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Code · REGISTER · 2007-12-27 · Federal Aviation Administration (FAA), DOT · Notices

Notices. Notice of public meeting

119,483 words·~543 min read·/register/2007/12/27/07-6246

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

BILLING CODE 4910-13-M DEPARTMENT OF TRANSPORTATION Federal Aviation Administration Aviation Rulemaking Advisory Committee Meeting on Transport Airplane and Engine Issues AGENCY: Federal Aviation Administration (FAA), DOT. ACTION: Notice of public meeting. SUMMARY: This notice announces a public meeting of the FAA's Aviation Rulemaking Advisory Committee
(ARAC)to discuss transport airplane and engine
(TAE)issues. DATES: The meeting is scheduled for Wednesday, February 6, 2008, starting at 9 am Eastern Standard Time. Arrange for oral presentations by January 23, 2008. ADDRESSES: Boeing, 1200 Wilson Blvd, Conference Room 234, Arlington, Virginia 22209. FOR FURTHER INFORMATION CONTACT: Nicanor Davidson, Office of Rulemaking, ARM-207, FAA, 800 Independence Avenue, SW., Washington, DC 20591, Telephone
(202)267-5174, FAX
(202)267-5075, or e-mail at *nicanor.davidson@faa.gov.* SUPPLEMENTARY INFORMATION: Pursuant to Section 10(a)(2) of the Federal Advisory Committee Act (Pub. L. 92-463; 5 U.S.C. app. III), notice is given of an ARAC meeting to be held February 6, 2008. The agenda for the meeting is as follows: • Opening Remarks • FAA Report • European Aviation Safety Agency Report • ARAC Executive Committee Report • Transport Canada Report • Airplane-level Safety Analysis Working Group Report ○ Closure of Task 2 and Status of Task 3 • Propeller Harmonization Working Group
(HWG)Report • Ice Protection HWG Report • Airworthiness Assurance HWG Report • Avionics HWG Report • Any Other Business • Action Item Review Attendance is open to the public, but will be limited to the availability of meeting room space. Please confirm your attendance with the person listed in the FOR FURTHER INFORMATION CONTACT section no later than January 23, 2008. Please provide the following information: Full legal name, country of citizenship, and name of your industry association, or applicable affiliation. If you are attending as a public citizen, please indicate so. For persons participating by telephone, the call-in number is
(202)366-3920; the Passcode is “6039.” To insure that sufficient telephone lines are available, please notify the person listed in the FOR FURTHER INFORMATION CONTACT section of your intent to participate by telephone by January 23, 2008. Anyone calling from outside the Washington, DC metropolitan area will be responsible for paying long-distance charges. The public must make arrangements by January 23, 2008, to present oral statements at the meeting. Written statements may be presented to the ARAC at any time by providing 25 copies to the person listed in the FOR FURTHER INFORMATION CONTACT section. If you need assistance or require a reasonable accommodation for the meeting or meeting documents, please contact the person listed in the FOR FURTHER INFORMATION CONTACT section. Sign and oral interpretation, as well as a listening device, can be made available if requested 10 calendar days before the meeting. Issued in Washington, DC on December 19, 2007. Pamela Hamilton-Powell, Director, Office of Rulemaking. [FR Doc. E7-25020 Filed 12-26-07; 8:45 am] BILLING CODE 4910-13-P DEPARTMENT OF TRANSPORTATION Federal Highway Administration Environmental Impact Statement: Chautauqua County, NY AGENCY: Federal Highway Administration (FHWA), DOT. ACTION: Notice of Intent. SUMMARY: The FHWA is issuing this notice to advise the public that an Environmental Impact Statement
(EIS)will be prepared for the proposed Millennium Parkway project in Chautauqua County, New York, Project Identification Number
(PIN)5757.55. FOR FURTHER INFORMATION CONTACT: Jeffrey W. Kolb, P.E., Division Administrator, Federal Highway Administration, New York Division, Leo W. O'Brien Federal Building, 7th Floor, Clinton Avenue and North Pearl Street, Albany, New York 12207, *Telephone:*
(518)431-4127; or Alan E. Taylor, P.E., Regional Director, NYSDOT Region 5; 100 Seneca Street, Buffalo NY 14203, *Telephone:*
(716)847-3238; or George E. Spanos, P.E., Director, CCDPF, 454 North Work Street, Falconer, New York 14733, *Telephone:*
(716)661-8400. SUPPLEMENTARY INFORMATION: The FHWA, in cooperation with the New York State Department of Transportation (NYSDOT) and the Chautauqua County Department of Public Facilities (CCDPF), will prepare an EIS on a proposal to construct the Millennium Parkway in Chautauqua County, New York. An industrial corridor, including industrial districts located along Werle Road, Harrington Road, Progress Drive, and County Route
(CR)82 (Middle Road), is being developed to provide further economic opportunities within the surrounding communities. This industrial corridor includes the Chadwick Bay Industrial Park, located to the east of the City of Dunkirk in the Town of Sheridan. Although directly adjacent to air and rail facilities, tractor-trailer truck traffic access to the industrial corridor is currently not adequate. The purpose of the Millennium Parkway Project is to improve tractor-trailer truck traffic access to the industrial corridor, including the Chadwick Bay Industrial Park, from New York
(NY)Route 60 (Bennett Road). Objectives to be met with the construction of the Millennium Parkway are to: Improve tractor-trailer truck-oriented infrastructure to the industrial corridor; improve vehicular and pedestrian safety along the existing truck route; and reduce travel time from NY Route 60 to the industrial corridor. The reasonable range of alternatives will include a No-Build Alternative and three Build Alternatives, which are briefly described below. Additional input from Participating and Cooperating Agencies, and from the public, will be necessary before a final decision will be made regarding the full range of alternatives to be studied. • The *No-Build Alternative* would utilize the existing truck route in its current condition. This alternative would maintain the existing truck route along NY Route 60 to NY Route 5 (Lakeshore Drive) to CR 82 in its present state with only routine maintenance to keep the existing truck route open to traffic. • The *Build Alternatives* are: Improving the existing truck route; improving other existing routes; or constructing a new urban collector on new alignment by utilizing existing and/or new roads. Incorporated into and studied with the various build alternatives will be design variations of grade and alignment. The purpose of the Millennium Parkway Project is to improve tractor-trailer truck traffic access to the industrial corridor, including the Chadwick Bay Industrial Park, from NY Route 60. In order to meet this purpose, the project limits have been sufficiently delineated to include the industrial corridor. The western boundary of the Project Limits has been established as the existing truck route along NY Route 60, since the tractor-trailer truck traffic currently passing through the City of Dunkirk utilizes this route. The northern boundary of the project limits has been established as the remaining portion of the existing truck route along NY Route 5 and CR 82 as well as the CSX Transportation
(CSXT)Railroad, to avoid any additional railroad crossings. The eastern boundary of the project limits has been established as Harrington Road, CR 82, and Cook Road to avoid conflicts with the Dunkirk Airport. Finally, the southern boundary of the project limits has been established as Interstate 90 (I-90) to avoid conflicts with this route (I-90). The limits considered to define the bounds of the affected environment for the environmental assessment of the Build Alternatives, which vary slightly from the Project Limits, are generally as follows: northwest along NY Route 60 from the intersection with I-90, Interchange 59; east then north along the City of Dunkirk city limit line; northeast along the CSXT Railroad; south along the existing alignments of Harrington Road, CR 82, and Cook Road; then southwest along the existing alignment of I-90. The anticipated length of the proposed roadway will be determined based on the preferred alternative. The highway's southern terminus would be located at NY Route 60, north of I-90, Interchange 59, and its northern terminus would be located in the vicinity of the industrial corridor. Letters describing the proposed action and soliciting comments will be sent to appropriate Federal, State, and local agencies, and to private organizations and citizens who have previously expressed or are known to have interest in this proposal. As part of the formal scoping process for this project, a series of public meetings will be held in the towns of Dunkirk and Sheridan this fall. Public notice will be given regarding the time and place of the meetings. The draft EIS will be available for public and agency reviews and comment prior to a public hearing. The draft EIS is expected to be completed in the spring of 2009. To ensure that the full range of issues related to this proposed action are addressed and all significant issues identified, comments and suggestions are invited from all interested parties. Comments or questions concerning this proposed action and the EIS should be directed to the FHWA, NYSDOT, or CCDPF at the addresses provided earlier. (Catalog of Federal Domestic Assistance Program Number 20.205, Highway Planning and Construction. The regulations implementing Executive Order 12372 regarding intergovernmental consultation on Federal programs and activities apply to this program.) Authority: 23 U.S.C. 315; 23 CFR 771.123. Issued on: December 19, 2007. Jeffrey W. Kolb, Division Administrator, Federal Highway Administration, Albany, New York. [FR Doc. E7-25027 Filed 12-26-07; 8:45 am] BILLING CODE 4910-22-P DEPARTMENT OF TRANSPORTATION Federal Highway Administration Environmental Impact Statement: Deschutes County, OR AGENCY: Federal Highway Administration (FHWA), DOT. ACTION: Notice of intent. SUMMARY: The Federal Highway Administration
(FHWA)is issuing this notice of intent to advise agencies and the public than an Environmental Impact Statement
(EIS)will be prepared to assess the impacts of proposed modifications to U.S. 97 in Deschutes County, Oregon. DATES: A public scoping meeting will be held Thursday, January 24, 2008, at the Sky View Middle School Commons 63555 18th Street, Bend, Oregon 97701. The public scoping meeting will include an informational presentation from 5 p.m. to 6 p.m. The informational presentation will be followed by a question and answer period and a general open house from 6 p.m. until 8:30 p.m. An agency scoping meeting will be held on January 10, 2008, at ODOT Region 4, Construction Office Conference Room, 63030 O.B. Riley Road, Bend, Oregon 97701. The agency scoping meeting will be from 1 p.m. to 3:30 p.m. FOR FUTHER INFORMATION CONTACT: Ms. Michelle Eraut, Environmental Program Manager, Federal Highway Administration, 530 Center Street, NE., Suite 100, Salem, Oregon 97301; telephone 503-587-4716. SUPPLEMENTARY INFORMATION: The FHWA, in cooperation with the Oregon Department of Transportation (ODOT), will prepare an EIS for the proposed modifications to U.S. 97 in Deschutes County, Oregon. The proposed improvements may involve the reconstruction or realignment of the existing U.S. 97 roadway between the Bend Parkway/Empire Avenue and Deschutes Market Road-Tumalo Junction interchanges. Improvements to the corridor are considered necessary to meet the mobility standards and facility management goals consistent with U.S. 97's designation as a statewide expressway, address current and future transportation demand, and improve safety along the corridor including the intersections of U.S. 97 with Cooley and Robal Roads. Current traffic volumes exceed roadway capacity. Traffic is expected to increase 20 to 40% by 2032. The intersections of U.S. 97 with Cooley and Robal Roads are in the top 5 percent of crash locations on state highways within Oregon. The northern portion of the project is located in a predominately rural area. Lands on the eastern side of the highway are being considered for inclusion into the City of Bend's Urban Growth Boundary. The middle portion of the project begins the transition from rural to urban uses, with the number of accesses increasing. Access to rural residential uses are located on the west side of the highway and access to two mobile home parks are located on the eastern side of the highway. The southern portion of the project is within a high-growth urban commercial setting with regional big box retail uses and a large retail mall on the west side of the highway. Smaller regional and local retail and manufacturing businesses are on the east side of the highway. The EIS will identify transportation needs and deficiencies in the project study area, including safety, mobility, access, safety, system linkages and continuity. The range of alternatives evaluated in the EIS will be developed to meet the identified purpose and need. Potential alternatives and combinations thereof may include, but are not limited to:
(1)No action;
(2)reroute U.S. 97 on a westerly alignment; and
(3)reroute U.S. 973 on an easterly alignment. Design variations of potential alternatives will also be studied, as appropriate. A refinement plan for U.S. 97 & U.S. 20 was completed in May 2007. Information from the refinement plan may be utilized as appropriate in the development of this EIS. The EIS will be initiated with a scoping process. The scoping process will include a program of public outreach and agency coordination conducted over the next several months to elicit input of project purpose and need, potential alternatives, significant and insignificant issues, and collaborative methods of analyzing transportation alternatives and environmental impacts. A series of public, agency and tribal meetings will be held in early 2008 and continue throughout the development of the EIS. The public outreach program will include multiple public meetings conducted by ODOT as well as coordination with the Technical Management Team, the Citizens Advisory Committee and the Project Steering Team. The Technical Management Team is comprised of technical representatives from ODOT, the City of Bend, Deschutes County and the Oregon Department of Land Conservation and Development. The Citizens Advisory Committee is comprised of the public representing neighborhood and business interests in the project areas. The Project Steering Team is comprised of policy representatives from ODOT, the City of Bend and Deschutes County. A public hearing will be held in connection with the release of the draft EIS. Public notice will be given regarding the time and place of the public meetings and hearings. An internet website has been established at: *http://www.US97solutions.org* and will be operational beginning January 10, 2008. This website and other communication media will be utilized throughout the process to provide public information and to receive comments. All comments and input received during the EIS process will be considered and documented. The FHWA and ODOT will evaluate significant transportation, environmental, social and economic impacts of the project alternatives. Potential areas of impact include: neighborhoods, businesses, natural resources and environmental justice. Measures to avoid, minimize and mitigate any significant adverse impacts will be developed. Comments and suggestions are invited from all interested parties, to ensure that the full range of issues related to this project are addressed and all significant issues are identified. Comments or questions regarding the proposed action and the EIS should be directed to the FHWA at the address provided above. Authority: 23 U.S.C. 315. Issued on: December 18, 2007. Michelle Eraut, Environmental Program Manager, Salem, Oregon. [FR Doc. E7-25023 Filed 12-26-07; 8:45 am] BILLING CODE 4910-22-P DEPARTMENT OF TRANSPORTATION Maritime Administration Marine Transportation System National Advisory Council ACTION: National Advisory Council public meeting. SUMMARY: The Maritime Administration announces that the Marine Transportation System National Advisory Council (MTSNAC) will hold a meeting to discuss an expanded Marine Transportation System outreach and education program that addresses future workforce needs, environmental issues, and freight mobility; public and private sector data collection efforts; and addressing MTSNAC's ten public/private recommendations. A public comment period is scheduled for 10:30 a.m. to 11 a.m. on Thursday, January 10. 2008. To provide time for as many people to speak as possible, speaking time for each individual will be limited to three minutes. Members of the public who would like to speak are asked to contact Richard J. Lolich by January 2, 2008. Commenters will be placed on the agenda in the order in which notifications are received. If time allows, additional comments will be permitted. Copies of oral comments must be submitted in writing at the meeting. Additional written comments are welcome and must be filed by January 18, 2008. DATES: The meeting will be held on Wednesday, January 9, 2008, from 3 p.m. to 5 p.m. and Thursday, January 10, 2008, from 8:30 a.m. to 5 p.m. ADDRESSES: The meeting will be held in the Westin Seattle Hotel, 1900 Fifth Ave., Seattle, WA 98101. The hotel's phone number is 206-728-1000. FOR FURTHER INFORMATION CONTACT: Richard Lolich,
(202)366-0704; Maritime Administration, MAR-540, Room W21-309, 1200 New Jersey Ave., SE., Washington, DC 20590-0001; *richard.lolich@dot.gov* . Authority: 5 U.S.C. App 2, Sec. 9(a)(2); 41 CFR 101-6. 1005; DOT Order 1120.3B. Dated: December 17, 2007. By order of the Maritime Administrator. Christine Gurland, Acting Secretary, Maritime Administration. [FR Doc. E7-25009 Filed 12-26-07; 8:45 am] BILLING CODE 4910-81-P DEPARTMENT OF TRANSPORTATION Surface Transportation Board [STB Ex Parte No. 290 (Sub No. 5) (2008-1)] Quarterly Rail Cost Adjustment Factor AGENCY: Surface Transportation Board. ACTION: Approval of rail cost adjustment factor. SUMMARY: The Board has approved the rebased first quarter 2008 rail cost adjustment factor
(RCAF)and cost index filed by the Association of American Railroads. As required by statute, the RCAF is rebased using the fourth quarter 2007 index value as the denominator and first quarter 2008 index value as the numerator (10/1/07 = 1.00). Rebasing is required every five years. The rebased first quarter 2008 RCAF (Unadjusted) is 1.050. The rebased first quarter 2008 RCAF (Adjusted) is 0.486. The rebased first quarter 2008 RCAF-5 is 0.461. EFFECTIVE DATE: January 1, 2008. FOR FURTHER INFORMATION CONTACT: Pedro Ramirez,
(202)245-0333. [Federal Information Relay Service
(FIRS)for the hearing impaired: 1-800-877-8339.] SUPPLEMENTARY INFORMATION: Additional information is contained in the Board's decision, which is available on our Web site *http://www.stb.dot.gov* . To purchase a copy of the full decision, write to, e-mail, or call the Board's contractor, ASAP Document Solutions, 9332 Annapolis Rd., Suite 103, Lanham, MD 20706; e-mail *asapdc@verizon.net* ; phone
(202)306-4004. [Assistance for the hearing impaired is available through FIRS: 1-800-877-8339.] This action will not significantly affect either the quality of the human environment or energy conservation. Pursuant to 5 U.S.C. 605(b), we conclude that our action will not have a significant economic impact on a substantial number of small entities within the meaning of the Regulatory Flexibility Act. Decided: December 19, 2007. By the Board, Chairman Nottingham, Vice Chairman Buttrey, and Commissioner Mulvey. Vernon A. Williams, Secretary. [FR Doc. E7-24998 Filed 12-26-07; 8:45 am] BILLING CODE 4915-01-P DEPARTMENT OF THE TREASURY Submission for OMB Review; Comment Request December 19, 2007. The Department of the Treasury will submit the following public information collection requirement(s) to OMB for review and clearance under the Paperwork Reduction Act of 1995, Public Law 104-13 on or after the date of publication of this notice. Copies of the submission(s) may be obtained by calling the Treasury Bureau Clearance Officer listed. Comments regarding this information collection should be addressed to the OMB reviewer listed and to the Treasury Department Clearance Officer, Department of the Treasury, Room 11000, 1750 Pennsylvania Avenue, NW., Washington, DC 20220. *Dates:* Written comments should be received on or before January 28, 2008 to be assured of consideration. Alcohol And Tobacco Tax And Trade Bureau
(TTB)*OMB Number:* 1513-0044. *Type of Review:* Revision. *Title:* Notice of Change in Status of Plant. *Forms:* TTB 5110.34. *Description:* TTB F 5110.34 is necessary to show the use of the distilled spirits plant
(DSP)premises for other activities or by alternating proprietors. It describes proprietor's use of plant premises and other information to show that the change in plant status is in conformity with laws and regulations. *Respondents:* Business and other for profits. *Estimated Total Burden Hours:* 1,000 hours. *OMB Number:* 1513-0050. *Type of Review:* Revision. *Title:* Tax Deferral Bond—Distilled Spirits (Puerto Rico). *Form:* 5110.50. *Description:* TTB F 5110.50 is the bond to secure payment of excise taxes on distilled spirits shipped from Puerto Rico to the U.S. on deferral of the tax. The form identifies the principal, the surety, purpose of bond, and allocation of the penal sum among the principal's locations. *Respondents:* Business and other for profits. *Estimated Total Burden Hours:* 10 hours. *Clearance Officer:* Frank Foote
(202)927-9347, Alcohol and Tobacco Tax and Trade Bureau, Room 200 East, 1310 G. Street, NW., Washington, DC 20005. *OMB Reviewer:* Alexander T. Hunt
(202)395-7316, Office of Management and Budget, Room 10235, New Executive Office Building, Washington, DC 20503. Robert Dahl, Treasury PRA Clearance Officer. [FR Doc. E7-25115 Filed 12-26-07; 8:45 am] BILLING CODE 4810-31-P DEPARTMENT OF THE TREASURY Submission for OMB Review; Comment Request December 18, 2007. The Department of the Treasury will submit the following public information collection requirement(s) to OMB for review and clearance under the Paperwork Reduction Act of 1995, Public Law 104-13 on or after the date of publication of this notice. Copies of the submission(s) may be obtained by calling the Treasury Bureau Clearance Officer listed. Comments regarding this information collection should be addressed to the OMB reviewer listed and to the Treasury Department Clearance Officer, Department of the Treasury, Room 11000, 1750 Pennsylvania Avenue, NW., Washington, DC 20220. Dates: Written comments should be received on or before January 28, 2008 to be assured of consideration. Internal Revenue Service
(IRS)*OMB Number:* 1545-1339. *Type of Review:* Extension. *Title:* IA-33-92 (Final) Information Reporting for Reimbursements of Interest on Qualified Mortgages. *Description:* To encourage compliance with the tax laws relating to the mortgage interest deduction, the regulations require the reporting on Form 1098 of reimbursements of interest overcharged in a prior year. Only businesses that receive mortgage interest in the course of that business are affected by this reporting requirement. *Respondents:* Businesses or other for-profit institutions. *Estimated Total Burden Hours:* 1 hour. *OMB Number:* 1545-2078. *Type of Review:* Revision. *Title:* Disclosure by Tax-Exempt Entity Regarding Prohibited Tax Shelter Transaction. *Form:* 8886-T. *Description:* Certain tax-exempt entities are required to file Form 8886-T to disclose information for each prohibited tax shelter transaction to which the entity was a party. *Respondents:* Not-for-profit institutions. *Estimated Total Burden Hours:* 70,395 hours. *OMB Number:* 1545-1318. *Type of Review:* Extension. *Title:* REG-209545-92
(NPRM)Earnings and Profits of Foreign Corporations *Description:* Application of the proposed regulations may result in accounting method changes which ordinarily require the filing of Form 3115. However, the proposed regulations waive this filing requirement if certain conditions are met, with the net result that no burdens are imposed. *Respondents:* Businesses and other for-profits. *Estimated Total Burden Hours:* 1 hour. *OMB Number:* 1545-1464. *Type of Review:* Extension. *Title:* IA-44-94 (Final) Deductibility, Substantiation, and Disclosure of Certain Charitable Contributions. *Description:* The regulation provides guidance regarding the allowance of certain charitable contribution deductions, the substantiation requirements for charitable contributions of $250 or more, and the disclosure requirements for quid pro quo contributions of $75 or more. These regulations will affect donee organizations and individuals and entities that make payments to donee organizations. *Respondents:* Individuals or households. *Estimated Total Burden Hours:* 1,975,000 hours. *OMB Number:* 1545-1083. *Type of Review:* Extension. *Title:* INTL-399-88 (Final) Treatment of Dual Consolidated Losses. *Description:* Section 1503(d) denies use of the losses of one domestic corporation by another affiliated domestic corporation where the loss corporation is also subject to the income tax of another country. The regulation allows an affiliate to make use of the loss if the loss has not been used in the foreign group, to take the loss into income upon future use of the loss in the foreign country. The regulation also requires separate accounting for a dual consolidated loss where the dual resident corporation files a consolidated return. *Respondents:* Businesses or other for-profit institutions. *Estimated Total Burden Hours:* 1,620 hours. *OMB Number:* 1545-1594. *Type of Review:* Extension. *Title:* REG-251520-96 (Final) Classification of Certain Transactions Involving Computer Programs. *Description:* The information requested in regulation Section 1.861-18(k) is necessary for the Commissioner to determine whether a taxpayer properly is requesting to change its method of accounting. *Respondents:* Businesses or other for-profit institutions. *Estimated Total Burden Hours:* 1 hour. *OMB Number:* 1545-1119. *Type of Review:* Extension. *Title:* Form 8804—Annual Return for Partnership Withholding Tax (Section 1446); Form 8805—Foreign Partner's Information Statement of Section 1446 Withholding Tax (Section 1446); Form 8813—Partnership Withholding Tax Payment Voucher (Section 1446). *Forms:* 8804, 8805, and 8813. *Description:* Code section 1446 requires partnerships to pay a withholding tax if they have effectively connected taxable income allocable to foreign partners. Forms 8804, 8805, and 8813 are used by withholding agents to provide IRS and affected partners with data to assure proper withholding, crediting to partners' accounts and compliance. *Respondents:* Businesses or other for-profit institutions. *Estimated Total Burden Hours:* 152,005 hours. *OMB Number:* 1545-1774. *Type of Review:* Extension. *Title:* REG-135898-04 (Temporary) Extensions of Time to Elect Method for Determining Allowable Loss; REG-152524-02 (Temporary) Guidance Under Section 1502; REG-102740-02 (Final) Loss Limitation Rules; REG-152. *Description:* The information is necessary to allow the taxpayer to make certain elections to determine the amount of allowable loss under Sec. 1.337(d)-2T, Sec. 1.1502-20 as currently in effect or under Sec. 1.1502-20 as modified; to allow the taxpayer to waive loss carryovers up to the amount of the Sec. 1.150-20(g) election and to ensure that loss is not disallowed under Sec. 1.337(d)-2T and basis is not reduced under Sec. 1.337(d)-2T to the extent the taxpayer establishes that the loss or basis is not attributable to the recognition of built in gain on the disposition of an asset. *Respondents:* Businesses or other for-profit institutions. *Estimated Total Burden Hours:* 36,720 hours. *OMB Number:* 1545-1378. *Type of Review:* Extension. *Title:* PS-4-89 (Final) Disposition of an Interest in a Nuclear Power Plant. *Description:* The regulations require that certain information be submitted as part of a request for a schedule of ruling amounts. The regulations also require certain taxpayers to file a request for a revised schedule of ruling amounts. *Respondents:* Businesses or other for-profit institutions. *Estimated Total Burden Hours:* 575 hours. *OMB Number:* 1545-1010. *Type of Review:* Revision. *Title:* U.S. Income Tax Return for Regulated Investment Companies. *Form:* 1120-RIC. *Description:* Form 1120-RIC is filed by a domestic corporation electing to be taxed as a RIC in order to report its income and deductions and to compute its tax liability. IRC uses Form 1120-RIC to determine whether the RIC has correctly reported its income, deductions, and tax liability. *Respondents:* Businesses or other for-profit institutions. *Estimated Total Burden Hours:* 369,021 hours. *Clearance Officer:* Glenn P. Kirkland
(202)622-3428, Internal Revenue Service, Room 6516, 1111 Constitution Avenue, NW., Washington, DC 20224. *OMB Reviewer:* Alexander T. Hunt
(202)395-7316, Office of Management and Budget, Room 10235, New Executive Office Building, Washington, DC 20503. Robert Dahl, Treasury PRA Clearance Officer. [FR Doc. E7-25116 Filed 12-26-07; 8:45 am] BILLING CODE 4830-01-P 72 247 Thursday, December 27, 2007 CORRECTIONS !!!DON!!! DEPARTMENT OF TRANSPORTATION Federal Highway Administration Environmental Impact Statement: New London County, CO Correction Notice document 07-4127 appearing on page 47122 in the issue of Wednesday, August 22, 2007 duplicates a document appearing on page 47119 and should not have been published. [FR Doc. C7-4127 Filed 12-26-07; 8:45 am] BILLING CODE 1505-01-D !!!DON!!! DEPARTMENT OF THE TREASURY Office of Thrift Supervision 12 CFR Part 584 [Docket ID OTS-2007-0007] 1550-AC10 Permissible Activities of Savings and Loan Holding Companies Correction In rule document E7-24676 beginning on page 72235 in the issue of Thursday, December 20, 2007 make the following correction: On page 72235, in the second column, under DATES , “April, 2008” should read “April 1, 2008”. [FR Doc. Z7-24676 Filed 12-26-07; 8:45 am] BILLING CODE 1505-01-D 72 247 Thursday, December 27, 2007 Rules and Regulations Part II Department of Agriculture Forest Service 36 CFR Part 242 Department of the Interior Fish and Wildlife Service 50 CFR Part 100 Subsistence Management Regulations for Public Lands in Alaska, Subpart C and Subpart D—2007-08 Subsistence Taking of Wildlife Regulations; 2007-08 Subsistence Taking of Fish on the Kenai Peninsula Regulations; Final Rule DEPARTMENT OF AGRICULTURE Forest Service 36 CFR Part 242 DEPARTMENT OF THE INTERIOR Fish and Wildlife Service 50 CFR Part 100 RIN 1018-AU15 Subsistence Management Regulations for Public Lands in Alaska, Subpart C and Subpart D—2007-08 Subsistence Taking of Wildlife Regulations; 2007-08 Subsistence Taking of Fish on the Kenai Peninsula Regulations AGENCIES: Forest Service, Agriculture; Fish and Wildlife Service, Interior. ACTION: Final rule. SUMMARY: This final rule establishes regulations for seasons, harvest limits, methods, and means related to taking of wildlife for subsistence uses in Alaska during the 2007-08 regulatory year. The rulemaking is necessary because the regulations governing the subsistence harvest of wildlife in Alaska are subject to an annual public review cycle. This rulemaking replaces the wildlife regulations that expired on June 30, 2007. This rule also amends the regulations that establish which Alaska residents are eligible to take specific species for subsistence uses. In addition, this rule revises the regulations for fishing seasons, harvest limits, methods and means related to taking of fish on the Kenai Peninsula for subsistence uses during the 2007-08 regulatory year. This rule also amends the customary and traditional use determinations of the Federal Subsistence Board. DATES: This rule is effective December 27, 2007. Compliance with § __.24(a)(1) was required as of July 1, 2007; compliance with § __.24(a)(2) was required as of April 1, 2007; compliance with § __.25 was required as of July 1, 2007; compliance with § __.26 is required from July 1, 2007, through June 30, 2008; and compliance with § __.27(i)(10) is required from June 11, 2007, through March 31, 2008. ADDRESSES: The Board meeting transcripts are available for review at the Office of Subsistence Management, 3601 C Street, Suite 1030, Anchorage, AK, or on the Office of Subsistence Management Web site *(http://alaska.fws.gov/asm/home.html).* FOR FURTHER INFORMATION CONTACT: Chair, Federal Subsistence Board, c/o U.S. Fish and Wildlife Service, Attention: Peter J. Probasco, Office of Subsistence Management;
(907)786-3888. For questions specific to National Forest System lands, contact Steve Kessler, Subsistence Program Leader, USDA, Forest Service, Alaska Region,
(907)786-3888. SUPPLEMENTARY INFORMATION: Background In Title VIII of the Alaska National Interest Lands Conservation Act (ANILCA) (16 U.S.C. 3111-3126), Congress found that “the situation in Alaska is unique in that, in most cases, no practical alternative means are available to replace the food supplies and other items gathered from fish and wildlife which supply rural residents dependent on subsistence uses * * *” and that “continuation of the opportunity for subsistence uses of resources on public and other lands in Alaska is threatened * * *”. As a result, Title VIII requires, among other things, that the Secretary of the Interior and the Secretary of Agriculture (Secretaries) implement a joint program to grant a preference for subsistence uses of fish and wildlife resources on Federal public lands and waters in Alaska, unless the State of Alaska enacts and implements laws of general applicability that are consistent with ANILCA and that provide for the subsistence definition, preference, and participation specified in Sections 803, 804, and 805 of ANILCA. The State implemented a program that the Department of the Interior previously found to be consistent with ANILCA. However, in December 1989, the Alaska Supreme Court ruled in *McDowell* v. *State of Alaska* that the rural preference in the State subsistence statute violated the Alaska Constitution. The Court's ruling in *McDowell* required the State to delete the rural preference from its subsistence statute and, therefore, negated State compliance with ANILCA. The Court stayed the effect of the decision until July 1, 1990. As a result of the *McDowell* decision, on July 1, 1990, the Department of the Interior and the Department of Agriculture (Departments) assumed responsibility for implementation of Title VIII of ANILCA on public lands and waters. In anticipation of carrying out this responsibility, the Departments published temporary subsistence management regulations for public lands in Alaska in the **Federal Register** on June 29, 1990 (55 FR 27114). Because the State was unable to create a program in compliance with Title VIII, the Departments published final regulations in the **Federal Register** in 1992 (57 FR 22940, May 29, 1992). As a result of this joint process between Interior and Agriculture, these regulations can be found in two titles of the Code of Federal Regulations (CFR): Title 36, “Parks, Forests, and Public Property,” and title 50, “Wildlife and Fisheries,” at 36 CFR 242.1-242.28 and 50 CFR 100.1-100.28, respectively. The regulations contain subparts as follows: Subpart A, General Provisions; subpart B, Program Structure; subpart C, Board Determinations; and subpart D, Subsistence Taking of Fish and Wildlife. Consistent with subparts A, B, and C of these regulations, as revised December 27, 2005 (70 FR 76400), the Departments established a Federal Subsistence Board to administer the Federal Subsistence Management Program. The Board's composition includes • A Chair appointed by the Secretary of the Interior with concurrence of the Secretary of Agriculture; • The Alaska Regional Director, U.S. Fish and Wildlife Service; • The Alaska Regional Director, U.S. National Park Service; • The Alaska State Director, U.S. Bureau of Land Management; • The Alaska Regional Director, U.S. Bureau of Indian Affairs; and • The Alaska Regional Forester, U.S. Forest Service. Through the Board, these agencies participate in the development of regulations for subparts A, B, and C, which set forth the program, and the subpart D regulations, which are revised annually. Federal Subsistence Regional Advisory Councils The Federal subsistence management regulations divide Alaska into 10 subsistence resource regions, each of which is represented by a Federal Subsistence Regional Advisory Council (Regional Council) (36 CFR 242.11 and 50 CFR 100.11). The Regional Councils provide a forum for rural residents, who have personal knowledge of local conditions and resource requirements, to have a meaningful role in the subsistence management of fish and wildlife on Alaska public lands and waters. The Regional Council members represent varied geographical, cultural, and user diversity within each region. Because the subpart D regulations, which establish seasons and harvest limits and methods and means, are subject to an annual cycle, they require development of an entire new rule each year. Customary and traditional use determinations (subpart C) are subject to an annual review process providing for modification each year. Section __.24 (i.e., customary and traditional use determinations) was originally published in the **Federal Register** on May 29, 1992 (57 FR 22940). The regulations at 36 CFR 242.4 and 50 CFR 100.4 define “customary and traditional use” as “a long-established, consistent pattern of use, incorporating beliefs and customs which have been transmitted from generation to generation* * *.” Since that time, the Board has made a number of customary and traditional use determinations at the request of impacted subsistence users. Those modifications, along with some administrative corrections, were published in the **Federal Register** as follows: Modifications to § __.24. Federal Register citation Date of publication: Rule made changes to the following provisions of __.24: 59 FR 27462 May 27, 1994 Wildlife and Fish/Shellfish. 59 FR 51855 October 13, 1994 Wildlife and Fish/Shellfish. 60 FR 10317 February 24, 1995 Wildlife and Fish/Shellfish. 61 FR 39698 July 30, 1996 Wildlife and Fish/Shellfish. 62 FR 29016 May 29, 1997 Wildlife and Fish/Shellfish. 63 FR 35332 June 29, 1998 Wildlife and Fish/Shellfish. 63 FR 46148 August 28, 1998 Wildlife and Fish/Shellfish. 64 FR 1276 January 8, 1999 Fish/Shellfish. 64 FR 35776 July 1, 1999 Wildlife. 65 FR 40730 June 30, 2000 Wildlife. 66 FR 10142 February 13, 2001 Fish/Shellfish. 66 FR 33744 June 25, 2001 Wildlife. 67 FR 5890 February 7, 2002 Fish/Shellfish. 67 FR 43710 June 28, 2002 Wildlife. 68 FR 7276 February 12, 2003 Fish/Shellfish. Note: The Board met May 20-22, 2003, but did not make any additional customary and traditional use determinations. 69 FR 5018 February 3, 2004 Fish/Shellfish. 69 FR 40174 July 1, 2004 Wildlife. 70 FR 13377 March 21, 2005 Fish/Shellfish. 70 FR 36268 June 22, 2005 Wildlife. 71 FR 15569 March 29, 2006 Fish/Shellfish. 71 FR 37642 June 30, 2006 Wildlife. 72 FR 12676 March 16, 2007 Fish/Shellfish. Current Rule The Departments published a proposed rule on August 14, 2006 (71 FR 46423), to amend subparts C and D of 36 CFR part 242 and 50 CFR part 100. The proposed rule opened a comment period, which closed on October 20, 2006. The Departments advertised the proposed rule by mail, radio, and newspaper. During that period, the Regional Councils met and, in addition to other Regional Council business, received suggestions for proposals from the public. The Board received a total of 64 proposals for changes to subparts C and D. After the proposal period closed, the Board prepared two booklets describing the proposals and distributed them to the public. One booklet was for wildlife proposals Statewide, and the other was for fish proposals for the Kenai Peninsula; both were also available online. The public then had an additional 30 days in which to comment on the proposals for changes to the regulations. The 10 Regional Councils met again, received public comments, and formulated their recommendations to the Board on proposals for their respective regions. The Regional Councils had a substantial role in reviewing the proposed rule and making recommendations for the final rule. Moreover, a Council Chair, or a designated representative, presented each Council's recommendations at the Board meetings of April 30-May 2, 2007 and May 8-10, 2007. These final regulations reflect Board review and consideration of Regional Council recommendations and public comments. The public has had extensive opportunity to review and comment on all changes. Of the 64 proposals, the Board adopted 18 and rejected 14. The Board adopted 20 proposals with modifications and took no action on 8 proposals due to action that they had taken on other similar proposals. The Board deferred two proposals to allow collection of additional information. One proposal had been withdrawn by the proponent prior to the meeting, and one proposal was withdrawn during the meeting at the request of the proponent and with the concurrence of the Chair of the Regional Council and Board members. Summary of Proposals Rejected by the Board The Board rejected or took no action on 23 proposals. All of the rejected proposals were recommended for rejection by at least one of the Regional Councils. Detailed information relating to justification for the action on each proposal may be found in the Board meeting transcripts, available for review at the Office of Subsistence Management, 3601 C Street, Suite 1030, Anchorage, Alaska 99503, or on the Office of Subsistence Management Web site ( *http://alaska.fws.gov/asm/home.html* ). Summary of Proposals Adopted by the Board The Board adopted 38 proposals. Some of these proposals were adopted as submitted. Others were adopted with modifications suggested by the respective Regional Council, modifications developed during the analysis process, or modifications developed during the Board's public deliberations. All of the adopted proposals were recommended for adoption by at least one of the Regional Councils, although further modifications may have been made during Board deliberations, and were based on customary and traditional uses or harvest practices, or on protecting fish or wildlife populations. Detailed information relating to justification for the action on each proposal may be found in the Board meeting transcripts, available for review at the Office of Subsistence Management, 3601 C Street, Suite 1030, Anchorage, Alaska 99503, or on the Office of Subsistence Management Web site ( *http://alaska.fws.gov/asm/home.html* ). Additional minor modifications have been made by changing titles of officials delegated to open or close seasons or set harvest restrictions. This was necessary because of office reorganizations and internal agency changes in official geographic responsibilities. One wildlife proposal was adopted by the Board contrary to the recommendations of the Eastern Interior and North Slope Regional Advisory Councils. The Board's decision was made in consideration of Section 815(3) of ANILCA, which allows restricting nonsubsistence uses only if needed to conserve healthy populations of fish and wildlife, to continue subsistence uses, for public safety, or for administration. The Board concluded that maintaining the closure to nonsubsistence hunting of sheep in the Red Sheep Creek and Cane Creek drainages within the management area was no longer necessary for conservation of a healthy sheep population, to provide for continued subsistence use of sheep, for public safety, or for administration. These final regulations reflect Board review and consideration of Regional Council recommendations and public comments. All Board members have reviewed this rule and agree with its substance. Because this rule concerns public lands managed by an agency or agencies in both the Departments of Agriculture and the Interior, identical text will be incorporated into 36 CFR part 242 and 50 CFR part 100. Conformance With Statutory and Regulatory Authorities Administrative Procedure Act Compliance The Board has provided extensive opportunity for public input and involvement in excess of standard Administrative Procedure Act requirements, including participation in multiple Regional Council meetings, additional public review and comment on all proposals for regulatory change, and opportunity for additional public comment during the Board meeting prior to deliberation. Additionally, an administrative mechanism exists (and has been used by the public) to request reconsideration of the Board's decision on any particular proposal for regulatory change. In the more than 15 years the Program has been operating, no benefit to the public has been demonstrated by delaying the effective date of the subsistence regulations. A further lapse in regulatory control could affect the continued viability of wildlife populations and future subsistence opportunities for rural Alaskans, and would generally fail to serve the overall public interest. Therefore, the Board finds good cause pursuant to 5 U.S.C. 553(d) to make this rule effective upon publication in the **Federal Register** . We further believe that sufficient public notice has been given to affected persons about the Board decisions, and we have established the compliance dates set forth in dates to ensure continued operation of the subsistence program. National Environmental Policy Act Compliance A Draft Environmental Impact Statement
(DEIS)for developing a Federal Subsistence Management Program was distributed for public comment on October 7, 1991. That document described the major issues associated with Federal subsistence management as identified through public meetings, written comments, and staff analyses and examined the environmental consequences of four alternatives. Proposed regulations (subparts A, B, and C) that would implement the preferred alternative were included in the DEIS as an appendix. The DEIS and the proposed administrative regulations presented a framework for an annual regulatory cycle regarding subsistence hunting and fishing regulations (subpart D). The Final Environmental Impact Statement
(FEIS)was published on February 28, 1992. Based on the public comments received, the analysis contained in the FEIS, and the recommendations of the Federal Subsistence Board and the Department of the Interior's Subsistence Policy Group, the Secretary of the Interior, with the concurrence of the Secretary of Agriculture, through the U.S. Department of Agriculture—Forest Service, implemented Alternative IV as identified in the DEIS and FEIS (Record of Decision on Subsistence Management for Federal Public Lands in Alaska (ROD), signed April 6, 1992). The DEIS and the selected alternative in the FEIS defined the administrative framework of an annual regulatory cycle for subsistence hunting and fishing regulations. The final rule for subsistence management regulations for public lands in Alaska, subparts A, B, and C, implemented the Federal Subsistence Management Program and included a framework for an annual cycle for subsistence hunting and fishing regulations. The following **Federal Register** documents pertain to this rulemaking: Subsistence Management Regulations for Public Lands in Alaska, Subparts A, B, and C: Federal Register Documents Pertaining to the Final Rule Federal Register citation Date of publication Category Details 57 FR 22940 May 29, 1992 Final Rule “Subsistence Management Regulations for Public Lands in Alaska; Final Rule” was published in the Federal Register . 64 FR 1276 January 8, 1999 Final Rule Amended the regulations to include subsistence activities occurring on inland navigable waters in which the United States has a reserved water right and to identify specific Federal land units where reserved water rights exist. Extended the Federal Subsistence Board's management to all Federal lands selected under the Alaska Native Claims Settlement Act and the Alaska Statehood Act and situated within the boundaries of a Conservation System Unit, National Recreation Area, National Conservation Area, or any new national forest or forest addition, until conveyed to the State of Alaska or to an Alaska Native Corporation. Specified and clarified the Secretaries' authority to determine when hunting, fishing, or trapping activities taking place in Alaska off the public lands interfere with the subsistence priority. 66 FR 31533 June 12, 2001 Interim Rule Expanded the authority that the Board may delegate to agency field officials and clarified the procedures for enacting emergency or temporary restrictions, closures, or openings. 67 FR 30559 May 7, 2002 Final Rule Amended the operating regulations in response to comments on the June 12, 2001, interim rule. Also corrected some inadvertent errors and oversights of previous rules. 68 FR 7703 February 18, 2003 Direct Final Rule Clarified how old a person must be to receive certain subsistence use permits and removed the requirement that Regional Councils must have an odd number of members. 68 FR 23035 April 30, 2003 Affirmation of Direct Final Rule Because we received no adverse comments on the direct final rule (67 FR 30559), we adopted the direct final rule. 69 FR 60957 October 14, 2004 Final Rule Clarified the membership qualifications for Regional Advisory Council membership and relocated the definition of “regulatory year” from subpart A to subpart D of the regulations. 70 FR 76400 December 27, 2005 Final Rule Revised jurisdiction in marine waters and clarified jurisdiction relative to military lands. 71 FR 49997 August 24, 2006 Final Rule Revised the jurisdiction of the subsistence program by adding submerged lands and waters in the area of Makhnati Island, near Sitka, AK. This allowed subsistence users to harvest marine resources in this area under seasons, harvest limits, and methods specified in the regulations. 72 FR 25688 May 7, 2007 Final Rule Revised nonrural determinations. An environmental assessment was prepared in 1997 on the expansion of Federal jurisdiction over fisheries and is available from the office listed under FOR FURTHER INFORMATION CONTACT . The Secretary of the Interior with the concurrence of the Secretary of Agriculture determined that the expansion of Federal jurisdiction did not constitute a major Federal action significantly affecting the human environment and, therefore, signed a Finding of No Significant Impact. Compliance With Section 810 of ANILCA The intent of all Federal subsistence regulations is to accord subsistence uses of fish and wildlife on public lands a priority over the taking of fish and wildlife on such lands for other purposes, unless restriction is necessary to conserve healthy fish and wildlife populations. A Section 810 analysis was completed as part of the FEIS process. The final Section 810 analysis determination appeared in the April 6, 1992, ROD, which concluded that the Federal Subsistence Management Program may have some local impacts on subsistence uses, but the program is not likely to significantly restrict subsistence uses. Paperwork Reduction Act This rule does not contain any new information collection requirements that need Office of Management and Budget
(OMB)approval under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.). This rule applies to the use of public lands in Alaska. The information collection requirements described in this rule are already approved by OMB and have been assigned control number 1018-0075, which expires October 31, 2009. We may not conduct or sponsor and you are not required to respond to a collection of information request unless it displays a currently valid OMB control number. Other Requirements Economic Effects—This rule is not a significant rule subject to OMB review under Executive Order 12866. This rulemaking will impose no significant costs on small entities; this rule does not restrict any existing sport, commercial fishery, hunting and trapping on the public lands, and subsistence fisheries will continue at essentially the same levels as they presently occur. The number of businesses and the amount of trade that will result from this Federal land-related activity is unknown but expected to be insignificant. The Regulatory Flexibility Act of 1980 (5 U.S.C. 601 *et seq.* ) requires preparation of regulatory flexibility analyses for rules that will have a significant economic effect on a substantial number of small entities, which include small businesses, organizations, or governmental jurisdictions. The Departments have determined that this rulemaking will not have a significant economic effect on a substantial number of small entities within the meaning of the Regulatory Flexibility Act. This rulemaking will impose no significant costs on small entities; the exact number of businesses and the amount of trade that will result from this Federal land-related activity is unknown. The aggregate effect is an insignificant positive economic effect on a number of small entities, such as sporting goods, ammunition, and gasoline dealers. The number of small entities affected is unknown; however, the fact that the positive effects will be seasonal in nature and will, in most cases, merely continue preexisting uses of public lands indicates that the effects will not be significant. This rule benefits those participants who engage in the subsistence harvest of fish and wildlife in Alaska in two identifiable ways: first, participants get the consumptive value of the food harvested, and second, participants get the cultural benefit associated with the maintenance of a subsistence lifestyle. We can estimate the consumptive value for fish and wildlife harvested under this rule but can place no dollar value on the maintenance of a subsistence lifestyle. However, we estimate that 8.7 million pounds of wildlife are harvested by the local subsistence users annually and, if based on a replacement value of $5.00 per pound, would equate to $43.5 million in food value Statewide. A small additional number of pounds of fish are harvested by local subsistence users in the Kenai Peninsula area. The cultural benefits of maintaining a subsistence lifestyle can also be of considerable value to the participants. Title VIII of ANILCA requires the Secretaries to administer a subsistence preference on public lands. The scope of this program is limited by definition to certain public lands. Likewise, these regulations have no potential implications for takings of private property as defined by Executive Order 12630. The Service has determined and certifies pursuant to the Unfunded Mandates Reform Act, 2 U.S.C. 1502 et seq., that this rulemaking will not impose a cost of $100 million or more in any given year on local or State governments or private entities. The implementation of this rule is by Federal agencies, and no cost is involved to any State or local entities or Tribal governments. The Service has determined that these regulations meet the applicable standards provided in sections 3(a) and 3(b)(2) of Executive Order 12988 on Civil Justice Reform. In accordance with Executive Order 13132, the rule does not have sufficient Federalism implications to warrant the preparation of a Federalism Assessment. Title VIII of ANILCA precludes the State from exercising subsistence management authority over fish and wildlife resources on Federal lands unless the State's program is compliant with the requirements of that Title. In accordance with the President's memorandum of April 29, 1994, “Government-to-Government Relations with Native American Tribal Governments” (59 FR 22951), 512 DM 2, and E.O. 13175, we have evaluated possible effects on Federally recognized Indian tribes and have determined that there are no significant direct effects. The Bureau of Indian Affairs is a participating agency in this rulemaking. On May 18, 2001, the President issued Executive Order 13211 on regulations that significantly affect energy supply, distribution, or use. This Executive Order requires agencies to prepare Statements of Energy Effects when undertaking certain actions. As this rule is not a significant regulatory action under Executive Order 13211, affecting energy supply, distribution, or use, no Statement of Energy Effects is required. Drafting Information—Theo Matuskowitz drafted these regulations under the guidance of Peter J. Probasco of the Office of Subsistence Management, Alaska Regional Office, U.S. Fish and Wildlife Service, Anchorage, Alaska. Charles Ardizzone, Alaska State Office, Bureau of Land Management; Sandy Rabinowitch and Nancy Swanton, Alaska Regional Office, National Park Service; Drs. Warren Eastland and Glenn Chen, Alaska Regional Office, Bureau of Indian Affairs; Jerry Berg, Alaska Regional Office, U.S. Fish and Wildlife Service; and Steve Kessler, Alaska Regional Office, U.S. Forest Service, provided additional assistance. List of Subjects 36 CFR Part 242 Administrative practice and procedure, Alaska, Fish, National forests, Public lands, Reporting and recordkeeping requirements, Wildlife. 50 CFR Part 100 Administrative practice and procedure, Alaska, Fish, National forests, Public lands, Reporting and recordkeeping requirements, Wildlife. Regulation Promulgation For the reasons set out in the preamble, the Federal Subsistence Board amends title 36, part 242, and title 50, part 100, of the Code of Federal Regulations, as set forth below. PART __—SUBSISTENCE MANAGEMENT REGULATIONS FOR PUBLIC LANDS IN ALASKA 1. The authority citation for both 36 CFR Part 242 and 50 CFR Part 100 continues to read as follows: Authority: 16 U.S.C. 3, 472, 551, 668dd, 3101-3126; 18 U.S.C. 3551-3586; 43 U.S.C. 1733. Subpart C—Board Determinations 2. In subpart C of 36 CFR part 242 and 50 CFR part 100, § __.24(a)(1) and
(2)are revised to read as follows: § __.24 Customary and traditional use determinations.
