acceptable system performance would be attained by demonstrating that the critical control function components of the system under consideration continue to perform their intended function during and after exposure to required electromagnetic fields. Deviations from system specifications may be acceptable but must be independently assessed by the FAA on a case-by-case basis. Table 1.—Field Strength Volts/Meter Frequency Peak Average 10-100 KHz 150 150 100-500 KHz 200 200 500-2000 KHz 200 200 2-30 MHz 200 200 30-100 MHz 200 200 100-200 MHz 200 200 200-400 MHz 200 200 400-700 MHz 730 200 700-1000 MHz 1400 240 1-2 GHz 5000 250 2-4 GHz 6000 490 4-6 GHz 7200 400 6-8 GHz 1100 170 8-12 GHz 5000 330 12-18 GHz 2000 330 18-40 GHz 1000 420 Applicability As discussed previously, this special condition is applicable to Supplemental Type Certificate
(STC)Project Number ST2902RC-R, for the installation of a Pratt & Whitney PT6-67D turbine engine in GHTI UH-1H military surplus helicopters type certificated under TC R00002RC. Should DynCorp International apply at a later date for a change to the STC to include another model incorporating the same novel or unusual design feature, the special condition would apply to that STC modification as well under the provisions of § 21.101. Conclusion This action affects only certain novel or unusual design features associated with this STC project. It is not a rule of general applicability and affects only the applicant who applied to the FAA for approval of these features on the helicopter. The substance of this special condition has been subjected to a notice and comment period in several prior instances and has been derived without substantive change from those previously issued. It is unlikely that prior public comment would result in a significant change from the substance contained herein. For this reason, the FAA has determined that prior public notice and comment are unnecessary, and good cause exists for adopting this special condition upon issuance. The FAA is requesting comments to allow interested persons to submit views that may not have been submitted in response to the prior opportunities for comment. List of Subjects in 14 CFR Parts 21 and 29 Aircraft, Air transportation, Aviation safety, Rotorcraft, Safety. The authority citation for this special condition is as follows: Authority: 42 U.S.C. 7572; 49 U.S.C. 106(g), 40105, 40113, 44701-44702, 44704, 44709, 44711, 44713, 44715, 45303. The Special Condition Accordingly, pursuant to the authority delegated to me by the Administrator, the following special condition is issued as part of the supplemental type certification basis for STC Project ST2902RC-R, installation of PT6-67D on Global Helicopter Technology, Inc. (GHTI), Model UH-1H, Restricted Category Helicopters, type certificated under TC R00002RC. *Protection for Electrical and Electronic Systems From High Intensity Radiated Fields.* 1. Each system that performs critical control functions must be designed and installed to ensure that the operation and operational capabilities of these critical control functions are not adversely affected when the helicopter is exposed to high intensity radiated fields external to the helicopter. 2. For the purpose of this special condition, critical control functions are defined as those functions, whose failure would contribute to, or cause, an unsafe condition that would prevent the continued safe flight and landing of the aircraft. Issued in Fort Worth, Texas, on November 7, 2007. Mark R. Schilling, Acting Manager, Aircraft Certification Service, Rotorcraft Directorate. [FR Doc. 07-5698 Filed 11-15-07; 8:45 am]
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U.S. Code
37 references not yet in our index
  • 5 CFR 575
  • 5 CFR 575.315
  • Pub. L. 108-411
  • 5 CFR 430
  • 118 Stat. 2305
  • Pub. L. 107-273
  • 116 Stat. 1780
  • 10 CFR 2
  • 10 CFR 13
  • 68 Stat. 948
  • Pub. L. 87-615
  • 88 Stat. 1242
  • 112 Stat. 2750
  • 68 Stat. 930
  • Pub. L. 97-425
  • 96 Stat. 2213
  • Pub. L. 91-190
  • 83 Stat. 853
  • 88 Stat. 1248
  • 68 Stat. 936
  • Pub. L. 97-415
  • 96 Stat. 2073
  • 83 Stat. 444
  • 88 Stat. 1246
  • Pub. L. 101-410
  • 104 Stat. 90
  • Pub. L. 104-134
  • 68 Stat. 955
  • 96 Stat. 2232
  • Pub. L. 85-256
  • 71 Stat. 579
  • 96 Stat. 2230
  • Pub. L. 99-509
  • 100 Stat. 1874
  • 31 USC 3801-3812
  • 104 Stat. 890
  • 14 CFR 29
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U.S.C.§ 5757
U.S.C.§ 2201
Stat.Public Law 87–615
U.S.C.§ 2241
U.S.C.§ 5841
Cite5 CFR 575
Cite5 CFR 575.315
Pub. L.Pub. L. 108-411
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