(a)* * *
(1)*Wildlife determinations.* The rural Alaska residents of the listed communities and areas have a customary and traditional use of the specified species on Federal public lands within the listed areas: Area Species Determination Unit 1C Black Bear Residents of Unit 1C, 1D, 3, Hoonah, Pelican, Point Baker, Sitka, and Tenakee Springs. Unit 1A Brown Bear Residents of Unit 1A, except no subsistence for residents of Hyder. Unit 1B Brown Bear Residents of Unit 1A, Petersburg, and Wrangell, except no subsistence for residents of Hyder. Unit 1C Brown Bear Residents of Unit 1C, Haines, Hoonah, Kake, Klukwan, Skagway, and Wrangell, except no subsistence for residents of Gustavus. Unit 1D Brown Bear Residents of 1D. Unit 1A Deer Residents of Units 1A and 2. Unit 1B Deer Residents of Units 1A, 1B, 2, and 3. Unit 1C Deer Residents of 1C, 1D, Hoonah, Kake, and Petersburg. Unit 1D Deer No Federal subsistence priority. Unit 1B Goat Residents of Units 1B and 3. Unit 1C Goat Residents of Haines, Kake, Klukwan, Petersburg, and Hoonah. Unit 1B Moose Residents of Units 1, 2, 3, and 4. Unit 1C Berners Bay Moose No Federal subsistence priority. Unit 1D Moose Residents of Unit 1D. Unit 2 Deer Residents of Unit 1A, 2, and 3. Unit 3 Deer Residents of Unit 1B, 3, Port Alexander, Port Protection, Pt. Baker, and Meyer's Chuck. Unit 3, Wrangell and Mitkof Islands Moose Residents of Units 1B, 2, and 3. Unit 4 Brown Bear Residents of Unit 4 and Kake. Unit 4 Deer Residents of Unit 4, Kake, Gustavus, Haines, Petersburg, Pt. Baker, Klukwan, Port Protection, Wrangell, and Yakutat. Unit 4 Goat Residents of Sitka, Hoonah, Tenakee, Pelican, Funter Bay, Angoon, Port Alexander, and Elfin Cove. Unit 5 Black Bear Residents of Unit 5A. Unit 5 Brown Bear Residents of Yakutat. Unit 5 Deer Residents of Yakutat. Unit 5 Goat Residents of Unit 5A Unit 5 Moose Residents of Unit 5A. Unit 5 Wolf Residents of Unit 5A. Unit 6A Black Bear Residents of Yakutat and Unit 6C and 6D, except no subsistence for Whittier. Unit 6, remainder Black Bear Residents of Unit 6C and 6D, except no subsistence for Whittier. Unit 6 Brown Bear No Federal subsistence priority. Unit 6A Goat Residents of Unit 5A, 6C, Chenega Bay, and TaTitlek. Unit 6C and Unit 6D Goat Residents of Unit 6C and D. Unit 6A Moose Residents of Units 5A, 6A, 6B and 6C. Unit 6B and Unit 6C Moose Residents of Units 6A, 6B and 6C. Unit 6D Moose No Federal subsistence priority. Unit 6A Wolf Residents of Units 5A, 6, 9, 10 (Unimak Island only), 11-13 and the residents of Chickaloon, and 16-26. Unit 6, remainder Wolf Residents of Units 6, 9, 10 (Unimak Island only), 11-13 and the residents of Chickaloon, and 16-26. Unit 7 Brown Bear No Federal subsistence priority. Unit 7 Caribou No Federal subsistence priority. Unit 7, Brown Mountain hunt area Goat Residents of Port Graham and Nanwalek. Unit 7, that portion draining into Kings Bay Moose Residents of Chenega Bay and TaTitlek. Unit 7, remainder Moose No Federal subsistence priority. Unit 7 Sheep No Federal subsistence priority. Unit 7 Ruffed Grouse No Federal subsistence priority. Unit 8 Brown Bear Residents of Old Harbor, Akhiok, Larsen Bay, Karluk, Ouzinkie, and Port Lions. Unit 8 Deer Residents of Unit 8. Unit 8 Elk Residents of Unit 8. Unit 8 Goat No Federal subsistence priority. Unit 9D Bison No Federal subsistence priority. Unit 9A and Unit 9B Black Bear Residents of Units 9A, 9B, 17A, 17B, and 17C. Unit 9A Brown Bear Residents of Pedro Bay. Unit 9B Brown Bear Residents of Unit 9B. Unit 9C Brown Bear Residents of Unit 9C. Unit 9D Brown Bear Residents of Units 9D and 10 (Unimak Island). Unit 9E Brown Bear Residents of Chignik, Chignik Lagoon, Chignik Lake, Egegik, Ivanof Bay, Perryville, Pilot Point, Ugashik, and Port Heiden/Meshik. Unit 9A and Unit 9B Caribou Residents of Units 9B, 9C, and 17. Unit 9C Caribou Residents of Unit 9B, 9C, 17, and Egegik. Unit 9D Caribou Residents of Unit 9D, Akutan, and False Pass. Unit 9E Caribou Residents of Units 9B, 9C, 9E, 17, Nelson Lagoon and Sand Point. Unit 9A, Unit 9B, Unit 9C and Unit 9E Moose Residents of Unit 9A, 9B, 9C, and 9E. Unit 9D Moose Residents of Cold Bay, False Pass, King Cove, Nelson Lagoon, and Sand Point. Unit 9B Sheep Residents of Iliamna, Newhalen, Nondalton, Pedro Bay, Port Alsworth, and residents of Lake Clark National Park and Preserve within Unit 9B. Unit 9, remainder Sheep No determination. Unit 9 Wolf Residents of Units 6, 9, 10 (Unimak Island only), 11-13 and the residents of Chickaloon, and 16-26. Unit 9A, Unit B, Unit C, & Unit E Beaver Residents of Units 9A, 9B, 9C, 9E, and 17. Unit 10 Unimak Island Brown Bear Residents of Units 9D and 10 (Unimak Island). Unit 10 Unimak Island Caribou Residents of Akutan, False Pass, King Cove, and Sand Point. Unit 10, remainder Caribou No determination. Unit 10 Wolf Residents of Units 6, 9, 10 (Unimak Island only), 11-13 and the residents of Chickaloon, and 16-26. Unit 11 Bison No Federal subsistence priority. Unit 11, north of the Sanford River Black Bear Residents of Chistochina, Chitina, Copper Center, Gakona, Glennallen, Gulkana, Kenny Lake, Mentasta Lake, Slana, Tazlina, Tonsina, and Units 11 and 12. Unit 11, remainder Black Bear Residents of Chistochina, Chitina, Copper Center, Gakona, Glennallen, Gulkana, Kenny Lake, Mentasta Lake, Slana, Tazlina, Tonsina, and Unit 11. Unit 11, north of the Sanford River Brown Bear Residents of Chistochina, Chitina, Copper Center, Gakona, Glennallen, Gulkana, Kenny Lake, Mentasta Lake, Slana, Tazlina, Tonsina, and Units 11 and 12. Unit 11, remainder Brown Bear Residents of Chistochina, Chitina, Copper Center, Gakona, Glennallen, Gulkana, Kenny Lake, Mentasta Lake, Slana, Tazlina, Tonsina, and Unit 11. Unit 11, north of the Sanford River Caribou Residents of Units 11, 12, 13A-D, Chickaloon, Healy Lake, and Dot Lake. Unit 11, remainder Caribou Residents of Units 11, 13A-D, and Chickaloon. Unit 11 Goat Residents of Unit 11, Chitina, Chistochina, Copper Center, Gakona, Glennallen, Gulkana, Mentasta Lake, Slana, Tazlina, Tonsina, and Dot Lake. Unit 11, north of the Sanford River Moose Residents of Units 11, 12, 13A-D, Chickaloon, Healy Lake, and Dot Lake. Unit 11, remainder Moose Residents of Units 11, 13A-D, and Chickaloon. Unit 11, north of the Sanford River Sheep Residents of Unit 12, Chistochina, Chitina, Copper Center, Dot Lake, Gakona, Glennallen, Gulkana, Healy Lake, Kenny Lake, Mentasta Lake, Slana, McCarthy/South Wrangell/South Park, Tazlina, Tonsina, residents along the Nabesna Road—Milepost 0-46 (Nabesna Road), and residents along the McCarthy Road—Milepost 0-62 (McCarthy Road). Unit 11, remainder Sheep Residents of Chisana, Chistochina, Chitina, Copper Center, Gakona, Glennallen, Gulkana, Kenny Lake, Mentasta Lake, Slana, McCarthy/South Wrangell/South Park, Tazlina, Tonsina, residents along the Tok Cutoff—Milepost 79-110 (Mentasta Pass), residents along the Nabesna Road—Milepost 0-46 (Nabesna Road), and residents along the McCarthy Road—Milepost 0-62 (McCarthy Road). Unit 11 Wolf Residents of Units 6, 9, 10 (Unimak Island only), 11-13 and the residents of Chickaloon, and 16-26. Unit 11 Grouse (Spruce, Blue, Ruffed and Sharp-tailed) Residents of Units 11, 12, 13 and the residents of Chickaloon, 15, 16, 20D, 22 and 23. Unit 11 Ptarmigan (Rock, Willow and White-tailed) Residents of Units 11, 12, 13 and the residents of Chickaloon, 15, 16, 20D, 22 and 23. Unit 12 Brown Bear Residents of Unit 12, Dot Lake, Chistochina, Gakona, Mentasta Lake, and Slana. Unit 12 Caribou Residents of Unit 12, Dot Lake, Healy Lake, and Mentasta Lake. Unit 12, that portion within the Tetlin National Wildlife Refuge and those lands within the Wrangell-St. Elias National Preserve north and east of a line formed by the Pickerel Lake Winter Trail from the Canadian border to Pickerel Lake Moose Residents of Unit 12, 13C, Dot Lake, and Healy Lake. Unit 12, that portion east of the Nabesna River and Nabesna Glacier, and south of the Winter Trail running southeast from Pickerel Lake to the Canadian border Moose Residents of Unit 12, 13C, and Healy Lake. Unit 12, remainder Moose Residents of Unit 11 north of 62nd parallel, Unit 12, 13A-D and the residents of Chickaloon, Dot Lake, and Healy Lake. Unit 12 Sheep Residents of Unit 12, Chistochina, Dot Lake, Healy Lake, and Mentasta Lake. Unit 12 Wolf Residents of Units 6, 9, 10 (Unimak Island only), 11-13 and the residents of Chickaloon, and 16-26. Unit 13 Brown Bear Residents of Unit 13 and Slana. Unit 13B Caribou Residents of Units 11, 12 (along the Nabesna Road), 13, residents of Unit 20D except Fort Greely, and the residents of Chickaloon. Unit 13C Caribou Residents of Units 11, 12 (along the Nabesna Road), 13, Chickaloon, Dot Lake and Healy Lake. Unit 13A and Unit 13D Caribou Residents of Units 11, 12 (along the Nabesna Road), 13, and the residents of Chickaloon. Unit 13E Caribou Residents of Units 11, 12 (along the Nabesna Road), 13, Chickaloon, McKinley Village, and the area along the Parks Highway between mileposts 216 and 239 (except no subsistence for residents of Denali National Park headquarters). Unit 13D Goat No Federal subsistence priority. Unit 13A and Unit 13D Moose Residents of Unit 13, Chickaloon, and Slana. Unit 13B Moose Residents of Units 13, 20D except Fort Greely, and the residents of Chickaloon and Slana. Unit 13C Moose Residents of Units 12, 13, and the residents of Chickaloon, Healy Lake, Dot Lake and Slana. Unit 13E Moose Residents of Unit 13, Chickaloon, McKinley Village, Slana, and the area along the Parks Highway between mileposts 216 and 239 (except no subsistence for residents of Denali National Park headquarters). Unit 13D Sheep No Federal subsistence priority. Unit 13 Wolf Residents of Units 6, 9, 10 (Unimak Island only), 11-13 and the residents of Chickaloon, and 16-26. Unit 13 Grouse (Spruce, Blue, Ruffed & Sharp-tailed) Residents of Units 11, 13 and the residents of Chickaloon, 15, 16, 20D, 22 & 23. Unit 13 Ptarmigan (Rock, Willow and White-tailed) Residents of Units 11, 13 and the residents of Chickaloon, 15, 16, 20D, 22 & 23. Unit 14C Brown Bear No Federal subsistence priority. Unit 14 Goat No Federal subsistence priority. Unit 14 Moose No Federal subsistence priority. Unit 14A and Unit 14C Sheep No Federal subsistence priority. Unit 15A and Unit 15B Black Bear Residents of Ninilchik. Unit 15C Black Bear Residents of Ninilchik, Port Graham, and Nanwalek. Unit 15C Brown Bear Residents of Ninilchik. Unit 15, remainder Brown Bear No Federal subsistence priority. Unit 15 Moose Residents of Ninilchik, Nanwalek, Port Graham, and Seldovia. Unit 15 Sheep No Federal subsistence priority. Unit 15 Ptarmigan (Rock, Willow and White-tailed) Residents of Unit 15. Unit 15 Grouse (Spruce) Residents of Unit 15. Unit 15 Grouse (Ruffed) No Federal subsistence priority. Unit 16B Black Bear Residents of Unit 16B. Unit 16 Brown Bear No Federal subsistence priority. Unit 16A Moose No Federal subsistence priority. Unit 16B Moose Residents of Unit 16B. Unit 16 Sheep No Federal subsistence priority. Unit 16 Wolf Residents of Units 6, 9, 10 (Unimak Island only), 11-13 and the residents of Chickaloon, and 16-26. Unit 16 Grouse (Spruce and Ruffed) Residents of Units 11, 13 and the residents of Chickaloon, 15, 16, 20D, 22 and 23. Unit 16 Ptarmigan (Rock, Willow and White-tailed) Residents of Units 11, 13 and the residents of Chickaloon, 15, 16, 20D, 22 and 23. Unit 17A and that portion of 17B draining into Nuyakuk Lake and Tikchik Lake Black Bear Residents of Units 9A and B, 17, Akiak, and Akiachak. Unit 17, remainder Black Bear Residents of Units 9A and B, and 17. Unit 17A and Unit 17B, those portions north and west of a line beginning from the Unit 18 boundary at the northwest end of Nenevok Lake, to the southern point of upper Togiak Lake, and northeast to the northern point of Nuyakuk Lake, northeast to the point where the Unit 17 boundary intersects the Shotgun Hills Brown Bear Residents of Kwethluk. Unit 17A, remainder Brown Bear Residents of Unit 17, Akiak, Akiachak, Goodnews Bay, and Platinum. Unit 17B, that portion draining into Nuyakuk Lake and Tikchik Lake Brown Bear Residents of Akiak and Akiachak. Unit 17B and Unit 17C Brown Bear Residents of Unit 17. Unit 17A, that portion west of the Izavieknik River, Upper Togiak Lake, Togiak Lake, and the main course of the Togiak River Caribou Residents of Goodnews Bay, Platinum, Quinhagak, Eek, Tuntutuliak, and Napakiak. Unit 17A, that portion north of Togiak Lake that includes Izavieknik River drainages Caribou Residents of Akiak, Akiachak, and Tuluksak. Unit 17A and 17B, those portions north and west of a line beginning from the Unit 18 boundary at the northwest end of Nenevok Lake, to the southern point of upper Togiak Lake, and northeast to the northern point of Nuyakuk Lake, northeast to the point where the Unit 17 boundary intersects the Shotgun Hills Caribou Residents of Kwethluk. Unit 17B, that portion of Togiak National Wildlife Refuge within Unit 17B Caribou Residents of Bethel, Goodnews Bay, Platinum, Quinhagak, Eek, Akiak, Akiachak, Tuluksak, Tuntutuliak, and Napakiak. Unit 17, remainder Caribou Residents of Units 9B, 17, Lime Village, and Stony River. 17A and 17B, those portions north and west of a line beginning from the Unit 18 boundary at the northwest end of Nenevok Lake, to the southern point of upper Togiak Lake, and northeast to the northern point of Nuyakuk Lake, northeast to the point where the Unit 17 boundary intersects the Shotgun Hills Moose Residents of Kwethluk. Unit 17A, that portion north of Togiak Lake that includes Izavieknik River drainages Moose Residents of Akiak, Akiachak. Unit 17A, remainder Moose Residents of Unit 17, Goodnews Bay and Platinum; however, no subsistence for residents of Akiachak, Akiak and Quinhagak. Unit 17B, that portion within the Togiak National Wildlife Refuge Moose Residents of Akiak, Akiachak. Unit 17B, remainder and Unit 17C Moose Residents of Unit 17, Nondalton, Levelock, Goodnews Bay, and Platinum. Unit 17 Wolf Residents of Units 6, 9, 10 (Unimak Island only), 11-13 and the residents of Chickaloon, and 16-26. Unit 17 Beaver Residents of Units 9A, 9B, 9C, 9E, and 17. Unit 18 Black Bear Residents of Unit 18, Unit 19A living downstream of the Holokuk River, Holy Cross, Stebbins, St. Michael, Twin Hills, and Togiak. Unit 18 Brown Bear Residents of Akiachak, Akiak, Eek, Goodnews Bay, Kwethluk, Mt. Village, Napaskiak, Platinum, Quinhagak, St. Marys, and Tuluksak. Unit 18 Caribou Residents of Unit 18, Manokotak, Stebbins, St. Michael, Togiak, Twin Hills, and Upper Kalskag. Unit 18, that portion of the Yukon River drainage upstream of Russian Mission and that portion of the Kuskokwim River drainage upstream of, but not including, the Tuluksak River drainage Moose Residents of Unit 18, Upper Kalskag, Aniak, and Chuathbaluk. Unit 18, that portion north of a line from Cape Romanzof to Kusilvak Mountain to Mountain Village, and all drainages north of the Yukon River downstream from Marshall Moose Residents of Unit 18, St. Michael, Stebbins, and Upper Kalskag. Unit 18, remainder Moose Residents of Unit 18 and Upper Kalskag. Unit 18 Musk ox No Federal subsistence priority. Unit 18 Wolf Residents of Units 6, 9, 10 (Unimak Island only), 11-13 and the residents of Chickaloon, and 16-26. Unit 19C and Unit 19D Bison No Federal subsistence priority. Unit 19A and Unit 19B Brown Bear Residents of Units 19 and 18 within the Kuskokwim River drainage upstream from, and including, the Johnson River. Unit 19C Brown Bear No Federal subsistence priority. Unit 19D Brown Bear Residents of Units 19A and D, Tuluksak and Lower Kalskag. Unit 19A and Unit 19B Caribou Residents of Units 19A and 19B, Unit 18 within the Kuskokwim River drainage upstream from, and including, the Johnson River, and residents of St. Marys, Marshall, Pilot Station, Russian Mission. Unit 19C Caribou Residents of Unit 19C, Lime Village, McGrath, Nikolai, and Telida. Unit 19D Caribou Residents of Unit 19D, Lime Village, Sleetmute, and Stony River. Unit 19A and Unit 9B Moose Residents of Unit 18 within Kuskokwim River drainage upstream from and including the Johnson River, and residents of Unit 19. Unit 19B, west of the Kogrukluk River Moose Residents of Eek and Quinhagak. Unit 19C Moose Residents of Unit 19. Unit 19D Moose Residents of Unit 19 and Lake Minchumina. Unit 19 Wolf Residents of Units 6, 9, 10 (Unimak Island only), 11-13 and the residents of Chickaloon, and 16-26. Unit 20D Bison No Federal subsistence priority. Unit 20F Black Bear Residents of Unit 20F, Stevens Village, and Manley. Unit 20E Brown Bear Residents of Unit 12 and Dot Lake. Unit 20F Brown Bear Residents of Unit 20F, Stevens Village, and Manley. Unit 20A Caribou Residents of Cantwell, Nenana, and those domiciled between mileposts 216 and 239 of the Parks Highway. No subsistence priority for residents of households of the Denali National Park Headquarters. Unit 20B Caribou Residents of Unit 20B, Nenana, and Tanana. Unit 20C Caribou Residents of Unit 20C living east of the Teklanika River, residents of Cantwell, Lake Minchumina, Manley Hot Springs, Minto, Nenana, Nikolai, Tanana, Talida, and those domiciled between mileposts 216 and 239 of the Parks Highway and between mileposts 300 and 309. No subsistence priority for residents of households of the Denali National Park Headquarters. Unit 20D and Unit 20E Caribou Residents of 20D, 20E, and Unit 12 north of the Wrangell-St. Elias National Park and Preserve. Unit 20F Caribou Residents of 20F, 25D, and Manley. Unit 20A Moose Residents of Cantwell, Minto, Nenana, McKinley Village, and the area along the Parks Highway between mileposts 216 and 239, except no subsistence for residents of households of the Denali National Park Headquarters. Unit 20B, Minto Flats Management Area Moose Residents of Minto and Nenana. Unit 20B, remainder Moose Residents of Unit 20B, Nenana, and Tanana. Unit 20C Moose Residents of Unit 20C (except that portion within Denali National Park and Preserve and that portion east of the Teklanika River), Cantwell, “Manley”, Minto, Nenana, those domiciled between mileposts 300 and 309 of the Parks Highway, Nikolai, Tanana, Telida, McKinley Village, and the area along the Parks Highway between mileposts 216 and 239. No subsistence for residents of households of the Denali National Park Headquarters. Unit 20D Moose Residents of Unit 20D and residents of Tanacross. Unit 20E Moose Residents of Unit 20E, Unit 12 north of the Wrangell-St. Elias National Preserve, Circle, Central, Dot Lake, Healy Lake, and Mentasta Lake. Unit 20F Moose Residents of Unit 20F, “Manley”, Minto, and Stevens Village. Unit 20F Wolf Residents of Unit 20F, Stevens Village, and “Manley”. Unit 20, remainder Wolf Residents of Units 6, 9, 10 (Unimak Island only), 11-13 and the residents of Chickaloon, and 16-26. Unit 20D Grouse, (Spruce, Ruffed and Sharp-tailed) Residents of Units 11, 13 and the residents of Chickaloon, 15, 16, 20D, 22, and 23. Unit 20D Ptarmigan (Rock and Willow) Residents of Units 11, 13 and the residents of Chickaloon, 15, 16, 20D, 22, and 23. Unit 21 Brown Bear Residents of Units 21 and 23. Unit 21A Caribou Residents of Units 21A, 21D, 21E, Aniak, Chuathbaluk, Crooked Creek, McGrath, and Takotna. Unit 21B and Unit 21C Caribou Residents of Units 21B, 21C, 21D, and Tanana. Unit 21D Caribou Residents of Units 21B, 21C, 21D, and Huslia. Unit 21E Caribou Residents of Units 21A, 21E, Aniak, Chuathbaluk, Crooked Creek, McGrath, and Takotna. Unit 21A Moose Residents of Units 21A, 21E, Takotna, McGrath, Aniak, and Crooked Creek. Unit 21B and Unit 21C Moose Residents of Units 21B, 21C, Tanana, Ruby, and Galena. Unit 21D Moose Residents of Units 21D, Huslia, and Ruby. Unit 21E Moose Residents of Unit 21E and Russian Mission. Unit 21 Wolf Residents of Units 6, 9, 10 (Unimak Island only), 11-13 and the residents of Chickaloon, and 16-26. Unit 22A Black Bear Residents of Unit 22A and Koyuk. Unit 22B Black Bear Residents of Unit 22B. Unit 22C, Unit 22D, and Unit 22E Black Bear No Federal subsistence priority. Unit 22 Brown Bear Residents of Unit 22 Unit 22A Caribou Residents of Unit 21D west of the Koyukuk and Yukon Rivers, 22 (except residents of St. Lawrence Island), 23, 24, Kotlik, Emmonak, Hooper Bay, Scammon Bay, Chevak, Marshall, Mountain Village, Pilot Station, Pitka's Point, Russian Mission, St. Marys, Nunam Iqua, and Alakanuk. Unit 22, remainder Caribou Residents of Unit 21D west of the Koyukuk and Yukon Rivers, 22 (except residents of St. Lawrence Island), 23, and 24. Unit 22 Moose Residents of Unit 22. Unit 22B, west of the Darby Mountains Musk ox Residents of Unit 22B and 22C. Unit 22B, remainder Musk ox Residents of Unit 22B. Unit 22C Musk ox Residents of Unit 22C. Unit 22D, that portion within the Kougarok, Kuzitrin, and Pilgrim River drainages Musk ox Residents of Unit 22C, White Mountain, and Unit 22D excluding St. Lawrence Island. Unit 22D, remainder Musk ox Residents of Unit 22D excluding St. Lawrence Island. Unit 22E Musk ox Residents of Unit 22E excluding Little Diomede Island. Unit 22 Wolf Residents of Units 23, 22, 21D north and west of the Yukon River, and Kotlik. Unit 22 Grouse (Spruce) Residents of Units 11, 13 and the residents of Chickaloon, 15, 16, 20D, 22, and 23. Unit 22 Ptarmigan (Rock and Willow) Residents of Units 11, 13 and the residents of Chickaloon, 15, 16, 20D, 22, and 23. Unit 23 Black Bear Residents of Unit 23, Alatna, Allakaket, Bettles, Evansville, Galena, Hughes, Huslia, and Koyukuk. Unit 23 Brown Bear Residents of Units 21 and 23. Unit 23 Caribou Residents of Unit 21D west of the Koyukuk and Yukon Rivers, Galena, 22, 23, 24 including residents of Wiseman but not including other residents of the Dalton Highway Corridor Management Area, and 26A. Unit 23 Moose Residents of Unit 23. Unit 23, south of Kotzebue Sound and west of and including the Buckland River drainage Musk ox Residents of Unit 23 south of Kotzebue Sound and west of and including the Buckland River drainage. Unit 23, remainder Musk ox Residents of Unit 23 east and north of the Buckland River drainage. Unit 23 Sheep Residents of Point Lay and Unit 23 north of the Arctic Circle. Unit 23 Wolf Residents of Units 6, 9, 10 (Unimak Island only), 11-13 and the residents of Chickaloon, and 16-26. Unit 23 Grouse (Spruce and Ruffed) Residents of Units 11, 13 and the residents of Chickaloon, 15, 16, 20D, 22, and 23. Unit 23 Ptarmigan (Rock, Willow and White-tailed) Residents of Units 11, 13 and the residents of Chickaloon, 15, 16, 20D, 22, and 23. Unit 24, that portion south of Caribou Mountain, and within the public lands composing or immediately adjacent to the Dalton Highway Corridor Management Area Black Bear Residents of Stevens Village, Unit 24 and Wiseman, but not including any other residents of the Dalton Highway Corridor Management Area. Unit 24, remainder Black Bear Residents of Unit 24 and Wiseman, but not including any other residents of the Dalton Highway Corridor Management Area. Unit 24, that portion south of Caribou Mountain, and within the public lands composing or immediately adjacent to the Dalton Highway Corridor Management Area Brown Bear Residents of Stevens Village and residents of Unit 24. Unit 24, remainder Brown Bear Residents of Unit 24. Unit 24 Caribou Residents of Unit 24, Galena, Kobuk, Koyukuk, Stevens Village, and Tanana. Unit 24 Moose Residents of Unit 24, Koyukuk, and Galena. Unit 24 Sheep Residents of Unit 24 residing north of the Arctic Circle, Allakaket, Alatna, Hughes, and Huslia. Unit 24 Wolf Residents of Units 6, 9, 10 (Unimak Island only), 11-13 and the residents of Chickaloon and 16-26. Unit 25D Black Bear Residents of Unit 25D. Unit 25D Brown Bear Residents of Unit 25D. Unit 25, remainder Brown Bear Residents of Unit 25 and Eagle. Unit 25D Caribou Residents of 20F, 25D, and Manley Unit 25A Moose Residents of Units 25A and 25D. Unit 25D, west Moose Residents of Unit 25D West. Unit 25D, remainder Moose Residents of remainder of Unit 25. Unit 25A Sheep Residents of Arctic Village, Chalkyitsik, Fort Yukon, Kaktovik, and Venetie. Unit 25B and Unit 25C Sheep No Federal subsistence priority. Unit 25D Wolf Residents of Unit 25D. Unit 25, remainder Wolf Residents of Units 6, 9, 10 (Unimak Island only), 11-13 and the residents of Chickaloon, and 16-26. Unit 26 Brown Bear Residents of Unit 26 (except the Prudhoe Bay-Deadhorse Industrial Complex), Anaktuvuk Pass, and Point Hope. Unit 26A and C Caribou Residents of Unit 26, Anaktuvuk Pass, and Point Hope. Unit 26B Caribou Residents of Unit 26, Anaktuvuk Pass, Point Hope, and residents of Unit 24 within the Dalton Highway Corridor Management Area. Unit 26 Moose Residents of Unit 26 (except the Prudhoe Bay-Deadhorse Industrial Complex), Point Hope, and Anaktuvuk Pass. Unit 26A Musk ox Residents of Anaktuvuk Pass, Atqasuk, Barrow, Nuiqsut, Point Hope, Point Lay, and Wainwright. Unit 26B Musk ox Residents of Anaktuvuk Pass, Nuiqsut, and Kaktovik. Unit 26C Musk ox Residents of Kaktovik. Unit 26A Sheep Residents of Unit 26, Anaktuvuk Pass, and Point Hope. Unit 26B Sheep Residents of Unit 26, Anaktuvuk Pass, Point Hope, and Wiseman. Unit 26C Sheep Residents of Unit 26, Anaktuvuk Pass, Arctic Village, Chalkyitsik, Fort Yukon, Point Hope, and Venetie. Unit 26 Wolf Residents of Units 6, 9, 10 (Unimak Island only), 11-13 and the residents of Chickaloon, and 16-26.
(2)*Fish determinations.* The following communities and areas have been found to have a positive customary and traditional use determination in the listed area for the indicated species: Area Species Determination KOTZEBUE AREA All fish Residents of the Kotzebue Area. NORTON SOUND—PORT CLARENCE AREA: Norton Sound-Port Clarence Area, waters draining into Norton Sound between Point Romanof and Canal Point All fish Residents of Stebbins, St. Michael, and Kotlik. Norton Sound-Port Clarence Area, remainder All fish Residents of the Norton Sound-Port Clarence Area. YUKON-NORTHERN AREA: Yukon River drainage Salmon, other than fall chum salmon Residents of the Yukon River drainage and the community of Stebbins. Yukon River drainage Fall chum salmon Residents of the Yukon River drainage and the communities of Stebbins, Scammon Bay, Hooper Bay, and Chevak. Yukon River drainage Freshwater fish (other than salmon) Residents of the Yukon-Northern Area. Remainder of the Yukon-Northern Area All fish Residents of the Yukon-Northern Area, excluding the residents of the Yukon River drainage and excluding those domiciled in Unit 26B. Tanana River drainage contained within the Tetlin NWR and the Wrangell-St. Elias NPP Freshwater fish (other than salmon) Residents of the Yukon-Northern Area and residents of Mentasta Lake, Chistochina, Slana, and all residents living between Mentasta Lake and Chistochina. KUSKOKWIM AREA Salmon Residents of the Kuskokwim Area, except those persons residing on the United States military installations located on Cape Newenham, Sparrevohn USAFB, and Tatalina USAFB. Rainbow trout Residents of the communities of Akiachak, Akiak, Aniak, Atmautluak, Bethel, Chuathbaluk, Crooked Creek, Eek, Goodnews Bay, Kasigluk, Kwethluk, Lower Kalskag, Napakiak, Napaskiak, Nunapitchuk, Oscarville, Platinum, Quinhagak, Tuluksak, Tuntutuliak, and Upper Kalskag. Pacific cod Residents of the communities of Chevak, Newtok, Tununak, Toksook Bay, Nightmute, Chefornak, Kipnuk, Mekoryuk, Kwigillingok, Kongiganak, Eek, and Tuntutuliak. All other fish other than herring Residents of the Kuskokwim Area, except those persons residing on the United States military installation located on Cape Newenham, Sparrevohn USAFB, and Tatalina USAFB. Waters around Nunivak Island Herring and herring roe Residents within 20 miles of the coast between the westernmost tip of the Naskonat Peninsula and the terminus of the Ishowik River and on Nunivak Island. BRISTOL BAY AREA— Nushagak District, including drainages flowing into the district Salmon and freshwater fish Residents of the Nushagak District and freshwater drainages flowing into the district. Naknek-Kvichak District—Naknek River drainage Salmon and freshwater fish Residents of the Naknek and Kvichak River drainages. Naknek-Kvichak District—Kvichak/Iliamna-Lake Clark drainage Salmon and freshwater fish Residents of the Kvichak/Iliamna-Lake Clark drainage. Togiak District, including drainages flowing into the district Salmon and freshwater fish Residents of the Togiak District, freshwater drainages flowing into the district, and the community of Manokotak. Egegik District, including drainages flowing into the district Salmon and freshwater fish Residents of South Naknek, the Egegik District and freshwater drainages flowing into the district. Ugashik District, including drainages flowing into the district Salmon and freshwater fish Residents of the Ugashik District and freshwater drainages flowing into the district. Togiak District Herring spawn on kelp Residents of the Togiak District and freshwater drainages flowing into the district. Remainder of the Bristol Bay Area All fish Residents of the Bristol Bay Area. ALEUTIAN ISLANDS AREA All fish Residents of the Aleutian Islands Area and the Pribilof Islands. ALASKA PENINSULA AREA Halibut Residents of the Alaska Peninsula Area and the communities of Ivanof Bay and Perryville. All other fish in the Alaska Peninsula Area Residents of the Alaska Peninsula Area. CHIGNIK AREA Halibut, salmon and fish other than rainbow/steelhead trout Residents of the Chignik Area. KODIAK AREA—except the Mainland District, all waters along the south side of the Alaska Peninsula bounded by the latitude of Cape Douglas (58°51.10' North latitude) mid-stream Shelikof Strait, north and east of the longitude of the southern entrance of Imuya Bay near Kilokak Rocks (57°10.34' North latitude, 156°20.22' West longitude) Salmon Residents of the Kodiak Island Borough, except those residing on the Kodiak Coast Guard Base. Kodiak Area Fish other than rainbow/steelhead trout and salmon Residents of the Kodiak Area. COOK INLET AREA Kenai Peninsula District—Waters north of and including the Kenai River drainage within the Kenai National Wildlife Refuge and the Chugach National Forest All fish Residents of the communities of Hope and Cooper Landing. Kenai Peninsula District—Waters north of and including the Kenai River drainage within the Kenai National Wildlife Refuge and the Chugach National Forest Salmon Residents of the community of Ninilchik. Waters within the Kasilof River drainage within the Kenai NWR All fish Residents of the community of Ninilchik. Waters within Lake Clark National Park draining into and including that portion of Tuxedni Bay within the park Salmon Residents of the Tuxedni Bay area. Cook Inlet Area Fish other than salmon, Dolly Varden, trout, char, grayling, and burbot Residents of the Cook Inlet Area. PRINCE WILLIAM SOUND AREA: Southwestern District and Green Island Salmon Residents of the Southwestern District, which is mainland waters from the outer point on the north shore of Granite Bay to Cape Fairfield, and Knight Island, Chenega Island, Bainbridge Island, Evans Island, Elrington Island, Latouche Island and adjacent islands. North of a line from Porcupine Point to Granite Point, and south of a line from Point Lowe to Tongue Point Salmon Residents of the villages of Tatitlek and Ellamar. Copper River drainage upstream from Haley Creek Freshwater fish Residents of Cantwell, Chisana, Chistochina, Chitina, Copper Center, Dot Lake, Gakona, Gakona Junction, Glennallen, Gulkana, Healy Lake, Kenny Lake, Lower Tonsina, McCarthy, Mentasta Lake, Nabesna, Northway, Slana, Tanacross, Tazlina, Tetlin, Tok, Tonsina, and those individuals that live along the Tok Cutoff from Tok to Mentasta Pass, and along the Nabesna Road. Gulkana National Wild and Scenic River Freshwater fish Residents of Cantwell, Chisana, Chistochina, Chitina, Copper Center, Dot Lake, Gakona, Gakona Junction, Glennallen, Gulkana, Healy Lake, Kenny Lake, Lower Tonsina, McCarthy, Mentasta Lake, Nabesna, Northway, Paxson-Sourdough, Slana, Tanacross, Tazlina, Tetlin, Tok, Tonsina, and those individuals that live along the Tok Cutoff from Tok to Mentasta Pass, and along the Nabesna Road. Waters of the Prince William Sound Area, except for the Copper River drainage upstream of Haley Creek Freshwater fish (trout, char, whitefish, suckers, grayling, and burbot) Residents of the Prince William Sound Area, except those living in the Copper River drainage upstream of Haley Creek. Chitina Subdistrict of the Upper Copper River District Salmon Residents of Cantwell, Chickaloon, Chisana, Chistochina, Chitina, Copper Center, Dot Lake, Gakona, Gakona Junction, Glennallen, Gulkana, Healy Lake, Kenny Lake, Lower Tonsina, McCarthy, Mentasta Lake, Nabesna, Northway, Paxson-Sourdough, Slana, Tanacross, Tazlina, Tetlin, Tok, Tonsina, and those individuals that live along the Tok Cutoff from Tok to Mentasta Pass, and along the Nabesna Road. Glennallen Subdistrict of the Upper Copper River District Salmon Residents of the Prince William Sound Area and residents of Cantwell, Chickaloon, Chisana, Dot Lake, Healy Lake, Northway, Tanacross, Tetlin, Tok, and those individuals living along the Alaska Highway from the Alaskan/Canadian border to Dot Lake, along the Tok Cutoff from Tok to Mentasta Pass, and along the Nabesna Road. Waters of the Copper River between National Park Service regulatory markers located near the mouth of Tanada Creek, and in Tanada Creek between National Park Service regulatory markers identifying the open waters of the creek Salmon Residents of Mentasta Lake and Dot Lake. Remainder of the Prince William Sound Area Salmon Residents of the Prince William Sound Area. Waters of the Bering River area from Point Martin to Cape Suckling Eulachon Residents of Cordova. Waters of the Copper River Delta from the Eyak River to Point Martin Eulachon Residents of Cordova, Chenega Bay, and Tatitlek. YAKUTAT AREA: Fresh water upstream from the terminus of streams and rivers of the Yakutat Area from the Doame River to the Tsiu River Salmon Residents of the area east of Yakutat Bay, including the islands within Yakutat Bay, west of the Situk River drainage, and south of and including Knight Island. Fresh water upstream from the terminus of streams and rivers of the Yakutat Area from the Doame River to Point Manby Dolly Varden, steelhead trout, and smelt Residents of the area east of Yakutat Bay, including the islands within Yakutat Bay, west of the Situk River drainage, and south of and including Knight Island. Remainder of the Yakutat Area Dolly Varden, trout, smelt, and eulachon Residents of Southeastern Alaska and Yakutat Areas. SOUTHEASTERN ALASKA AREA: District 1—Section 1E in waters of the Naha River and Roosevelt Lagoon Salmon, Dolly Varden, trout, smelt, and eulachon Residents of the City of Saxman. District 1—Section 1F in Boca de Quadra in waters of Sockeye Creek and Hugh Smith Lake within 500 yards of the terminus of Sockeye Creek Salmon, Dolly Varden, trout, smelt, and eulachon Residents of the City of Saxman. Districts 2, 3, and 5 and waters draining into those Districts Salmon, Dolly Varden, trout, smelt, and eulachon Residents living south of Sumner Strait and west of Clarence Strait and Kashevaroff Passage. District 5—North of a line from Point Barrie to Boulder Point Salmon, Dolly Varden, trout, smelt, and eulachon Residents of the City of Kake and in Kupreanof Island drainages emptying into Keku Strait south of Point White and north of the Portage Bay boat harbor. District 6 and waters draining into that District Salmon, Dolly Varden, trout, smelt, and eulachon Residents of the living south of Sumner Strait and west of Clarence Strait and Kashevaroff Passage; residents of drainages flowing into District 6 north of the latitude of Point Alexander (Mitkof Island); residents of drainages flowing into Districts 7 & 8, including the communities of Petersburg & Wrangell; and residents of the communities of Meyers Chuck and Kake. District 7 and waters draining into that District Salmon, Dolly Varden, trout, smelt, and eulachon Residents of drainages flowing into District 6 north of the latitude of Point Alexander (Mitkof Island); residents of drainages flowing into Districts 7 & 8, including the communities of Petersburg & Wrangell; and residents of the communities of Meyers Chuck and Kake. District 8 and waters draining into that District Salmon, Dolly Varden, trout, smelt, and eulachon Residents of drainages flowing into Districts 7 & 8, residents of drainages flowing into District 6 north of the latitude of Point Alexander (Mitkof Island), and residents of Meyers Chuck. District 9—Section 9A Salmon, Dolly Varden, trout, smelt, and eulachon Residents of the City of Kake and in Kupreanof Island drainages emptying into Keku Strait south of Point White and north of the Portage Bay boat harbor. District 9—Section 9B north of the latitude of Swain Point Salmon, Dolly Varden, trout, smelt, and eulachon Residents of the City of Kake and in Kupreanof Island drainages emptying into Keku Strait south of Point White and north of the Portage Bay boat harbor. District 10—West of a line from Pinta Point to False Point Pybus Salmon, Dolly Varden, trout, smelt, and eulachon Residents of the City of Kake and in Kupreanof Island drainages emptying into Keku Strait south of Point White and north of the Portage Bay boat harbor. District 12—South of a line from Fishery Point to south Passage Point and north of the latitude of Point Caution Salmon, Dolly Varden, trout, smelt, and eulachon Residents of the City of Angoon and along the western shore of Admiralty Island north of the latitude of Sand Island, south of the latitude of Thayer Creek, and west of 134°30' West longitude, including Killisnoo Island. District 13—Section 13A south of the latitude of Cape Edward Salmon, Dolly Varden, trout, smelt, and eulachon Residents of the City and Borough of Sitka in drainages that empty into Section 13B north of the latitude of Dorothy Narrows. District 13—Section 13B north of the latitude of Redfish Cape Salmon, Dolly Varden, trout, smelt, and eulachon Residents of the City and Borough of Sitka in drainages that empty into Section 13B north of the latitude of Dorothy Narrows. District 13—Section 13C Salmon, Dolly Varden, trout, smelt, and eulachon Residents of the City and Borough of Sitka in drainages that empty into Section 13B north of the latitude of Dorothy Narrows. District 13—Section 13C east of the longitude of Point Elizabeth Salmon, Dolly Varden, trout, smelt, and eulachon Residents of the City of Angoon and along the western shore of Admiralty Island north of the latitude of Sand Island, south of the latitude of Thayer Creek, and west of 134°30' West longitude, including Killisnoo Island. District 14—Section 14B and 14C Salmon, Dolly Varden, trout, smelt, and eulachon Residents of the City of Hoonah and in Chichagof Island drainages on the eastern shore of Port Frederick from Gartina Creek to Point Sophia. Remainder of the Southeastern Alaska Area Dolly Varden, trout, smelt, and eulachon Residents of Southeastern Alaska and Yakutat Areas. Subpart D—Subsistence Taking of Fish and Wildlife 3. In subpart D of 36 CFR part 242 and 50 CFR part 100, § __.25 is revised to read as follows: § __.25 Subsistence taking of fish, wildlife, and shellfish: general regulations.
(a)*Definitions.* The following definitions apply to all regulations contained in this part: *Abalone iron* means a flat device which is used for taking abalone and which is more than 1 inch (24 mm) in width and less than 24 inches (610 mm) in length, with all prying edges rounded and smooth. *ADF&G* means the Alaska Department of Fish and Game. *Airborne* means transported by aircraft. *Aircraft* means any kind of airplane, glider, or other device used to transport people or equipment through the air, excluding helicopters. *Airport* means an airport listed in the Federal Aviation Administration's Alaska Airman's Guide and chart supplement. *Anchor* means a device used to hold a fishing vessel or net in a fixed position relative to the beach; this includes using part of the seine or lead, a ship's anchor, or being secured to another vessel or net that is anchored. *Animal* means those species with a vertebral column (backbone). *Antler* means one or more solid, horn-like appendages protruding from the head of a caribou, deer, elk, or moose. *Antlered* means any caribou, deer, elk, or moose having at least one visible antler. *Antlerless* means any caribou, deer, elk, or moose not having visible antlers attached to the skull. *Bait* means any material excluding a scent lure that is placed to attract an animal by its sense of smell or taste; however, those parts of legally taken animals that are not required to be salvaged and which are left at the kill site are not considered bait. *Beach seine* means a floating net which is designed to surround fish and is set from and hauled to the beach. *Bear* means black bear, or brown or grizzly bear. *Big game* means black bear, brown bear, bison, caribou, Sitka black-tailed deer, elk, mountain goat, moose, musk ox, Dall sheep, wolf, and wolverine. *Bow* means a longbow, recurve bow, or compound bow, excluding a crossbow or any bow equipped with a mechanical device that holds arrows at full draw. *Broadhead* means an arrowhead that is not barbed and has two or more steel cutting edges having a minimum cutting diameter of not less than seven-eighths of an inch. *Brow tine* means a tine on the front portion of a moose antler, typically projecting forward from the base of the antler toward the nose. *Buck* means any male deer. *Bull* means any male moose, caribou, elk, or musk oxen. *Calf* means a moose, caribou, elk, musk ox, or bison less than 12 months old. *Cast net* means a circular net with a mesh size of no more than 1 1/2 inches and weights attached to the perimeter, which, when thrown, surrounds the fish and closes at the bottom when retrieved. *Char* means the following species: Arctic char ( *Salvelinus alpinis* ), lake trout ( *Salvelinus namaycush* ), brook trout ( *Salvelinus fontinalis* ), and Dolly Varden ( *Salvelinus malma* ). *Closed season* means the time when fish, wildlife, or shellfish may not be taken. *Crab* means the following species: red king crab ( *Paralithodes camshatica* ), blue king crab ( *Paralithodes platypus* ), brown king crab ( *Lithodes aequispina* ), scarlet king crab ( *Lithodes couesi* ), all species of tanner or snow crab ( *Chionoecetes spp.* ), and Dungeness crab ( *Cancer magister* ). *Cub bear* means a brown or grizzly bear in its first or second year of life, or a black bear (including cinnamon and blue phases) in its first year of life. *Depth of net* means the perpendicular distance between cork line and lead line expressed as either linear units of measure or as a number of meshes, including all of the web of which the net is composed. *Designated hunter or fisherman* means a Federally qualified hunter or fisherman who may take all or a portion of another Federally qualified hunter's or fisherman's harvest limit(s) only under situations approved by the Board. *Dip net* means a bag-shaped net supported on all sides by a rigid frame; the maximum straight-line distance between any two points on the net frame, as measured through the net opening, may not exceed 5 feet; the depth of the bag must be at least one-half of the greatest straight-line distance, as measured through the net opening; no portion of the bag may be constructed of webbing that exceeds a stretched measurement of 4.5 inches; the frame must be attached to a single rigid handle and be operated by hand. *Diving gear* means any type of hard hat or skin diving equipment, including SCUBA equipment; a tethered, umbilical, surface-supplied unit; or snorkel. *Drainage* means all of the lands and waters comprising a watershed, including tributary rivers, streams, sloughs, ponds, and lakes, which contribute to the water supply of the watershed. *Drift gillnet* means a drifting gillnet that has not been intentionally staked, anchored, or otherwise fixed in one place. *Edible meat* means the breast meat of ptarmigan and grouse, and, those parts of caribou, deer, elk, mountain goat, moose, musk oxen, and Dall sheep that are typically used for human consumption, which are: the meat of the ribs, neck, brisket, front quarters as far as the distal (bottom) joint of the radius- ulna (knee), hindquarters as far as the distal joint (bottom) of the tibia-fibula
(hock)and that portion of the animal between the front and hindquarters; however, *edible meat* of species listed in this definition does not include: meat of the head, meat that has been damaged and made inedible by the method of taking, bones, sinew, and incidental meat reasonably lost as a result of boning or close trimming of the bones, or viscera. For black bear, brown and grizzly bear, “edible meat” means the meat of the front quarter and hindquarters and meat along the backbone (backstrap). *Federally qualified subsistence user* means a rural Alaska resident qualified to harvest fish or wildlife on Federal public lands in accordance with the Federal Subsistence Management Regulations in this part. *Field* means an area outside of established year-round dwellings, businesses, or other developments usually associated with a city, town, or village; *field* does not include permanent hotels or roadhouses on the State road system or at State or Federally maintained airports. *Fifty-inch (50-inch) moose* means a bull moose with an antler spread of 50 inches or more. *Fish wheel* means a fixed, rotating device, with no more than four baskets on a single axle, for catching fish, which is driven by river current or other means. *Fresh water of streams and rivers* means the line at which fresh water is separated from salt water at the mouth of streams and rivers by a line drawn headland to headland across the mouth as the waters flow into the sea. *Full curl horn* means the horn of a Dall sheep ram; the tip of which has grown through 360 degrees of a circle described by the outer surface of the horn, as viewed from the side, or that both horns are broken, or that the sheep is at least 8 years of age as determined by horn growth annuli. *Furbearer* means a beaver, coyote, arctic fox, red fox, lynx, marten, mink, weasel, muskrat, river
(land)otter, red squirrel, flying squirrel, ground squirrel, marmot, wolf, or wolverine. *Fyke net* means a fixed, funneling
(fyke)device used to entrap fish. *Gear* means any type of fishing apparatus. *Gillnet* means a net primarily designed to catch fish by entanglement in a mesh that consists of a single sheet of webbing which hangs between cork line and lead line, and which is fished from the surface of the water. *Grappling hook* means a hooked device with flukes or claws, which is attached to a line and operated by hand. *Groundfish or bottomfish* means any marine fish except halibut, osmerids, herring and salmonids. *Grouse* collectively refers to all species found in Alaska, including spruce grouse, ruffed grouse, blue grouse, and sharp-tailed grouse. *Hand purse seine* means a floating net which is designed to surround fish and which can be closed at the bottom by pursing the lead line; pursing may only be done by hand power, and a free-running line through one or more rings attached to the lead line is not allowed. *Handicraft* means a finished product made by a rural Alaskan resident from the nonedible byproducts of fish or wildlife and is composed wholly or in some significant respect of natural materials. The shape and appearance of the natural material must be substantially changed by the skillful use of hands, such as sewing, weaving, drilling, lacing, beading, carving, etching, scrimshawing, painting, or other means, and incorporated into a work of art, regalia, clothing, or other creative expression, and can be either traditional or contemporary in design. The handicraft must have substantially greater monetary and aesthetic value than the unaltered natural material alone. *Handline* means a hand-held and operated line, with one or more hooks attached. *Hare or hares* collectively refers to all species of hares (commonly called rabbits) in Alaska and includes snowshoe hare and tundra hare. *Harvest limit* means the number of any one species permitted to be taken by any one person or designated group, per specified time period, in a Unit or portion of a Unit in which the taking occurs even if part or all of the harvest is preserved. A fish, when landed and killed by means of rod and reel, becomes part of the harvest limit of the person originally hooking it. *Herring pound* means an enclosure used primarily to contain live herring over extended periods of time. *Highway* means the drivable surface of any constructed road. *Household* means that group of people residing in the same residence. *Hung measure* means the maximum length of the cork line when measured wet or dry with traction applied at one end only. *Hunting* means the taking of wildlife within established hunting seasons with archery equipment or firearms, and as authorized by a required hunting license. *Hydraulic clam digger* means a device using water or a combination of air and water used to harvest clams. *Jigging gear* means a line or lines with lures or baited hooks, drawn through the water by hand, and which are operated during periods of ice cover from holes cut in the ice, or from shore ice and which are drawn through the water by hand. *Lead* means either a length of net employed for guiding fish into a seine, set gillnet, or other length of net, or a length of fencing employed for guiding fish into a fish wheel, fyke net, or dip net. *Legal limit of fishing gear* means the maximum aggregate of a single type of fishing gear permitted to be used by one individual or boat, or combination of boats in any particular regulatory area, district, or section. *Long line* means either a stationary, buoyed, or anchored line, or a floating, free-drifting line with lures or baited hooks attached. *Marmot* collectively refers to all species of marmot that occur in Alaska, including the hoary marmot, Alaska marmot, and the woodchuck. *Mechanical clam digger* means a mechanical device used or capable of being used for the taking of clams. *Mechanical jigging machine* means a mechanical device with line and hooks used to jig for halibut and bottomfish, but does not include hand gurdies or rods with reels. *Mile* means a nautical mile when used in reference to marine waters or a statute mile when used in reference to fresh water. *Motorized vehicle* means a motor-driven land, air, or water conveyance. *Open season* means the time when wildlife may be taken by hunting or trapping; an open season includes the first and last days of the prescribed season period. *Otter* means river or land otter only, excluding sea otter. *Permit hunt* means a hunt for which State or Federal permits are issued by registration or other means. *Poison* means any substance that is toxic or poisonous upon contact or ingestion. *Possession* means having direct physical control of wildlife at a given time or having both the power and intention to exercise dominion or control of wildlife either directly or through another person or persons. *Possession limit* means the maximum number of fish, grouse, or ptarmigan a person or designated group may have in possession if the they have not been canned, salted, frozen, smoked, dried, or otherwise preserved so as to be fit for human consumption after a 15-day period. *Pot* means a portable structure designed and constructed to capture and retain live fish and shellfish in the water. *Ptarmigan collectively* refers to all species found in Alaska, including white-tailed ptarmigan, rock ptarmigan, and willow ptarmigan. *Purse seine* means a floating net which is designed to surround fish and which can be closed at the bottom by means of a free-running line through one or more rings attached to the lead line. *Ram* means a male Dall sheep. *Registration permit* means a permit that authorizes hunting and is issued to a person who agrees to the specified hunting conditions. Hunting permitted by a registration permit begins on an announced date and continues throughout the open season, or until the season is closed by Board action. Registration permits are issued in the order applications are received and/or are based on priorities as determined by 50 CFR 100.17 and 36 CFR 242.17. *Regulatory year* means July 1—June 30, except for fish and shellfish, for which it means April 1—March 31. *Ring net* means a bag-shaped net suspended between no more than two frames; the bottom frame may not be larger in perimeter than the top frame; the gear must be nonrigid and collapsible so that free movement of fish or shellfish across the top of the net is not prohibited when the net is employed. *Rockfish* means all species of the genus *Sebastes* . *Rod and reel* means either a device upon which a line is stored on a fixed or revolving spool and is deployed through guides mounted on a flexible pole, or a line that is attached to a pole. In either case, bait or an artificial fly or lure is used as terminal tackle. This definition does not include the use of rod and reel gear for snagging. *Salmon* means the following species: pink salmon ( *Oncorhynchus gorbuscha* ); sockeye salmon ( *Oncorhynchus nerka* ); Chinook salmon ( *Oncorhynchus tshawytscha* ); coho salmon ( *Oncorhynchus kisutch* ); and chum salmon ( *Oncorhynchus keta* ). *Salmon stream* means any stream used by salmon for spawning, rearing, or for traveling to a spawning or rearing area. *Salvage* means to transport the edible meat, skull, or hide, as required by regulation, of a regulated fish, wildlife, or shellfish to the location where the edible meat will be consumed by humans or processed for human consumption in a manner which saves or prevents the edible meat from waste, and preserves the skull or hide for human use. *Scallop dredge* means a dredge-like device designed specifically for and capable of taking scallops by being towed along the ocean floor. *Sea urchin rake* means a hand-held implement, no longer than 4 feet, equipped with projecting prongs used to gather sea urchins. *Sealing* means placing a mark or tag on a portion of a harvested animal by an authorized representative of the ADF&G; *sealing* includes collecting and recording information about the conditions under which the animal was harvested, and measurements of the specimen submitted for sealing or surrendering a specific portion of the animal for biological information. *Set gillnet* means a gillnet that has been intentionally set, staked, anchored, or otherwise fixed. *Seven-eighths curl horn* means the horn of a male Dall sheep, the tip of which has grown through seven-eights (315 degrees) of a circle, described by the outer surface of the horn, as viewed from the side, or with both horns broken. *Shovel* means a hand-operated implement for digging clams. *Skin, hide, pelt, or fur* means any tanned or untanned external covering of an animal's body. However, for bear, the skin, hide, pelt, or fur means the external covering with claws attached. *Snagging* means hooking or attempting to hook a fish elsewhere than in the mouth. *Spear* means a shaft with a sharp point or fork-like implement attached to one end, which is used to thrust through the water to impale or retrieve fish, and which is operated by hand. *Spike-fork moose* means a bull moose with only one or two tines on either antler; male calves are not spike-fork bulls. *Stretched measure* means the average length of any series of 10 consecutive meshes measured from inside the first knot and including the last knot when wet; the 10 meshes, when being measured, must be an integral part of the net, as hung, and measured perpendicular to the selvages; measurements will be made by means of a metal tape measure while the 10 meshes being measured are suspended vertically from a single peg or nail, under 5-pound weight. *Subsistence fishing permit* means a subsistence harvest permit issued by the Alaska Department of Fish and Game or the Federal Subsistence Board. *Take* or *Taking* means to fish, pursue, hunt, shoot, trap, net, capture, collect, kill, harm, or attempt to engage in any such conduct. *Tine* or *antler point* refers to any point on an antler, the length of which is greater than its width and is at least one inch. *To operate fishing gear* means any of the following: to deploy gear in the water; to remove gear from the water; to remove fish or shellfish from the gear during an open season or period; or to possess a gillnet containing fish during an open fishing period, except that a gillnet which is completely clear of the water is not considered to be operating for the purposes of minimum distance requirement. *Transportation* means to ship, convey, carry, or transport by any means whatever and deliver or receive for such shipment, conveyance, carriage, or transportation. *Trapping* means the taking of furbearers within established trapping seasons and with a required trapping license. *Trawl* means a bag-shaped net towed through the water to capture fish or shellfish, and includes beam, otter, or pelagic trawl. *Troll gear* means a power gurdy troll gear consisting of a line or lines with lures or baited hooks which are drawn through the water by a power gurdy; hand troll gear consisting of a line or lines with lures or baited hooks which are drawn through the water from a vessel by hand trolling, strip fishing, or other types of trolling, and which are retrieved by hand power or hand-powered crank and not by any type of electrical, hydraulic, mechanical, or other assisting device or attachment; or dinglebar troll gear consisting of one or more lines, retrieved and set with a troll gurdy or hand troll gurdy, with a terminally attached weight from which one or more leaders with one or more lures or baited hooks are pulled through the water while a vessel is making way. *Trophy* means a mount of a big game animal, including the skin of the head
(cape)or the entire skin, in a lifelike representation of the animal, including a lifelike representation made from any part of a big game animal; “trophy” also includes a “European mount” in which the horns or antlers and the skull or a portion of the skull are mounted for display. *Trout* means the following species: cutthroat trout ( *Oncorhynchus clarki* ) and rainbow/steelhead trout (Oncorhynchus mykiss). *Unclassified wildlife or unclassified species* means all species of animals not otherwise classified by the definitions in this paragraph (a), or regulated under other Federal law as listed in paragraph
(i)of this section. *Ungulate* means any species of hoofed mammal, including deer, caribou, elk, moose, mountain goat, Dall sheep, and musk oxen. *Unit* and *Subunit* means one of the geographical areas in the State of Alaska known as Game Management Units, or GMUs, as defined in the codified Alaska Department of Fish and Game regulations found in Title 5 of the Alaska Administrative Code and collectively listed in this part as Units or Subunits. *Wildlife* means any hare, ptarmigan, grouse, ungulate, bear, furbearer, or unclassified species and includes any part, product, egg, or offspring thereof, or carcass or part thereof.
(b)Taking fish, wildlife, or shellfish for subsistence uses by a prohibited method is a violation of this part. Seasons are closed unless opened by Federal regulation. Hunting, trapping, or fishing during a closed season or in an area closed by this part is prohibited. You may not take for subsistence fish, wildlife, or shellfish outside established Unit or Area seasons, or in excess of the established Unit or Area harvest limits, unless otherwise provided for by the Board. You may take fish, wildlife, or shellfish under State regulations on public lands, except as otherwise restricted at §§ __.26 through __.28. Unit/Area-specific restrictions or allowances for subsistence taking of fish, wildlife, or shellfish are identified at §§ __.26 through __.28.
(c)*Harvest limits.*
(1)Harvest limits authorized by this section and harvest limits established in State regulations may not be accumulated.
(2)Fish, wildlife, or shellfish taken by a designated individual for another person pursuant to § __.10(d)(5)(ii) counts toward the individual harvest limit of the person for whom the fish, wildlife, or shellfish is taken.
(3)A harvest limit applies to the number of fish, wildlife, or shellfish that can be taken during a regulatory year; however, harvest limits for grouse, ptarmigan, and caribou (in some Units) are regulated by the number that may be taken per day. Harvest limits of grouse and ptarmigan are also regulated by the number that can be held in possession.
(4)Unless otherwise provided, any person who gives or receives fish, wildlife, or shellfish must furnish, upon a request made by a Federal or State agent, a signed statement describing the following: names and addresses of persons who gave and received fish, wildlife, or shellfish; the time and place that the fish, wildlife, or shellfish was taken; and identification of species transferred. Where a qualified subsistence user has designated another qualified subsistence user to take fish, wildlife, or shellfish on his or her behalf in accordance with § __.10(d)(5)(ii), the permit must be furnished in place of a signed statement.
(d)*Fishing by designated harvest permit.*
(1)Any species of fish that may be taken by subsistence fishing under this part may be taken under a designated harvest permit.
(2)If you are a Federally qualified subsistence user, you (beneficiary) may designate another Federally qualified subsistence user to take fish on your behalf. The designated fisherman must obtain a designated harvest permit prior to attempting to harvest fish and must return a completed harvest report. The designated fisherman may fish for any number of beneficiaries but may have no more than two harvest limits in his/her possession at any one time.
(3)The designated fisherman must have in possession a valid designated fishing permit when taking, attempting to take, or transporting fish taken under this section, on behalf of a beneficiary.
(4)The designated fisherman may not fish with more than one legal limit of gear.
(5)You may not designate more than one person to take or attempt to take fish on your behalf at one time. You may not personally take or attempt to take fish at the same time that a designated fisherman is taking or attempting to take fish on your behalf.
(e)*Hunting by designated harvest permit.* In Units 1-8, 9D, 10-16, and 18-26, if you are a Federally qualified subsistence user (recipient), you may designate another Federally qualified subsistence user to take deer, moose and caribou on your behalf unless you are a member of a community operating under a community harvest system or unless unit-specific regulations in § __.26 preclude or modify the use of the designated hunter system or allow the harvest of additional species by a designated hunter. The designated hunter must obtain a designated hunter permit and must return a completed harvest report. The designated hunter may hunt for any number of recipients but may have no more than two harvest limits in his/her possession at any one time, unless otherwise specified in unit-specific regulations in § __.26.
(f)A rural Alaska resident who has been designated to take fish, wildlife, or shellfish on behalf of another rural Alaska resident in accordance with § __.10(d)(5)(ii) must promptly deliver the fish, wildlife, or shellfish to that rural Alaska resident and may not charge the recipient for his/her services in taking the fish, wildlife, or shellfish or claim for themselves the meat or any part of the harvested fish, wildlife, or shellfish.
(g)[Reserved].
(h)*Permits.* If a subsistence fishing or hunting permit is required by this part, the following permit conditions apply unless otherwise specified in this section:
(1)You may not take more fish, wildlife, or shellfish for subsistence use than the limits set out in the permit;
(2)You must obtain the permit prior to fishing or hunting;
(3)You must have the permit in your possession and readily available for inspection while fishing, hunting, or transporting subsistence-taken fish, wildlife, or shellfish;
(4)If specified on the permit, you must keep accurate daily records of the harvest, showing the number of fish, wildlife, or shellfish taken, by species, location and date of harvest, and other such information as may be required for management or conservation purposes; and
(5)If the return of harvest information necessary for management and conservation purposes is required by a permit and you fail to comply with such reporting requirements, you are ineligible to receive a subsistence permit for that activity during the following regulatory year, unless you demonstrate that failure to report was due to loss in the mail, accident, sickness, or other unavoidable circumstances.
(i)You may not possess, transport, give, receive, or barter fish, wildlife, or shellfish that was taken in violation of Federal or State statutes or a regulation promulgated hereunder.
(j)*Utilization of fish, wildlife, or shellfish.*
(1)You may not use wildlife as food for a dog or furbearer, or as bait, except as allowed for in § __.26, § __.27, or § __.28, or except for the following:
(i)The hide, skin, viscera, head, or bones of wildlife;
(ii)The skinned carcass of a furbearer;
(iii)Squirrels, hares (rabbits), grouse, or ptarmigan; however, you may not use the breast meat of grouse and ptarmigan as animal food or bait;
(iv)Unclassified wildlife.
(2)If you take wildlife for subsistence, you must salvage the following parts for human use:
(i)The hide of a wolf, wolverine, coyote, fox, lynx, marten, mink, weasel, or otter;
(ii)The hide and edible meat of a brown bear, except that the hide of brown bears taken in Units 5, 9B, 17, 18, portions of 19A and 19B, 21D, 22, 23, 24, and 26A need not be salvaged;
(iii)The hide and edible meat of a black bear;
(iv)The hide or meat of squirrels, hares, marmots, beaver, muskrats, or unclassified wildlife.
(3)You must salvage the edible meat of ungulates, bear, grouse, and ptarmigan.
(4)You may not intentionally waste or destroy any subsistence-caught fish or shellfish; however, you may use for bait or other purposes whitefish, herring, and species for which bag limits, seasons, or other regulatory methods and means are not provided in this section, as well as the head, tail, fins, and viscera of legally taken subsistence fish.
(5)Failure to salvage the edible meat may not be a violation if such failure is caused by circumstances beyond the control of a person, including theft of the harvested fish, wildlife, or shellfish, unanticipated weather conditions, or unavoidable loss to another animal.
(6)If you are a Federally qualified subsistence user, you may sell handicraft articles made from the skin, hide, pelt, or fur, including claws, of a black bear.
(i)In Units 1, 2, 3, 4, and 5, you may sell handicraft articles made from the skin, hide, pelt, fur, claws, bones, teeth, sinew, or skulls of a black bear taken from Units 1, 2, 3, or 5.
(ii)[Reserved].
(7)If you are a Federally qualified subsistence user, you may sell handicraft articles made from the skin, hide, pelt, or fur, including claws, of a brown bear taken from Units 1-5, 9A-C, 9E, 12, 17, 20, or 25.
(i)In Units 1, 2, 3, 4, and 5, you may sell handicraft articles made from the skin, hide, pelt, fur, claws, bones, teeth, sinew, or skulls of a brown bear taken from Units 1, 4, or 5.
(ii)[Reserved].
(8)If you are a Federally qualified subsistence user, you may sell the raw fur or tanned pelt with or without claws attached from legally harvested furbearers.
(9)If you are a Federally qualified subsistence user, you may sell handicraft articles made from the nonedible byproducts (including, but not limited to, skin, shell, fins, and bones) of subsistence-harvested fish or shellfish.
(10)If you are a Federally qualified subsistence user, you may sell handicraft articles made from nonedible byproducts of wildlife harvested for subsistence uses (excluding bear), to include; skin, hide, pelt, fur, claws, bones (except skulls of moose, caribou, elk, deer, sheep, goat and musk ox), teeth, sinew, antlers and/or horns (if not attached to any part of the skull or made to represent a big game trophy) and hooves.
(11)The sale of handicrafts made from the nonedible byproducts of wildlife, when authorized in this part, may not constitute a significant commercial enterprise.
(12)You may sell the horns and antlers not attached to any part of the skull from legally harvested caribou (except caribou harvested in Unit 23), deer, elk, goat, moose, musk ox, and sheep.
(13)You may sell the raw/untanned and tanned hide or cape from a legally harvested caribou, deer, elk, goat, moose, musk ox, and sheep.
(k)The regulations found in this part do not apply to the subsistence taking and use of fish, wildlife, or shellfish regulated pursuant to the Fur Seal Act of 1966 (80 Stat. 1091, 16 U.S.C. 1187); the Endangered Species Act of 1973 (87 Stat. 884, 16 U.S.C. 1531-1543); the Marine Mammal Protection Act of 1972 (86 Stat. 1027; 16 U.S.C. 1361-1407); and the Migratory Bird Treaty Act (40 Stat. 755; 16 U.S.C. 703-711), or to any amendments to these Acts. The taking and use of fish, wildlife, or shellfish, covered by these Acts, will conform to the specific provisions contained in these Acts, as amended, and any implementing regulations.
(l)Rural residents, nonrural residents, and nonresidents not specifically prohibited by Federal regulations from fishing, hunting, or trapping on public lands in an area may fish, hunt, or trap on public lands in accordance with the appropriate State regulations. 4. In subpart D of 36 CFR part 242 and 50 CFR part 100, §__.26 is added to read as follows: §__.26 Subsistence taking of wildlife.
(a)You may take wildlife for subsistence uses by any method, except as prohibited in this section or by other Federal statute. Taking wildlife for subsistence uses by a prohibited method is a violation of this part. Seasons are closed unless opened by Federal regulation. Hunting or trapping during a closed season or in an area closed by this part is prohibited.
(b)Except for special provisions found at paragraphs (n)(1) through
(26)of this section, the following methods and means of taking wildlife for subsistence uses are prohibited:
(1)Shooting from, on, or across a highway;
(2)Using any poison;
(3)Using a helicopter in any manner, including transportation of individuals, equipment, or wildlife; however, this prohibition does not apply to transportation of an individual, gear, or wildlife during an emergency rescue operation in a life-threatening situation;
(4)Taking wildlife from a motorized land or air vehicle when that vehicle is in motion, or from a motor-driven boat when the boat's progress from the motor's power has not ceased;
(5)Using a motorized vehicle to drive, herd, or molest wildlife;
(6)Using or being aided by use of a machine gun, set gun, or a shotgun larger than 10 gauge;
(7)Using a firearm other than a shotgun, muzzle-loaded rifle, rifle, or pistol using center-firing cartridges, for the taking of ungulates, bear, wolves, or wolverine, except that—
(i)An individual in possession of a valid trapping license may use a firearm that shoots rimfire cartridges to take wolves and wolverine;
(ii)Only a muzzle-loading rifle of .54-caliber or larger, or a .45-caliber muzzle-loading rifle with a 250-grain, or larger, elongated slug may be used to take brown bear, black bear, elk, moose, musk ox, and mountain goat;
(8)Using or being aided by use of a pit, fire, artificial light, radio communication, artificial salt lick, explosive, barbed arrow, bomb, smoke, chemical, conventional steel trap with a jaw spread over 9 inches, or conibear style trap with a jaw spread over 11 inches;
(9)Using a snare, except that an individual in possession of a valid hunting license may use nets and snares to take unclassified wildlife, ptarmigan, grouse, or hares; and, individuals in possession of a valid trapping license may use snares to take furbearers;
(10)Using a trap to take ungulates or bear;
(11)Using hooks to physically snag, impale, or otherwise take wildlife; however, hooks may be used as a trap drag;
(12)Using a crossbow to take ungulates, bear, wolf, or wolverine in any area restricted to hunting by bow and arrow only;
(13)Taking of ungulates, bear, wolf, or wolverine with a bow, unless the bow is capable of casting an inch-wide broadhead-tipped arrow at least 175 yards horizontally, and the arrow and broadhead together weigh at least 1 ounce (437.5 grains);
(14)Using bait for taking ungulates, bear, wolf, or wolverine; except, you may use bait to take wolves and wolverine with a trapping license, and you may use bait to take black bears with a hunting license as authorized in Unit-specific regulations at paragraphs (n)(1) through
(26)of this section. Baiting of black bears is subject to the following restrictions:
(i)Before establishing a black bear bait station, you must register the site with ADF&G;
(ii)When using bait, you must clearly mark the site with a sign reading “black bear bait station” that also displays your hunting license number and ADF&G-assigned number;
(iii)You may use only biodegradable materials for bait; you may use only the head, bones, viscera, or skin of legally harvested fish and wildlife for bait;
(iv)You may not use bait within 1/4 mile of a publicly maintained road or trail;
(v)You may not use bait within 1 mile of a house or other permanent dwelling, or within 1 mile of a developed campground or developed recreational facility;
(vi)When using bait, you must remove litter and equipment from the bait station site when done hunting;
(vii)You may not give or receive payment for the use of a bait station, including barter or exchange of goods;
(viii)You may not have more than two bait stations with bait present at any one time;
(15)Taking swimming ungulates, bears, wolves, or wolverine;
(16)Taking or assisting in the taking of ungulates, bear, wolves, wolverine, or other furbearers before 3:00 a.m. following the day in which airborne travel occurred (except for flights in regularly scheduled commercial aircraft); however, this restriction does not apply to subsistence taking of deer, the setting of snares or traps, or the removal of furbearers from traps or snares;
(17)Taking a bear cub or a sow accompanied by cub(s).
(c)Wildlife taken in defense of life or property is not a subsistence use; wildlife so taken is subject to State regulations.
(d)The following methods and means of trapping furbearers for subsistence uses pursuant to the requirements of a trapping license are prohibited, in addition to the prohibitions listed at paragraph
(b)of this section:
(1)Disturbing or destroying a den, except that you may disturb a muskrat pushup or feeding house in the course of trapping;
(2)Disturbing or destroying any beaver house;
(3)Taking beaver by any means other than a steel trap or snare, except that you may use firearms in certain Units with established seasons as identified in Unit-specific regulations found in this subpart;
(4)Taking otter with a steel trap having a jaw spread of less than 5 7/8 inches during any closed mink and marten season in the same Unit;
(5)Using a net or fish trap (except a blackfish or fyke trap);
(6)Taking or assisting in the taking of furbearers by firearm before 3:00 a.m. on the day following the day on which airborne travel occurred; however, this does not apply to a trapper using a firearm to dispatch furbearers caught in a trap or snare.
(e)*Possession and transportation of wildlife.*
(1)Except as specified in paragraphs (e)(2) or (f)(1) of this section, or as otherwise provided, you may not take a species of wildlife in any unit, or portion of a unit, if your total take of that species already obtained anywhere in the State under Federal and State regulations equals or exceeds the harvest limit in that unit.
(2)An animal taken under Federal or State regulations by any member of a community with an established community harvest limit for that species counts toward the community harvest limit for that species. Except for wildlife taken pursuant to §__.10(d)(5)(iii) or as otherwise provided for by this part, an animal taken as part of a community harvest limit counts toward every community member's harvest limit for that species taken under Federal or State of Alaska regulations.
(f)*Harvest limits.*
(1)The harvest limit specified for a trapping season for a species and the harvest limit set for a hunting season for the same species are separate and distinct. This means that if you have taken a harvest limit for a particular species under a trapping season, you may take additional animals under the harvest limit specified for a hunting season or vice versa.
(2)A brown/grizzly bear taken in a Unit or portion of a Unit having a harvest limit of “one brown/grizzly bear per year” counts against a “one brown/grizzly bear every four regulatory years” harvest limit in other Units. You may not take more than one brown/grizzly bear in a regulatory year.
(3)The Assistant Regional Director for Subsistence Management, FWS, is authorized to open, close, or adjust Federal subsistence lynx seasons and to set harvest and possession limits for lynx in Units 6, 7, 11, 12, 13, 14, 15, 16, 20A, 20B, 20C east of the Teklanika River, 20D, and 20E, with a maximum season of November 1-February 28. This delegation may be exercised only when it is necessary to conserve lynx populations or to continue subsistence uses, only within guidelines listed within the ADF&G Lynx Harvest Management Strategy, and only after staff analysis of the potential action, consultation with the appropriate Regional Council Chairs, and Interagency Staff Committee concurrence.
(g)*Evidence of sex and identity.*
(1)If subsistence take of Dall sheep is restricted to a ram, you may not possess or transport a harvested sheep unless both horns accompany the animal.
(2)If the subsistence taking of an ungulate, except sheep, is restricted to one sex in the local area, you may not possess or transport the carcass of an animal taken in that area unless sufficient portions of the external sex organs remain attached to indicate conclusively the sex of the animal, except that in Units 1-5 antlers are also considered proof of sex for deer if the antlers are naturally attached to an entire carcass, with or without the viscera; and except in Units 11, 13, 19, 21, and 24, where you may possess either sufficient portions of the external sex organs (still attached to a portion of the carcass) or the head (with or without antlers attached; however, the antler stumps must remain attached) to indicate the sex of the harvested moose; however, this paragraph (g)(2) does not apply to the carcass of an ungulate that has been butchered and placed in storage or otherwise prepared for consumption upon arrival at the location where it is to be consumed.
(3)If a moose harvest limit requires an antlered bull, an antler size, or configuration restriction, you may not possess or transport the moose carcass or its parts unless both antlers accompany the carcass or its parts. If you possess a set of antlers with less than the required number of brow tines on one antler, you must leave the antlers naturally attached to the unbroken, uncut skull plate; however, this paragraph (g)(3) does not apply to a moose carcass or its parts that have been butchered and placed in storage or otherwise prepared for consumption after arrival at the place where it is to be stored or consumed.
(h)*Removing harvest from the field.* You must leave all edible meat on the bones of the front quarters and hind quarters of caribou and moose harvested in Units 9B, 17, 18, and 19B prior to October 1 until you remove the meat from the field or process it for human consumption. You must leave all edible meat on the bones of the front quarters, hind quarters, and ribs of moose harvested in Unit 21 prior to October 1 until you remove the meat from the field or process it for human consumption. You must leave all edible meat on the bones of the front quarters, hind quarters, and ribs of caribou and moose harvested in Unit 24 prior to October 1 until you remove the meat from the field or process it for human consumption. Meat of the front quarters, hind quarters, or ribs from a harvested moose or caribou may be processed for human consumption and consumed in the field; however, meat may not be removed from the bones for purposes of transport out of the field.
(i)*Returning of tags, marks, or collars.* If you take an animal that has been marked or tagged for scientific studies, you must, within a reasonable time, notify the ADF&G or the agency identified on the collar or marker when and where the animal was taken. You also must retain any ear tag, collar, radio, tattoo, or other identification with the hide until it is sealed, if sealing is required; in all cases, you must return any identification equipment to the ADF&G or to an agency identified on such equipment.
(j)*Sealing of bear skins and skulls.*
(1)Sealing requirements for bear apply to brown bears taken in all Units, except as specified in this paragraph, and black bears of all color phases taken in Units 1-7, 11-17, and 20.
(2)You may not possess or transport from Alaska the untanned skin or skull of a bear unless the skin and skull have been sealed by an authorized representative of ADF&G in accordance with State or Federal regulations, except that the skin and skull of a brown bear taken under a registration permit in Units 5, 9B, 9E, 17, 18, 19A and 19B downstream of and including the Aniak River drainage, 21D, 22, 23, 24, and 26A need not be sealed unless removed from the area.
(3)You must keep a bear skin and skull together until a representative of the ADF&G has removed a rudimentary premolar tooth from the skull and sealed both the skull and the skin; however, this provision does not apply to brown bears taken within Units 5, 9B, 9E, 17, 18, 19A and 19B downstream of and including the Aniak River drainage, 21D, 22, 23, 24, and 26A and which are not removed from the Unit.
(i)In areas where sealing is required by Federal regulations, you may not possess or transport the hide of a bear that does not have the penis sheath or vaginal orifice naturally attached to indicate conclusively the sex of the bear.
(ii)If the skin or skull of a bear taken in Units 9B, 17, 18, and 19A and 19B downstream of and including the Aniak River drainage is removed from the area, you must first have it sealed by an ADF&G representative in Bethel, Dillingham, or McGrath; at the time of sealing, the ADF&G representative must remove and retain the skin of the skull and front claws of the bear.
(iii)If you remove the skin or skull of a bear taken in Units 21D, 22, 23, 24, and 26A from the area or present it for commercial tanning within the area, you must first have it sealed by an ADF&G representative in Barrow, Galena, Nome, or Kotzebue; at the time of sealing, the ADF&G representative must remove and retain the skin of the skull and front claws of the bear.
(iv)If you remove the skin or skull of a bear taken in Unit 5 from the area, you must first have it sealed by an ADF&G representative in Yakutat.
(v)If you remove the skin or skull of a bear taken in Unit 9E from Unit 9, you must first have it sealed by an authorized sealing representative. At the time of sealing, the representative must remove and retain the skin of the skull and front claws of the bear.
(4)You may not falsify any information required on the sealing certificate or temporary sealing form provided by the ADF&G in accordance with State regulations.
(k)*Sealing of beaver, lynx, marten, otter, wolf, and wolverine.* You may not possess or transport from Alaska the untanned skin of a marten taken in Units 1-5, 7, 13E, or 14-16 or the untanned skin of a beaver, lynx, otter, wolf, or wolverine, whether taken inside or outside the State, unless the skin has been sealed by an authorized representative in accordance with State or Federal regulations.
(1)In Unit 18, you must obtain an ADF&G seal for beaver skins only if they are to be sold or commercially tanned.
(2)In Unit 2, you must seal any wolf taken on or before the 30th day after the date of taking.
(l)If you take a species listed in paragraph
(k)of this section but are unable to present the skin in person, you must complete and sign a temporary sealing form and ensure that the completed temporary sealing form and skin are presented to an authorized representative of ADF&G for sealing consistent with requirements listed in paragraph
(k)of this section.
(m)You may take wildlife, outside of established season or harvest limits, for food in traditional religious ceremonies, that are part of a funerary or mortuary cycle, including memorial potlatches, under the following provisions:
(1)The harvest does not violate recognized principles of wildlife conservation and uses the methods and means allowable for the particular species published in the applicable Federal regulations. The appropriate Federal land manager will establish the number, species, sex, or location of harvest, if necessary, for conservation purposes. Other regulations relating to ceremonial harvest may be found in the unit-specific regulations in § __.26(n).
(2)No permit or harvest ticket is required for harvesting under this section; however, the harvester must be a Federally qualified subsistence user with customary and traditional use in the area where the harvesting will occur.
(3)In Units 1-26 (except for Koyukon/Gwich'in potlatch ceremonies in Units 20F, 21, 24, or 25):
(i)A tribal chief, village or tribal council president, or the chief's or president's designee for the village in which the religious/cultural ceremony will be held, or a Federally qualified subsistence user outside of a village or tribal-organized ceremony, must notify the nearest Federal land manager that a wildlife harvest will take place. The notification must include the species, harvest location, and number of animals expected to be taken.
(ii)Immediately after the wildlife is taken, the tribal chief, village or tribal council president or designee, or other Federally qualified subsistence user must create a list of the successful hunters and maintain these records, including the name of the decedent for whom the ceremony will be held. If requested, this information must be available to an authorized representative of the Federal land manager.
(iii)The tribal chief, village or tribal council president or designee, or other Federally qualified subsistence user outside of the village in which the religious/cultural ceremony will be held must report to the Federal land manager the harvest location, species, sex, and number of animals taken as soon as practicable, but not more than 15 days after the wildlife is taken.
(4)In Units 20F, 21, 24, and 25 (for Koyukon/Gwich'in potlatch ceremonies only):
(i)Taking wildlife outside of established season and harvest limits is authorized if it is for food for the traditional Koyukon/Gwich'in Potlatch Funerary or Mortuary ceremony and if it is consistent with conservation of healthy populations.
(ii)Immediately after the wildlife is taken, the tribal chief, village or tribal council president, or the chief's or president's designee for the village in which the religious ceremony will be held must create a list of the successful hunters and maintain these records. The list must be made available, after the harvest is completed, to a Federal land manager upon request.
(iii)As soon as practical, but not more than 15 days after the harvest, the tribal chief, village council president, or designee must notify the Federal land manager about the harvest location, species, sex, and number of animals taken.
(n)*Unit regulations.* You may take for subsistence unclassified wildlife, all squirrel species, and marmots in all Units, without harvest limits, for the period of July 1-June 30. Unit-specific restrictions or allowances for subsistence taking of wildlife are identified at paragraphs (n)(1) through
(26)of this section.
(1)*Unit 1.* Unit 1 consists of all mainland drainages from Dixon Entrance to Cape Fairweather, and those islands east of the center line of Clarence Strait from Dixon Entrance to Caamano Point, and all islands in Stephens Passage and Lynn Canal north of Taku Inlet:
(i)Unit 1A consists of all drainages south of the latitude of Lemesurier Point including all drainages into Behm Canal, excluding all drainages of Ernest Sound;
(ii)Unit 1B consists of all drainages between the latitude of Lemesurier Point and the latitude of Cape Fanshaw including all drainages of Ernest Sound and Farragut Bay, and including the islands east of the center lines of Frederick Sound, Dry Strait (between Sergief and Kadin Islands), Eastern Passage, Blake Channel (excluding Blake Island), Ernest Sound, and Seward Passage;
(iii)Unit 1C consists of that portion of Unit 1 draining into Stephens Passage and Lynn Canal north of Cape Fanshaw and south of the latitude of Eldred Rock including Berners Bay, Sullivan Island, and all mainland portions north of Chichagof Island and south of the latitude of Eldred Rock, excluding drainages into Farragut Bay;
(iv)Unit 1D consists of that portion of Unit 1 north of the latitude of Eldred Rock, excluding Sullivan Island and the drainages of Berners Bay;
(v)In the following areas, the taking of wildlife for subsistence uses is prohibited or restricted on public lands:
(A)Public lands within Glacier Bay National Park are closed to all taking of wildlife for subsistence uses;
(B)Unit 1A—in the Hyder area, the Salmon River drainage downstream from the Riverside Mine, excluding the Thumb Creek drainage, is closed to the taking of bear;
(C)Unit 1B—the Anan Creek drainage within 1 mile of Anan Creek downstream from the mouth of Anan Lake, including the area within a 1-mile radius from the mouth of Anan Creek Lagoon, is closed to the taking of bear;
(D)Unit 1C: ( *1* ) You may not hunt within one-fourth mile of Mendenhall Lake, the U.S. Forest Service Mendenhall Glacier Visitor's Center, and the Center's parking area; ( *2* ) You may not take mountain goat in the area of Mt. Bullard bounded by the Mendenhall Glacier, Nugget Creek from its mouth to its confluence with Goat Creek, and a line from the mouth of Goat Creek north to the Mendenhall Glacier;
(vi)You may not trap furbearers for subsistence uses in Unit 1C, Juneau area, on the following public lands:
(A)A strip within one-quarter mile of the mainland coast between the end of Thane Road and the end of Glacier Highway at Echo Cove;
(B)That area of the Mendenhall Valley bounded on the south by the Glacier Highway, on the west by the Mendenhall Loop Road and Montana Creek Road and Spur Road to Mendenhall Lake, on the north by Mendenhall Lake, and on the east by the Mendenhall Loop Road and Forest Service Glacier Spur Road to the Forest Service Visitor Center;
(C)That area within the U.S. Forest Service Mendenhall Glacier Recreation Area;
(D)A strip within one-quarter mile of the following trails as designated on U.S. Geological Survey maps: Herbert Glacier Trail, Windfall Lake Trail, Peterson Lake Trail, Spaulding Meadows Trail (including the loop trail), Nugget Creek Trail, Outer Point Trail, Dan Moller Trail, Perseverance Trail, Granite Creek Trail, Mt. Roberts Trail and Nelson Water Supply Trail, Sheep Creek Trail, and Point Bishop Trail;
(vii)Unit-specific regulations:
(A)You may hunt black bear with bait in Units 1A, 1B, and 1D between April 15 and June 15;
(B)You may not shoot ungulates, bear, wolves, or wolverine from a boat, unless you are certified as disabled. Harvest limits Open season Hunting Black Bear: 2 bears, no more than one may be a blue or glacier bear Sept. 1-June 30. Brown Bear: 1 bear every four regulatory years by State registration permit only Sept. 15-Dec. 31. Mar. 15-May 31. Deer: Unit 1A—4 antlered deer Aug. 1-Dec. 31. Unit 1B—2 antlered deer Aug. 1-Dec. 31. Unit 1C—4 deer; however, antlerless deer may be taken only from Sept. 15-Dec. 31 Aug. 1-Dec. 31. Goat: Unit 1A—Revillagigedo Island only No open season. Unit 1B—that portion north of LeConte Bay—1 goat by State registration permit only; the taking of kids or nannies accompanied by kids is prohibited Aug. 1-Dec. 31. Unit 1A and Unit 1B—that portion on the Cleveland Peninsula south of the divide between Yes Bay and Santa Anna Inlet No open season. Unit 1A and Unit 1B—remainder—2 goats; a State registration permit will be required for the taking of the first goat and a Federal registration permit for the taking of a second goat. The taking of kids or nannies accompanied by kids is prohibited Aug. 1-Dec. 31. Unit 1C—that portion draining into Lynn Canal and Stephens Passage between Antler River and Eagle Glacier and River, and all drainages of the Chilkat Range south of the Endicott River—1 goat by State registration permit only Oct. 1-Nov. 30. Unit 1C—that portion draining into Stephens Passage and Taku Inlet between Eagle Glacier and River and Taku Glacier No open season. Unit 1C—remainder—1 goat by State registration permit only Aug. 1-Nov. 30. Unit 1D—that portion lying north of the Katzehin River and northeast of the Haines highway—1 goat by State registration permit only Sept. 15-Nov. 30. Unit 1D—that portion lying between Taiya Inlet and River and the White Pass and Yukon Railroad No open season. Unit 1D—remainder—1 goat by State registration permit only Aug. 1-Dec. 31. Moose: Unit 1A-1 antlered bull by Federal registration permit Sept. 5-Oct. 15. Unit 1B-1 antlered bull with spike-fork or 50-inch antlers or 3 or more brow tines on either antler, by State registration permit only. The Petersburg District Ranger is authorized to close the season based on conservation concerns, in consultation with ADF&G and the Chair of the Southeast Alaska Subsistence Regional Advisory Council Sept. 15-Oct. 15. Unit 1C—that portion south of Point Hobart including all Port Houghton drainages—1 antlered bull with spike-fork or 50-inch antlers or 3 or more brow tines on either antler, by State registration permit only Sept. 15-Oct. 15. Unit 1C—remainder, excluding drainages of Berners Bay—1 antlered bull by State registration permit only Sept. 15-Oct. 15. Unit 1D No open season. Coyote: 2 coyotes Sept. 1-Apr. 30. Fox, Red (including Cross, Black, and Silver Phases): 2 foxes Nov. 1-Feb. 15. Hare (Snowshoe): 5 hares per day Sept. 1-Apr. 30. Lynx: lynx Dec. 1-Feb. 15. Wolf: 5 wolves Aug. 1-Apr. 30. Wolverine: 1 wolverine Nov. 10-Feb. 15. Grouse (Spruce, Blue, and Ruffed): 5 per day, 10 in possession Aug. 1-May 15. Ptarmigan (Rock, Willow, and White-tailed): 20 per day, 40 in possession Aug. 1-May 15. Trapping Beaver: Unit 1—No limit Dec. 1-May 15. Coyote: No limit Dec. 1-Feb. 15. Fox, Red (including Cross, Black, and Silver Phases): No limit Dec. 1-Feb. 15. Lynx: No limit Dec. 1-Feb. 15. Marten: No limit Dec. 1-Feb. 15. Mink and Weasel: No limit Dec. 1-Feb. 15. Muskrat: No limit Dec. 1-Feb. 15. Otter: No limit Dec. 1-Feb. 15. Wolf: No limit Nov. 10-Apr. 30. Wolverine: No limit Nov. 10-Apr. 30.
(2)*Unit 2* . Unit 2 consists of Prince of Wales Island and all islands west of the center lines of Clarence Strait and Kashevarof Passage, south and east of the center lines of Sumner Strait, and east of the longitude of the westernmost point on Warren Island.
(i)Unit-specific regulations:
(A)You may use bait to hunt black bear between April 15 and June 15;
(B)You may not shoot ungulates, bear, wolves, or wolverine from a boat, unless you are certified as disabled.
(ii)[Reserved] Harvest limits Open season Hunting Black Bear: 2 bears, no more than one may be a blue or glacier bear Sept. 1-June 30. Deer: 5 deer; however, no more than one may be an antlerless deer. Antlerless deer may be taken only during the period Oct. 15—Federal/State harvest report. The Tongass National Forest Supervisor is authorized to reduce the harvest to 4 deer based on conservation concerns, in consultation with ADF&G and the Chair of the Southeast Alaska Subsistence Regional Advisory Council July 24-Dec. 31. The Federal public lands on Prince of Wales Island, excluding the southeast portion (lands south of the West Arm of Cholmondeley Sound draining into Cholmondeley Sound or draining eastward into Clarence Strait), are closed to hunting of deer from Aug. 1 to Aug. 15, except by Federally qualified subsistence users hunting under these regulations Coyote: 2 coyotes Sept. 1-Apr. 30. Fox, Red (including Cross, Black, and Silver Phases): 2 foxes Nov. 1-Feb. 15. Hare (Snowshoe): 5 hares per day Sept. 1-Apr. 30. Lynx: 2 lynx Dec. 1-Feb. 15. Wolf: 5 wolves. The Tongass National Forest Supervisor (or designee) may close the Federal hunting and trapping season in consultation with ADF&G and the Chair of the Southeast Alaska Subsistence Regional Advisory Council, when the combined Federal-State harvest quota is reached Sept. 1-Mar. 31. Wolverine: 1 wolverine Nov. 10-Feb. 15. Grouse (Spruce and Ruffed): 5 per day, 10 in possession Aug. 1-May 15. Ptarmigan (Rock, Willow, and White-tailed): 20 per day, 40 in possession Aug. 1-May 15. Trapping Beaver: No limit Dec. 1-May 15. Coyote: No limit Dec. 1-Feb. 15. Fox, Red (including Cross, Black, and Silver Phases): No limit Dec. 1-Feb. 15. Lynx: No limit Dec. 1-Feb. 15. Marten: No limit Dec. 1-Feb. 15. Mink and Weasel: No limit Dec. 1-Feb. 15. Muskrat: No limit Dec. 1-Feb. 15. Otter: No limit Dec. 1-Feb. 15. Wolf: No limit. The Tongass National Forest Supervisor (or designee) may close the Federal hunting and trapping season in consultation with ADF&G and the Chair of the Southeast Alaska Subsistence Regional Advisory Council, when the combined Federal-State harvest quota is reached. Any wolf taken in Unit 2 must be sealed within 30 days of harvest Nov. 15-Mar. 31. Wolverine: No limit Nov. 10-Apr. 30.
(3)*Unit 3* .
(i)Unit 3 consists of all islands west of Unit 1B, north of Unit 2, south of the center line of Frederick Sound, and east of the center line of Chatham Strait including Coronation, Kuiu, Kupreanof, Mitkof, Zarembo, Kashevaroff, Woronkofski, Etolin, Wrangell, and Deer Islands.
(ii)In the following areas, the taking of wildlife for subsistence uses is prohibited or restricted on public lands:
(A)In the Petersburg vicinity, you may not take ungulates, bear, wolves, and wolverine along a strip one-fourth mile wide on each side of the Mitkof Highway from Milepost 0 to Crystal Lake campground;
(B)You may not take black bears in the Petersburg Creek drainage on Kupreanof Island;
(C)You may not hunt in the Blind Slough draining into Wrangell Narrows and a strip one-fourth mile wide on each side of Blind Slough, from the hunting closure markers at the southernmost portion of Blind Island to the hunting closure markers one mile south of the Blind Slough bridge.
(iii)Unit-specific regulations:
(A)You may use bait to hunt black bear between April 15 and June 15;
(B)You may not shoot ungulates, bear, wolves, or wolverine from a boat, unless you are certified as disabled. Harvest limits Open season Hunting Black Bear: 2 bears, no more than one may be a blue or glacier bear Sept. 1-June 30. Deer: Unit 3—Mitkof, Woewodski, and Butterworth Islands—1 antlered deer Oct. 15-Oct. 31. Unit 3—remainder—2 antlered deer Aug. 1-Nov. 30. Moose: 1 antlered bull with spike-fork or 50-inch antlers or 3 or more brow tines on either antler by State registration permit only. The Petersburg District Ranger is authorized to close the season based on conservation concerns, in consultation with ADF&G and the Chair of the Southeast Alaska Subsistence Regional Advisory Council Sept. 15-Oct. 15. Coyote: 2 coyotes Sept. 1-Apr. 30. Fox, Red (including Cross, Black, and Silver Phases): 2 foxes Nov. 1-Feb. 15. Hare (Snowshoe): 5 hares per day Sept. 1-Apr. 30. Lynx: 2 lynx Dec. 1-Feb. 15. Wolf: 5 wolves Aug. 1-Apr. 30. Wolverine: 1 wolverine Nov. 10-Feb. 15. Grouse (Spruce, Blue, and Ruffed): 5 per day, 10 in possession Aug. 1-May 15. Ptarmigan (Rock, Willow, and White-tailed): 20 per day, 40 in possession Aug. 1-May 15. Trapping Beaver: Unit 3—Mitkof Island-No limit Dec. 1-Apr. 15. Unit 3—except Mitkof Island-No limit Dec. 1-May 15. Coyote: No limit Dec. 1-Feb. 15. Fox, Red (including Cross, Black, and Silver Phases): No limit Dec. 1-Feb. 15. Lynx: No limit Dec. 1-Feb. 15. Marten: No limit Dec. 1-Feb. 15. Mink and Weasel: No limit Dec. 1-Feb. 15. Muskrat: No limit Dec. 1-Feb. 15. Otter: No limit Dec. 1-Feb. 15. Wolf: No limit Nov. 10-Apr. 30. Wolverine: No limit Nov. 10-Apr. 30.
(4)*Unit 4* .
(i)Unit 4 consists of all islands south and west of Unit 1C and north of Unit 3 including Admiralty, Baranof, Chichagof, Yakobi, Inian, Lemesurier, and Pleasant Islands.
(ii)In the following areas, the taking of wildlife for subsistence uses is prohibited or restricted on public lands:
(A)You may not take brown bears in the Seymour Canal Closed Area (Admiralty Island) including all drainages into northwestern Seymour Canal between Staunch Point and the southernmost tip of the unnamed peninsula separating Swan Cove and King Salmon Bay including Swan and Windfall Islands;
(B)You may not take brown bears in the Salt Lake Closed Area (Admiralty Island) including all lands within one-fourth mile of Salt Lake above Klutchman Rock at the head of Mitchell Bay;
(C)You may not take brown bears in the Port Althorp Closed Area (Chichagof Island), that area within the Port Althorp watershed south of a line from Point Lucan to Salt Chuck Point (Trap Rock);
(D)You may not use any motorized land vehicle for brown bear hunting in the Northeast Chichagof Controlled Use Area (NECCUA) consisting of all portions of Unit 4 on Chichagof Island north of Tenakee Inlet and east of the drainage divide from the northwest point of Gull Cove to Port Frederick Portage, including all drainages into Port Frederick and Mud Bay.
(iii)Unit-specific regulations:
(A)You may shoot ungulates from a boat. You may not shoot bear, wolves, or wolverine from a boat, unless you are certified as disabled;
(B)Five Federal registration permits will be issued by the Sitka or Hoonah District Ranger for the taking of brown bear for educational purposes associated with teaching customary and traditional subsistence harvest and use practices. Any bear taken under an educational permit does not count in an individual's one bear every four regulatory years limit. Harvest limits Open season Hunting Brown Bear: Unit 4—Chichagof Island south and west of a line that follows the crest of the island from Rock Point (58° N. lat., 136° 21° W. long.) to Rodgers Point (57° 35° N. lat., 135° 33° W. long.) including Yakobi and other adjacent islands; Baranof Island south and west of a line which follows the crest of the island from Nismeni Point (57° 34° N. lat., 135° 25° W. long.) to the entrance of Gut Bay (56° 44° N. lat. 134° 38° W. long.) including the drainages into Gut Bay and including Kruzof and other adjacent islands—1 bear every four regulatory years by State registration permit only Sept. 15-Dec. 31. Mar. 15-May 31. Unit 4—remainder—1 bear every four regulatory years by State registration permit only Sept. 15-Dec. 31. Mar. 15-May 20. Deer: 6 deer; however, antlerless deer may be taken only from Sept. 15-Jan. 31 Aug. 1-Jan. 31. Goat: 1 goat by State registration permit only Aug. 1-Dec. 31. Coyote: 2 coyotes Sept. 1-Apr. 30. Fox, Red (including Cross, Black, and Silver Phases): 2 foxes Nov. 1-Feb. 15. Hare (Snowshoe): 5 hares per day Sept. 1-Apr. 30. Lynx: 2 lynx Dec. 1-Feb. 15. Wolf: 5 wolves Aug. 1-Apr. 30. Wolverine: 1 wolverine Nov. 10-Feb. 15. Grouse (Spruce, Blue, and Ruffed): 5 per day, 10 in possession Aug. 1-May 15. Ptarmigan (Rock, Willow, and White-tailed): 20 per day, 40 in possession Aug. 1-May 15. Trapping Beaver: Unit 4—No limit Dec. 1-May 15. Coyote: No limit Dec. 1-Feb. 15. Fox, Red (including Cross, Black, and Silver Phases): No limit Dec. 1-Feb. 15. Lynx: No limit Dec. 1-Feb. 15. Marten: No limit Dec. 1-Feb. 15. Mink and Weasel: No limit Dec. 1-Feb. 15. Muskrat: No limit Dec. 1-Feb. 15. Otter: No limit Dec. 1-Feb. 15. Wolf: No limit Nov. 10-Apr. 30. Wolverine: No limit Nov. 10-Apr. 30.
(5)* Unit 5.*
(i)Unit 5 consists of all Gulf of Alaska drainages and islands between Cape Fairweather and the center line of Icy Bay, including the Guyot Hills:
(A)Unit 5A consists of all drainages east of Yakutat Bay, Disenchantment Bay, and the eastern edge of Hubbard Glacier, and includes the islands of Yakutat and Disenchantment Bays;
(B)Unit 5B consists of the remainder of Unit 5.
(ii)You may not take wildlife for subsistence uses on public lands within Glacier Bay National Park.
(iii)Unit-specific regulations:
(A)You may use bait to hunt black bear between April 15 and June 15;
(B)You may not shoot ungulates, bear, wolves, or wolverine from a boat, unless you are certified as disabled;
(C)You may hunt brown bear in Unit 5 with a Federal registration permit in lieu of a State metal locking tag if you have obtained a Federal registration permit prior to hunting. Harvest limits Open season Hunting Black Bear: 2 bears, no more than one may be a blue or glacier bear Sept. 1-June 30. Brown Bear: 1 bear by Federal registration permit only Sept. 1-May 31. Deer: Unit 5A—1 buck Nov. 1-Nov. 30. Unit 5B No open season. Goat: Unit 5A—that area between the Hubbard Glacier and the West Nunatak Glacier on the north and east sides of Nunatak Fjord—1 goat by Federal registration permit. The U.S. Forest Service Yakutat District Ranger and ADF&G will jointly announce the harvest quota prior to the season. A minimum of two goats in the harvest quota will be reserved for Federally qualified subsistence users. The season will be closed by local announcement from the U.S. Forest Service Yakutat District Ranger when the quota has been taken. The harvest quota and season announcements will be made in consultation with The National Park Service and local residents Aug. 1-Jan. 31. Unit 5A—remainder—1 goat by Federal registration permit. The U.S. Forest Service Yakutat District Ranger and ADF&G will jointly announce the harvest quota prior to the season. A minimum of four goats in the harvest quota will be reserved for Federally qualified subsistence users. The season will be closed by local announcement when the quota has been taken. The harvest quota and season announcements will be made in consultation with The National Park Service and local residents Aug. 1-Jan. 31. Unit 5B—1 goat by Federal registration permit only Moose: Unit 5A, Nunatak Bench—1 moose by State registration permit only. The season will be closed when 5 moose have been taken from the Nunatak Bench Nov. 15-Feb. 15. Unit 5A, except Nunatak Bench—1 bull by joint State/Federal registration permit only. The season will be closed when 60 bulls have been taken from the Unit. The season will be closed in that portion west of the Dangerous River when 30 bulls have been taken in that area. From Oct. 8-21, public lands will be closed to taking of moose, except by residents of Unit 5A hunting under these regulations Oct. 8-Nov. 15. Unit 5B—1 antlered bull by State registration permit only. The season will be closed when 25 antlered bulls have been taken from the entirety of Unit 5B Sept. 1-Dec. 15. Coyote: 2 coyotes Sept. 1-Apr. 30. Fox, Red (including Cross, Black and Silver Phases): 2 foxes Nov. 1-Feb. 15. Hare (Snowshoe): 5 hares per day Sept. 1-Apr. 30. Lynx: 2 lynx Dec. 1-Feb. 15. Wolf: 5 wolves Aug. 1-Apr. 30. Wolverine: 1 wolverine Nov. 10-Feb. 15. Grouse (Spruce and Ruffed): 5 per day, 10 in possession Aug. 1-May 15. Ptarmigan (Rock, Willow, and White-tailed): 20 per day, 40 in possession Aug. 1-May 15. Trapping Beaver: No limit Nov. 10-May 15. Coyote: No limit Nov. 10-Feb. 15. Fox, Red (including Cross, Black and Silver Phases): No limit Nov 10-Feb. 15. Lynx: No limit Dec. 1-Feb. 15. Marten: No limit Nov. 10-Feb. 15. Mink and Weasel: No limit Nov. 10-Feb. 15. Muskrat: No limit Dec. 1-Feb. 15. Otter: No limit Nov. 10-Feb. 15. Wolf: No limit Nov. 10-Apr. 30. Wolverine: No limit Nov. 10-Apr. 30.
(6)*Unit 6.*
(i)Unit 6 consists of all Gulf of Alaska and Prince William Sound drainages from the center line of Icy Bay (excluding the Guyot Hills) to Cape Fairfield including Kayak, Hinchinbrook, Montague, and adjacent islands, and Middleton Island, but excluding the Copper River drainage upstream from Miles Glacier, and excluding the Nellie Juan and Kings River drainages:
(A)Unit 6A consists of Gulf of Alaska drainages east of Palm Point near Katalla including Kanak, Wingham, and Kayak Islands;
(B)Unit 6B consists of Gulf of Alaska and Copper River Basin drainages west of Palm Point near Katalla, east of the west bank of the Copper River, and east of a line from Flag Point to Cottonwood Point;
(C)Unit 6C consists of drainages west of the west bank of the Copper River, and west of a line from Flag Point to Cottonwood Point, and drainages east of the east bank of Rude River and drainages into the eastern shore of Nelson Bay and Orca Inlet;
(D)Unit 6D consists of the remainder of Unit 6.
(ii)Unit-specific regulations:
(A)You may use bait to hunt black bear between April 15 and June 15;
(B)You may take coyotes in Units 6B and 6C with the aid of artificial lights;
(C)One permit will be issued by the Cordova District Ranger to the Native Village of Eyak to take one bull moose from Federal lands in Units 6B or C for their annual Memorial/Sobriety Day potlatch;
(D)A Federally qualified subsistence user (recipient) who is either blind, 65 years of age or older, at least 70 percent disabled, or temporarily disabled may designate another Federally qualified subsistence user to take any moose, deer, black bear and beaver on his or her behalf in Unit 6, unless the recipient is a member of a community operating under a community harvest system. The designated hunter must obtain a designated hunter permit and must return a completed harvest report. The designated hunter may hunt for any number of recipients, but may have no more than one harvest limit in his or her possession at any one time;
(E)A hunter younger than 10 years old at the start of the hunt may not be issued a Federal subsistence permit to harvest black bear, deer, goat, moose, wolf, and wolverine;
(F)A hunter younger than 10 years old may harvest black bear, deer, goat, moose, wolf, and wolverine under the direct, immediate supervision of a licensed adult, at least 18 years old. The animal taken is counted against the adult's harvest limit. The adult is responsible for ensuring that all legal requirements are met. Harvest limits Open season Hunting Black Bear: 1 bear Sept. 1-June 30. Deer: 4 deer; however, antlerless deer may be taken only from Oct. 1-Dec. 31 Aug. 1-Dec. 31. Goats: Unit 6A and B—1 goat by State registration permit only Aug. 20-Jan. 31. Unit 6C No open season. Unit 6D (subareas RG242, RG243, RG244, RG249, RG266 and RG252 only)—1 goat by Federal registration permit only. In each of the Unit 6D subareas, goat seasons will be closed by the Cordova District Ranger when harvest limits for that subarea are reached. Harvest quotas are as follows: RG242—2 goats, RG243—4 goats, RG244—2 goats, RG249—4 goats, RG266—4 goats, RG252—1 goat Aug. 20-Jan. 31. Moose: Unit 6C—1 antlerless moose by Federal registration permit only Sept. 1-Oct. 31. Unit 6C—1 bull by Federal registration permit only Sept. 1-Dec. 31. (In Unit 6C, only one moose permit may be issued per household. A household receiving a State permit for Unit 6C moose may not receive a Federal permit. The annual harvest quota will be announced by the U.S. Forest Service, Cordova Office, in consultation with ADF&G. The Federal harvest allocation will be 100% of the antlerless moose permits and 75% of the bull permits.) Unit 6—remainder No open season. Beaver: 1 beaver per day, 1 in possession May 1-Oct. 31. Coyote: Unit 6A and D—2 coyotes Sept. 1-Apr. 30. Unit 6B and 6C—No limit July 1-June 30. Fox, Red (including Cross, Black and Silver Phases): No open season. Hare (Snowshoe): No limit July 1-June 30. Lynx: 2 lynx Nov. 10-Feb. 28. Wolf: 5 wolves Aug. 10-Apr. 30. Wolverine: 1 wolverine Sept. 1-Mar. 31. Grouse (Spruce): 5 per day, 10 in possession Aug. 1-May 15. Ptarmigan (Rock, Willow, and White-tailed): 20 per day, 40 in possession Aug. 1-May 15. Trapping Beaver: No limit Dec. 1-Apr. 30. Coyote: Unit 6C—south of the Copper River Highway and east of the Heney Range—No limit Nov. 10-Apr. 30. Unit 6A, B, C remainder, and D—No limit Nov. 10-Mar. 31. Fox, Red (including Cross, Black and Silver Phases): No limit Nov. 10-Feb. 28. Marten: No limit Nov. 10-Feb. 28. Mink and Weasel: No limit Nov. 10-Jan. 31. Muskrat: No limit Nov. 10-June 10. Otter: No limit Nov. 10-Mar. 31. Wolf: No limit Nov. 10-Mar. 31. Wolverine: No limit Nov. 10-Feb. 28.
(7)*Unit 7.*
(i)Unit 7 consists of Gulf of Alaska drainages between Gore Point and Cape Fairfield including the Nellie Juan and Kings River drainages, and including the Kenai River drainage upstream from the Russian River, the drainages into the south side of Turnagain Arm west of and including the Portage Creek drainage, and east of 150° W. long., and all Kenai Peninsula drainages east of 150° W. long., from Turnagain Arm to the Kenai River.
(ii)In the following areas, the taking of wildlife for subsistence uses is prohibited or restricted on public lands:
(A)You may not take wildlife for subsistence uses in the Kenai Fjords National Park;
(B)You may not hunt in the Portage Glacier Closed Area in Unit 7, which consists of Portage Creek drainages between the Anchorage-Seward Railroad and Placer Creek in Bear Valley, Portage Lake, the mouth of Byron Creek, Glacier Creek, and Byron Glacier; however, you may hunt grouse, ptarmigan, hares, and squirrels with shotguns after September 1.
(iii)Unit-specific regulations:
(A)You may use bait to hunt black bear between April 15 and June 15; except in the drainages of Resurrection Creek and its tributaries.
(B)[Reserved] Harvest limits Open season Hunting Black Bear: Unit 7—3 bears July 1-June 30. Moose: Unit 7—that portion draining into Kings Bay—Public lands are closed to the taking of moose by all users No open season. Unit 7—remainder No open season. Beaver: 1 beaver per day, 1 in possession May 1-Oct. 10. Coyote: No limit Sept. 1-Apr. 30. Fox, Red (including Cross, Black and Silver Phases): 2 foxes Nov. 1-Feb. 15. Hare (Snowshoe): No limit July 1-June 30. Lynx: 2 lynx Nov. 10-Jan. 31. Wolf: Unit 7—that portion within the Kenai National Wildlife Refuge—2 wolves Aug. 10-Apr. 30. Unit 7—Remainder—5 wolves Aug. 10-Apr. 30. Wolverine: 1 wolverine Sept. 1-Mar. 31. Grouse (Spruce): 10 per day, 20 in possession Aug. 10-Mar. 31. Grouse (Ruffled) No open season. Ptarmigan (Rock, Willow, and White-tailed): 20 per day, 40 in possession Aug. 10-Mar. 31. Trapping Beaver: 20 beaver per season Nov. 10-Mar. 31. Coyote: No limit Nov. 10-Mar. 31. Fox, Red (including Cross, Black and Silver Phases): No limit Nov. 10-Feb. 28. Marten: No limit Nov. 10-Jan. 31. Mink and Weasel: No limit Nov. 10-Jan. 31. Muskrat: No limit Nov. 10-May 15. Otter: No limit Nov. 10-Feb. 28. Wolf: No limit Nov. 10-Mar. 31. Wolverine: No limit Nov. 10-Feb. 28.
(8)*Unit 8.* Unit 8 consists of all islands southeast of the centerline of Shelikof Strait including Kodiak, Afognak, Whale, Raspberry, Shuyak, Spruce, Marmot, Sitkalidak, Amook, Uganik, and Chirikof Islands, the Trinity Islands, the Semidi Islands, and other adjacent islands.
(i)If you have a trapping license, you may take beaver with a firearm in Unit 8 from Nov. 10-Apr. 30.
(ii)[Reserved] Harvest limits Open season Hunting Brown Bear: 1 bear by Federal registration permit only. Up to 1 permit may be issued in Akhiok; up to 1 permit may be issued in Karluk; up to 3 permits may be issued in Larsen Bay; up to 2 permits may be issued in Old Harbor; up to 2 permits may be issued in Ouzinkie; and up to 2 permits may be issued in Port Lions. Permits will be issued by the Kodiak Refuge Manager Dec. 1-Dec. 15. Apr. 1-May 15. Deer: Unit 8—all lands within the Kodiak Archipelago within the Kodiak National Wildlife Refuge, including lands on Kodiak, Ban, Uganik, and Afognak Islands—3 deer; however, antlerless deer may be taken only from Oct. 1-Jan. 31 Aug. 1-Jan. 31. Elk: Kodiak, Ban, Uganik, and Afognak Islands—1 elk per household by Federal registration permit only. The season will be closed by announcement of the Refuge Manager, Kodiak National Wildlife Refuge when the combined Federal/State harvest reaches 15% of the herd Sept. 15-Nov. 30. Fox, Red (including Cross, Black and Silver Phases): 2 foxes Sept. 1-Feb. 15. Hare (Snowshoe): No limit July 1-June 30. Ptarmigan (Rock, Willow, and White-tailed): 20 per day, 40 in possession Aug. 10-Apr. 30. Trapping Beaver: 30 beaver per season Nov. 10-Apr. 30. Fox, Red (including Cross, Black and Silver Phases): No limit Nov. 10-Mar. 31. Marten: No limit Nov. 10-Jan. 31. Mink and Weasel: No limit Nov. 10-Jan. 31. Muskrat: No limit Nov. 10-June 10. Otter: No limit Nov. 10-Jan. 31.
(9)*Unit 9.*
(i)Unit 9 consists of the Alaska Peninsula and adjacent islands, including drainages east of False Pass, Pacific Ocean drainages west of and excluding the Redoubt Creek drainage; drainages into the south side of Bristol Bay, drainages into the north side of Bristol Bay east of Etolin Point, and including the Sanak and Shumagin Islands:
(A)Unit 9A consists of that portion of Unit 9 draining into Shelikof Strait and Cook Inlet between the southern boundary of Unit 16 (Redoubt Creek) and the northern boundary of Katmai National Park and Preserve;
(B)Unit 9B consists of the Kvichak River drainage except those lands drained by the Kvichak River/Bay between the Alagnak River drainage and the Naknek River drainage;
(C)Unit 9C consists of the Alagnak (Branch) River drainage, the Naknek River drainage, lands drained by the Kvichak River/Bay between the Alagnak River drainage and the Naknek River drainage, and all land and water within Katmai National Park and Preserve;
(D)Unit 9D consists of all Alaska Peninsula drainages west of a line from the southernmost head of Port Moller to the head of American Bay, including the Shumagin Islands and other islands of Unit 9 west of the Shumagin Islands;
(E)Unit 9E consists of the remainder of Unit 9.
(ii)In the following areas, the taking of wildlife for subsistence uses is prohibited or restricted on public lands:
(A)You may not take wildlife for subsistence uses in Katmai National Park;
(B)You may not use motorized vehicles, except aircraft, boats, or snowmobiles used for hunting and transporting a hunter or harvested animal parts from Aug. 1-Nov. 30 in the Naknek Controlled Use Area, which includes all of Unit 9C within the Naknek River drainage upstream from and including the King Salmon Creek drainage; however, you may use a motorized vehicle on the Naknek-King Salmon, Lake Camp, and Rapids Camp roads and on the King Salmon Creek trail, and on frozen surfaces of the Naknek River and Big Creek.
(iii)Unit-specific regulations:
(A)If you have a trapping license, you may use a firearm to take beaver in Unit 9B from April 1-May 31 and in the remainder of Unit 9 from April 1-30;
(B)You may hunt brown bear by State registration permit in lieu of a resident tag in Unit 9B, except that portion within the Lake Clark National Park and Preserve, if you have obtained a State registration permit prior to hunting.
(C)In Unit 9B, Lake Clark National Park and Preserve, residents of Nondalton, Iliamna, Newhalen, Pedro Bay, and Port Alsworth may hunt brown bear by Federal registration permit in lieu of a resident tag; ten permits will be available with at least one permit issued in each community; however, no more than five permits will be issued in a single community. The season will be closed when four females or ten bears have been taken, whichever occurs first. The permits will be issued and closure announcements made by the Superintendent, Lake Clark National Park and Preserve;
(D)Residents of Newhalen, Nondalton, Iliamna, Pedro Bay, and Port Alsworth may take up to a total of 10 bull moose in Unit 9B for ceremonial purposes, under the terms of a Federal registration permit from July 1-June 30. Permits will be issued to individuals only at the request of a local organization. This 10-moose limit is not cumulative with that permitted for potlatches by the State;
(E)For Units 9C and 9E only, a Federally qualified subsistence user (recipient) of Units 9C and 9E may designate another Federally qualified subsistence user of Units 9C and 9E to take bull caribou on his or her behalf unless the recipient is a member of a community operating under a community harvest system. The designated hunter must obtain a designated hunter permit and must return a completed harvest report and turn over all meat to the recipient. There is no restriction on the number of possession limits the designated hunter may have in his/her possession at any one time;
(F)For Unit 9D, a Federally qualified subsistence user (recipient) may designate another Federally qualified subsistence user to take caribou on his or her behalf unless the recipient is a member of a community operating under a community harvest system. The designated hunter must obtain a designated hunter permit and must return a completed harvest report. The designated hunter may hunt for any number of recipients but may have no more than four harvest limits in his/her possession at any one time;
(G)The communities of False Pass, King Cove, Cold Bay, Sand Point, and Nelson Lagoon annually may each take, from October 1-December 31 or May 10-25, one brown bear for ceremonial purposes, under the terms of a Federal registration permit. A permit will be issued to an individual only at the request of a local organization. The brown bear may be taken from either Unit 9D or Unit 10 (Unimak Island) only;
(H)You may hunt brown bear in Unit 9E with a Federal registration permit in lieu of a State locking tag if you have obtained a Federal registration permit prior to hunting. Harvest limits Open season Hunting Black Bear: 3 bears July 1-June 30. Brown Bear: Unit 9B—Lake Clark National Park and Preserve—Rural residents of Nondalton, Iliamna, Newhalen, Pedro Bay, and Port Alsworth only —1 bear by Federal registration permit only July 1-June 30. Unit 9B, remainder—1 bear by State registration permit only Sept. 1-May 31. Unit 9E—1 bear by Federal registration permit Sept. 25-Dec. 31. Apr. 15-May 25. Caribou: Unit 9A—4 caribou; however, no more than 2 caribou may be taken Aug. 10—Sept. 30 and no more than 1 caribou may be taken Oct. 1—Nov. 30 Aug. 10-Mar. 31. Unit 9B—3 caribou; however, no more than 1 caribou may be taken from July 1—Nov. 30 July 1-Apr. 15. Unit 9C, that portion within the Alagnak River drainage—1 caribou Aug. 1-Mar. 31. Unit 9C—remainder—Federal public lands are closed to the taking of caribou Unit 9D—2 bulls by Federal registration permit Aug. 1-Sept. 30. Unit 9E—Federal public lands are closed to the taking of caribou Nov. 15-Mar. 31. Sheep: Unit 9B, that portion within Lake Clark National Park and Preserve—1 ram with 3/4 curl or larger horn by Federal registration permit only. By announcement of the Lake Clark National Park and Preserve Superintendent, the summer/fall season will be closed when up to 5 sheep are taken and the winter season will be closed when up to 2 sheep are taken July 15-Oct. 15. Jan. 1-Apr. 1. Unit 9B—remainder—1 ram with 7/8 curl or larger horn by Federal registration permit only Aug. 10-Oct. 10. Unit 9—remainder—1 ram with 7/8 curl or larger horn Aug. 10-Sept. 20. Moose: Unit 9A—1 bull Sept. 1-15. Unit 9B—1 bull Aug. 20-Sept. 15. Dec. 1-Jan. 15. Unit 9C—that portion draining into the Naknek River from the north—1 bull Sept. 1-15. Dec. 1-31. Unit 9C—that portion draining into the Naknek River from the south—1 bull by Federal registration permit only. Public lands are closed during December for the hunting of moose, except by Federally qualified subsistence users hunting under these regulations Aug. 20-Sept. 15. Dec. 1-31. Unit 9C—remainder—1 bull Sept. 1-15. Dec. 15-Jan. 15. Unit 9D—1 bull by Federal registration permit. Federal public lands will be closed by announcement of the Izembek Refuge Manager to the harvest of moose when a total of 10 bulls have been harvested between State and Federal hunts Dec. 15-Jan. 20. Unit 9E—1 bull, however only antlered bulls may be taken Dec. 1-Jan. 31 Aug. 20-Sept. 20. Dec. 1-Jan. 31. Beaver: Unit 9B and 9E—2 beaver per day Apr. 15-May 31. Coyote: 2 coyotes Sept. 1-Apr. 30. Fox, Arctic (Blue and White): No limit Dec. 1-Mar. 15. Fox, Red (including Cross, Black and Silver Phases): 2 foxes Sept. 1-Feb. 15. Hare (Snowshoe and Tundra): No limit July 1-June 30. Lynx: 2 lynx Nov. 10-Feb. 28. Wolf: 10 wolves Aug. 10-Apr. 30. Wolverine: 1 wolverine Sept. 1-Mar. 31. Grouse (Spruce): 15 per day, 30 in possession Aug. 10-Apr. 30. Ptarmigan (Rock, Willow, and White-tailed): 20 per day, 40 in possession Aug. 10-Apr. 30. Trapping Beaver: No limit Oct. 10-Mar. 31. 2 beaver per day; only firearms may be used Apr. 15-May 31. Coyote: No limit Nov. 10-Mar. 31. Fox, Arctic (Blue and White): No limit Nov. 10-Feb. 28. Fox, Red (including Cross, Black and Silver Phases): No limit Nov. 10-Feb. 28. Lynx: No limit Nov. 10-Feb. 28. Marten: No limit Nov. 10-Feb. 28. Mink and Weasel: No limit Nov. 10-Feb. 28. Muskrat: No limit Nov. 10-June 10. Otter: No limit Nov. 10-Mar. 31. Wolf: No limit Nov. 10-Mar. 31. Wolverine: No limit Nov. 10-Feb. 28.
(10)*Unit 10.*
(i)Unit 10 consists of the Aleutian Islands, Unimak Island, and the Pribilof Islands.
(ii)You may not take any wildlife species for subsistence uses on Otter Island in the Pribilof Islands.
(iii)In Unit 10—Unimak Island only, a Federally qualified subsistence user (recipient) may designate another Federally qualified subsistence user to take caribou on his or her behalf unless the recipient is a member of a community operating under a community harvest system. The designated hunter must obtain a designated hunter permit and must return a completed harvest report. The designated hunter may hunt for any number of recipients but may have no more than four harvest limits in his/her possession at any one time.
(iv)The communities of False Pass, King Cove, Cold Bay, Sand Point, and Nelson Lagoon annually may each take, from October 1-December 31 or May 10-25, one brown bear for ceremonial purposes, under the terms of a Federal registration permit. A permit will be issued to an individual only at the request of a local organization. The brown bear may be taken from either Unit 9D or Unit 10 (Unimak Island) only. Harvest limits Open season Hunting Caribou: Unit 10—Unimak Island only—4 caribou by Federal registration permit only Aug. 1-Sept. 30. Nov. 15-Mar. 31. Unit 10—remainder—No limit July 1-June 30. Coyote: 2 coyotes Sept. 1-Apr. 30. Fox, Arctic (Blue and White Phase): No limit July 1-June 30. Fox, Red (including Cross, Black and Silver Phases): 2 foxes Sept. 1-Feb. 15. Wolf: 5 wolves Aug. 10-Apr. 30. Wolverine: 1 wolverine Sept. 1-Mar. 31. Ptarmigan (Rock and Willow): 20 per day, 40 in possession Aug. 10-Apr. 30. Trapping Coyote: 2 coyotes Sept. 1-Apr. 30. Fox, Arctic (Blue and White Phase): No limit July 1-June 30. Fox, Red (including Cross, Black and Silver Phases): 2 foxes Sept. 1-Feb. 28. Mink and Weasel: No limit Nov. 10-Feb. 28. Muskrat: No limit Nov. 10-June 10. Otter: No limit Nov. 10-Mar. 31. Wolf: No limit Nov. 10-Mar. 31. Wolverine: No limit Nov. 10-Feb. 28.
(11)*Unit 11.* Unit 11 consists of that area draining into the headwaters of the Copper River south of Suslota Creek and the area drained by all tributaries into the east bank of the Copper River between the confluence of Suslota Creek with the Slana River and Miles Glacier.
(i)Unit-specific regulations:
(A)You may use bait to hunt black bear between April 15 and June 15;
(B)One moose without calf may be taken from June 20-July 31 in the Wrangell-St. Elias National Park and Preserve in Unit 11 or 12 for the Batzulnetas Culture Camp. Two hunters from either Chistochina or Mentasta Village may be designated by the Mt. Sanford Tribal Consortium to receive the Federal subsistence harvest permit. The permit may be obtained from a Wrangell-St. Elias National Park and Preserve office.
(ii)A joint permit may be issued to a pair of a minor and an elder to hunt sheep during the Sept. 21-Oct. 20 hunt. The following conditions apply:
(A)The permittees must be a minor aged 8 to 15 years old and an accompanying adult 60 years of age or older;
(B)Both the elder and the minor must be Federally qualified subsistence users with a positive customary and traditional use determination for the area they want to hunt;
(C)The minor must hunt under the direct immediate supervision of the accompanying adult, who is responsible for ensuring that all legal requirements are met;
(D)Only one animal may be harvested with this permit. The sheep harvested will count against the harvest limits of both the minor and accompanying adult. Harvest limits Open season Hunting Black Bear: 3 bears July 1-June 30. Brown Bear: 1 bear Aug. 10-June 15. Caribou No open season. Sheep: 1 sheep Aug. 10-Sept. 20. 1 sheep by Federal registration permit only by persons 60 years of age or older Sept. 21-Oct. 20. Goat: Unit 11—that portion within the Wrangell-St. Elias National Park and Preserve—1 goat by Federal registration permit only. Federal public lands will be closed by announcement of the Superintendent, Wrangell-St. Elias National Park and Preserve to the harvest of goats when a total of 45 goats have been harvested between Federal and State hunts Aug. 25-Dec. 31. Moose: 1 antlered bull by Federal registration permit only Aug 20-Sept. 20. Beaver: 1 beaver per day, 1 in possession June 1-Oct. 10. Coyote: 10 coyotes Aug. 10-Apr. 30. Fox, Red (including Cross, Black and Silver Phases): 10 foxes; however, no more than 2 foxes may be taken prior to Oct. 1 Sept. 1-Mar. 15. Hare (Snowshoe): No limit July 1-June 30. Lynx: 2 lynx Nov. 10-Feb. 28. Wolf: 10 wolves Aug. 10-Apr. 30. Wolverine: 1 wolverine Sept. 1-Jan. 31. Grouse (Spruce, Ruffed, and Sharp-tailed): 15 per day, 30 in possession Aug. 10-Mar. 31. Ptarmigan (Rock, Willow, and White-tailed): 20 per day, 40 in possession Aug. 10-Mar. 31. Trapping Beaver: 30 beaver per season Nov. 10-Apr. 30. Coyote: No limit Nov. 10-Mar. 31. Fox, Red (including Cross, Black and Silver Phases): No limit Nov. 10-Feb. 28. Lynx: No limit Nov. 10-Feb. 28. Marten: No limit Nov. 10-Feb. 28. Mink and Weasel: No limit Nov. 10-Feb. 28. Muskrat: No limit Nov. 10-June 10. Otter: No limit Nov. 10-Mar. 31. Wolf: No limit Nov. 10-Mar. 31. Wolverine: No limit Nov. 10-Jan. 31.
(12)*Unit 12.* Unit 12 consists of the Tanana River drainage upstream from the Robertson River, including all drainages into the east bank of the Robertson River, and the White River drainage in Alaska, but excluding the Ladue River drainage.
(i)Unit-specific regulations:
(A)You may use bait to hunt black bear between April 15 and June 30; you may use bait to hunt wolves on FWS and BLM lands;
(B)You may not use a steel trap, or a snare using cable smaller than 3/32 inch diameter to trap coyotes or wolves in Unit 12 during April and October;
(C)One moose without calf may be taken from June 20-July 31 in the Wrangell-St. Elias National Park and Preserve in Unit 11 or 12 for the Batzulnetas Culture Camp. Two hunters from either Chistochina or Mentasta Village may be designated by the Mt. Sanford Tribal Consortium to receive the Federal subsistence harvest permit. The permit may be obtained from a Wrangell-St. Elias National Park and Preserve office.
(ii)A joint permit may be issued to a pair of a minor and an elder to hunt sheep during the Sept. 21-Oct. 20 hunt. The following conditions apply:
(A)The permittees must be a minor aged 8 to 15 years old and an accompanying adult 60 years of age or older;
(B)Both the elder and the minor must be Federally qualified subsistence users with a positive customary and traditional use determination for the area they want to hunt;
(C)The minor must hunt under the direct immediate supervision of the accompanying adult, who is responsible for ensuring that all legal requirements are met;
(D)Only one animal may be harvested with this permit. The sheep harvested will count against the harvest limits of both the minor and accompanying adult. Harvest limits Open season Hunting Black Bear: 3 bears July 1-June 30. Brown Bear: 1 bear. Aug. 10-June 30. Caribou: Unit 12—that portion of the Nabesna River drainage within the Wrangell-St. Elias National Park and Preserve and all Federal lands south of the Winter Trail running southeast from Pickerel Lake to the Canadian border—All hunting of caribou is prohibited on Federal public lands No open season. Unit 12—remainder—1 bull Sept. 1-20. Unit 12—remainder—1 caribou may be taken by a Federal registration permit during a winter season to be announced. Dates for a winter season to occur between Oct. 1 and Apr. 30 and sex of animal to be taken will be announced by Tetlin National Wildlife Refuge Manager in consultation with Wrangell-St. Elias National Park and Preserve Superintendent, Alaska Department of Fish and Game area biologists, and Chairs of the Eastern Interior Regional Advisory Council and Upper Tanana/Fortymile Fish and Game Advisory Committee Winter season to be announced. Sheep: Unit 12—1 ram with full curl or larger horn Aug. 10-Sept. 20. Unit 12—that portion within Wrangell-St. Elias National Park and Preserve—1 ram with full curl horn or larger by Federal registration permit only by persons 60 years of age or older Sept. 21-Oct. 20. Moose: Unit 12—that portion within the Tetlin National Wildlife Refuge and those lands within the Wrangell-St. Elias National Preserve north and east of a line formed by the Pickerel Lake Winter Trail from the Canadian border to Pickerel Lake—1 antlered bull. The Nov.-Dec. season is open by Federal registration permit only Aug. 24-28. Sept. 8-17. Nov. 20-Dec 10. Unit 12—that portion east of the Nabesna River and Nabesna Glacier, and south of the Winter Trail running southeast from Pickerel Lake to the Canadian border—1 antlered bull Aug. 24-Sept. 30. Unit 12—remainder—1 antlered bull with spike/fork antlers Aug. 15-23. Unit 12—remainder—1 antlered bull Aug. 24-28. Sept. 1-17. Beaver: Unit 12—Wrangell-Saint Elias National Park and Preserve—6 beaver per season. Meat from harvested beaver must be salvaged for human consumption Sept. 20-May 15. Coyote: 10 coyotes Aug. 10-Apr. 30. Fox, Red (including Cross, Black and Silver Phases): 10 foxes; however, no more than 2 foxes may be taken prior to Oct. 1 Sept. 1-Mar. 15. Hare (Snowshoe): No limit July 1-June 30. Lynx: 2 lynx Nov. 1-Mar. 15. Wolf: 10 wolves Aug. 10-Apr. 30. Wolverine: 1 wolverine Sept. 1-Mar. 31 Grouse (Spruce, Ruffed, and Sharp-tailed): 15 per day, 30 in possession Aug. 10-Mar. 31. Ptarmigan (Rock, Willow, and White-tailed): 20 per day, 40 in possession Aug. 10-Apr. 30. Trapping Beaver: 15 beaver per season. Only firearms may be used during Sept. 20-Oct. 31 and Apr. 16-May 15, to take up to 6 beaver. Only traps or snares may be used Nov. 1-Apr. 15. The total annual harvest limit for beaver is 15, of which no more than 6 may be taken by firearm under trapping or hunting regulations. Meat from beaver harvested by firearm must be salvaged for human consumption Sept. 20-May 15. Coyote: No limit Oct. 15-Apr. 30. Fox, Red (including Cross, Black and Silver Phases): No limit Nov. 1-Feb. 28. Lynx: No limit; however, no more than 5 lynx may be taken between Nov. 1 and Nov. 30 Nov. 1-Dec. 31. Marten: No limit Nov. 1-Feb. 28. Mink and Weasel: No limit Nov. 1-Feb. 28. Muskrat: No limit Sept. 20-June 10. Otter: No limit Nov. 1-Apr. 15. Wolf: No limit Oct. 1-Apr. 30. Wolverine: No limit Nov. 1-Feb. 28.
(13)*Unit 13.*
(i)Unit 13 consists of that area westerly of the east bank of the Copper River and drained by all tributaries into the west bank of the Copper River from Miles Glacier and including the Slana River drainages north of Suslota Creek; the drainages into the Delta River upstream from Falls Creek and Black Rapids Glacier; the drainages into the Nenana River upstream from the southeast corner of Denali National Park at Windy; the drainage into the Susitna River upstream from its junction with the Chulitna River; the drainage into the east bank of the Chulitna River upstream to its confluence with Tokositna River; the drainages of the Chulitna River (south of Denali National Park) upstream from its confluence with the Tokositna River; the drainages into the north bank of the Tokositna River upstream to the base of the Tokositna Glacier; the drainages into the Tokositna Glacier; the drainages into the east bank of the Susitna River between its confluences with the Talkeetna and Chulitna Rivers; the drainages into the north and east bank of the Talkeetna River including the Talkeetna River to its confluence with Clear Creek, the eastside drainages of a line going up the south bank of Clear Creek to the first unnamed creek on the south, then up that creek to lake 4408, along the northeast shore of lake 4408, then southeast in a straight line to the northern most fork of the Chickaloon River; the drainages into the east bank of the Chickaloon River below the line from lake 4408; the drainages of the Matanuska River above its confluence with the Chickaloon River:
(A)Unit 13A consists of that portion of Unit 13 bounded by a line beginning at the Chickaloon River bridge at Mile 77.7 on the Glenn Highway, then along the Glenn Highway to its junction with the Richardson Highway, then south along the Richardson Highway to the foot of Simpson Hill at Mile 111.5, then east to the east bank of the Copper River, then northerly along the east bank of the Copper River to its junction with the Gulkana River, then northerly along the west bank of the Gulkana River to its junction with the West Fork of the Gulkana River, then westerly along the west bank of the West Fork of the Gulkana River to its source, an unnamed lake, then across the divide into the Tyone River drainage, down an unnamed stream into the Tyone River, then down the Tyone River to the Susitna River, then down the southern bank of the Susitna River to the mouth of Kosina Creek, then up Kosina Creek to its headwaters, then across the divide and down Aspen Creek to the Talkeetna River, then southerly along the boundary of Unit 13 to the Chickaloon River bridge, the point of beginning;
(B)Unit 13B consists of that portion of Unit 13 bounded by a line beginning at the confluence of the Copper River and the Gulkana River, then up the east bank of the Copper River to the Gakona River, then up the Gakona River and Gakona Glacier to the boundary of Unit 13, then westerly along the boundary of Unit 13 to the Susitna Glacier, then southerly along the west bank of the Susitna Glacier and the Susitna River to the Tyone River, then up the Tyone River and across the divide to the headwaters of the West Fork of the Gulkana River, then down the West Fork of the Gulkana River to the confluence of the Gulkana River and the Copper River, the point of beginning;
(C)Unit 13C consists of that portion of Unit 13 east of the Gakona River and Gakona Glacier;
(D)Unit 13D consists of that portion of Unit 13 south of Unit 13(A);
(E)Unit 13E consists of the remainder of Unit 13.
(ii)Within the following areas, the taking of wildlife for subsistence uses is prohibited or restricted on public lands:
(A)You may not take wildlife for subsistence uses on lands within Mount McKinley National Park as it existed prior to December 2, 1980. Subsistence uses as authorized by this paragraph (m)(13) are permitted in Denali National Preserve and lands added to Denali National Park on December 2, 1980;
(B)You may not use motorized vehicles or pack animals for hunting from Aug. 5-25 in the Delta Controlled Use Area, the boundary of which is defined as: A line beginning at the confluence of Miller Creek and the Delta River, then west to vertical angle benchmark Miller, then west to include all drainages of Augustana Creek and Black Rapids Glacier, then north and east to include all drainages of McGinnis Creek to its confluence with the Delta River, then east in a straight line across the Delta River to Mile 236.7 Richardson Highway, then north along the Richardson Highway to its junction with the Alaska Highway, then east along the Alaska Highway to the west bank of the Johnson River, then south along the west bank of the Johnson River and Johnson Glacier to the head of the Cantwell Glacier, then west along the north bank of the Cantwell Glacier and Miller Creek to the Delta River;
(C)Except for access and transportation of harvested wildlife on Sourdough and Haggard Creeks, Middle Fork trails, or other trails designated by the Board, you may not use motorized vehicles for subsistence hunting in the Sourdough Controlled Use Area. The Sourdough Controlled Use Area consists of that portion of Unit 13B bounded by a line beginning at the confluence of Sourdough Creek and the Gulkana River, then northerly along Sourdough Creek to the Richardson Highway at approximately Mile 148, then northerly along the Richardson Highway to the Middle Fork Trail at approximately Mile 170, then westerly along the trail to the Gulkana River, then southerly along the east bank of the Gulkana River to its confluence with Sourdough Creek, the point of beginning;
(D)You may not use any motorized vehicle or pack animal for hunting, including the transportation of hunters, their hunting gear, and/or parts of game from July 26-September 30 in the Tonsina Controlled Use Area. The Tonsina Controlled Use Area consists of that portion of Unit 13D bounded on the west by the Richardson Highway from the Tiekel River to the Tonsina River at Tonsina, on the north along the south bank of the Tonsina River to where the Edgerton Highway crosses the Tonsina River, then along the Edgerton Highway to Chitina, on the east by the Copper River from Chitina to the Tiekel River, and on the south by the north bank of the Tiekel River.
(iii)Unit-specific regulations:
(A)You may use bait to hunt black bear between April 15 and June 15;
(B)Upon written request by the Camp Director to the Glennallen Field Office, 2 caribou, sex to be determined by the Glennallen Field Office Manager of the BLM, may be taken from Aug. 10-Sept. 30 or Oct. 21-Mar. 31 by Federal registration permit for the Hudson Lake Residential Treatment Camp. Additionally, 1 bull moose may be taken Aug. 1-Sept. 20. The animals may be taken by any Federally qualified hunter designated by the Camp Director. The hunter must have in his/her possession the permit and a designated hunter permit during all periods that are being hunted;
(C)Upon written request from the Ahtna Heritage Foundation to the Glennallen Field Office, either 1 bull moose or 2 caribou, sex to be determined by the Glennallen Field Office Manager of the Bureau of Land Management, may be taken from Aug 1-Sept. 20 for 1 moose or Aug. 10-Sept. 20 for 2 caribou by Federal registration permit for the Ahtna Heritage Foundation's culture camp. The permit will expire on September 20 or when the camp closes, whichever comes first. No combination of caribou and moose is allowed. The animals may be taken by any Federally qualified hunter designated by the Camp Director. The hunter must have in his/her possession the permit and a designated hunter permit during all periods that are being hunted. Harvest limits Open season Hunting Black Bear: 3 bears July 1-June 30. Brown Bear: 1 bear. Bears taken within Denali National Park must be sealed within 5 days of harvest. That portion within Denali National Park will be closed by announcement of the Superintendent after 4 bears have been harvested Aug. 10-May 31. Caribou: Unit 13A and 13B—2 caribou by Federal registration permit only. The sex of animals that may be taken will be announced by the Glennallen Field Office Manager of the Bureau of Land Management in consultation with the Alaska Department of Fish and Game area biologist and Chairs of the Eastern Interior Regional Advisory Council and the Southcentral Regional Advisory Council Aug. 10-Sept. 30. Oct. 21-Mar. 31. Unit 13—remainder—2 bulls by Federal registration permit only. Aug. 10-Sept. 30. Oct. 21-Mar. 31. You may not hunt within the Trans-Alaska Oil Pipeline right-of-way. The right-of-way is the area occupied by the pipeline (buried or above ground) and the cleared area 25 feet on either side of the pipeline. Sheep: Unit 13, excluding Unit 13D and the Tok Management Area and Delta Controlled Use Area—1 ram with 7/8 curl or larger horn Aug. 10-Sept. 20. Moose: Unit 13E—1 antlered bull moose by Federal registration permit only; only 1 permit will be issued per household Aug. 1-Sept. 20. Unit 13—remainder—1 antlered bull moose by Federal registration permit only Aug. 1-Sept. 20. Beaver: 1 beaver per day, 1 in possession June 15-Sept. 10. Coyote: 10 coyotes Aug. 10-Apr. 30. Fox, Red (including Cross, Black and Silver Phases): 10 foxes; however, no more than 2 foxes may be taken prior to Oct. 1 Sept. 1-Mar. 15. Hare (Snowshoe): No limit July 1-June 30. Lynx: 2 lynx Nov. 10-Feb. 28. Wolf: 10 wolves Aug. 10-Apr. 30. Wolverine: 1 wolverine Sept. 1-Jan. 31. Grouse (Spruce, Ruffled, and Sharp-tailed): 15 per day, 30 in possession Aug. 10-Mar. 31. Ptarmigan (Rock, Willow, and White-tailed): 20 per day, 40 in possession Aug. 10-Mar. 31. Trapping Beaver: No limit Sept. 25-May 31. Coyote: No limit Nov. 10-Mar. 31. Fox, Red (including Cross, Black and Silver Phases): No limit Nov. 10-Feb. 28. Lynx: No limit Nov. 10-Feb. 28. Marten: Unit 13—No limit Nov. 10-Feb. 28. Mink and Weasel: No limit Nov. 10-Feb. 28. Muskrat: No limit Sept. 25-June 10. Otter: No limit Nov. 10-Mar. 31. Wolf: No limit Oct. 15-Apr. 30. Wolverine: No limit Nov. 10-Jan. 31.
(14)*Unit 14.*
(i)Unit 14 consists of drainages into the north side of Turnagain Arm west of and excluding the Portage Creek drainage, drainages into Knik Arm excluding drainages of the Chickaloon and Matanuska Rivers in Unit 13, drainages into the north side of Cook Inlet east of the Susitna River, drainages into the east bank of the Susitna River downstream from the Talkeetna River, and drainages into the south and west bank of the Talkeetna River to its confluence with Clear Creek, the west side drainages of a line going up the south bank of Clear Creek to the first unnamed creek on the south, then up that creek to lake 4408, along the northeast shore of lake 4408, then southeast in a straight line to the northernmost fork of the Chickaloon River:
(A)Unit 14A consists of drainages in Unit 14 bounded on the west by the east bank of the Susitna River, on the north by the north bank of Willow Creek and Peters Creek to its headwaters, then east along the hydrologic divide separating the Susitna River and Knik Arm drainages to the outlet creek at lake 4408, on the east by the eastern boundary of Unit 14, and on the south by Cook Inlet, Knik Arm, the south bank of the Knik River from its mouth to its junction with Knik Glacier, across the face of Knik Glacier and along the north side of Knik Glacier to the Unit 6 boundary;
(B)Unit 14B consists of that portion of Unit 14 north of Unit 14A;
(C)Unit 14C consists of that portion of Unit 14 south of Unit 14A.
(ii)In the following areas, the taking of wildlife for subsistence uses is prohibited or restricted on public lands:
(A)You may not take wildlife for subsistence uses in the Fort Richardson and Elmendorf Air Force Base Management Areas, consisting of the Fort Richardson and Elmendorf Military Reservation;
(B)You may not take wildlife for subsistence uses in the Anchorage Management Area, consisting of all drainages south of Elmendorf and Fort Richardson military reservations and north of and including Rainbow Creek.
(iii)Unit-specific regulations: Harvest limits Open season Hunting Black Bear: Unit 14C—1 bear July 1-June 30. Beaver: Unit 14C—1 beaver per day, 1 in possession May 15-Oct. 31. Coyote: Unit 14C—2 coyotes Sept. 1-Apr. 30. Fox, Red (including Cross, Black and Silver Phases): Unit 14C—2 foxes Nov. 1-Feb. 15. Hare (Snowshoe): Unit 14C—5 hares per day Sept. 8-Apr. 30. Lynx: Unit 14C—2 lynx Dec. 1-Jan. 31. Wolf: Unit 14C—5 wolves Aug. 10-Apr. 30. Wolverine: Unit 14C—1 wolverine Sept. 1-Mar. 31. Grouse (Spruce and Ruffed): Unit 14C—5 per day, 10 in possession Sept. 8-Mar. 31. Ptarmigan (Rock, Willow, and White-tailed): Unit 14C—10 per day, 20 in possession Sept. 8-Mar. 31. Trapping Beaver: Unit 14C—that portion within the drainages of Glacier Creek, Kern Creek, Peterson Creek, the Twentymile River and the drainages of Knik River outside Chugach State Park—20 beaver per season Dec. 1-Apr. 15. Coyote: Unit 14C—No limit Nov. 10-Feb. 28. Fox, Red (including Cross, Black and Silver Phases): Unit 14C—1 fox Nov. 10-Feb. 28. Lynx: Unit 14C—No limit Dec. 15-Jan. 31. Marten: Unit 14C—No limit Nov. 10-Jan. 31. Mink and Weasel: Unit 14C—No limit Nov. 10-Jan. 31. Muskrat: Unit 14C—No limit Nov. 10-May 15. Otter: Unit 14C—No limit Nov. 10-Feb. 28. Wolf: Unit 14C—No limit Nov. 10-Feb. 28. Wolverine: Unit 14C—No limit Nov. 10-Feb. 28.
(15)*Unit 15.*
(i)Unit 15 consists of that portion of the Kenai Peninsula and adjacent islands draining into the Gulf of Alaska, Cook Inlet, and Turnagain Arm from Gore Point to the point where longitude line 150° 00′ W. crosses the coastline of Chickaloon Bay in Turnagain Arm, including that area lying west of longitude line 150° 00′ W. to the mouth of the Russian River, then southerly along the Chugach National Forest boundary to the upper end of Upper Russian Lake; and including the drainages into Upper Russian Lake west of the Chugach National Forest boundary:
(A)Unit 15A consists of that portion of Unit 15 north of the north bank of the Kenai River and the north shore of Skilak Lake;
(B)Unit 15B consists of that portion of Unit 15 south of the north bank of the Kenai River and the north shore of Skilak Lake, and north of the north bank of the Kasilof River, the north shore of Tustumena Lake, Glacier Creek, and Tustumena Glacier;
(C)Unit 15C consists of the remainder of Unit 15.
(ii)You may not take wildlife, except for grouse, ptarmigan, and hares that may be taken only from October 1—March 1 by bow and arrow only, in the Skilak Loop Management Area, which consists of that portion of Unit 15A bounded by a line beginning at the easternmost junction of the Sterling Highway and the Skilak Loop (milepost 76.3), then due south to the south bank of the Kenai River, then southerly along the south bank of the Kenai River to its confluence with Skilak Lake, then westerly along the north shore of Skilak Lake to Lower Skilak Lake Campground, then northerly along the Lower Skilak Lake Campground Road and the Skilak Loop Road to its westernmost junction with the Sterling Highway, then easterly along the Sterling Highway to the point of beginning.
(iii)Unit-specific regulations:
(A)You may use bait to hunt black bear between April 15 and June 15;
(B)You may not trap furbearers for subsistence in the Skilak Loop Wildlife Management Area;
(C)You may not trap marten in that portion of Unit 15B east of the Kenai River, Skilak Lake, Skilak River, and Skilak Glacier;
(D)You may not take red fox in Unit 15 by any means other than a steel trap or snare. Harvest limits Open season Hunting Black Bear: Unit 15A and 15B—2 bears by Federal registration permit July 1-June 30. Unit 15C—3 bears. July 1-June 30. Brown Bear: Unit 15C—1 bear every four regulatory years by Federal registration permit. The season may be opened or closed by announcement from the Kenai National Wildlife Refuge Manager after consultation with ADF&G and the Chair of the Southcentral Alaska Subsistence Regional Advisory Council Oct. 1-Nov. 30 To be announced. -and- Apr. 1-June 15 To be announced. Moose: Unit 15A—Skilak Loop Wildlife Management Area No open season. Unit 15A—remainder, 15B, and 15C—1 antlered bull with spike-fork or 50-inch antlers or with 3 or more brow tines on either antler, by Federal registration permit only Aug. 10-Sept. 20. Units 15B and 15C—1 antlered bull with spike-fork or 50-inch antlers or with 3 or more brow tines on either antler, by Federal registration permit only. The Kenai NWR Refuge Manager is authorized to close the October/November season based on conservation concerns, in consultation with ADF&G and the Chair of the Southcentral Alaska Subsistence Regional Advisory Council Oct. 20-Nov. 10. Coyote: No limit Sept. 1-Apr. 30. Hare (Snowshoe): No limit July 1-June 30. Lynx: 2 lynx Nov. 10-Jan. 31. Wolf: Unit 15—that portion within the Kenai National Wildlife Refuge—2 wolves Aug. 10-Apr. 30. Unit 15—remainder—5 wolves Aug. 10-Apr. 30. Wolverine: 1 wolverine Sept. 1-Mar. 31. Grouse (Spruce): 15 per day, 30 in possession Aug. 10-Mar. 31. Grouse (Ruffed) No open season. Ptarmigan (Rock, Willow, and White-tailed): Unit 15A and 15B—20 per day, 40 in possession Aug. 10-Mar. 31. Unit 15C—20 per day, 40 in possession Aug. 10-Dec. 31. Unit 15C—5 per day, 10 in possession Jan. 1-Mar. 31. Trapping Beaver: 20 Beaver per season Nov. 10-Mar. 31. Coyote: No limit Nov. 10-Mar. 31. Fox, Red (including Cross, Black and Silver Phases): 1 Fox Nov. 10-Feb. 28. Marten: Unit 15B—that portion east of the Kenai River, Skilak Lake, Skilak River, and Skilak Glacier No open season. Remainder of Unit 15—No limit Nov. 10-Jan. 31. Mink and Weasel: No limit Nov. 10-Jan. 31. Muskrat: No limit Nov. 10-May 15. Otter: Unit 15—No limit Nov. 10-Feb. 28. Wolf: No limit Nov. 10-Mar. 31. Wolverine: Unit 15B and C—No limit Nov. 10-Feb. 28.
(16)*Unit 16.*
(i)Unit 16 consists of the drainages into Cook Inlet between Redoubt Creek and the Susitna River, including Redoubt Creek drainage, Kalgin Island, and the drainages on the west side of the Susitna River (including the Susitna River) upstream to its confluence with the Chulitna River; the drainages into the west side of the Chulitna River (including the Chulitna River) upstream to the Tokositna River, and drainages into the south side of the Tokositna River upstream to the base of the Tokositna Glacier, including the drainage of the Kahiltna Glacier:
(A)Unit 16A consists of that portion of Unit 16 east of the east bank of the Yentna River from its mouth upstream to the Kahiltna River, east of the east bank of the Kahiltna River, and east of the Kahiltna Glacier;
(B)Unit 16B consists of the remainder of Unit 16.
(ii)You may not take wildlife for subsistence uses in the Mount McKinley National Park, as it existed prior to December 2, 1980. Subsistence uses as authorized by this paragraph (m)(16) are permitted in Denali National Preserve and lands added to Denali National Park on December 2, 1980.
(iii)Unit-specific regulations:
(A)You may use bait to hunt black bear between April 15 and June 15.
(B)[Reserved] Harvest limits Open season Hunting Black Bear: 3 bears July 1-June 30. Caribou: 1 caribou Aug. 10-Oct. 31. Moose: Unit 16B—Redoubt Bay Drainages south and west of, and including the Kustatan River drainage—1 bull Sept. 1-15. Unit 16B—remainder 1 bull Sept. 1-30. Dec. 1-Feb. 28. Coyote: 2 coyotes Sept. 1-Apr. 30. Fox, Red (including Cross, Black and Silver Phases): 2 foxes Sept. 1-Feb. 15. Hare (Snowshoe): No limit July 1-June 30. Lynx: 2 lynx Dec. 1-Jan. 31. Wolf: 5 wolves Aug. 10-Apr. 30. Wolverine: 1 wolverine Sept. 1-Mar. 31. Grouse (Spruce and Ruffed): 15 per day, 30 in possession Aug. 10-Mar. 31. Ptarmigan (Rock, Willow, and White-tailed): 20 per day, 40 in possession Aug. 10-Mar. 31. Trapping Beaver: No limit Oct. 10-May 15. Coyote: No limit Nov. 10-Mar. 31. Fox, Red (including Cross, Black and Silver Phases): No limit Nov. 10-Feb. 28. Lynx: No limit Dec. 15-Jan. 31. Marten: No limit Nov. 10-Feb. 28. Mink and Weasel: No limit Nov. 10-Jan. 31. Muskrat: No limit Nov. 10-June 10. Otter: No limit Nov. 10-Mar. 31. Wolf: No limit Nov. 10-Mar. 31. Wolverine: No limit Nov. 10-Feb. 28.
(17)*Unit 17.*
(i)Unit 17 consists of drainages into Bristol Bay and the Bering Sea between Etolin Point and Cape Newenham, and all islands between these points including Hagemeister Island and the Walrus Islands:
(A)Unit 17A consists of the drainages between Cape Newenham and Cape Constantine, and Hagemeister Island and the Walrus Islands;
(B)Unit 17B consists of the Nushagak River drainage upstream from, and including the Mulchatna River drainage, and the Wood River drainage upstream from the outlet of Lake Beverley;
(C)Unit 17C consists of the remainder of Unit 17.
(ii)In the following areas, the taking of wildlife for subsistence uses is prohibited or restricted on public lands:
(A)Except for aircraft and boats and in legal hunting camps, you may not use any motorized vehicle for hunting ungulates, bears, wolves, and wolverine, including transportation of hunters and parts of ungulates, bear, wolves, or wolverine in the Upper Mulchatna Controlled Use Area consisting of Unit 17B, from Aug. 1-Nov. 1.
(B)[Reserved]
(iii)Unit-specific regulations:
(A)You may use bait to hunt black bear between April 15 and June 15;
(B)You may hunt brown bear by State registration permit in lieu of a resident tag if you have obtained a State registration permit prior to hunting;
(C)For Federal registration permit caribou hunts for Unit 17A and 17C, that portion consisting of the Nushagak Peninsula south of the Igushik River, Tuklung River and Tuklung Hills, west to Tvativak Bay, a Federally qualified subsistence user may designate another Federally qualified subsistence user to harvest caribou on his or her behalf. The designated hunter must obtain a designated hunter permit and must return a completed harvest report. The designated hunter may hunt for any number of recipients but may have no more than two harvest limits in his/her possession at any one time;
(D)If you have a trapping license, you may use a firearm to take beaver in Unit 17 from April 15-May 31. You may not take beaver with a firearm under a trapping license on National Park Service lands. Harvest limits Open season Hunting Black Bear: 2 bears Aug. 1-May 31. Brown Bear: Unit 17—1 bear by State registration permit only Sept. 1-May 31. Caribou: Unit 17A—all drainages west of Right Hand Point—3 caribou; however, no more than 1 caribou may be taken from Aug. 1-Nov. 30. The season may be closed and harvest limit reduced for the drainages between the Togiak River and Right Hand Point by announcement of the Togiak National Wildlife Refuge Manager Aug. 1-Mar. 31. Unit 17A and 17C—that portion of 17A and 17C consisting of the Nushagak Peninsula south of the Igushik River, Tuklung River and Tuklung Hills, west to Tvativak Bay—up to 2 caribou by Federal registration permit. Public lands are closed to the taking of caribou except by the residents of Togiak, Twin Hills, Manokotak, Aleknagik, Dillingham, Clark's Point, and Ekuk hunting under these regulations. The harvest objective, harvest limit, and the number of permits available will be announced by the Togiak National Wildlife Refuge Manager after consultation with the Alaska Department of Fish and Game and the Nushagak Peninsula Caribou Planning Committee. Successful hunters must report their harvest to the Togiak National Wildlife Refuge within 24 hours after returning from the field. The season may be closed by announcement of the Togiak National Wildlife Refuge Manager Aug. 1-Sept. 30. Dec. 1-Mar. 31. Unit 17A—remainder and 17C—remainder—selected drainages; a harvest limit of up to 5 caribou will be determined at the time the season is announced Season to occur sometime within Aug. 1-Mar. 31 timeframe; season, harvest limit, and hunt area to be announced by the Togiak National Wildlife Refuge Manager. Unit 17B and 17C—that portion of 17C east of the Wood River and Wood River Lakes—3 caribou; however, no more than 1 caribou may be taken from Aug. 1-Nov. 30 Aug. 1-Apr. 15. Sheep: 1 ram with full curl or larger horn Aug. 10-Sept. 20. Moose: Unit 17A—1 bull by State registration permit Aug. 25-Sept. 20. Unit 17A—that portion that includes the area east of the west shore of Nenevok Lake, east of the west bank of the Kemuk River, and east of the west bank of the Togiak River south from the confluence Togiak and Kemuk Rivers—1 antlered bull by State registration permit. Up to a 14-day season during the period Dec. 1-Jan. 31 may be opened or closed by the Togiak National Wildlife Refuge Manager after consultation with ADF&G and local users Winter season to be announced. Unit 17B—that portion that includes all the Mulchatna River drainage upstream from and including the Chilchitna River drainage—1 bull by State registration permit. During the period Sept. 1-15, a spike/fork bull or a bull with 50-inch antlers or with 3 or more brow tines on one side may be taken with a State harvest ticket Aug. 20-Sept. 15. Unit 17C—that portion that includes the Iowithla drainage and Sunshine Valley and all lands west of Wood River and south of Aleknagik Lake—1 bull by State registration permit. During the period Sept. 1-15, a spike/fork bull or a bull with 50-inch antlers or with 3 or more brow tines on one side may be taken with a State harvest ticket Aug. 20-Sept. 15. Unit 17B—remainder and 17C—remainder—1 bull by State registration permit. During the period Sept. 1-15, a spike/fork bull or a bull with 50-inch antlers or with 3 or more brow tines on one side may be taken with a State harvest ticket Aug. 20-Sept. 15. Dec. 1-31. Coyote: 2 coyotes Sept. 1-Apr. 30. Fox, Arctic (Blue and White Phase): No limit Dec. 1-Mar. 15. Fox, Red (including Cross, Black and Silver Phases): 2 foxes Sept. 1-Feb. 15. Hare (Snowshoe and Tundra): No limit July 1-June 30. Lynx: 2 lynx Nov. 10-Feb. 28. Wolf: 10 wolves Aug. 10-Apr. 30. Wolverine: 1 wolverine Sept. 1-Mar. 31. Grouse (Spruce and Ruffed): 15 per day, 30 in possession Aug. 10-Apr. 30. Ptarmigan (Rock and Willow): 20 per day, 40 in possession Aug. 10-Apr. 30. Trapping Beaver: Unit 17—No limit Oct. 10-Mar. 31. Unit 17—2 beaver per day. Only firearms may be used Apr. 15-May 31. Coyote: No limit Nov. 10-Mar. 31. Fox, Arctic (Blue and White Phase): No limit Nov. 10-Mar. 31. Fox, Red (including Cross, Black and Silver Phases): No limit Nov. 10-Mar. 31. Lynx: No limit Nov. 10-Mar. 31. Marten: No limit Nov. 10-Feb. 28. Mink and Weasel: No limit Nov. 10-Feb. 28. Muskrat: 2 muskrats Nov. 10-Feb. 28. Otter: No limit Nov. 10-Mar. 31. Wolf: No limit Nov. 10-Mar. 31. Wolverine: No limit Nov. 10-Feb. 28.
(18)*Unit 18.*
(i)Unit 18 consists of that area draining into the Yukon and Kuskokwim Rivers downstream from a straight line drawn between Lower Kalskag and Paimiut and the drainages flowing into the Bering Sea from Cape Newenham on the south to and including the Pastolik River drainage on the north; Nunivak, St. Matthew, and adjacent islands between Cape Newenham and the Pastolik River.
(ii)In the Kalskag Controlled Use Area, which consists of that portion of Unit 18 bounded by a line from Lower Kalskag on the Kuskokwim River, northwesterly to Russian Mission on the Yukon River, then east along the north bank of the Yukon River to the old site of Paimiut, then back to Lower Kalskag, you are not allowed to use aircraft for hunting any ungulate, bear, wolf, or wolverine, including the transportation of any hunter and ungulate, bear, wolf, or wolverine part; however, this does not apply to transportation of a hunter or ungulate, bear, wolf, or wolverine part by aircraft between publicly owned airports in the Controlled Use Area or between a publicly owned airport within the Area and points outside the Area.
(iii)Unit-specific regulations:
(A)If you have a trapping license, you may use a firearm to take beaver in Unit 18 from Apr. 1-Jun. 10;
(B)You may hunt brown bear by State registration permit in lieu of a resident tag if you have obtained a State registration permit prior to hunting;
(C)You may take caribou from a boat moving under power in Unit 18. Harvest limits Open season Hunting Black Bear: 3 bears July 1-June 30. Brown Bear: 1 bear by State registration permit only Sept. 1-May 31. Caribou: 3 caribou; however, no more than 1 caribou may be taken from Aug. 1-Nov. 30 Aug. 1-Mar. 15. Moose: Unit 18—that portion east of a line running from the mouth of the Ishkowik River to the closest point of Dall Lake, then to the easternmost point of Takslesluk Lake, then along the Kuskokwim River drainage boundary to the Unit 18 border, and then north of and including the Eek River drainage. Federal public lands are closed to the taking of moose by all users No open season. Unit 18—south of and including the Kanektok River drainages. Federal public lands are closed to the taking of moose by all users No open season. Unit 18—That portion north and west of a line from Cape Romanzof to Kusilvak Mountain to Mountain Village and excluding all Yukon River drainages upriver from Mountain Village—1 antlered bull Aug 10-Sept. 30. Unit 18—That portion north and west of a line from Cape Romanzof to Kusilvak Mountain to Mountain Village and excluding all Yukon River drainages upriver from Mountain Village—1 moose. The Yukon Delta NWR Manager may restrict the harvest to only antlered bulls after consultation with the ADF&G and the Yukon-Kuskokwim Delta Subsistence Regional Advisory Council chair Dec. 20-Jan. 20. Unit 18—remainder—1 antlered bull Aug. 10-Sept. 30. Dec. 20-Jan. 10. Beaver: No limit July 1-June 30. Coyote: 2 coyotes Sept. 1-Apr. 30. Fox, Arctic (Blue and White Phase): 2 foxes Sept. 1-Apr. 30. Fox, Red (including Cross, Black and Silver Phases): 10 foxes; however, no more than 2 foxes may be taken prior to Oct. 1 Sept. 1-Mar. 15. Hare (Snowshoe and Tundra): No limit July 1-June 30. Lynx: 2 lynx Nov. 10-Mar. 31. Wolf: 5 wolves Aug. 10-Apr. 30. Wolverine: 1 wolverine Sept. 1-Mar. 31. Grouse (Spruce and Ruffed): 15 per day, 30 in possession Aug. 10-Apr. 30. Ptarmigan (Rock and Willow): 20 per day, 40 in possession Aug. 10-May 30. Trapping Beaver: No limit July 1-June 30. Coyote: No limit Nov. 10-Mar. 31. Fox, Arctic (Blue and White Phase): No limit Nov. 10-Mar. 31. Fox, Red (including Cross, Black and Silver Phases): No limit Nov. 10-Mar. 31. Lynx: No limit Nov. 10-Mar. 31. Marten: No limit Nov. 10-Mar. 31. Mink and Weasel: No limit Nov. 10-Jan. 31. Muskrat: No limit Nov. 10-June 10. Otter: No limit Nov. 10-Mar. 31. Wolf: No limit Nov. 10-Mar. 31. Wolverine: No limit Nov. 10-Mar. 31.
(19)*Unit 19.*
(i)Unit 19 consists of the Kuskokwim River drainage upstream from a straight line drawn between Lower Kalskag and Piamiut:
(A)Unit 19A consists of the Kuskokwim River drainage downstream from and including the Moose Creek drainage on the north bank and downstream from and including the Stony River drainage on the south bank, excluding Unit 19B;
(B)Unit 19B consists of the Aniak River drainage upstream from and including the Salmon River drainage, the Holitna River drainage upstream from and including the Bakbuk Creek drainage, that area south of a line from the mouth of Bakbuk Creek to the radar dome at Sparrevohn Air Force Base, including the Hoholitna River drainage upstream from that line, and the Stony River drainage upstream from and including the Can Creek drainage;
(C)Unit 19C consists of that portion of Unit 19 south and east of a line from Benchmark M#1.26 (approximately 1.26 miles south of the northwest corner of the original Mt. McKinley National Park boundary) to the peak of Lone Mountain, then due west to Big River, including the Big River drainage upstream from that line, and including the Swift River drainage upstream from and including the North Fork drainage;
(D)Unit 19D consists of the remainder of Unit 19.
(ii)In the following areas, the taking of wildlife for subsistence uses is prohibited or restricted on public land:
(A)You may not take wildlife for subsistence uses on lands within Mount McKinley National Park as it existed prior to December 2, 1980. Subsistence uses as authorized by this paragraph (m)(19) are permitted in Denali National Preserve and lands added to Denali National Park on December 2, 1980;
(B)In the Upper Kuskokwim Controlled Use Area, which consists of that portion of Unit 19D upstream from the mouth of the Selatna River, but excluding the Selatna and Black River drainages, to a line extending from Dyckman Mountain on the northern Unit 19D boundary southeast to the 1,610 foot crest of Munsatli Ridge, then south along Munsatli Ridge to the 2,981 foot peak of Telida Mountain, then northeast to the intersection of the western boundary of Denali National Preserve with the Minchumina-Telida winter trail, then south along the western boundary of Denali National Preserve to the southern boundary of Unit 19D, you may not use aircraft for hunting moose, including transportation of any moose hunter or moose part; however, this does not apply to transportation of a moose hunter or moose part by aircraft between publicly owned airports in the Controlled Use Area, or between a publicly owned airport within the area and points outside the area.
(iii)Unit-specific regulations:
(A)You may use bait to hunt black bear between April 15 and June 30;
(B)You may hunt brown bear by State registration permit in lieu of a resident tag in those portions of 19A and 19B downstream of and including the Aniak River drainage if you have obtained a State registration permit prior to hunting. Harvest limits Open season Hunting Black Bear: 3 bears July 1-June 30. Brown Bear: Unit 19A and 19B—those portions which are downstream of and including the Aniak River drainage—1 bear by State registration permit Aug. 10-June 30. Unit 19A—remainder, 19B—remainder, and Unit 19D—1 bear Aug. 10-June 30. Caribou: Unit 19A—north of Kuskokwim River—1 caribou. Aug. 10-Sept. 30. Nov. 1-Feb. 28. Unit 19A—south of the Kuskokwim River and Unit 19B (excluding rural Alaska residents of Lime Village)—3 caribou; however, no more than 1 caribou may be taken from Aug. 1-Nov 30 Aug. 1-Apr. 15. Unit 19C-1 caribou Aug. 10-Oct. 10. Unit 19D—south and east of the Kuskokwim River and North Fork of the Kuskokwim River—1 caribou Aug. 10-Sept. 30. Nov. 1-Jan. 31. Unit 19D—remainder—1 caribou Aug. 10-Sept. 30. Unit 19—Residents domiciled in Lime Village only—no individual harvest limit but a village harvest quota of 200 caribou; cows and calves may not be taken from Apr. 1-Aug. 9. Reporting will be by a community reporting system July 1-June 30. Sheep: 1 ram with 7/8 curl horn or larger Aug. 10-Sept. 20. Moose: Unit 19—Residents of Lime Village only—no individual harvest limit, but a village harvest quota of 28 bulls (including those taken under the State Tier II system). Reporting will be by a community reporting system July 1-June 30. Unit 19A—North of the Kuskokwim River, upstream from but excluding the George River drainage, and south of the Kuskokwim River upstream from and including the Downey Creek drainage, not including the Lime Village Management Area; Federal public lands are closed to the taking of moose No open season. Unit 19A remainder—1 antlered bull by Federal drawing permit or a State Tier II permit. Federal public lands are closed to the taking of moose except by residents of Tuluksak, Lower Kalskag, Upper Kalskag, Aniak, Chuathbaluk, and Crooked Creek hunting under these regulations. The Refuge Manager of the Yukon Delta NWR, in cooperation with the BLM Field Office Manager, will annually establish the harvest quota and number of permits to be issued in coordination with the State Tier II hunt. If the allowable harvest level is reached before the regular season closing date, the Refuge Manager, in consultation with the BLM Field Office Manager, will announce an early closure of Federal public lands to all moose hunting Sept. 1-20. Unit 19B-1 bull with spike-fork or 50-inch antlers or antlers with 4 or more brow tines on one side Sept. 1-20. Unit 19C-1 antlered bull Sept. 1-20. Uit 19C-1 bull by State registration permit Jan. 15-Feb. 15. Unit 19D—that portion of the Upper Kuskokwim Controlled Use Area within the North Fork drainage upstream from the confluence of the South Fork to the mouth of the Swift Fork—1 antlered bull Sept. 1-30. Unit 19D—remainder of the Upper Kuskokwim Controlled Use Area—1 bull Sept. 1-30. Dec. 1-Feb. 28. Unit 19D—remainder—1 antlered bull Sept. 1-30. Dec. 1-15. Coyote: 10 coyotes Aug. 10-Apr. 30. Fox, Red (including Cross, Black and Silver Phases): 10 foxes; however, no more than 2 foxes may be taken prior to Oct. 1 Sept. 1-Mar. 15. Hare (Snowshoe): No limit. July 1-June 30. Lynx: 2 lynx Nov. 1-Feb. 28. Wolf: Unit 19D—10 wolves per day Aug. 10-Apr. 30. Unit 19—remainder—5 wolves Aug. 10-Apr. 30. Wolverine: 1 wolverine Sept. 1-Mar. 31. Grouse (Spruce, Ruffed, and Sharp-tailed): 15 per day, 30 in possession Aug. 10-Apr. 30. Ptarmigan (Rock, Willow, and White-tailed): 20 per day, 40 in possession. Aug. 10-Apr. 30. Trapping Beaver: No limit Nov. 1-Jun. 10. Coyote: No limit Nov. 1-Mar. 31. Fox, Red (including Cross, Black and Silver Phases): No limit Nov. 1-Mar. 31. Lynx: No limit Nov. 1-Feb. 28. Marten: No limit Nov. 1-Feb. 28. Mink and Weasel: No limit Nov. 1-Feb. 28. Muskrat: No limit Nov. 1-June 10. Otter: No limit Nov. 1-Apr. 15. Wolf: No limit Nov. 1-Apr. 30. Wolverine: No limit Nov. 1-Mar. 31.
(20)*Unit 20.*
(i)Unit 20 consists of the Yukon River drainage upstream from and including the Tozitna River drainage to and including the Hamlin Creek drainage, drainages into the south bank of the Yukon River upstream from and including the Charley River drainage, the Ladue River and Fortymile River drainages, and the Tanana River drainage north of Unit 13 and downstream from the east bank of the Robertson River:
(A)Unit 20A consists of that portion of Unit 20 bounded on the south by the Unit 13 boundary, bounded on the east by the west bank of the Delta River, bounded on the north by the north bank of the Tanana River from its confluence with the Delta River downstream to its confluence with the Nenana River, and bounded on the west by the east bank of the Nenana River;
(B)Unit 20B consists of drainages into the north bank of the Tanana River from and including Hot Springs Slough upstream to and including the Banner Creek drainage;
(C)Unit 20C consists of that portion of Unit 20 bounded on the east by the east bank of the Nenana River and on the north by the north bank of the Tanana River downstream from the Nenana River;
(D)Unit 20D consists of that portion of Unit 20 bounded on the east by the east bank of the Robertson River and on the west by the west bank of the Delta River, and drainages into the north bank of the Tanana River from its confluence with the Robertson River downstream to, but excluding, the Banner Creek drainage;
(E)Unit 20E consists of drainages into the south bank of the Yukon River upstream from and including the Charley River drainage, and the Ladue River drainage;
(F)Unit 20F consists of the remainder of Unit 20.
(ii)In the following areas, the taking of wildlife for subsistence uses is prohibited or restricted on public land:
(A)You may not take wildlife for subsistence uses on lands within Mount McKinley National Park as it existed prior to December 2, 1980. Subsistence uses as authorized by this paragraph (n)(20) are permitted in Denali National Preserve and lands added to Denali National Park on December 2, 1980;
(B)You may not use motorized vehicles or pack animals for hunting from Aug. 5-25 in the Delta Controlled Use Area, the boundary of which is defined as: a line beginning at the confluence of Miller Creek and the Delta River, then west to vertical angle benchmark Miller, then west to include all drainages of Augustana Creek and Black Rapids Glacier, then north and east to include all drainages of McGinnis Creek to its confluence with the Delta River, then east in a straight line across the Delta River to Mile 236.7 of the Richardson Highway, then north along the Richardson Highway to its junction with the Alaska Highway, then east along the Alaska Highway to the west bank of the Johnson River, then south along the west bank of the Johnson River and Johnson Glacier to the head of the Canwell Glacier, then west along the north bank of the Canwell Glacier and Miller Creek to the Delta River;
(C)You may not use firearms, snowmobiles, licensed highway vehicles or motorized vehicles, except aircraft and boats, in the Dalton Highway Corridor Management Area, which consists of those portions of Units 20, 24, 25, and 26 extending 5 miles from each side of the Dalton Highway from the Yukon River to milepost 300 of the Dalton Highway, except as follows: Residents living within the Dalton Highway Corridor Management Area may use snowmobiles only for the subsistence taking of wildlife. You may use licensed highway vehicles only on designated roads within the Dalton Highway Corridor Management Area. The residents of Alatna, Allakaket, Anaktuvuk Pass, Bettles, Evansville, Stevens Village, and residents living within the Corridor may use firearms within the Corridor only for subsistence taking of wildlife;
(D)You may not use any motorized vehicle for hunting from August 5-September 20 in the Glacier Mountain Controlled Use Area, which consists of that portion of Unit 20E bounded by a line beginning at Mile 140 of the Taylor Highway, then north along the highway to Eagle, then west along the cat trail from Eagle to Crooked Creek, then from Crooked Creek southwest along the west bank of Mogul Creek to its headwaters on North Peak, then west across North Peak to the headwaters of Independence Creek, then southwest along the west bank of Independence Creek to its confluence with the North Fork of the Fortymile River, then easterly along the south bank of the North Fork of the Fortymile River to its confluence with Champion Creek, then across the North Fork of the Fortymile River to the south bank of Champion Creek and easterly along the south bank of Champion Creek to its confluence with Little Champion Creek, then northeast along the east bank of Little Champion Creek to its headwaters, then northeasterly in a direct line to Mile 140 on the Taylor Highway; however, this does not prohibit motorized access via, or transportation of harvested wildlife on, the Taylor Highway or any airport;
(E)You may by permit hunt moose on the Minto Flats Management Area, which consists of that portion of Unit 20 bounded by the Elliot Highway beginning at Mile 118, then northeasterly to Mile 96, then east to the Tolovana Hotsprings Dome, then east to the Winter Cat Trail, then along the Cat Trail south to the Old Telegraph Trail at Dunbar, then westerly along the trail to a point where it joins the Tanana River 3 miles above Old Minto, then along the north bank of the Tanana River (including all channels and sloughs except Swan Neck Slough), to the confluence of the Tanana and Tolovana Rivers and then northerly to the point of beginning;
(F)You may only hunt moose by bow and arrow in the Fairbanks Management Area. The Area consists of that portion of Unit 20B bounded by a line from the confluence of Rosie Creek and the Tanana River, northerly along Rosie Creek to Isberg Road, then northeasterly on Isberg Road to Cripple Creek Road, then northeasterly on Cripple Creek Road to the Parks Highway, then north on the Parks Highway to Alder Creek, then westerly to the middle fork of Rosie Creek through section 26 to the Parks Highway, then east along the Parks Highway to Alder Creek, then upstream along Alder Creek to its confluence with Emma Creek, then upstream along Emma Creek to its headwaters, then northerly along the hydrographic divide between Goldstream Creek drainages and Cripple Creek drainages to the summit of Ester Dome, then down Sheep Creek to its confluence with Goldstream Creek, then easterly along Goldstream Creek to Sheep Creek Road, then north on Sheep Creek Road to Murphy Dome Road, then west on Murphy Dome Road to Old Murphy Dome Road, then east on Old Murphy Dome Road to the Elliot Highway, then south on the Elliot Highway to Goldstream Creek, then easterly along Goldstream Creek to its confluence with First Chance Creek, Davidson Ditch, then southeasterly along the Davidson Ditch to its confluence with the tributary to Goldstream Creek in Section 29, then downstream along the tributary to its confluence with Goldstream Creek, then in a straight line to First Chance Creek, then up First Chance Creek to Tungsten Hill, then southerly along Steele Creek to its confluence with Ruby Creek, then upstream along Ruby Creek to Esro Road, then south on Esro Road to Chena Hot Springs Road, then east on Chena Hot Springs Road to Nordale Road, then south on Nordale Road to the Chena River, to its intersection with the Trans-Alaska Pipeline right of way, then southeasterly along the easterly edge of the Trans-Alaska Pipeline right of way to the Chena River, then along the north bank of the Chena River to the Moose Creek dike, then southerly along the Moose Creek dike to its intersection with the Tanana River, and then westerly along the north bank of the Tanana River to the point of beginning.
(iii)Unit-specific regulations:
(A)You may use bait to hunt black bear from April 15-June 30; you may use bait to hunt wolves on FWS and BLM lands;
(B)You may not use a steel trap, or a snare using cable smaller than 3/32 inch diameter to trap coyotes or wolves in Unit 20E during April and October;
(C)Residents of Units 20 and 21 may take up to three moose per regulatory year for the celebration known as the Nuchalawoyya Potlatch, under the terms of a Federal registration permit. Permits will be issued to individuals at the request of the Native Village of Tanana only. This three-moose limit is not cumulative with that permitted by the State. Harvest limits Open season Hunting Black Bear: 3 bears July 1-June 30. Brown Bear: Unit 20A—1 bear Sept. 1-May 31. Unit 20E—1 bear Aug. 10-June 30. Unit 20—remainder—1 bear Sept. 1-May 31. Caribou: Unit 20E—1 caribou by joint State/Federal registration permit only. Up to 900 caribou may be taken under a State/Federal harvest quota. During the winter season, area closures or hunt restrictions may be announced when Nelchina caribou are present in a mix of more than 1 Nelchina caribou to 15 Fortymile caribou, except when the number of caribou present is low enough that less than 50 Nelchina caribou will be harvested regardless of the mixing ratio for the two herds. The season closures will be announced by the Eastern Interior Field Office Manager, Bureau of Land Management, after consultation with the National Park Service and Alaska Department of Fish and Game Aug. 10-Sept. 30. Nov. 1-Feb. 28. Unit 20F—north of the Yukon River—1 caribou Aug. 10-Mar. 31. Unit 20F—east of the Dalton Highway and south of the Yukon River—1 caribou; however, cow caribou may be taken only from Nov. 1-March 31. During the November 1-March 31 season, a State registration permit is required Aug. 10-Sept. 20 Nov. 1-Mar. 31. Moose: Unit 20A—1 antlered bull Sept. 1-20. Unit 20B—that portion within the Minto Flats Management Area—1 bull by Federal registration permit only Sept. 1-20. Jan. 10-Feb. 28. Unit 20B—remainder—1 antlered bull Sept. 1-20. Unit 20C—that portion within Denali National Park and Preserve west of the Toklat River, excluding lands within Mount McKinley National Park as it existed prior to December 2, 1980—1 antlered bull; however, white-phased or partial albino (more than 50 percent white) moose may not be taken Sept. 1-30 Nov. 15-Dec. 15. Unit 20C—remainder—1 antlered bull; however, white-phased or partial albino (more than 50 percent white) moose may not be taken Sept. 1-30. Unit 20E—that portion within Yukon-Charley National Preserve—1 bull Aug. 20-Sept. 30. Unit 20E—that portion drained by the Forty-mile River (all forks) from Mile 9 1/2 to Mile 145 Taylor Highway, including the Boundary Cutoff Road—1 bull Aug. 24-28 Sept. 1-15. Unit 20F—that portion within the Dalton Highway Corridor Management Area—1 antlered bull by Federal registration permit only Sept. 1-25. Unit 20F—remainder—1 antlered bull Sept. 1-25 Dec. 1-10. Beaver: Unit 20E—Yukon-Charley Rivers National Preserve—6 beaver per season. Meat from harvested beaver must be salvaged for human consumption Sept. 20-May 15. Coyote: 10 coyotes Aug. 10-Apr. 30. Fox, Red (including Cross, Black and Silver Phases): 10 foxes; however, no more than 2 foxes may be taken prior to Oct. 1 Sept. 1-Mar. 15. Hare (Snowshoe): No limit July 1-June 30. Lynx: Unit 20A, 20B, and that portion of 20C east of the Teklanika River—2 lynx Dec. 1-Jan. 31. Unit 20E—2 lynx Nov. 1-Jan. 31. Unit 20—remainder—2 lynx Dec. 1-Jan. 31. Muskrat: Unit 20E, that portion within Yukon-Charley Rivers National Preserve—No limit Sept. 20-June 10. Unit 20—remainder No open season. Wolf: 10 wolves Aug. 10-Apr. 30. Wolverine: 1 wolverine Sept. 1-Mar. 31. Grouse (Spruce, Ruffed, and Sharp-tailed): Units 20A, 20B, 20C, 20E, and 20F-15 per day, 30 in possession Aug. 10-Mar. 31. Ptarmigan (Rock and Willow): Unit 20—those portions within 5 miles of Alaska Route 5 (Taylor Highway, both to Eagle and the Alaska-Canada boundary) and that portion of Alaska Route 4 (Richardson Highway) south of Delta Junction—20 per day, 40 in possession Aug. 10-Mar. 31. Unit 20—remainder—20 per day, 40 in possession Aug. 10-Apr. 30. Trapping Beaver: Units 20A, 20B, 20C, and 20F—No limit Nov. 1-Apr. 15. Unit 20E-25 beaver per season. Only firearms may be used during Sept. 20-Oct. 31 and Apr. 16-May 15, to take up to 6 beaver. Only traps or snares may be used Nov. 1-Apr. 15. The total annual harvest limit for beaver is 25, of which no more than 6 may be taken by firearm under trapping or hunting regulations. Meat from beaver harvested by firearm must be salvaged for human consumption Sept. 20-May 15. Coyote: Unit 20E—No limit Oct. 15-Apr. 30. Unit 20—remainder—No limit Nov. 1-Mar. 31. Fox, Red (including Cross, Black and Silver Phases): No limit Nov. 1-Feb. 28. Lynx: Unit 20A, 20B, and 20C east of the Teklanika River—No limit Dec. 15-Feb. 15. Unit 20E—No limit; however, no more than 5 lynx may be taken between Nov. 1 and Nov. 30 Nov. 1-Dec. 31. Unit 20F and 20C—remainder—No limit Nov. 1-Feb. 28. Marten: No limit Nov. 1—Feb. 28. Mink and Weasel: No limit Nov. 1-Feb. 28. Muskrat: Unit 20E—No limit Sept. 20-June 10. Unit 20—remainder—No limit Nov. 1-June 10. Otter: No limit Nov. 1-Apr. 15. Wolf: Unit 20A, 20B, 20C, & 20F—No limit Nov. 1-Apr. 30. Unit 20E—No limit Oct. 1-Apr. 30. Wolverine: No limit Nov. 1-Feb. 28.
(21)*Unit 21.*
(i)Unit 21 consists of drainages into the Yukon River upstream from Paimiut to, but not including, the Tozitna River drainage on the north bank, and to, but not including, the Tanana River drainage on the south bank; and excluding the Koyukuk River drainage upstream from the Dulbi River drainage:
(A)Unit 21A consists of the Innoko River drainage upstream from and including the Iditarod River drainage;
(B)Unit 21B consists of the Yukon River drainage upstream from Ruby and east of the Ruby-Poorman Road, downstream from and excluding the Tozitna River and Tanana River drainages, and excluding the Melozitna River drainage upstream from Grayling Creek;
(C)Unit 21C consists of the Melozitna River drainage upstream from Grayling Creek, and the Dulbi River drainage upstream from and including the Cottonwood Creek drainage;
(D)Unit 21D consists of the Yukon River drainage from and including the Blackburn Creek drainage upstream to Ruby, including the area west of the Ruby-Poorman Road, excluding the Koyukuk River drainage upstream from the Dulbi River drainage, and excluding the Dulbi River drainage upstream from Cottonwood Creek;
(E)Unit 21E consists of the Yukon River drainage from Paimiut upstream to, but not including, the Blackburn Creek drainage, and the Innoko River drainage downstream from the Iditarod River drainage.
(ii)In the following areas, the taking of wildlife for subsistence uses is prohibited or restricted on public land:
(A)The Koyukuk Controlled Use Area, which consists of those portions of Unit 21 and 24 bounded by a line from the north bank of the Yukon River at Koyukuk at 64°52.58′ N. lat., 157°43.10′ W. long., then northerly to the confluences of the Honhosa and Kateel Rivers at 65°28.42′ N. lat., 157°44.89′ W. long., then northeasterly to the confluences of Billy Hawk Creek and the Huslia River (65°57 N. lat., 156°41 W. long.) at 65°56.66′ N. lat., 156°40.81′ W. long., then easterly to the confluence of the forks of the Dakli River at 66°02.56′ N. lat., 156°12.71′ W. long., then easterly to the confluence of McLanes Creek and the Hogatza River at 66°00.31′ N. lat., 155°18.57′W. long., then southwesterly to the crest of Hochandochtla Mountain at 65°31.87′ N. lat., 154°52.18′ W. long., then southwest to the mouth of Cottonwood Creek at 65°13.00′ N. lat., 156°06.43′ W. long., then southwest to Bishop Rock (Yistletaw) at 64°49.35′ N. lat., 157°21.73′ W. long., then westerly along the north bank of the Yukon River (including Koyukuk Island) to the point of beginning, is closed during moose hunting seasons to the use of aircraft for hunting moose, including transportation of any moose hunter or moose part; however, this does not apply to transportation of a moose hunter or moose part by aircraft between publicly owned airports in the controlled use area or between a publicly owned airport within the area and points outside the area; all hunters on the Koyukuk River passing the ADF&G-operated check station at Ella's Cabin (15 miles upstream from the Yukon on the Koyukuk River) are required to stop and report to ADF&G personnel at the check station;
(B)The Paradise Controlled Use Area, which consists of that portion of Unit 21 bounded by a line beginning at the old village of Paimiut, then north along the west bank of the Yukon River to Paradise, then northwest to the mouth of Stanstrom Creek on the Bonasila River, then northeast to the mouth of the Anvik River, then along the west bank of the Yukon River to the lower end of Eagle Island (approximately 45 miles north of Grayling), then to the mouth of the Iditarod River, then down the east bank of the Innoko River to its confluence with Paimiut Slough, then south along the east bank of Paimiut Slough to its mouth, and then to the old village of Paimiut, is closed during moose hunting seasons to the use of aircraft for hunting moose, including transportation of any moose hunter or part of moose; however, this does not apply to transportation of a moose hunter or part of moose by aircraft between publicly owned airports in the Controlled Use Area or between a publicly owned airport within the area and points outside the area.
(iii)In Unit 21D, you may hunt brown bear by State registration permit in lieu of a resident tag if you have obtained a State registration permit prior to hunting. Aircraft may not be used in any manner for brown bear hunting under the authority of a brown bear State registration permit, including transportation of hunters, bears, or parts of bears; however, this does not apply to transportation of bear hunters or bear parts by regularly scheduled flights to and between communities by carriers that normally provide scheduled service to this area, nor does it apply to transportation of aircraft to or between publicly owned airports.
(iv)Unit-specific regulations:
(A)You may use bait to hunt black bear between April 15 and June 30; and in the Koyukuk Controlled Use Area, you may also use bait to hunt black bear between September 1 and September 25;
(B)If you have a trapping license, you may use a firearm to take beaver in Unit 21(E) from Nov. 1-June 10;
(C)The residents of Units 20 and 21 may take up to three moose per regulatory year for the celebration known as the Nuchalawoyya Potlatch, under the terms of a Federal registration permit. Permits will be issued to individuals only at the request of the Native Village of Tanana. This three moose limit is not cumulative with that permitted by the State;
(D)The residents of Unit 21 may take up to three moose per regulatory year for the celebration known as the Kaltag/Nulato Stickdance, under the terms of a Federal registration permit. Permits will be issued to individuals only at the request of the Native Village of Kaltag or Nulato. This three moose limit is not cumulative with that permitted by the State. Harvest limits Open season Hunting Black Bear: 3 bears July 1-June 30. Brown Bear: Unit 21D—1 bear by State registration permit only Aug. 10-June 30. Unit 21—remainder—1 bear Aug. 10-June 30. Caribou: Unit 21A—1 caribou Aug. 10-Sept. 30. Dec. 10-Dec. 20. Unit 21B—that portion north of the Yukon River and downstream from Ukawutni Creek No open season. Unit 21C—the Dulbi and Melozitna River drainages downstream from Big Creek No open season. Unit 21B remainder, 21C remainder, and 21E—1 caribou Aug. 10-Sept. 30. Unit 21D—north of the Yukon River and east of the Koyukuk River—caribou may be taken during a winter season to be announced by the Refuge Manager of the Koyukuk/Nowitna National Wildlife Refuge Manager and the BLM Central Yukon Field Office Manager, in consultation with ADF&G and the Chairs of the Western Interior Subsistence Regional Advisory Council, and the Middle Yukon and Ruby Fish and Game Advisory Committees Winter season to be announced. Unit 21D—remainder—5 caribou per day; however, cow caribou may not be taken May 16-June 30. July 1-June 30 Moose: Unit 21B—that part of the Nowitna River drainage downstream from and including the Little Mud River drainage—1 bull. A State registration permit is required from Sept. 5-25. A Federal registration permit is required from Sept. 26-Oct. 1 Sept. 5-Oct. 1. Unit 21B—that part of the Nowitna River drainage downstream from and including the Little Mud River drainage—1 antlered bull. A Federal registration permit is required during the 5-day season and will be limited to one per household. The 5-day season may be announced by the Koyukuk/Nowitna National Wildlife Refuge Manager after consultation with the ADF&G and the Chairs of the Western Interior Regional Advisory Council and the Ruby Fish and Game Advisory Committee Five-day season to be announced between Dec. 1 and March 31. Unit 21A and 21B—remainder—1 bull Aug. 20-Sept. 25. Nov. 1-30. Unit 21C—1 antlered bull Sept. 5-25. Unit 21D—Koyukuk Controlled Use Area—1 moose; however, antlerless moose may be taken only during Aug. 27-31 and the Mar. 1-5 season if authorized by announcement by the Koyukuk/Nowitna National Wildlife Refuge Manager. Harvest of cow moose accompanied by calves is prohibited. During the Aug. 27-Sept. 20 season a State registration permit is required. During the Mar. 1-5 season a Federal registration permit is required. Announcement for the antlerless moose seasons and cow quotas will be made after consultation with the ADF&G area biologist and the Chairs of the Western Interior Regional Advisory Council and Middle Yukon Fish and Game Advisory Committee Aug. 27-Sept. 20. Mar. 1-5 season to be announced. Unit 21D—remainder—1 moose; however, antlerless moose may be taken only during Sept. 21-25 and the Mar. 1-5 season if authorized jointly by the Koyukuk/Nowitna National Wildlife Refuge Manager and the Central Yukon Field Office Manager, Bureau of Land Management. Harvest of cow moose accompanied by calves is prohibited. During the Aug. 22-31 and Sept. 5-25 seasons, a State registration permit is required. During the Mar. 1-5 season a Federal registration permit is required. Announcement for the antlerless moose seasons and cow quotas will be made after consultation with the ADF&G area biologist and the Chairs of the Western Interior Regional Advisory Council and the Middle Yukon Fish and Game Advisory Committee Aug. 22-31. Sept. 5-25. Mar. 1-5 season to be announced. Unit 21E-1 moose; however, only bulls may be taken from Aug. 20-Sept. 25; moose may not be taken within one-half mile of the Innoko or Yukon River during the February season Aug. 20-Sept. 25. Feb. 1-10. Beaver: Unit 21E—No Limit Nov. 1-June 10. Unit 21—remainder No open season. Coyote: 10 coyotes Aug. 10-Apr. 30. Fox, Red (including Cross, Black and Silver Phases): 10 foxes; however, no more than 2 foxes may be taken prior to Oct. 1 Sept. 1-Mar. 15. Hare (Snowshoe and Tundra): No limit July 1-June 30. Lynx: 2 lynx Nov. 1-Feb. 28. Wolf: 5 wolves Aug. 10-Apr. 30. Wolverine: 1 wolverine Sept. 1-Mar. 31. Grouse (Spruce, Ruffed, and Sharp-tailed): 15 per day, 30 in possession Aug. 10-Apr. 30. Ptarmigan (Rock, Willow, and White-tailed): 20 per day, 40 in possession Aug. 10-Apr. 30. Trapping Beaver: No Limit Nov. 1-June 10. Coyote: No limit Nov. 1-Mar. 31. Fox, Red (including Cross, Black and Silver Phases): No limit Nov. 1-Feb. 28. Lynx: No limit Nov. 1-Feb. 28. Marten: No limit Nov. 1-Feb. 28. Mink and Weasel: No limit Nov. 1-Feb. 28. Muskrat: No limit Nov. 1-June 10. Otter: No limit Nov. 1-Apr. 15. Wolf: No limit Nov. 1-Apr. 30. Wolverine: No limit Nov. 1-Mar. 31.
(22)*Unit 22.*
(i)Unit 22 consists of Bering Sea, Norton Sound, Bering Strait, Chukchi Sea, and Kotzebue Sound drainages from, but excluding, the Pastolik River drainage in southern Norton Sound to, but not including, the Goodhope River drainage in Southern Kotzebue Sound, and all adjacent islands in the Bering Sea between the mouths of the Goodhope and Pastolik Rivers:
(A)Unit 22A consists of Norton Sound drainages from, but excluding, the Pastolik River drainage to, and including, the Ungalik River drainage, and Stuart and Besboro Islands;
(B)Unit 22B consists of Norton Sound drainages from, but excluding, the Ungalik River drainage to, and including, the Topkok Creek drainage;
(C)Unit 22C consists of Norton Sound and Bering Sea drainages from, but excluding, the Topkok Creek drainage to, and including, the Tisuk River drainage, and King and Sledge Islands;
(D)Unit 22D consists of that portion of Unit 22 draining into the Bering Sea north of, but not including, the Tisuk River to and including Cape York and St. Lawrence Island;
(E)Unit 22E consists of Bering Sea, Bering Strait, Chukchi Sea, and Kotzebue Sound drainages from Cape York to, but excluding, the Goodhope River drainage, and including Little Diomede Island and Fairway Rock.
(ii)You may hunt brown bear by State registration permit in lieu of a resident tag if you have obtained a State registration permit prior to hunting. Aircraft may not be used in any manner for brown bear hunting under the authority of a brown bear State registration permit, including transportation of hunters, bears, or parts of bears; however, this does not apply to transportation of bear hunters or bear parts by regularly scheduled flights to and between communities by carriers that normally provide scheduled service to this area, nor does it apply to transportation of aircraft to or between publicly owned airports.
(iii)Unit-specific regulations:
(A)If you have a trapping license, you may use a firearm to take beaver in Unit 22 during the established seasons;
(B)Coyote, incidentally taken with a trap or snare intended for red fox or wolf, may be used for subsistence purposes;
(C)A snowmachine may be used to position a hunter to select individual caribou for harvest provided that the animals are not shot from a moving snowmachine;
(D)The taking of one bull moose and one musk ox by the community of Wales is allowed for the celebration of the Kingikmiut Dance Festival under the terms of a Federal registration permit. Permits will be issued to individuals only at the request of the Native Village of Wales. The harvest may only occur between January 1 and March 15 in Unit 22E for a bull moose and in Unit 22E for a musk ox. The harvest will count against any established quota for the area;
(E)A Federally qualified subsistence user (recipient) may designate another Federally qualified subsistence user to take musk oxen on his or her behalf unless the recipient is a member of a community operating under a community harvest system. The designated hunter must get a designated hunter permit and must return a completed harvest report. The designated hunter may hunt for any number of recipients in the course of a season, but have no more than two harvest limits in his/her possession at any one time, except in Unit 22E where a resident of Wales or Shishmaref acting as a designated hunter may hunt for any number of recipients, but have no more than four harvest limits in his/her possession at any one time. Harvest limits Open season Hunting Black Bear: Unit 22A and 22B—3 bears July 1-June 30. Unit 22—remainder No open season. Brown Bear: Unit 22A, 22B, 22D, and 22E—1 bear by State registration permit only Aug. 1-May 31. Unit 22C-1 bear by State registration permit only Aug. 1-Oct. 31. May 10-25. Caribou: Unit 22B west of Golovin Bay and west of a line along the west bank of the Fish and Niukluk Rivers and excluding the Libby River drainage—5 caribou per day Oct. 1-Apr. 30. May 1-Sept. 30, a season may be opened by announcement by the Anchorage Field Office Manager of the BLM, in consultation with ADF&G. Units 22A, 22B remainder, that portion of Unit 22D in the Kougaruk, Kuzitrin (excluding the Pilgrim River drainage), American, and Agiapuk River Drainages, and Unit 22E, that portion east of and including the Sanaguich River drainage—5 caribou per day; however, cow caribou may not be taken May 16-June 30 July 1-June 30. Moose: Unit 22A—that portion north of and including the Tagoomenik and Shaktoolik River drainages—1 bull. Federal public lands are closed to hunting except by residents of Unit 22A hunting under these regulations Aug. 1-Sept. 30. Unit 22A—that portion in the Unalakleet drainage and all drainages flowing into Norton Sound north of the Golsovia River drainage and south of the Tagoomenik and Shaktoolik River drainages—Federal public lands are closed to the taking of moose No open season. Unit 22A—remainder—1 bull. However, during the period Jan. 1-31, only an antlered bull may be taken. Federal public lands are closed to the taking of moose except by residents of Unit 22A hunting under these regulations Aug. 1-Sept. 30. Jan. 1-31. Unit 22B—west of the Darby Mountains—1 bull by State registration permit. Quotas and any needed closures will be announced by the Anchorage Field Office Manager of the BLM, in consultation with NPS and ADF&G. Federal public lands are closed to the taking of moose except by Federally qualified subsistence users hunting under these regulations Sept. 1-14. Unit 22B—west of the Darby Mountains—1 bull by either Federal or State registration permit. Quotas and any needed season closures will be announced by the Anchorage Field Office Manager of the BLM, in consultation with NPS, and ADF&G Jan. 1-31. Federal public lands are closed to the taking of moose except by residents of White Mountain and Golovin hunting under these regulations Unit 22B—remainder—1 bull Aug. 1-Jan. 31. Unit 22C—1 antlered bull Sept. 1-14. Unit 22D—that portion within the Kougarok, Kuzitrin, and Pilgrim River drainages—1 bull by State registration permit. Quotas and any needed closures will be announced by the Anchorage Field Office Manager of the BLM, in consultation with NPS and ADF&G. Federal public lands are closed to the taking of moose except by residents of Units 22D and 22C hunting under these regulations Sept. 1-14. Unit 22D—that portion west of the Tisuk River drainage and Canyon Creek—1 bull by State registration permit. Quotas and any needed closures will be announced by the Anchorage Field Office Manager of the BLM, in consultation with NPS and ADF&G Sept. 1-14. Unit 22D—that portion west of the Tisuk River drainage and Canyon Creek—1 bull by Federal registration permit. Quotas and any needed closures will be announced by the Anchorage Field Office Manager of the BLM, in consultation with NPS and ADF&G. Federal public lands are closed to the taking of moose except by residents of Units 22D and 22C hunting under these regulations Dec. 1-31. Unit 22D—remainder—1 bull Aug. 10-Sept. 14. Oct. 1-Nov. 30. Unit 22D—remainder—1 moose; however, no person may take a calf or a cow accompanied by a calf Dec. 1-31. Unit 22D—remainder—1 antlered bull. Jan. 1-31. Unit 22E—1 bull. Federal public lands are closed to the taking of moose except by Federally qualified subsistence users hunting under these regulations Aug. 1-Dec. 31. Musk ox: Unit 22B—1 bull by Federal permit or State Tier II permit. Federal public lands are closed to the taking of musk ox except by Federally qualified subsistence users hunting under these regulations. Annual harvest quotas and any needed closures will be announced by the Superintendent of the Western Arctic National Parklands, in consultation with ADF&G and the BLM Field Office Manager Aug. 1-Mar. 15. Unit 22D—that portion west of the Tisuk River drainage and Canyon Creek—1 musk ox by Federal permit or State Tier II permit; however, cows may only be taken during the period Jan. 1-Mar. 15. Federal public lands are closed to the taking of musk ox except by Federally qualified subsistence users hunting under these regulations. Annual harvest quotas and any needed closures will be announced by the Superintendent of the Western Arctic National Parklands, in consultation with ADF&G and BLM Sept. 1-Mar. 15. Unit 22D—remainder—1 musk ox by Federal permit or State Tier II permit; however, cows may only be taken during the period Jan. 1-Mar. 15. Federal public lands are closed to the taking of musk ox except by Federally qualified subsistence users hunting under these regulations. Annual harvest quotas and any needed closures will be announced by the Superintendent of the Western Arctic National Parklands, in consultation with ADF&G and BLM Aug. 1-Mar. 15. Unit 22E—1 musk ox by Federal permit or State permit; however, cows may only be taken during the period Jan. 1-Mar. 15. Federal public lands are closed to the taking of musk ox except by Federally qualified subsistence users hunting under these regulations. Annual harvest quotas and any needed closures will be announced by the Superintendent of the Western Arctic National Parklands, in consultation with ADF&G and BLM Aug. 1-Mar. 15. Unit 22—remainder No open season. Beaver: Unit 22A, 22B, 22D, and 22E—50 beaver Nov. 1-June 10. Unit 22—remainder No open season. Coyote: Federal public lands are closed to all taking of coyotes No open season. Fox, Arctic (Blue and White Phase): 2 foxes Sept. 1-Apr. 30. Fox, Red (including Cross, Black and Silver Phases): 10 foxes Nov. 1-Apr. 15. Hare (Snowshoe and Tundra): No limit Sept. 1-Apr. 15. Lynx: 2 lynx Nov. 1-Apr. 15. Marten: Unit 22A and 22B—No limit Nov. 1-Apr. 15. Unit 22—remainder No open season. Mink and Weasel: No limit Nov. 1-Jan. 31. Otter: No limit Nov. 1-Apr. 15. Wolf: No limit Nov. 1-Apr. 15. Wolverine: 3 wolverines Sept. 1-Mar. 31. Grouse (Spruce): 15 per day, 30 in possession Aug. 10-Apr. 30. Ptarmigan (Rock and Willow): Unit 22A and 22B east of and including the Niukluk River drainage—40 per day, 80 in possession Aug. 10-Apr. 30. Unit 22E—20 per day, 40 in possession July 15-May 15. Unit 22—remainder—20 per day, 40 in possession Aug. 10-Apr. 30. Trapping Beaver: Unit 22A, 22B, 22D, and 22E—50 beaver Nov. 1-June 10. Unit 22C No open season. Coyote: Federal public lands are closed to all taking of coyotes No open season. Fox, Arctic (Blue and White Phase): No limit Nov. 1-Apr. 15. Fox, Red (including Cross, Black and Silver Phases): No limit Nov. 1-Apr. 15. Lynx: No limit Nov. 1-Apr. 15. Marten: No limit Nov. 1-Apr. 15. Mink and Weasel: No limit Nov. 1-Jan. 31. Muskrat: No limit Nov. 1-June 10. Otter: No limit Nov. 1-Apr. 15. Wolf: No limit Nov. 1-Apr. 30. Wolverine: No limit Nov. 1-Apr. 15.
(23)*Unit 23.*
(i)Unit 23 consists of Kotzebue Sound, Chukchi Sea, and Arctic Ocean drainages from and including the Goodhope River drainage to Cape Lisburne.
(ii)In the following areas, the taking of wildlife for subsistence uses is prohibited or restricted on public land:
(A)You may not use aircraft in any manner either for hunting of ungulates, bear, wolves, or wolverine, or for transportation of hunters or harvested species in the Noatak Controlled Use Area for the period August 25-September 15. The Area consists of that portion of Unit 23 in a corridor extending five miles on either side of the Noatak River beginning at the mouth of the Noatak River, and extending upstream to the mouth of Sapun Creek. This closure does not apply to the transportation of hunters or parts of ungulates, bear, wolves, or wolverine by regularly scheduled flights to communities by carriers that normally provide scheduled air service.
(B)[Reserved]
(iii)You may hunt brown bear by State registration permit in lieu of a resident tag if you have obtained a State registration permit prior to hunting. Aircraft may not be used in any manner for brown bear hunting under the authority of a brown bear State registration permit, including transportation of hunters, bears, or parts of bears; however, this does not apply to transportation of bear hunters or bear parts by regularly scheduled flights to and between communities by carriers that normally provide scheduled service to this area, nor does it apply to transportation of aircraft to or between publicly owned airports.
(iv)Unit-specific regulations:
(A)You may take caribou from a boat moving under power in Unit 23;
(B)In addition to other restrictions on method of take found in this § __.26, you may also take swimming caribou with a firearm using rimfire cartridges;
(C)If you have a trapping license, you may take beaver with a firearm in all of Unit 23 from Nov. 1-Jun. 10;
(D)For the Baird and DeLong Mountain sheep hunts—A Federally qualified subsistence user (recipient) may designate another Federally qualified subsistence user to take sheep on his or her behalf unless the recipient is a member of a community operating under a community harvest system. The designated hunter must obtain a designated hunter permit and must return a completed harvest report. The designated hunter may hunt for only one recipient in the course of a season and may have both his and the recipients' harvest limits in his/her possession at the same time;
(E)A snowmachine may be used to position a hunter to select individual caribou for harvest provided that the animals are not shot from a moving snowmachine;
(F)A Federally qualified subsistence user (recipient) may designate another Federally qualified subsistence user to take musk oxen on his or her behalf unless the recipient is a member of a community operating under a community harvest system. The designated hunter must get a designated hunter permit and must return a completed harvest report. The designated hunter may hunt for any number of recipients, but have no more than two harvest limits in his/her possession at any one time. Harvest limits Open season Hunting Black Bear: 3 bears July 1-June 30. Brown Bear: Unit 23—1 bear by State registration permit Aug. 1-May 31. Caribou: 15 caribou per day; however, cow caribou may not be taken May 16-June 30 July 1-June 30. Sheep: Unit 23—south of Rabbit Creek, Kyak Creek, and the Noatak River, and west of the Cutler and Redstone Rivers (Baird Mountains)—1 sheep by Federal registration permit. The total allowable harvest of sheep is 21, of which 15 may be rams and 6 may be ewes. Federal public lands are closed to the taking of sheep except by Federally qualified subsistence users hunting under these regulations Aug. 10-April 30. If the allowable harvest levels are reached before the regular season closing date, the Superintendent of the Western Arctic National Parklands will announce an early closure. Unit 23—north of Rabbit Creek, Kyak Creek, and the Noatak River, and west of the Aniuk River (DeLong Mountains)—1 sheep by Federal registration permit. The total allowable harvest of sheep for the DeLong Mountains is 8, of which 5 may be rams and 3 may be ewes Aug. 10-April 30. If the allowable harvest levels are reached before the regular season closing date, the Superintendent of the Western Arctic National Parklands will announce an early closure. Unit 23, remainder (Schwatka Mountains)—1 ram with 7/8 curl or larger horn Aug. 10-Sept. 20. Unit 23, remainder (Schwatka Mountains)—1 sheep Oct. 1-Apr. 30. Moose: Unit 23—that portion north and west of and including the Singoalik River drainage, and all lands draining into the Kukpuk and Ipewik Rivers—1 moose; no person may take a calf or a cow accompanied by a calf July 1-Mar. 31. Unit 23—that portion lying within the Noatak River drainage—1 moose; however, antlerless moose may be taken only from Nov. 1-Mar. 31; no person may take a calf or a cow accompanied by a calf Aug. 1-Mar. 31. Unit 23—remainder—1 moose; no person may take a calf or a cow accompanied by a calf Aug. 1-Mar. 31. Musk ox: Unit 23—south of Kotzebue Sound and west of and including the Buckland River drainage—1 musk ox by Federal permit or State Tier II permit; however, cows may only be taken during the period Jan. 1-Mar. 15. Federal public lands are closed to the taking of musk ox except by Federally qualified subsistence users hunting under these regulations. Annual harvest quotas and any needed closures will be announced by the Superintendent of the Western Arctic National Parklands, in consultation with ADF&G and BLM Aug. 1-Mar. 15. Unit 23—Cape Krusenstern National Monument—1 bull by Federal permit. Annual harvest quotas and any needed closures will be announced by the Superintendent of Western Arctic National Parklands. Cape Krusenstern National Monument is closed to the taking of musk oxen except by resident zone community members with permanent residence within the Monument or the immediately adjacent Napaktuktuk Mountain area, south of latitude 67°05′N and west of longitude 162°30′W hunting under these regulations Aug. 1-Mar. 15. Unit 23—remainder No open season. Beaver: No limit July 1-June 30. Coyote: 2 coyotes Sept. 1-Apr. 30. Fox, Arctic (Blue and White Phase): No limit Sept. 1-Apr. 30. Fox, Red (including Cross, Black and Silver Phases): No limit Sept. 1-Mar. 15. Hare: (Snowshoe and Tundra) No limit July 1-June 30. Lynx: 2 lynx Nov. 1-Apr. 15. Wolf: 15 wolves Oct. 1-Apr. 30. Wolverine: 1 wolverine Sept. 1-Mar. 31. Muskrat: No limit July 1-June 30 Grouse (Spruce and Ruffed): 15 per day, 30 in possession Aug. 10-Apr. 30. Ptarmigan (Rock, Willow, and White-tailed): 20 per day, 40 in possession Aug. 10-Apr. 30. Trapping Beaver: Unit 23—the Kobuk and Selawik River drainages—50 beaver July 1-June 30. Unit 23—remainder—30 beaver July 1-June 30. Coyote: No limit Nov. 1-Apr. 15. Fox, Arctic (Blue and White Phase): No limit Nov. 1-Apr. 15. Fox, Red (including Cross, Black and Silver Phases): No limit Nov. 1-Apr. 15. Lynx: No limit Nov. 1-Apr. 15. Marten: No limit Nov. 1-Apr. 15. Mink and Weasel: No limit Nov. 1-Jan. 31. Muskrat: No limit Nov. 1-June 10. Otter: No limit Nov. 1-Apr. 15. Wolf: No limit Nov. 1-Apr. 30. Wolverine: No limit Nov. 1-Apr. 15.
(24)*Unit 24.*
(i)Unit 24 consists of the Koyukuk River drainage upstream from but not including the Dulbi River drainage:
(A)Unit 24A consists of the Middle Fork of the Koyukuk River drainage upstream from but not including the Harriet Creek and North Fork Koyukuk River drainages, to the South Fork of the Koyukuk River drainage upstream from Squaw Creek, the Jim River Drainage, the Fish Creek drainage upstream from and including the Bonanza Creek drainage, to the 1,410′ ft. peak of the hydrologic divide with the northern fork of the Kanuti Chalatna River at N. Lat. 66°33.303′ W. Long. 151°03.637′ and following the unnamed northern fork of the Kanuti Chalatna Creek to the confluence of the southern fork of the Kanuti Chalatna River at N. Lat. 66°27.090′ W. Long. 151°23.841′, 4.2 miles SSW (194 degrees true) of Clawanmenka Lake and following the unnamed southern fork of the Kanuti Chalatna Creek to the hydrologic divide with the Kanuti River drainage at N. Lat. 66°19.789′ W. Long. 151°10.102′, 3.0 miles ENE (79 degrees true) from the 2,055 ft. peak on that divide, and the Kanuti River drainage upstream from the confluence of an unnamed creek at N. Lat. 66°13.050′ W. Long. 151°05.864′, 0.9 miles SSE (155 degrees true) of a 1,980 ft. peak on that divide, and following that unnamed creek to the Unit 24 boundary on the hydrologic divide to the Ray River drainage at N. Lat. 66°03.827′ W. Long. 150°49.988′ at the 2,920 ft. peak of that divide;
(B)Unit 24B consists of the Koyukuk River Drainage upstream from Dog Island to the Subunit 24A boundary;
(C)Unit 24C consists of the Hogatza River Drainage, the Koyukuk River Drainage upstream from Batza River on the north side of the Koyukuk River and upstream from and including the Indian River Drainage on the south side of the Koyukuk River to the Subunit 24B boundary;
(D)Unit 24D consists of the remainder of Unit 24.
(ii)In the following areas, the taking of wildlife for subsistence uses is prohibited or restricted on public land:
(A)You may not use firearms, snowmobiles, licensed highway vehicles, or motorized vehicles, except aircraft and boats, in the Dalton Highway Corridor Management Area, which consists of those portions of Units 20, 24, 25, and 26 extending 5 miles from each side of the Dalton Highway from the Yukon River to milepost 300 of the Dalton Highway, except as follows: Residents living within the Dalton Highway Corridor Management Area may use snowmobiles only for the subsistence taking of wildlife. You may use licensed highway vehicles only on designated roads within the Dalton Highway Corridor Management Area. The residents of Alatna, Allakaket, Anaktuvuk Pass, Bettles, Evansville, and Stevens Village, and residents living within the Corridor may use firearms within the Corridor only for subsistence taking of wildlife;
(B)You may not use aircraft for hunting moose, including transportation of any moose hunter or moose part in the Kanuti Controlled Use Area, which consists of that portion of Unit 24 bounded by a line from the Bettles Field VOR to the east side of Fish Creek Lake, to Old Dummy Lake, to the south end of Lake Todatonten (including all waters of these lakes), to the northernmost headwaters of Siruk Creek, to the highest peak of Double Point Mountain, then back to the Bettles Field VOR; however, this does not apply to transportation of a moose hunter or moose part by aircraft between publicly owned airports in the controlled use area or between a publicly owned airport within the area and points outside the area;
(C)You may not use aircraft for hunting moose, including transportation of any moose hunter or moose part in the Koyukuk Controlled Use Area, which consists of those portions of Unit 21s and 24 bounded by a line from the north bank of the Yukon River at Koyukuk at 64°52.58′ N. lat., 157°43.10′ W. long., then northerly to the confluences of the Honhosa and Kateel Rivers at 65°28.42′ N. lat., 157°44.89′ W. long., then northeasterly to the confluences of Billy Hawk Creek and the Huslia River (65°57′ N. lat., 156°41′ W. long.) at 65°56.66′ N. lat., 156°40.81′ W. long., then easterly to the confluence of the forks of the Dakli River at 66°02.56′ N. lat., 156°12.71′ W. long., then easterly to the confluence of McLanes Creek and the Hogatza River at 66°00.31′ N. lat., 155°18.57′ W. long., then southwesterly to the crest of Hochandochtla Mountain at 65°31.87′ N. lat., 154°52.18′ W. long., then southwest to the mouth of Cottonwood Creek at 65°13.00′ N. lat., 156°06.43′ W. long., then southwest to Bishop Rock (Yistletaw) at 64°49.35′ N. lat., 157°21.73′ W. long., then westerly along the north bank of the Yukon River (including Koyukuk Island) to the point of beginning; however, this does not apply to transportation of a moose hunter or moose part by aircraft between publicly owned airports in the controlled use area or between a publicly owned airport within the area and points outside the area; all hunters on the Koyukuk River passing the ADF&G operated check station at Ella's Cabin (15 miles upstream from the Yukon on the Koyukuk River) are required to stop and report to ADF&G personnel at the check station.
(iii)You may hunt brown bear by State registration permit in lieu of a resident tag if you have obtained a State registration permit prior to hunting. You may not use aircraft in any manner for brown bear hunting under the authority of a brown bear State registration permit, including transportation of hunters, bears, or parts of bears. However, this prohibition does not apply to transportation of bear hunters or bear parts by regularly scheduled flights to and between communities by carriers that normally provide scheduled service to this area, nor does it apply to transportation of aircraft to or between publicly owned airports.
(iv)Unit-specific regulations:
(A)You may use bait to hunt black bear between April 15 and June 30; and in the Koyukuk Controlled Use Area, you may also use bait to hunt black bear between September 1 and September 25;
(B)Arctic fox, incidentally taken with a trap or snare intended for red fox, may be used for subsistence purposes. Harvest limits Open season Hunting Black Bear: 3 bears July 1-June 30. Brown Bear: Unit 24—1 bear by State registration permit Aug. 10-June 30. Caribou: Unit 24—that portion south of the south bank of the Kanuti River, upstream from and including that portion of the Kanuti-Kilolitna River drainage, bounded by the southeast bank of the Kodosin-Nolitna Creek, then downstream along the east bank of the Kanuti-Kilolitna River to its confluence with the Kanuti River—1 caribou Aug. 10-Mar. 31. Unit 24—remainder—5 caribou per day; however, cow caribou may not be taken May 16-June 30 July 1-June 30. Sheep: Unit 24A and 24B—(Anaktuvuk Pass residents only)—that portion within the Gates of the Arctic National Park—community harvest quota of 60 sheep, no more than 10 of which may be ewes and a daily possession limit of 3 sheep per person, no more than 1 of which may be a ewe July 15-Dec. 31. Unit 24A and 24B—(excluding Anaktuvuk Pass residents)—that portion within the Gates of the Arctic National Park—3 sheep Aug. 1-Apr. 30. Unit 24A—except that portion within the Gates of the Arctic National Park—1 ram with 7/8 curl or larger horn by Federal registration permit only Aug. 20-Sept. 30. Unit 24—remainder—1 ram with 7/8 curl or larger horn Aug. 10-Sept. 20. Moose: Unit 24A-1 antlered bull by Federal registration permit Aug. 25-Oct. 1. Unit 24B—that portion within the John River Drainage—1 moose Aug. 1-Dec. 31. Unit 24B—all drainages to the north of the Koyukuk River, except the John River drainage—1 moose; however, antlerless moose may be taken only during the periods Sept. 27-Oct. 1 and Mar. 1-5, if authorized jointly by the Kanuti National Wildlife Refuge Manager, the BLM Field Office Manager, and Gates of the Arctic National Park Superintendent. A Federal registration permit is required for the Sept. 26-Oct. 1 and Mar. 1-5 seasons. Harvest of cows accompanied by calves is prohibited. The announcement will be made after consultation with the ADF&G Area Biologist and Chairs of the Western Interior Alaska Subsistence Regional Advisory Council, the Gates of the Arctic Subsistence Resource Commission, and the Koyukuk River Fish and Game Advisory Committee. Federal public lands in the Kanuti Controlled Use Area are closed to taking of moose, except by Federally qualified subsistence users of Unit 24, Koyukuk, and Galena hunting under these regulations Aug. 25-Oct. 1. Mar. 1-5 season to be announced. Unit 24B—remainder 1 antlered bull. A Federal registration permit is required for the Sept. 26-Oct. 1 season. Federal public lands in the Kanuti Controlled Use Area are closed to taking of moose, except by Federally qualified subsistence users of Unit 24, Koyukuk, and Galena hunting under these regulations Aug. 25-Oct. 1. Unit 24C and 24D—that portion within the Koyukuk Controlled Use Area and Koyukuk National Wildlife Refuge—1 moose; however, antlerless moose may be taken only during Aug. 27-31 and the Mar. 1-5 season, if authorized by announcement by the Koyukuk/Nowitna National Wildlife Refuge Manager and BLM Field Office Manager Central Yukon Field Office Manager. Harvest of cow moose accompanied by calves is prohibited. During the Aug. 27-Sept. 20 season, a State registration permit is required. During the Mar. 1-5 season, a Federal registration permit is required. Announcement for the antlerless moose seasons and cow quotas will be made after consultation with the ADF&G Area Biologist and the Chairs of the Western Interior Alaska Subsistence Regional Advisory Council, and the Middle Yukon and Koyukuk River Fish and Game Advisory Committees Aug. 27-Sept. 20. Mar. 1-5 to be announced. Unit 24C—remainder and Unit 24D—remainder—1 antlered bull. During the Sept. 5—Sept. 25 season, a State registration permit is required Aug. 25-Oct. 1. Coyote: 10 coyotes Aug. 10-Apr. 30. Fox, Red (including Cross, Black and Silver Phases): 10 foxes; however, no more than 2 foxes may be taken prior to Oct. 1 Sept. 1-Mar. 15. Hare (Snowshoe): No limit July 1-June 30. Lynx: 2 lynx Nov. 1-Feb. 28. Wolf: 15 wolves; however, no more than 5 wolves may be taken prior to Nov. 1 Aug. 10-Apr. 30. Wolverine: 5 wolverine; however, no more than 1 wolverine may be taken prior to Nov. 1 Sept. 1-Mar. 31. Grouse (Spruce, Ruffed, and Sharp-tailed): 15 per day, 30 in possession Aug. 10-Apr. 30. Ptarmigan (Rock and Willow): 20 per day, 40 in possession Aug. 10-Apr. 30. Trapping Beaver: No limit Nov. 1-June 10. Coyote: No limit Nov. 1-Mar. 31. Fox, Red (including Cross, Black and Silver Phases): No limit Nov. 1-Feb. 28. Lynx: No limit Nov. 1-Feb. 28. Marten: No limit Nov. 1-Feb. 28. Mink and Weasel: No limit Nov. 1-Feb. 28. Muskrat: No limit Nov. 1-June 10. Otter: No limit Nov. 1-Apr. 15. Wolf: No limit Nov. 1-Apr. 30. Wolverine: No limit Nov. 1-Mar. 31.
(25)*Unit 25.*
(i)Unit 25 consists of the Yukon River drainage upstream from but not including the Hamlin Creek drainage, and excluding drainages into the south bank of the Yukon River upstream from the Charley River:
(A)Unit 25A consists of the Hodzana River drainage upstream from the Narrows, the Chandalar River drainage upstream from and including the East Fork drainage, the Christian River drainage upstream from Christian, the Sheenjek River drainage upstream from and including the Thluichohnjik Creek, the Coleen River drainage, and the Old Crow River drainage;
(B)Unit 25B consists of the Little Black River drainage upstream from but not including the Big Creek drainage, the Black River drainage upstream from and including the Salmon Fork drainage, the Porcupine River drainage upstream from the confluence of the Coleen and Porcupine Rivers, and drainages into the north bank of the Yukon River upstream from Circle, including the islands in the Yukon River;
(C)Unit 25C consists of drainages into the south bank of the Yukon River upstream from Circle to the Subunit 20E boundary, the Birch Creek drainage upstream from the Steese Highway bridge (milepost 147), the Preacher Creek drainage upstream from and including the Rock Creek drainage, and the Beaver Creek drainage upstream from and including the Moose Creek drainage;
(D)Unit 25D consists of the remainder of Unit 25.
(ii)In the following areas, the taking of wildlife for subsistence uses is prohibited or restricted on public land:
(A)You may not use firearms, snowmobiles, licensed highway vehicles or motorized vehicles, except aircraft and boats in the Dalton Highway Corridor Management Area, which consists of those portions of Units 20, 24, 25, and 26 extending 5 miles from each side of the Dalton Highway from the Yukon River to milepost 300 of the Dalton Highway, except as follows: Residents living within the Dalton Highway Corridor Management Area may use snowmobiles only for the subsistence taking of wildlife. You may use licensed highway vehicles only on designated roads within the Dalton Highway Corridor Management Area. The residents of Alatna, Allakaket, Anaktuvuk Pass, Bettles, Evansville, Stevens Village, and residents living within the Corridor may use firearms within the Corridor only for subsistence taking of wildlife;
(B)The Arctic Village Sheep Management Area consists of that portion of Unit 25A north and west of Arctic Village, which is bounded on the east by the East Fork Chandalar River beginning at the confluence of Red Sheep Creek and proceeding southwesterly downstream past Arctic Village to the confluence with Crow Nest Creek, continuing up Crow Nest Creek, through Portage Lake, to its confluence with the Junjik River; then down the Junjik River past Timber Lake and a larger tributary, to a major, unnamed tributary, northwesterly, for approximately 6 miles where the stream forks into 2 roughly equal drainages; the boundary follows the easternmost fork, proceeding almost due north to the headwaters and intersects the Continental Divide; the boundary then follows the Continental Divide easterly, through Carter Pass, then easterly and northeasterly approximately 62 miles along the divide to the head waters of the most northerly tributary of Red Sheep Creek then follows southerly along the divide designating the eastern extreme of the Red Sheep Creek drainage then to the confluence of Red Sheep Creek and the East Fork Chandalar River.
(iii)Unit-specific regulations:
(A)You may use bait to hunt black bear between April 15 and June 30 and between August 1 and September 25; you may use bait to hunt wolves on FWS and BLM lands;
(B)You may take caribou and moose from a boat moving under power in Unit 25;
(C)The taking of bull moose outside the seasons provided in this part for food in memorial potlatches and traditional cultural events is authorized in Unit 25D west provided that: ( *1* ) The person organizing the religious ceremony or cultural event contact the Refuge Manager, Yukon Flats National Wildlife Refuge prior to taking or attempting to take bull moose and provide to the Refuge Manager the name of the decedent, the nature of the ceremony or cultural event, number to be taken, the general area in which the taking will occur; ( *2* ) Each person who takes a bull moose under this section must submit a written report to the Refuge Manager, Yukon Flats National Wildlife Refuge not more than 15 days after the harvest specifying the harvester's name and address, and the date(s) and location(s) of the taking(s); ( *3* ) No permit or harvest ticket is required for taking under this section; however, the harvester must be an Alaska rural resident with customary and traditional use in Unit 25D west; ( *4* ) Any moose taken under this provision counts against the annual quota of 60 bulls. Harvest limits Open season Hunting Black Bear: 3 bears July 1-June 30. or 3 bears by State community harvest permit July 1-June 30. Brown Bear: Unit 25A and 25B—1 bear Aug. 10-June 30. Unit 25C—1 bear Sept. 1-May 31. Unit 25D—1 bear July 1-June 30. Caribou: Unit 25C—that portion west of the east bank of the mainstem of Preacher Creek to its confluence with American Creek, then west of the east bank of American Creek—1 caribou; however, cow caribou may be taken only from Nov. 1-Mar. 31. However, during the November 1-March 31 season, a State registration permit is required Aug. 10-Sept. 20. Nov. 1-Mar. 31. Unit 25C—remainder—1 caribou by joint State/Federal registration permit only. Up to 600 caribou may be taken under a State/Federal harvest quota. The season closures will be announced by the Eastern Interior Field Office Manager, Bureau of Land Management, after consultation with the National Park Service and Alaska Department of Fish and Game Aug. 10-Sept. 30. Nov. 1-Feb. 28. Unit 25D—that portion of Unit 25D drained by the west fork of the Dall River west of 150° W. long.—1 bull Aug. 10-Sept. 30. Dec. 1-31. Unit 25A, 25B, and Unit 25D—remainder—10 caribou July 1-Apr. 30. Sheep: Unit 25A—that portion within the Dalton Highway Corridor Management Area No open season Units 25A—Arctic Village Sheep Management Area—2 rams by Federal registration permit only. Federal public lands, except the drainages of Red Sheep Creek and Cane Creek during the period of Aug. 10-Sept. 20, are closed to the taking of sheep except by rural Alaska residents of Arctic Village, Venetie, Fort Yukon, Kaktovik, and Chalkyitsik hunting under these regulations Aug. 10-Apr. 30. Unit 25A—remainder—3 sheep by Federal registration permit only Aug. 10-Apr. 30. Moose: Unit 25A—1 antlered bull Aug. 25-Sept. 25. Dec. 1-10. Unit 25B—that portion within Yukon-Charley National Preserve—1 bull Aug. 20-Sept. 30. Unit 25B—that portion within the Porcupine River drainage upstream from, but excluding the Coleen River drainage—1 antlered bull Aug. 25-Sept. 30. Dec. 1-10. Unit 25B—that portion, other than Yukon-Charley National Preserve, draining into the north bank of the Yukon River upstream from and including the Kandik River drainage, including the islands in the Yukon River—1 antlered bull Sept. 5-30. Dec. 1-15. Unit 25B—remainder—1 antlered bull Aug. 25-Sept. 25. Dec. 1-15. Unit 25C—1 antlered bull Sept. 1-15. Unit 25D (west)—that portion lying west of a line extending from the Unit 25D boundary on Preacher Creek, then downstream along Preacher Creek, Birch Creek and Lower Mouth of Birch Creek to the Yukon River, then downstream along the north bank of the Yukon River (including islands) to the confluence of the Hadweenzic River, then upstream along the west bank of the Hadweenzic River to the confluence of Forty and One-Half Mile Creek, then upstream along Forty and One-Half Mile Creek to Nelson Mountain on the Unit 25D boundary—1 bull by a Federal registration permit. Permits will be available in the following villages: Beaver (25 permits), Birch Creek (10 permits), and Stevens Village (25 permits). Permits for residents of 25D
(west)who do not live in one of the three villages will be available by contacting the Yukon Flats National Wildlife Refuge Office in Fairbanks or a local Refuge Information Technician. Moose hunting on public land in Unit 25D
(west)is closed at all times except for residents of Unit 25D
(west)hunting under these regulations. The moose season will be closed by announcement of the Refuge Manager Yukon Flats NWR when 60 moose have been harvested in the entirety (from Federal and non-Federal lands) of Unit 25D
(west)Aug. 25-Feb. 28. Unit 25D—remainder—1 antlered moose Aug. 25-Sept. 25. Dec. 1-20. Beaver: Unit 25A, 25B, and 25D—1 beaver per day; 1 in possession Apr. 16-Oct. 31. Unit 25C No open season. Coyote: 10 coyotes Aug. 10-Apr. 30. Fox, Red (including Cross, Black and Silver Phases): 10 foxes; however, no more than 2 foxes may be taken prior to Oct. 1 Sept. 1-Mar. 15. Hare (Snowshoe): No limit July 1-June 30. Lynx: Unit 25C—2 lynx Dec. 1-Jan. 31. Unit 25—remainder—2 lynx Nov. 1-Feb. 28. Muskrat: Unit 25B and 25C, that portion within Yukon-Charley Rivers National Preserve—No limit Nov. 1-June 10. Unit 25—remainder No open season. Wolf: Unit 25A—No limit Aug. 10-Apr. 30. Unit 25—remainder—10 wolves Aug. 10-Apr. 30. Wolverine: 1 wolverine Sept. 1-Mar. 31. Grouse (Spruce, Ruffed, and Sharp-tailed): Unit 25C—15 per day, 30 in possession Aug. 10-Mar. 31. Unit 25—remainder—15 per day, 30 in possession Aug. 10-Apr. 30. Ptarmigan (Rock and Willow): Unit 25C—those portions within 5 miles of Route 6 (Steese Highway)—20 per day, 40 in possession Aug. 10-Mar. 31. Unit 25—remainder—20 per day, 40 in possession Aug. 10-Apr. 30. Trapping Beaver: Unit 25C—No limit Nov. 1-Apr. 15. Unit 25—remainder—50 beaver Nov. 1-Apr. 15. Coyote: No limit Nov. 1-Mar. 31. Fox, Red (including Cross, Black and Silver Phases): No limit Nov. 1-Feb. 28. Lynx: No limit Nov. 1-Feb. 28. Marten: No limit Nov. 1-Feb. 28. Mink and Weasel: No limit Nov. 1-Feb. 28. Muskrat: No limit Nov. 1-June 10. Otter: No limit Nov. 1-Apr. 15. Wolf: No limit Nov. 1-Apr. 30. Wolverine: Unit 25C—No limit Nov. 1-Feb. 28. Unit 25—remainder—No limit Nov. 1-Mar. 31.
(26)*Unit 26.*
(i)Unit 26 consists of Arctic Ocean drainages between Cape Lisburne and the Alaska-Canada border, including the Firth River drainage within Alaska:
(A)Unit 26A consists of that portion of Unit 26 lying west of the Itkillik River drainage and west of the east bank of the Colville River between the mouth of the Itkillik River and the Arctic Ocean;
(B)Unit 26B consists of that portion of Unit 26 east of Unit 26A, west of the west bank of the Canning River and west of the west bank of the Marsh Fork of the Canning River;
(C)Unit 26C consists of the remainder of Unit 26.
(ii)In the following areas, the taking of wildlife for subsistence uses is prohibited or restricted on public land:
(A)You may not use aircraft in any manner for moose hunting, including transportation of moose hunters or parts of moose during the periods July 1-Sept. 14 and Jan. 1-Mar. 31 in Unit 26A; however, this does not apply to transportation of moose hunters, their gear, or moose parts by aircraft between publicly owned airports;
(B)You may not use firearms, snowmobiles, licensed highway vehicles or motorized vehicles, except aircraft and boats, in the Dalton Highway Corridor Management Area, which consists of those portions of Units 20, 24, 25, and 26 extending 5 miles from each side of the Dalton Highway from the Yukon River to milepost 300 of the Dalton Highway, except as follows: Residents living within the Dalton Highway Corridor Management Area may use snowmobiles only for the subsistence taking of wildlife. You may use licensed highway vehicles only on designated roads within the Dalton Highway Corridor Management Area. The residents of Alatna, Allakaket, Anaktuvuk Pass, Bettles, Evansville, Stevens Village, and residents living within the Corridor may use firearms within the Corridor only for subsistence taking of wildlife.
(iii)You may hunt brown bear in Unit 26A by State registration permit in lieu of a resident tag if you have obtained a State registration permit prior to hunting. You may not use aircraft in any manner for brown bear hunting under the authority of a brown bear State registration permit, including transportation of hunters, bears or parts of bears. However, this does not apply to transportation of bear hunters or bear parts by regularly scheduled flights to and between communities by carriers that normally provide scheduled service to this area, nor does it apply to transportation of aircraft to or between publicly owned airports.
(iv)Unit-specific regulations:
(A)You may take caribou from a boat moving under power in Unit 26;
(B)In addition to other restrictions on method of take found in this § __.26, you may also take swimming caribou with a firearm using rimfire cartridges;
(C)In Kaktovik, a Federally qualified subsistence user (recipient) may designate another Federally qualified subsistence user to take sheep or musk ox on his or her behalf unless the recipient is a member of a community operating under a community harvest system. The designated hunter must obtain a designated hunter permit and must return a completed harvest report. The designated hunter may hunt for any number of recipients but may have no more than two harvest limits in his/her possession at any one time;
(D)For the DeLong Mountain sheep hunts—A Federally qualified subsistence user (recipient) may designate another Federally qualified subsistence user to take sheep on his or her behalf unless the recipient is a member of a community operating under a community harvest system. The designated hunter must obtain a designated hunter permit and must return a completed harvest report. The designated hunter may hunt for only one recipient in the course of a season and may have both his and the recipient's harvest limits in his/her possession at the same time. Harvest limits Open season Hunting Black Bear: 3 bears July 1-June 30. Brown Bear: Unit 26A—1 bear by State registration permit July 1-May 31. Unit 26B—1 bear Sept. 1-May 31. Unit 26 C—1 bear Aug. 10-June 30. Caribou: Unit 26A—10 caribou per day; however, cow caribou may not be taken May 16-June 30 July 1-June 30. Unit 26B—10 caribou per day; however, cow caribou may be taken only from Oct. 1-Apr. 30 July 1-June 30. Unit 26C—10 caribou per day July 1-Apr. 30. (You may not transport more than 5 caribou per regulatory year from Unit 26 except to the community of Anaktuvuk Pass.) Sheep: Unit 26A and 26B—(Anaktuvuk Pass residents only)—that portion within the Gates of the Arctic National Park—community harvest quota of 60 sheep, no more than 10 of which may be ewes and a daily possession limit of 3 sheep per person, no more than 1 of which may be a ewe July 15-Dec. 31. Unit 26A—(excluding Anaktuvuk Pass residents)—those portions within the Gates of the Arctic National Park—3 sheep Aug. 1-Apr. 30. Unit 26A—that portion west of Howard Pass and the Etivluk River (DeLong Mountains)—1 sheep by Federal registration permit. The total allowable harvest of sheep for the DeLong Mountains is 8, of which 5 may be rams and 3 may be ewes Aug. 10-April 30. If the allowable harvest levels are reached before the regular season closing date, the Superintendent of the Western Arctic National Parklands will announce an early closure. Unit 26B—that portion within the Dalton Highway Corridor Management Area—1 ram with 7/8 curl or larger horn by Federal registration permit only Aug. 10-Sept. 20. Unit 26A—remainder and 26B—remainder—including the Gates of the Arctic National Preserve—1 ram with 7/8 curl or larger horn Aug. 10-Sept. 20. Unit 26C—3 sheep per regulatory year; the Aug. 10-Sept. 20 season is restricted to 1 ram with 7/8 curl or larger horn. A Federal registration permit is required for the Oct. 1-Apr. 30 season Aug. 10-Sept. 20. Oct. 1-Apr. 30. Moose: Unit 26A—that portion of the Colville River drainage upstream from and including the Anaktuvuk River drainage—1 bull Aug. 1-Sept. 14. Unit 26A—that portion of the Colville River drainage upstream from and including the Anaktuvuk River drainage—1 moose; however, you may not take a calf or a cow accompanied by a calf Feb. 15-Apr. 15. Unit 26A—that portion west of 156° 00′W. longitude excluding the Colville River drainage—1 moose, however, you may not take a calf or a cow accompanied by a calf July 1-Sept. 14. Unit 26A—remainder—1 bull Aug. 1-Sept. 14. Unit 26B, excluding the Canning River drainage—1 bull Sept. 1-14. Units 26B remainder and 26C—1 moose by Federal registration permit by residents of Kaktovik only. The harvest quota is 3 moose (2 bulls and 1 of either sex), provided that no more than 2 bulls may be harvested from Unit 26C and cows may not be harvested from Unit 26C. You may not take a cow accompanied by a calf. Only 3 Federal registration permits will be issued. Federal public lands are closed to the taking of moose except by a Kaktovik resident holding a Federal registration permit and hunting under these regulations July 1-Mar. 31. Musk ox: Unit 26C—1 bull by Federal registration permit only. The number of permits that may be issued only to the residents of the village of Kaktovik will not exceed three percent (3%) of the number of musk oxen counted in Unit 26C during a pre-calving census. Public lands are closed to the taking of musk ox, except by rural Alaska residents of the village of Kaktovik hunting under these regulations July 15-Mar. 31. Coyote: 2 coyotes Sept. 1-Apr. 30. Fox, Arctic (Blue and White Phase): 2 foxes Sept. 1-Apr. 30. Fox, Red (including Cross, Black and Silver Phases): Unit 26A and 26B—10 foxes; however, no more than 2 foxes may be taken prior to Oct. 1 Sept. 1-Mar. 15. Unit 26C—10 foxes Nov. 1-Apr. 15. Hare (Snowshoe and Tundra): No limit July 1-June 30. Lynx: 2 lynx Nov. 1-Apr. 15. Wolf: 15 wolves Aug. 10-Apr. 30. Wolverine: 5 wolverine Sept. 1-Mar. 31. Ptarmigan (Rock and Willow): 20 per day, 40 in possession Aug. 10-Apr. 30. Trapping Coyote: No limit Nov. 1-Apr. 15. Fox, Arctic (Blue and White Phase): No limit Nov. 1-Apr. 15. Fox, Red (including Cross, Black and Silver Phases): No limit Nov. 1-Apr. 15. Lynx: No limit Nov. 1-Apr. 15. Marten: No limit Nov. 1-Apr. 15. Mink and Weasel: No limit Nov. 1-Jan. 31. Muskrat: No limit Nov. 1-June 10. Otter: No limit Nov. 1-Apr. 15. Wolf: No limit Nov. 1-Apr. 30. Wolverine: No limit Nov. 1-Apr. 15. 5. In subpart D of 36 CFR part 242 and 50 CFR part 100, §§ __.27(i)(10) is revised to read as follows: § __.27 Subsistence taking of fish.
(i)* * *
(10)*Cook Inlet Area.* The Cook Inlet Area includes all waters of Alaska enclosed by a line extending east from Cape Douglas (58°51.10′ N. Lat.) and a line extending south from Cape Fairfield (148°50.25′ W. Long.).
(i)Unless restricted in this section, or unless restricted under the terms of a subsistence fishing permit, you may take fish at any time in the Cook Inlet Area. If you take rainbow/steelhead trout incidentally in subsistence net fisheries, you may retain them for subsistence purposes, unless otherwise prohibited or provided for in this section. With jigging gear through the ice or rod and reel gear in open waters there is an annual limit of 2 rainbow/steelhead trout 20 inches or longer, taken from Kenai Peninsula freshwaters.
(ii)You may take fish by gear listed in this part unless restricted in this section or under the terms of a subsistence fishing permit (as may be modified by this section).
(iii)You may not take grayling or burbot for subsistence purposes.
(iv)You may only take salmon, trout, Dolly Varden, and other char under authority of a Federal subsistence fishing permit. Seasons, harvest and possession limits, and methods and means for take are the same as for the taking of those species under Alaska sport fishing regulations (5 AAC 56) unless modified herein. Additionally for Federally managed waters of the Kasilof and Kenai River drainages:
(A)Residents of Ninilchik may take sockeye, Chinook, coho, and pink salmon through a dip net and a rod and reel fishery on the upper mainstem of the Kasilof River from Federal regulatory markers on both sides of the river below the outlet of Tustumena Lake downstream to markers on both sides of the river at Silver Salmon Rapids. Residents using rod and reel gear may fish with up to 2 baited single or treble hooks. Other species incidentally caught during the dip net and rod and reel fishery may be retained for subsistence uses, including up to 200 rainbow/steelhead trout taken through August 15. After 200 rainbow/steelhead trout have been taken in this fishery or after August 15, all rainbow/steelhead trout must be released unless otherwise provided for in this section. Before leaving the fishing site, all retained fish must be recorded on the permit and marked by removing the dorsal fin. Harvests must be reported within 72 hours to the Federal fisheries manager upon leaving the fishing location. ( *1* ) Fishing for sockeye and Chinook salmon will be allowed from June 16-August 15. ( *2* ) Fishing for coho and pink salmon will be allowed from June 16-October 31. ( *3* ) Fishing for sockeye, Chinook, coho, or pink salmon will end prior to regulatory end dates if the annual total harvest limit for that species is reached or superseded by Federal special action. ( *4* ) Each household may harvest their annual sockeye, Chinook, coho, or pink salmon limits in one or more days, and each household member may fish with a dip net or a rod and reel during this time. Salmon taken in the Kenai River system dip net and rod and reel fishery will be included as part of each household's annual limit for the Kasilof River. ( *i* ) For sockeye salmon—annual total harvest limit of 4,000; annual household limits of 25 for each permit holder and 5 additional for each household member; ( *ii* ) For Chinook salmon—annual harvest limit of 500; annual household limit of 10 for each permit holder and 2 additional for each household member; ( *iii* ) For coho salmon—annual total harvest limit of 500; annual household limits of 10 for each permit holder and 2 additional for each household member; and ( *iv* ) For pink salmon—annual total harvest limit of 500; annual household limits of 10 for each permit holder and 2 additional for each household member.
(B)In addition to the dip net and rod and reel fishery on the upper mainstem of the Kasilof River described under paragraph (i)(10)(iv)(A) of this section, residents of Ninilchik may also take coho and pink salmon through a rod and reel fishery in Tustumena Lake. Before leaving the fishing site, all retained salmon must be recorded on the permit and marked by removing the dorsal fin. Seasons, areas, harvest and possession limits, and methods and means for take are the same as for the taking of these species under Alaska sport fishing regulations (5 AAC 56), except for the following methods and means, and bag and possession limits: ( *1* ) Fishing will be allowed with up to 2 baited single or treble hooks. ( *2* ) For coho salmon 16 inches and longer, the daily bag and possession limits are 4 per day and 4 in possession. ( *3* ) For pink salmon 16 inches and longer, daily bag and possession limits are 6 per day and 6 in possession.
(C)Resident fish species including lake trout, rainbow/steelhead trout, and Dolly Varden/Arctic char may be harvested in Federally managed waters of the Kasilof River drainage. Resident fish species harvested in the Kasilof River drainage under the conditions of a Federal subsistence permit must be marked by removing the dorsal fin immediately after harvest and recorded on the permit prior to leaving the fishing site. ( *1* ) Lake trout may be harvested with rod and reel gear the entire year. For fish 20 inches or longer, daily bag and possession limits are 4 per day and 4 in possession. For fish less than 20 inches, daily bag and possession limits are 15 per day and 15 in possession. ( *2* ) Dolly Varden/Arctic char may be harvested with rod and reel gear the entire year. In flowing waters, daily bag and possession limits are 4 per day and 4 in possession. In lakes and ponds, daily bag and possession limits are 10 fish per day and 10 in possession. ( *3* ) Rainbow trout may be harvested with rod and reel gear the entire year for fish less than 20 inches in length. In flowing waters, daily bag and possession limits are 2 per day and 2 in possession. In lakes and ponds, daily bag and possession limits are 5 per day and 5 in possession. ( *4* ) You may fish in Tustumena Lake with a gillnet, no longer than 10 fathoms, fished under the ice or jigging gear used through the ice under authority of a Federal subsistence fishing permit. The total annual harvest quota for this fishery is 200 lake trout, 200 rainbow trout, and 500 Dolly Varden/Arctic char. The use of a gillnet will be prohibited by special action after the harvest quota of any species has been met. For the jig fishery, annual household limits are 30 fish in any combination of lake trout, rainbow trout or Dolly Varden/Arctic char. ( *i* ) You may harvest fish under the ice only in Tustumena Lake. Gillnets are not allowed within a 1/4 mile radius of the mouth of any tributary to Tustumena Lake, or the outlet of Tustumena Lake. ( *ii* ) Permits will be issued by the Federal fisheries manager or designated representative, and will be valid for the winter season, unless the season is closed by special action. ( *iii* ) All harvests must be reported within 72 hours to the Federal fisheries manager upon leaving the fishing location. Reported information must include number of each species caught; number of each species retained; length, depth (number of meshes deep) and mesh size of gillnet fished; location fished; and total hours fished. Harvest data on the permit must be filled out before transporting fish from the fishing area. ( *iv* ) The gillnet must be checked at least once in every 48-hour period. ( *v* ) For unattended gear, the permittee's name and address must be plainly and legibly inscribed on a stake at one end of the gillnet. ( *vi* ) Incidentally caught fish may be retained and must be recorded on the permit. ( *vii* ) Failure to return the completed harvest permit by May 31 may result in issuance of a violation notice and/or denial of a future subsistence permit.
(D)Residents of Hope, Cooper Landing, and Ninilchik may take sockeye salmon through a dip net and a rod and reel fishery at one specified site on the Russian River, and sockeye, late-run Chinook, coho, and pink salmon through a dip net/rod and reel fishery at two specified sites on the Kenai River below Skilak Lake and as provided in this section. For Ninilchik residents, salmon taken in the Kasilof River Federal subsistence dip net and a rod and reel fishery will be included as part of each household's annual limit for the Kenai and Russian Rivers' dip net and rod and reel fishery. For both Kenai River fishing sites below Skilak Lake, incidentally caught fish may be retained for subsistence uses, except for early-run Chinook salmon (unless otherwise provided for), rainbow trout 18 inches or longer, and Dolly Varden 18 inches or longer, which must be released. For the Russian River fishing site, incidentally caught fish may be retained for subsistence uses, except for early- and late-run Chinook salmon, coho salmon, rainbow trout, and Dolly Varden, which must be released. Before leaving the fishing site, all retained fish must be recorded on the permit and marked by removing the dorsal fin. Harvests must be reported within 72 hours to the Federal fisheries manager upon leaving the fishing site, and permits must be returned to the manager at the end of the season. Chum salmon that are retained are to be included within the annual limit for sockeye salmon. Only residents of Hope and Cooper Landing may retain incidentally caught resident species. ( *1* ) The household dip net and rod and reel gear fishery is limited to three sites: ( *i* ) At the Kenai River Moose Meadows site, dip netting and rod and reel gear are allowed only from a boat from Federal regulatory markers on both banks of the Kenai River at about river mile 29 downstream approximately 2.5 miles to markers on both banks of the Kenai River at about river mile 26.5. Residents using rod and reel gear at this fishery site may fish with up to 2 baited single or treble hooks from June 16-August 31. ( *ii* ) At the Kenai River Mile 48 site, dip netting is allowed while either standing in the river or from a boat, from Federal regulatory markers on both banks of the Kenai River at about river mile 48 (approximately 2 miles below the outlet of Skilak Lake) downstream approximately 2.5 miles to markers on both banks of the Kenai River at about river mile 45.5. Residents using rod and reel gear at this fishery site may fish with up to 2 baited single or treble hooks from June 16-August 31. ( *iii* ) At the Russian River Falls site, dip netting is allowed from a Federal regulatory marker near the upstream end of the fish ladder at Russian River Falls downstream to a Federal regulatory marker approximately 600 yards below Russian River Falls. Residents using rod and reel gear at this fishery site may not fish with bait at any time. ( *2* ) Fishing seasons are as follows: ( *i* ) For sockeye salmon at all fishery sites: June 15-August 15; ( *ii* ) For late-run Chinook, pink, and coho salmon at both Kenai River fishery sites only: July 16-September 30; and ( *iii* ) Fishing for sockeye, late-run Chinook, coho, or pink salmon will close by special action prior to regulatory end dates if the annual total harvest limit for that species is reached or superseded by Federal special action. ( *3* ) Each household may harvest their annual sockeye, late-run Chinook, coho, or pink salmon limits in one or more days, and each household member may fish with a dip net or rod and reel during this time. Salmon taken in the Kenai River system dip net and rod and reel fishery by Ninilchik households will be included as part of those households' annual limits for the Kasilof River. ( *i* ) For sockeye salmon—annual total harvest limit of 4,000 (including any retained chum salmon); annual household limits of 25 for each permit holder and 5 additional for each household member; ( *ii* ) For late-run Chinook salmon—annual total harvest limit of 1,000; annual household limits of 10 for each permit holder and 2 additional for each household member; ( *iii* ) For coho salmon—annual total harvest limit of 3,000; annual household limits of 20 for each permit holder and 5 additional for each household member; and ( *iv* ) For pink salmon—annual total harvest limit of 2,000; annual household limits of 15 for each permit holder and 5 additional for each household member.
(E)For Federally managed waters of the Kenai River and its tributaries, in addition to the dip net and rod and reel fisheries on the Kenai and Russian rivers described under paragraph (i)(10)(iv)(D) of this section, residents of Hope, Cooper Landing, and Ninilchik may take sockeye, Chinook, coho, pink, and chum salmon through a separate rod and reel fishery in the Kenai River drainage. Before leaving the fishing site, all retained fish must be recorded on the permit and marked by removing the dorsal fin. Permits must be returned to the Federal fisheries manager at the end of the fishing season. Incidentally caught fish, other than salmon, are subject to regulations found in paragraphs (i)(10)(iv)(F) and
(G)of this section. Seasons, areas (including seasonal riverbank closures), harvest and possession limits, and methods and means for take are the same as for the taking of these salmon species under State of Alaska fishing regulations (5 AAC 56), except for the following bag and possession limits: ( *1* ) In the Kenai River below Skilak Lake, fishing is allowed with up to 2 baited single or treble hooks from June 16-August 31. ( *2* ) For early-run Chinook salmon less than 44 inches or 55 inches or longer, daily bag and possession limits are 2 per day and 2 in possession. ( *3* ) For late-run Chinook salmon 20 inches and longer, daily bag and possession limits are 2 per day and 2 in possession. ( *4* ) Annual harvest limits for any combination of early- and late-run Chinook salmon are 4 for each permit holder. ( *5* ) For other salmon 16 inches and longer, the combined daily bag and possession limits are 6 per day and 6 in possession, of which no more than 4 per day and 4 in possession may be coho salmon, except for the Sanctuary Area and Russian River, for which no more than 2 per day and 2 in possession may be coho salmon.
(F)For Federally managed waters of the Kenai River and its tributaries below Skilak Lake outlet at river mile 50, residents of Hope and Cooper Landing may take resident fish species including lake trout, rainbow trout, and Dolly Varden/Arctic char with jigging gear through the ice or rod and reel gear in open waters. Resident fish species harvested in the Kenai River drainage under the conditions of a Federal subsistence permit must be marked by removal of the dorsal fin immediately after harvest and recorded on the permit prior to leaving the fishing site. Seasons, areas (including seasonal riverbank closures), harvest and possession limits, and methods and means for take are the same as for the taking of these resident species under State of Alaska fishing regulations (5 AAC 56), except for the following bag and possession limits: ( *1* ) For lake trout 20 inches or longer, daily bag and possession limits are 4 per day and 4 in possession. For fish less than 20 inches, daily bag and possession limits are 15 per day and 15 in possession. ( *2* ) In flowing waters, daily bag and possession limits for Dolly Varden/Arctic char less than 18 inches in length are 1 per day and 1 in possession. In lakes and ponds, daily bag and possession limits are 2 per day and 2 in possession. Only 1 of these fish can be 20 inches or longer. ( *3* ) In flowing waters, daily bag and possession limits for rainbow/steelhead trout are 1 per day and 1 in possession and must be less than 18 inches in length. In lakes and ponds, daily bag and possession limits are 2 per day and 2 in possession of which only 1 fish 20 inches or longer may be harvested daily.
(G)For Federally managed waters of the upper Kenai River and its tributaries above Skilak Lake outlet at river mile 50, residents of Hope and Cooper Landing may take resident fish species including lake trout, rainbow trout, and Dolly Varden/Arctic char with jigging gear through the ice or rod and reel gear in open waters. Resident fish species harvested in the Kenai River drainage under the conditions of a Federal subsistence permit must be marked by removal of the dorsal fin immediately after harvest and recorded on the permit prior to leaving the fishing site. Seasons, areas (including seasonal riverbank closures), harvest and possession limits, and methods and means for take are the same as for the taking of these resident species under Alaska fishing regulations (5 AAC 56), except for the following bag and possession limits: ( *1* ) For lake trout 20 inches or longer, daily bag and possession limits are 4 per day and 4 in possession. For fish less than 20 inches, daily bag and possession limits are 15 fish per day and 15 in possession. For Hidden Lake, daily limits are 4 per day and 4 in possession regardless of size. ( *2* ) In flowing waters, daily bag and possession limits for Dolly Varden/Arctic char less than 16 inches are 1 per day and 1 in possession. In lakes and ponds, daily bag and possession limits are 2 per day and 2 in possession of which only 1 fish 20 inches or longer may be harvested daily. ( *3* ) In flowing waters, daily bag and possession limits for rainbow/steelhead trout are 1 per day and 1 in possession and it must be less than 16 inches in length. In lakes and ponds, daily bag and possession limits are 2 per day and 2 in possession of which only 1 fish 20 inches or longer may be harvested daily. ( *v* ) You may only take smelt with dip nets in fresh water from April 1-June 15. There are no harvest or possession limits for smelt. ( *vi* ) Gillnets may not be used in fresh water, except for the taking of whitefish in the Tyone River drainage and as otherwise provided for in this Cook Inlet section. Dated: November 20, 2007. Peter J. Probasco, Acting Chair, Federal Subsistence Board. Steve Kessler, Subsistence Program Leader, USDA—Forest Service. [FR Doc. E7-24571 Filed 12-26-07; 8:45 am] BILLING CODE 3410-11-P, 4310-55-P 72 247 Thursday, December 27, 2007 Rules and Regulations Part III Department of Housing and Urban Development 2 CFR Part 2424 24 CFR Parts 5, 6, et al. Implementation of OMB Guidance on Nonprocurement Debarment and Suspension; Final Rule DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT 2 CFR Part 2424 24 CFR Parts 5, 6, 8, 15, 21, 24, 25, 26, 84, 85, 91, 92, 103, 107, 135, 200, 202, 203, 206, 245, 291, 401, 402, 570, 572, 585, 941, 954, 982, 983, 1000, 1003, 1005, 1006, 3282, and 3500 [Docket No. FR-5071-F-02] RIN 2501-AD29 Implementation of OMB Guidance on Nonprocurement Debarment and Suspension AGENCY: Office of the Secretary, HUD. ACTION: Final rule. SUMMARY: Following publication of a March 23, 2007, proposed rule, this final rule relocates HUD's regulations governing nonprocurement debarment and suspension to a new part in title 2 of the Code of Federal Regulations (CFR). The relocation is part of a governmentwide initiative to create one location where the public can access both the Office of Management and Budget
(OMB)guidance for grants and agreements and the associated Federal agency implementing regulations. The new part adopts the OMB guidance on nonprocurement debarment and suspension and supplements it with HUD-specific clarifications and additions. The rule also makes conforming changes to HUD regulations referencing the nonprocurement debarment and suspension regulations. This regulatory action is an administrative simplification that would make no substantive change in HUD policy or procedures for nonprocurement debarment and suspension. This final rule takes into consideration the one public comment received on the March 23, 2007, proposed rule. To conform the rule to reflect the establishment of HUD's Office of Hearings and Appeals and more closely track the language of the OMB guidelines, this final rule adopts the proposed rule with minor changes. DATES: *Effective Date:* January 28, 2008. FOR FURTHER INFORMATION CONTACT: Dane Narode, Acting Associate General Counsel, Office of Program Enforcement, Administrative Proceedings Division, Department of Housing and Urban Development, 1250 Maryland Avenue, SW., Suite 200, Washington DC 20024-0500; telephone number
(202)708-2350 (this is not a toll-free number); e-mail address *DaneM.Narode@hud.gov.* Hearing- or speech-impaired individuals may access the telephone number listed above by calling the toll-free Federal Information Relay Service at
(800)877-8339. SUPPLEMENTARY INFORMATION: I. Background OMB is undertaking to restructure the framework of Federal government policies for grants, other financial assistance, and nonprocurement agreements in an effort to make it easier for applicants and recipients to locate and comply with such policies. On May 11, 2004 (69 FR 26276), OMB established a new title 2 of the CFR, which is comprised of two subtitles. Subtitle A, entitled “Government-wide Grants and Agreements,” contains OMB policy guidance to Federal agencies on grants and agreements. Subtitle B, entitled “Federal Agency Regulations for Grants and Agreements,” will contain the regulations of Federal agencies implementing the OMB guidance, as it applies to grants and other financial assistance agreements and nonprocurement transactions. On August 31, 2005, at 70 FR 51862, OMB continued its initiative to create a single location where OMB guidance and Federal agency implementing regulations could be found by incorporating guidance documents into 2 CFR, subtitle A, and making conforming changes. OMB is engaging in a process by which it will relocate and revise guidance documents including, but not limited to, OMB circulars and OMB guidance for Federal agencies on governmentwide debarment and suspension. On March 23, 2007, at 72 FR 14015, HUD published a proposed rule to adopt the OMB guidance in subparts A through I of 2 CFR part 180, as supplemented by HUD's policies and procedures for nonprocurement debarment and suspension. HUD's rule proposed to create a new part at 2 CFR part 2424 that adopts, by reference, the baseline provisions of 2 CFR part 180 and includes HUD-specific supplements, clarifications, and modifications to 2 CFR part 180. Accordingly, HUD's regulations at 24 CFR part 24, entitled “Government-wide Debarment and Suspension (Nonprocurement),” are being supplanted by 2 CFR part 2424. It is important to note that the OMB rule promulgating 2 CFR 180 (70 FR 51863, August 31, 2005) re-codified the existing common rule on nonprocurement debarment and suspension issued by 33 Federal agencies, including HUD, on November 26, 2003 (68 FR 66534). As a result, this rule does not change existing HUD policy or procedures. To reflect the new location of HUD's suspension and debarment regulations at 2 CFR part 2424, the March 23, 2007, rule proposed numerous conforming regulatory changes throughout HUD's regulation in title 24 of the CFR. Various parts of title 24 have cross-references to the nonprocurement suspension and debarment provisions contained at 24 CFR part 24; therefore, the rule proposed to replace them with references to 2 CFR part 2424. HUD also proposed to revise references to the Drug Free Workplace Act, which were originally included within 24 CFR part 24. Neither the conforming regulatory changes nor the revision of references to the Drug Free Workplace Act have substantive effect on the Department's regulations. HUD's March 23, 2007, rule also proposed revisions to its Limited Denial of Participation
(LDP)regulations currently codified at 24 CFR part 24. These revisions included changes to account for the relocation of the nonprocurement debarment and suspension rules, as well as to clarify that included within the causes for imposing an LDP under new 2 CFR 2424.1110(a)(8) are any acts or omissions that would be cause for debarment under 2 CFR 180.800. HUD also proposed amending 2 CFR 2424.1130 by adding paragraph
(c)to specify that the applicable factors found in 2 CFR 180.860 may be considered by the Departmental official or designee in deciding whether to terminate, modify, or affirm an LDP. Finally, HUD proposed clarifying changes to 24 CFR 5.105, to add the term “participant,” to 24 CFR 21.605(a)(2); to refer to OMB Circular A-102, as implemented at 24 CFR part 85; and to amend 24 CFR 84.13 by removing HUD as a regulated entity under part 84. 1 This final rule adopts these changes without further modification. 1 For a more detailed description of the proposed regulatory changes, please see the preamble to the March 23, 2007, proposed rule. In this final rule, HUD has also removed the delegation of authority to the Director of the Departmental Enforcement Center from proposed 24 CFR 2424.137. The section now found in the final rule mirrors HUD's previous promulgation of the nonprocurement suspension and debarment rule. HUD has made slight modifications to 24 CFR 2424.747 and 2424.842 in order to more closely track the language of the OMB guidelines. HUD has also modified 24 CFR 2424.952 to reflect the establishment of HUD's Office of Hearings and Appeals and the dissolution of HUD's Board of Contract Appeals. None of the above changes make substantial modifications to the rule as proposed, or to HUD debarment and suspension practice. II. Summary of the Public Comment Received on the March 23, 2007, Proposed Rule This final rule follows publication of the March 23, 2007, proposed rule and takes into consideration the one public comment received on the proposed rule. After careful consideration of the issue raised by the commenter, HUD has decided to adopt the proposed rule with minor changes, as discussed above. The public comment period on the March 23, 2007, proposed rule closed on May 22, 2007. HUD received one comment. The comment, from a national nonprofit organization that represents housing and redevelopment officials, expressed concern about the LDP sanction as a HUD-specific procedure and requested that HUD examine and reconsider its use of the LDP sanction. The commenter wrote that because the LDP sanction takes effect immediately for a limited duration, the sanction may run its course prior to the completion of the administrative review process. The commenter also questioned whether the existence of the LDP sanction creates an “undesirable imbalance” in the relationship between the local HUD officials authorized to impose the LDP and local officials who may be subject to the sanction. The commenter did not comment directly on the proposed regulatory change regarding LDPs, and wrote that it was not “suggesting at this time that the LDP regulations should be removed.” Rather, the commenter asked HUD to explain the continued use of LDPs. As noted above, HUD has not revised the proposed rule in response to this comment. In response to the questions raised by the commenter, HUD notes first that the proposed change to the LDP provision was limited to a clarification, and was not a substantive change. Further, the LDP sanction is not new, but has been relied upon by HUD for more than two decades in order to protect the public and HUD from future harm. Rather than creating any undue imbalance in the relationship between the Federal government and program participants, the LDP has been an effective tool in immediately curtailing program abuse. Absent the availability of the LDP sanction, the misuse of scarce Federal resources would continue pending the completion of a potentially lengthy administrative process. Accordingly, HUD continues to believe that the LDP sanction provides a valuable safeguard to the public and the Federal government. III. Findings and Certifications Regulatory Flexibility Act The Regulatory Flexibility Act (5 U.S.C. 601 *et seq.* ) generally requires an agency to conduct a regulatory flexibility analysis of any rule subject to notice and comment rulemaking requirements, unless the agency certifies that the rule will not have a significant economic impact on a substantial number of small entities. The regulatory amendments that would be made by this rule are procedural. This rule relocates HUD's regulations governing nonprocurement debarment and suspension to a new part in title 2 of the CFR. The relocation is part of a governmentwide initiative to create one location where the public can find both the OMB requirements for grants and agreements and the associated Federal agency implementing regulations. The rule also makes conforming changes to HUD regulations referencing the nonprocurement debarment and suspension regulations. This regulatory action is an administrative simplification that makes no substantive change in HUD policy or procedures for nonprocurement debarment and suspension. The rule does not have any impact on the substantive rights or duties of small entities, because the policies and procedures are being relocated, while remaining substantively the same. Accordingly, the undersigned certifies that this rule will not have a significant economic impact on a substantial number of small entities. Environmental Impact This rule does not direct, provide for assistance or loan and mortgage insurance for, or otherwise govern or regulate, real property acquisition, disposition, leasing, rehabilitation, alteration, demolition, or new construction, or establish, revise, or provide for standards for construction or construction materials, manufactured housing, or occupancy. Accordingly, under 24 CFR 50.19(c)(1), this rule is categorically excluded from the requirements of the National Environmental Policy Act (42 U.S.C. 4321 *et seq.* ). Executive Order 13132, Federalism Executive Order 13132 (entitled “Federalism”) prohibits an agency from publishing any rule that has federalism implications if the rule either imposes substantial direct compliance costs on state and local governments and is not required by statute, or the rule preempts State law, unless the agency meets the consultation and funding requirements of section 6 of the Executive Order. This rule does not have federalism implications and does not impose substantial direct compliance costs on State and local governments or preempt State law within the meaning of the Executive Order. Unfunded Mandates Reform Act Title II of the Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538)
(UMRA)establishes requirements for Federal agencies to assess the effects of their regulatory actions on State, local, and tribal governments, and on the private sector. This rule does not impose any Federal mandates on any State, local, or tribal governments, or on the private sector, within the meaning of UMRA. List of Subjects 2 CFR Part 2424 Administrative practice and procedure, Debarment and suspension, Grant programs, Reporting and recordkeeping requirements. 24 CFR Part 5 Administrative practice and procedure, Aged, Claims, Crime, Government contracts, Grant programs—housing and community development, Individuals with disabilities, Intergovernmental relations, Loan programs—housing and community development, Low and moderate income housing, Mortgage insurance, Penalties, Pets, Public housing, Rent subsidies, Reporting and recordkeeping requirements, Social security, Unemployment compensation, Wages. 24 CFR Part 6 Administrative practice and procedure, Civil rights, Equal employment opportunity, Grant programs—housing and community development, Investigations, Loan programs—housing and community development, Reporting and recordkeeping requirements. 24 CFR Part 8 Administrative practice and procedure, Civil rights, Equal employment opportunity, Grant programs—housing and community development, Individuals with disabilities, Loan programs—housing and community development, Reporting and recordkeeping requirements. 24 CFR Part 15 Classified information, Courts, Freedom of information, Government employees, Reporting and recordkeeping requirements. 24 CFR Part 21 Administrative practice and procedure, Drug abuse, Grant programs, Loan programs, Reporting and recordkeeping requirements. 24 CFR Part 24 Administrative practice and procedure, Government contracts, Grant programs, Loan programs, Technical assistance, Reporting and recordkeeping requirements. 24 CFR Part 25 Administrative practice and procedure, Loan programs—housing and community development, Organization and functions (Government agencies), Reporting and recordkeeping requirements. 24 CFR Part 26 Administrative practice and procedure. 24 CFR Part 84 Accounting, Colleges and universities, Grant programs, Hospitals, Nonprofit organizations, Reporting and recordkeeping requirements. 24 CFR Part 85 Accounting, Grant programs, Indians, Intergovernmental relations, Reporting and recordkeeping requirements. 24 CFR Part 91 Aged, Grant programs—housing and community development, Homeless, Individuals with disabilities, Low and moderate income housing, Reporting and recordkeeping requirements. 24 CFR Part 92 Administrative practice and procedure, Grant programs—housing and community development, Low and moderate income housing, Manufactured homes, Rent subsidies, Reporting and recordkeeping requirements. 24 CFR Part 103 Administrative practice and procedure, Aged, Fair housing, Individuals with disabilities, Intergovernmental relations, Investigations, Mortgages, Penalties, Reporting and recordkeeping requirements. 24 CFR Part 107 Administrative practice and procedure, Fair housing, Grant programs—housing and community development, Loan programs—housing and community development, Religious discrimination, Reporting and recordkeeping requirements, Sex discrimination. 24 CFR Part 135 Administrative practice and procedure, Community development, Equal employment opportunity, Government contracts, Grant programs—housing and community development, Housing, Loan programs—housing and community development, Reporting and recordkeeping requirements, Small businesses. 24 CFR Part 200 Administrative practice and procedure, Claims, Equal employment opportunity, Fair housing, Housing standards, Lead poisoning, Loan programs—housing and community development, Mortgage insurance, Organization and functions (Government agencies), Penalties, Reporting and recordkeeping requirements, Social security, Unemployment compensation, Wages. 24 CFR Part 202 Administrative practice and procedure, Home improvement, Manufactured homes, Mortgage insurance, Reporting and recordkeeping requirements. 24 CFR Part 203 Hawaiian Natives, Home improvement, Indians—lands, Loan programs—housing and community development, Mortgage insurance, Reporting and recordkeeping requirements, Solar energy. 24 CFR Part 206 Aged, Condominiums, Loan programs—housing and community development, Mortgage insurance, Reporting and recordkeeping requirements. 24 CFR Part 245 Condominiums, Cooperatives, Grant programs—housing and community development, Loan programs—housing and community development, Low and moderate income housing, Rent subsidies, Reporting and recordkeeping requirements, Utilities. 24 CFR Part 291 Community facilities, Homeless, Low and moderate income housing, Mortgages, Reporting and recordkeeping requirements, Surplus government property. 24 CFR Part 401 Grant programs—housing and community development, Loan programs—housing and community development, Low and moderate income housing, Mortgage insurance, Mortgages, Rent subsidies, Reporting and recordkeeping requirements. 24 CFR Part 402 Low and moderate income housing, Rent subsidies. 24 CFR Part 570 Administrative practice and procedure, American Samoa, Community development block grants, Grant programs—education, Grant programs—housing and community development, Guam, Indians, Loan programs—housing and community development, Low and moderate income housing, Northern Mariana Islands, Pacific Islands Trust Territory, Puerto Rico, Reporting and recordkeeping requirements, Student aid, Virgin Islands. 24 CFR Part 572 Government property, Grant programs—housing and community development, Low and moderate income housing, Nonprofit organizations, Reporting and recordkeeping requirements. 24 CFR Part 585 Community facilities, Grant programs—housing and community development, Homeless, Low and moderate income housing, Reporting and recordkeeping requirements. 24 CFR Part 941 Grant programs—housing and community development, Loan programs—housing and community development, Public housing. 24 CFR Part 954 Administrative practice and procedure, Grant programs—housing and community development, Grant programs—Indians, Indians, Low and moderate income housing, Manufactured homes, Rent subsidies, Reporting and recordkeeping requirements. 24 CFR Part 982 Grant programs—housing and community development, Grant programs—Indians, Indians, Public housing, Rent subsidies, Reporting and recordkeeping requirements. 24 CFR Part 983 Grant programs—housing and community development, Rent subsidies, Reporting and recordkeeping requirements. 24 CFR Part 1000 Aged, Community development block grants, Grant programs—housing and community development, Grant programs—Indians, Indians, Individuals with disabilities, Public housing, Reporting and recordkeeping requirements. 24 CFR Part 1003 Alaska, Community development block grants, Grant programs—housing and community development, Grant programs—Indians, Indians, Reporting and recordkeeping requirements. 24 CFR Part 1005 Indians, Loan programs—Indians, Reporting and recordkeeping requirements. 24 CFR Part 1006 Community development block grants, Grant programs—housing and community development, Grant programs—Indians, Hawaiian Natives, Low and moderate income housing, Reporting and recordkeeping requirements. 24 CFR Part 3282 Administrative practice and procedure, Consumer protection, Intergovernmental relations, Investigations, Manufactured homes, Reporting and recordkeeping requirements. 24 CFR Part 3500 Consumer protection, Housing, Mortgages, Reporting and recordkeeping requirements. Accordingly, for the reasons discussed in the preamble, HUD amends 2 CFR part 2424 and 24 CFR parts 5, 6, 8, 15, 21, 24, 25, 26, 84, 85, 91, 92, 103, 107, 135, 200, 202, 203, 206, 245, 291, 401, 402, 570, 572, 585, 941, 954, 982, 983, 1000, 1003, 1005, 1006, 3282, and 3500 to read as follows: TITLE 2—GRANTS AND AGREEMENTS SUBTITLE B—FEDERAL AGENCY REGULATIONS FOR GRANTS AND AGREEMENTS PART 2424—NONPROCUREMENT DEBARMENT AND SUSPENSION; DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT 1. Under the authority of 42 U.S.C. 3535(d), add Chapter XXIV consisting of part 2424 to Subtitle B to read as follows: CHAPTER XXIV—DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT PART 2424—NONPROCUREMENT DEBARMENT AND SUSPENSION Sec. 2424.10 What does this part do? 2424.20 Does this part apply to me? 2424.30 What policies and procedures must I follow? Subpart A—General 2424.137 Who in HUD may grant an exception to let an excluded person participate in a covered transaction? Subpart B—Covered Transactions 2424.220 What contracts and subcontracts, in addition to those listed in 2 CFR 180.220, are covered transactions? Subpart C—Responsibilities of Participants Regarding Transactions 2424.300 What must I do before I enter into a covered transaction with another person at the next lower tier (HUD supplement to governmentwide definition at 2 CFR 180.300)? 2424.332 What methods must I use to pass requirements down to participants at lower tiers with whom I intend to do business? Subpart D—Responsibilities of Federal Agency Officials Regarding Transactions 2424.437 What method do I use to communicate to a participant the requirements described in the OMB guidance at 2 CFR 180.435? Subpart E—[Reserved] Subpart F—[Reserved] Subpart G—Suspension 2424.747 Who conducts fact finding for HUD suspensions? Subpart H—Debarment 2424.842 Who conducts fact finding for HUD debarments? Subpart I—Definitions 2424.952 Hearing officer. 2424.970 Nonprocurement transaction (HUD supplement to governmentwide definition at 2 CFR 180.970). 2424.995 Principal (HUD supplement to governmentwide definition at 2 CFR 180.995). 2424.1017 Ultimate beneficiary. Subpart J—Limited Denial of Participation 2424.1100 What is a limited denial of participation? 2424.1105 Who may issue a limited denial of participation? 2424.1110 When may a HUD official issue a limited denial of participation? 2424.1115 When does a limited denial of participation take effect? 2424.1120 How long may a limited denial of participation last? 2424.1125 How does a limited denial of participation start? 2424.1130 How may I contest my limited denial of participation? 2424.1135 Do Federal agencies coordinate limited denial of participation actions? 2424.1140 What is the scope of a limited denial of participation? 2424.1145 May HUD impute the conduct of one person to another in a limited denial of participation? 2424.1150 What is the effect of a suspension or debarment on a limited denial of participation? 2424.1155 What is the effect of a limited denial of participation on a suspension or a debarment? 2424.1160 May a limited denial of participation be terminated before the term of the limited denial of participation expires? 2424.1165 How is a limited denial of participation reported? Authority: Sec. 2455, Pub. L. 103-355, 108 Stat. 3327; E.O. 12549, 3 CFR, 1986 Comp., p. 189; E.O. 12689, 3 CFR, 1989 Comp., p. 235. § 2424.10 What does this part do? In this part, HUD adopts, as HUD policies, procedures, and requirements for nonprocurement debarment and suspension, the OMB guidance in subparts A through I of 2 CFR part 180, as supplemented by this part. This adoption thereby gives regulatory effect for HUD to the OMB guidance, as supplemented by this part. This part satisfies the requirements in section 3 of Executive Order 12549, “Debarment and Suspension” (3 CFR 1986 Comp., p. 189), Executive Order 12689, “Debarment and Suspension” (3 CFR 1989 Comp., p. 235) and 31 U.S.C. 6101 note (Section 2455, Pub. L. 103-355, 108 Stat. 3327). § 2424.20 Does this part apply to me? This part and, through this part, pertinent portions of subparts A through I of 2 CFR part 180 (see table at 2 CFR 180.100(b)), apply to you if you are a—
(a)Participant or principal in a “covered transaction” (see subpart B of 2 CFR part 180 and the definition of “nonprocurement transaction” at 2 CFR 180.970, as supplemented by § 2424.970 of this part);
(b)Respondent in a HUD suspension or debarment action;
(c)HUD debarment or suspension official; or
(d)HUD grants officer, agreements officer, or other official authorized to enter into any type of nonprocurement transaction that is a covered transaction. § 2424.30 What policies and procedures must I follow? The HUD policies and procedures that you must follow are the policies and procedures specified in each applicable section of the OMB guidance in subparts A through I of 2 CFR part 180, as that section is supplemented by the section in this part with the same section number. The contracts that are covered transactions, for example, are specified by section 220 of the OMB guidance (i.e., 2 CFR 180.220), as supplemented by section 220 in this part (i.e., § 2424.220). For any section of OMB guidance in subparts A through I of 2 CFR 180 that has no corresponding section in this part, HUD policies and procedures are those in the OMB guidance. Subpart A—General § 2424.137 Who in HUD may grant an exception to let an excluded person participate in a covered transaction? The Secretary or designee may grant an exception permitting an excluded person to participate in a particular covered transaction. If the Secretary or a designee grants an exception, the exception must be in writing and state the reason(s) for deviating from the governmentwide policy in Executive Order 12549. Subpart B—Covered Transactions § 2424.220 What contracts and subcontracts, in addition to those listed in 2 CFR 180.220, are covered transactions? In addition to the contracts covered under 2 CFR 180.220(b) of the OMB guidance, this part applies to any contract, regardless of tier, that is awarded by a contractor, subcontractor, supplier, consultant, or its agent or representative in any transaction, if the contract is to be funded or provided by HUD under a covered nonprocurement transaction and the amount of the contract is expected to equal or exceed $25,000. This extends the coverage of the HUD nonprocurement suspension and debarment requirements to all lower tiers of subcontracts under covered nonprocurement transactions, as permitted under the OMB guidance at 2 CFR 180.220(c) (see optional lower-tier coverage in the figure in the Appendix to 2 CFR part 180). Subpart C—Responsibilities of Participants Regarding Transactions § 2424.300 What must I do before I enter into a covered transaction with another person at the next lower tier (HUD supplement to governmentwide definition at 2 CFR 180.300)?
(a)You, as a participant, are responsible for determining whether you are entering into a covered transaction with an excluded or disqualified person. You may decide the method by which you do so.
(i)You may, but are not required to, check the Excluded Parties List System (EPLS).
(ii)You may, but are not required to, collect a certification from that person.
(b)In the case of an employment contract, HUD does not require employers to check the EPLS prior to making salary payments pursuant to that contract. § 2424.332 What methods must I use to pass requirements down to participants at lower tiers with whom I intend to do business? To communicate the requirements to lower-tier participants, you must include a term or condition in the transaction requiring compliance with subpart C of the OMB guidance in 2 CFR part 180, as supplemented by this subpart. Subpart D—Responsibilities of Federal Agency Officials Regarding Transactions § 2424.437 What method do I use to communicate to a participant the requirements described in the OMB guidance at 2 CFR 180.435? To communicate to a participant the requirements described in 2 CFR 180.435 of the OMB guidance, you must include a term or condition in the transaction that requires the participant to: comply with subpart C of 2 CFR part 180, as supplemented by subpart C of this part, and include a similar term or condition in lower-tier covered transactions. Subpart E—[Reserved] Subpart F—[Reserved] Subpart G—Suspension § 2424.747 Who conducts fact finding for HUD suspensions? In all HUD suspensions, the official who shall conduct additional proceedings where disputed material facts are challenged shall be a hearing officer. Subpart H—Debarment § 2424.842 Who conducts fact finding for HUD debarments? In all HUD debarments, the official who shall conduct additional proceedings where disputed material facts are challenged shall be a hearing officer. Subpart I—Definitions § 2424.952 Hearing officer. *Hearing Officer* means an Administrative Law Judge or Office of Appeals Judge authorized by HUD's Secretary or by the Secretary's designee to conduct proceedings under this part. § 2424.970 Nonprocurement transaction (HUD supplement to governmentwide definition at 2 CFR 180.970). In the case of employment contracts that are covered transactions, each salary payment under the contract is a separate covered transaction. § 2424.995 Principal (HUD supplement to governmentwide definition at 2 CFR 180.995). A person who has a critical influence on, or substantive control over, a covered transaction, whether or not employed by the participant. Persons who have a critical influence on, or substantive control over, a covered transaction may include, but are not limited to:
(a)Loan officers;
(b)Staff appraisers and inspectors;
(c)Underwriters;
(d)Bonding companies;
(e)Borrowers under programs financed by HUD or with loans guaranteed, insured, or subsidized through HUD programs;
(f)Purchasers of properties with HUD-insured or Secretary-held mortgages;
(g)Recipients under HUD assistance agreements;
(h)Ultimate beneficiaries of HUD programs;
(i)Fee appraisers and inspectors;
(j)Real estate agents and brokers;
(k)Management and marketing agents;
(l)Accountants, consultants, investment bankers, architects, engineers, and attorneys who are in a business relationship with participants in connection with a covered transaction under a HUD program;
(m)Contractors involved in the construction or rehabilitation of properties financed by HUD, with HUD-insured loans or acquired properties, including properties held by HUD as mortgagee-in-possession;
(n)Closing agents;
(o)Turnkey developers of projects financed by or with financing insured by HUD;
(p)Title companies;
(q)Escrow agents;
(r)Project owners;
(s)Administrators of hospitals, nursing homes, and projects for the elderly financed or insured by HUD; and
(t)Developers, sellers, or owners of property financed with loans insured under Title I or Title II of the National Housing Act. § 2424.1017 Ultimate beneficiary. Ultimate beneficiaries of HUD programs include, but are not limited to, subsidized tenants and subsidized mortgagors, such as those assisted under Section 8 Housing Assistance Payment contracts, by Section 236 Rental Assistance, or by Rent Supplement payments. Subpart J—Limited Denial of Participation § 2424.1100 What is a limited denial of participation? A limited denial of participation excludes a specific person from participating in a specific program, or programs, within a HUD field office's geographic jurisdiction, for a specific period of time. A limited denial of participation is normally issued by a HUD field office, but may be issued by a Headquarters office. The decision to impose a limited denial of participation is discretionary and based on the best interests of the federal government. § 2424.1105 Who may issue a limited denial of participation? The Secretary designates HUD officials who are authorized to impose a limited denial of participation, affecting any participant and/or their affiliates, except mortgagees approved by the Federal Housing Administration (FHA). § 2424.1110 When may a HUD official issue a limited denial of participation?
(a)An authorized HUD official may issue a limited denial of participation against a person, based upon adequate evidence of any of the following causes:
(1)Approval of an applicant for insurance would constitute an unsatisfactory risk;
(2)There are irregularities in a person's past performance in a HUD program;
(3)The person has failed to maintain the prerequisites of eligibility to participate in a HUD program;
(4)The person has failed to honor contractual obligations or to proceed in accordance with contract specifications or HUD regulations;
(5)The person has failed to satisfy, upon completion, the requirements of an assistance agreement or contract;
(6)The person has deficiencies in ongoing construction projects;
(7)The person has falsely certified in connection with any HUD program, whether or not the certification was made directly to HUD;
(8)The person has committed any act or omission that would be cause for debarment under 2 CFR 180.800;
(9)The person has violated any law, regulation, or procedure relating to the application for financial assistance, insurance, or guarantee, or to the performance of obligations incurred pursuant to a grant of financial assistance or pursuant to a conditional or final commitment to insure or guarantee;
(10)The person has made or procured to be made any false statement for the purpose of influencing in any way an action of the Department; or
(11)Imposition of a limited denial of participation by any other HUD office.
(b)Filing of a criminal Indictment or Information shall constitute adequate evidence for the purpose of limited denial of participation actions. The Indictment or Information need not be based on offenses against HUD.
(c)Imposition of a limited denial of participation by any other HUD office shall constitute adequate evidence for a concurrent limited denial of participation. Where such a concurrent limited denial of participation is imposed, participation may be restricted on the same basis without the need for an additional conference or further hearing.
(d)An affiliate or organizational element may be included in a limited denial of participation solely on the basis of its affiliation, and regardless of its knowledge of or participation in the acts providing cause for the sanction. The burden of proving that a particular affiliate or organizational element is currently responsible and not controlled by the primary sanctioned party (or by an entity that itself is controlled by the primary sanctioned party) is on the affiliate or organizational element. § 2424.1115 When does a limited denial of participation take effect? A limited denial of participation is effective immediately upon issuance of the notice. § 2424.1120 How long may a limited denial of participation last? A limited denial of participation may remain in effect up to 12 months. § 2424.1125 How does a limited denial of participation start? A limited denial of participation is made effective by providing the person, and any specifically named affiliate, with notice:
(a)That the limited denial of participation is being imposed;
(b)Of the cause(s) under § 2424.1110 for the sanction;
(c)Of the potential effect of the sanction, including the length of the sanction and the HUD program(s) and geographic area affected by the sanction;
(d)Of the right to request, in writing, within 30 days of receipt of the notice, a conference under § 2424.1130; and
(e)Of the right to contest the limited denial of participation under § 2424.1130. § 2424.1130 How may I contest my limited denial of participation?
(a)Within 30 days after receiving a notice of limited denial of participation, you may request a conference with the official who issued such notice. The conference shall be held within 15 days after the Department's receipt of the request for a conference, unless you waive this time limit. The official or designee who imposed the sanction shall preside. At the conference, you may appear with a representative and may present all relevant information and materials to the official or designee. Within 20 days after the conference, or within 20 days after any agreed-upon extension of time for submission of additional materials, the official or designee shall, in writing, advise you of the decision to terminate, modify, or affirm the limited denial of participation. If all or a portion of the remaining period of exclusion is affirmed, the notice of affirmation shall advise you of the opportunity to contest the notice and to request a hearing before a Departmental Hearing Officer. You have 30 days after receipt of the notice of affirmation to request this hearing. If the official or designee does not issue a decision within the 20-day period, you may contest the sanction before a Departmental Hearing Officer. Again, you have 30 days from the expiration of the 20-day period to request this hearing. If you request a hearing before the Departmental Hearing Officer, you must submit your request to the Debarment Docket Clerk, Department of Housing and Urban Development, 451 Seventh Street, SW., B-133 Portals 200, Washington DC 20410-0500.
(b)You may skip the conference with the official and you may request a hearing before a Departmental Hearing Officer. This must also be done within 30 days after receiving a notice of limited denial of participation. If you opt to have a hearing before a Departmental Hearing Officer, you must submit your request to the Debarment Docket Clerk, Department of Housing and Urban Development, 451 Seventh Street, SW., B-133 Portals 200, Washington DC 20410-0500. The hearing before the Departmental Hearing Officer is more formal than the conference before the sanctioning official described above. The Departmental Hearing Officer will conduct the hearing in accordance with 24 CFR part 26, subpart A. The Departmental Hearing Officer will issue findings of fact and make a recommended decision. The sanctioning official will then make a final decision, as promptly as possible, after the Departmental Hearing Officer's recommended decision is issued. The sanctioning official may reject the recommended decision or any findings of fact, only after specifically determining that the decision or any of the facts are arbitrary, capricious, or clearly erroneous.
(c)In deciding whether to terminate, modify, or affirm a limited denial of participation, the Departmental official or designee may consider the factors listed at 2 CFR 180.860. The Departmental Hearing Officer may also consider the factors listed at 2 CFR 180.860 in making any recommended decision. § 2424.1135 Do Federal agencies coordinate limited denial of participation actions? Federal agencies do not coordinate limited denial of participation actions. As stated in § 2424.1100, a limited denial of participation is a HUD-specific action and applies only to HUD activities. § 2424.1140 What is the scope of a limited denial of participation? The scope of a limited denial of participation is as follows:
(a)A limited denial of participation generally extends only to participation in the program under which the cause arose. A limited denial of participation may, at the discretion of the authorized official, extend to other programs, initiatives, or functions within the jurisdiction of an Assistant Secretary. The authorized official, however, may determine that where the sanction is based on an indictment or conviction, the sanction shall apply to all programs throughout HUD.
(b)For purposes of this subpart, participation includes receipt of any benefit or financial assistance through grants or contractual arrangements; benefits or assistance in the form of loan guarantees or insurance; and awards of procurement contracts.
(c)The sanction may be imposed for a period not to exceed 12 months, and shall be effective within the geographic jurisdiction of the office imposing it, unless the sanction is imposed by an Assistant Secretary or Deputy Assistant Secretary, in which case the sanction may be imposed on either a nationwide or a more restricted basis. § 2424.1145 May HUD impute the conduct of one person to another in a limited denial of participation? For purposes of determining a limited denial of participation, HUD may impute conduct as follows:
(a)*Conduct imputed from an individual to an organization.* HUD may impute the fraudulent, criminal, or other improper conduct of any officer, director, shareholder, partner, employee, or other individual associated with an organization, to that organization when the improper conduct occurred in connection with the individual's performance of duties for or on behalf of that organization, or with the organization's knowledge, approval, or acquiescence. The organization's acceptance of the benefits derived from the conduct is evidence of knowledge, approval, or acquiescence.
(b)*Conduct imputed from an organization to an individual or between individuals.* HUD may impute the fraudulent, criminal, or other improper conduct of any organization to an individual, or from one individual to another individual, if the individual to whom the improper conduct is imputed participated in, had knowledge of, or had reason to know of the improper conduct.
(c)*Conduct imputed from one organization to another organization.* HUD may impute the fraudulent, criminal, or other improper conduct of one organization to another organization when the improper conduct occurred in connection with a partnership, joint venture, joint application, association, or similar arrangement, or when the organization to whom the improper conduct is imputed has the power to direct, manage, control, or influence the activities of the organization responsible for the improper conduct. Acceptance of the benefits derived from the conduct is evidence of knowledge, approval, or acquiescence. § 2424.1150 What is the effect of a suspension or debarment on a limited denial of participation? If you have submitted a request for a hearing pursuant to § 2424.1130 of this subpart, and you also receive, pursuant to subpart G or H of this part, a notice of proposed debarment or suspension that is based on the same transaction(s) or the same conduct as the limited denial of participation, as determined by the debarring or suspending official, the following rules shall apply:
(a)During the 30-day period after you receive a notice of proposed debarment or suspension, during which you may elect to contest the debarment under 2 CFR 180.815, or the suspension pursuant to 2 CFR 180.720, all proceedings in the limited denial of participation, including discovery, are automatically stayed.
(b)If you do not contest the proposed debarment pursuant to 2 CFR 180.815, or the suspension pursuant to 2 CFR 180.720, the final imposition of the debarment or suspension shall also constitute a final decision with respect to the limited denial of participation, to the extent that the debarment or suspension is based on the same transaction(s) or conduct as the limited denial of participation.
(c)If you contest the proposed debarment pursuant to 2 CFR 180.815, or the suspension pursuant to 2 CFR 180.720, then:
(1)Those parts of the limited denial of participation and the debarment or suspension based on the same transaction(s) or conduct, as determined by the debarring or suspending official, shall be immediately consolidated before the debarring or suspending official;
(2)Proceedings under the consolidated portions of the limited denial of participation shall be stayed before the hearing officer until the suspending or debarring official makes a determination as to whether the consolidated matters should be referred to a hearing officer. Such a determination must be made within 90 days of the date of the issuance of the suspension or proposed debarment, unless the suspending/debarring official extends the period for good cause.
(i)If the suspending or debarring official determines that there is a genuine dispute as to material facts regarding the consolidated matter, the entire consolidated matter will be referred to the hearing officer hearing the limited denial of participation, for additional proceedings pursuant to 2 CFR 180.750 or 180.845.
(ii)If the suspending or debarring official determines that there is no dispute as to material facts regarding the consolidated matter, jurisdiction of the hearing officer under 2 CFR part 2424, subpart J, to hear those parts of the limited denial of participation based on the same transaction[s] or conduct as the debarment or suspension, as determined by the debarring or suspending official, will be transferred to the debarring or suspending official, and the hearing officer responsible for hearing the limited denial of participation shall transfer the administrative record to the debarring or suspending official.
(3)The suspending or debarring official shall hear the entire consolidated case under the procedures governing suspensions and debarments, and shall issue a final decision as to both the limited denial of participation and the suspension or debarment. § 2424.1155 What is the effect of a limited denial of participation on a suspension or a debarment? The imposition of a limited denial of participation does not affect the right of the Department to suspend or debar any person under this part. § 2424.1160 May a limited denial of participation be terminated before the term of the limited denial of participation expires? If the cause for the limited denial of participation is resolved before the expiration of the 12-month period, the official who imposed the sanction may terminate it. § 2424.1165 How is a limited denial of participation reported? When a limited denial of participation has been made final, or the period for requesting a conference pursuant to § 2424.1130 has expired without receipt of such a request, the official imposing the limited denial of participation shall notify the Director of the Compliance Division in the Departmental Enforcement Center of the scope of the limited denial of participation. TITLE 24—HOUSING AND URBAN DEVELOPMENT SUBTITLE B—REGULATIONS RELATING TO HOUSING AND URBAN DEVELOPMENT PART 5—GENERAL HUD PROGRAM REQUIREMENTS; WAIVERS 2. The authority citation for part 5 continues to read as follows: Authority: 42 U.S.C. 1437a, 1437c, 1437d, 1437f, 1437n, 3535(d), and Sec. 327, Pub. L. 109-115, 119 Stat. 2936. 3. Revise § 5.105(c) and
(d)to read as follows: § 5.105 Other federal requirements.
(c)Debarred, suspended, or ineligible contractors and participants. The prohibitions at 2 CFR part 2424 on the use of debarred, suspended, or ineligible contractors and participants.
(d)Drug-Free Workplace. The Drug-Free Workplace Act of 1988 (41 U.S.C. 701, *et seq.* ) and HUD's implementing regulations at 24 CFR part 21. PART 6—NONDISCRIMINATION IN PROGRAMS AND ACTIVITIES RECEIVING ASSISTANCE UNDER TITLE I OF THE HOUSING AND COMMUNITY DEVELOPMENT ACT OF 1978 4. The authority citation for part 6 continues to read as follows: Authority: 42 U.S.C. 3535(d); 42 U.S.C. 5309 5. Revise § 6.12(a)(4) to read as follows: § 6.12 Procedure for effecting compliance.
(a)* * *
(4)Take such other actions as may be provided by law, including, but not limited to, the initiation of proceedings under 2 CFR part 2424 or any applicable proceeding under State or local law. PART 8—NONDISCRIMINATION BASED ON HANDICAP IN FEDERALLY ASSISTED PROGRAMS AND ACTIVITIES OF THE DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT 6. The authority citation for part 8 continues to read as follows: Authority: 29 U.S.C. 794; 42 U.S.C. 3535(d) and 5309. 7. Revise § 8.57(a)(2) to read as follows: § 8.57 Procedure for effecting compliance.
(a)* * *
(2)The initiation of debarment proceedings pursuant to 2 CFR part 2424; and PART 15—PUBLIC ACCESS TO HUD RECORDS UNDER THE FREEDOM OF INFORMATION ACT AND TESTIMONY AND PRODUCTION OF INFORMATION BY HUD EMPLOYEES 8. The authority citation for part 15 continues to read as follows: Authority: 42 U.S.C. 3535(d). Subpart A also issued under 5 U.S.C. 552. Section 15.107 also issued under E.O. 12958, 60 FR 19825, 3 CFR Comp., p. 333. Subparts C and D also issued under 5 U.S.C. 301. 9. Revise § 15.109(d) to read as follows: § 15.109 How will HUD respond to a request for information from form HUD-92410 (Statement of Profit and Loss)?
(d)What sanctions are available for improper disclosure of such information? An eligible potential purchaser or a potential investor (who has received the information from a potential purchaser and has been notified by that entity of its obligations under paragraph
(b)of this section), who discloses information from form HUD-92410 in violation of this section, may be subject to sanctions under 2 CFR part 2424. PART 21—GOVERNMENTWIDE REQUIREMENTS FOR DRUG-FREE WORKPLACE (GRANTS) 10. The authority citation for part 21 continues to read as follows: Authority: 41 U.S.C. 701; 42 U.S.C. 3535(d). 11. Revise § 21.510(c) to read as follows: § 21.510 What actions will the Federal government take against a recipient determined to have violated this part?
(c)Suspension or debarment of the recipient under 2 CFR part 2424, for a period not to exceed five years. 12. Revise § 21.605(a)(2) to read as follows: § 21.605 Award.
(a)* * *
(2)A block grant or a grant in an entitlement program, whether or not the grant is exempted from coverage under the governmentwide rule 24 CFR part 85 that implements OMB Circular A-102 and specifies uniform administrative requirements. 13-14. Revise Part 24 to read as follows: PART 24—GOVERNMENTWIDE DEBARMENT AND SUSPENSION (NONPROCUREMENT) Authority: 42 U.S.C. 3535(d). § 24.1 Debarment and Suspension (Nonprocurement). The policies, procedures, and requirements for debarment, suspension, and limited denial of participation are set forth in 2 CFR part 2424. PART 25—MORTGAGEE REVIEW BOARD 15. The authority citation for part 25 continues to read as follows: Authority: 12 U.S.C. 1708(c), 1708(d), 1709(s), 1715(b) and 1715(f)-14; 42 U.S.C. 3535(d). § 25.2 [Amended] 16. In § 25.2, revise the reference to “part 24 of this subtitle A” to read “2 CFR part 2424.” 17. Revise § 25.9(n) to read as follows: § 25.9 Grounds for an administrative action.
(n)Employing or retaining:
(1)An officer, partner, director, or principal at such time when such person was suspended, debarred, ineligible, or subject to a limited denial of participation under 2 CFR part 2424 or otherwise prohibited from participation in HUD programs, where the mortgagee knew or should have known of the prohibition;
(2)An employee who is not an officer, partner, director, or principal and who is or will be working on HUD/FHA program matters at a time when such person was suspended, debarred, ineligible, or subject to a limited denial of participation under 2 CFR part 2424 or otherwise prohibited from participation in HUD programs, where the mortgagee knew or should have known of the prohibition; PART 26—HEARING PROCEDURES 18. The authority citation for part 26 continues to read as follows: Authority: 42 U.S.C. 3535(d). 19. Revise § 26.1 to read as follows: § 26.1 Purpose. This part sets forth rules of procedure in certain proceedings of the Department of Housing and Urban Development presided over by a hearing officer. These rules of procedure apply to hearings with respect to determinations by the Multifamily Participation Review Committee pursuant to 24 CFR part 200, subpart H, to hearings conducted pursuant to referrals by debarring or suspending officials under 2 CFR part 2424, and to hearings conducted pursuant to referrals by a hearing official under 24 CFR part 25, unless such regulations at 2 CFR part 2424, 24 CFR parts 25 or 200 provide otherwise. They also apply in any other case where a hearing is required by statute or regulation, to the extent that rules adopted under such statute or regulation are not inconsistent. 20. Revise § 26.9 to read as follows: § 26.9 Notice of administrative action. In every case, there shall be a notice of administrative action. The notice shall be in writing and inform the party of the determination. The notice shall state the reasons for the proposed or imposed action, except where general terms are permitted by 2 CFR part 2424. The notice shall inform the party of any right to a hearing to challenge the determination, and the manner and time in which to request such a hearing. A supplemental notice may be issued, at the discretion of the initiating official, to add to or modify the reasons for the action. PART 84—UNIFORM ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND AGREEMENTS WITH INSTITUTIONS OF HIGHER EDUCATION, HOSPITALS, AND OTHER NON-PROFIT ORGANIZATIONS 21. The authority citation for part 84 continues to read as follows: Authority: 42 U.S.C. 3535(d). 22. In § 84.2, revise the definition of “ *Suspension* ” to read as follows: § 84.2 Definitions. *Suspension* means an action by HUD that temporarily withdraws HUD sponsorship under an award, pending corrective action by the recipient or pending a decision to terminate the award by HUD. Suspension of an award is a separate action from suspensions under HUD regulations implementing E.O. 12549 and E.O. 12689, “Debarment and Suspension,” at 2 CFR part 2424. 23. Revise § 84.13 to read as follows: § 84.13 Debarment and suspension; Drug-Free Workplace.
(a)Recipients and subrecipients shall comply with the governmentwide nonprocurement debarment and suspension requirements in 2 CFR part 2424. These governmentwide requirements restrict subawards and contracts with certain parties that are debarred, suspended, or otherwise excluded from or ineligible for participation in federal assistance programs or activities.
(b)Recipients and subrecipients shall comply with the requirements of the Drug-Free Workplace Act of 1988 (42 U.S.C. 701), as set forth at 24 CFR part 21. 24. Revise § 84.44(d) to read as follows: § 84.44 Procurement procedures.
(d)Contracts shall be made only with responsible contractors who possess the potential ability to perform successfully under the terms and conditions of the proposed procurement. Consideration shall be given to such matters as contractor integrity; compliance with public policy, including, where applicable, Section 3 of the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u); record of past performance; and financial and technical resources or accessibility to other necessary resources. In certain circumstances, contracts with certain parties are restricted by implementation of Executive Orders 12549 and 12689, “Debarment and Suspension,” at 2 CFR part 2424. 25. Revise § 84.62(d) to read as follows: § 84.62 Enforcement.
(d)*Relationship to debarment and suspension* . The enforcement remedies identified in this section, including suspension and termination, do not preclude a recipient from being subject to debarment and suspension under HUD's regulations at 2 CFR part 2424 (see § 84.13). 26. Revise § 84.84(e)(4) to read as follows: § 84.84 Procurement standards.
(e)* * *
(4)Contracts shall be made only with responsible contractors who possess the potential ability to perform successfully under the terms and conditions of the proposed procurement. Consideration shall be given to such matters as contractor integrity; compliance with public policy, including, where applicable, Section 3 of the Housing and Urban Development Act of 1968 (12 U.S.C. 1701u); record of past performance; and financial and technical resources or accessibility to other necessary resources. In certain circumstances, contracts with certain parties are restricted, as set forth at 2 CFR part 2424. 27. Revise § 84.86(b)(4) to read as follows: § 84.86 Termination and enforcement.
(b)* * *
(4)*Relationship to debarment and suspension.* The enforcement remedies identified in this section, including suspension and termination, do not preclude a recipient from being subject to debarment and suspension under HUD's regulations at 2 CFR part 2424 (see § 84.13). Appendix A to Part 84—[Amended] 28. Remove paragraphs 8 and 9 from Appendix A. PART 85—ADMINISTRATIVE REQUIREMENTS FOR GRANTS AND COOPERATIVE AGREEMENTS TO STATE, LOCAL, AND FEDERALLY RECOGNIZED INDIAN TRIBAL GOVERNMENTS 29. The authority citation for part 85 continues to read as follows: Authority: 42 U.S.C. 3535(d). 30. In § 85.3, revise the definition of “Suspension” to read as follows: § 85.3 Definitions. *Suspension* means, depending on the context, either temporary withdrawal of the authority to obligate grant funds pending corrective action by the grantee or subgrantee or a decision to terminate the grant, or an action taken by a suspending official in accordance with 2 CFR part 2424, to immediately exclude a person from participating in grant transactions for a period, pending completion of an investigation and such legal or debarment proceedings as may ensue. 31. Revise § 85.35 to read as follows: § 85.35 Subawards to debarred and suspended parties. Grantees and subgrantees must not make any award or permit any award (subgrant or contract) at any tier to any party that is debarred or suspended or is otherwise excluded from or ineligible for participation in federal assistance programs subject to 2 CFR part 2424. 32. Revise § 85.43(d) to read as follows: § 85.43 Enforcement.
(d)*Relationship to debarment and suspension.* The enforcement remedies identified in this section, including suspension and termination, do not preclude a grantee or subgrantee from being subject to 2 CFR part 2424 (see § 85.35). PART 91—CONSOLIDATED SUBMISSIONS FOR COMMUNITY PLANNING AND DEVELOPMENT PROGRAMS 33. The authority citation for part 91 continues to read as follows: Authority: 42 U.S.C. 3535(d), 3601-3619, 5301-5315, 11331-11388, 12701-12711, 12741-12756, and 12901-12912. § 91.225 [Amended] 34. Remove § 91.225(a)(3) and redesignate paragraphs (a)(4), (5), (6), (7), and
(8)as (a)(3), (4), (5), (6), and (7), respectively. § 91.325 [Amended] 35. Remove § 91.325(a)(3) and redesignate paragraphs (a)(4), (5), (6), (7), and
(8)as (a)(3), (4), (5), (6), and (7), respectively. § 91.425 [Amended] 36. Remove § 91.425(a)(1)(iii) and redesignate paragraphs (a)(1)(iv), (v), (vi), (vii), and
(viii)as (a)(1)(iii), (iv), (v), (vi), and (vii), respectively. PART 92—HOME INVESTMENT PARTNERSHIP PROGRAM 37. The authority citation for part 92 continues to read as follows: Authority: 42 U.S.C. 3535(d) and 12701-12839. § 92.61 [Amended] 38. Remove § 92.61(c)(6) and redesignate paragraph (c)(7) as paragraph (c)(6). 39. In § 92.508, revise paragraph (a)(7)(viii) to read as follows: § 92.508 Recordkeeping.
(a)* * *
(7)* * *
(viii)Records demonstrating compliance with debarment and suspension requirements in 2 CFR part 2424. PART 103—FAIR HOUSING COMPLAINT PROCESS 40. The authority citation for part 103 continues to read as follows: Authority: 42 U.S.C. 3535(d), 3600-3619. 41. Revise § 103.510(b) to read as follows: § 103.510 Other action by HUD.
(b)Take appropriate steps to initiate proceedings leading to the debarment of the respondent under 2 CFR part 2424, or initiate other actions leading to the imposition of administrative sanctions, where HUD determines that such actions are necessary to the effective operation and administration of federal programs or activities. PART 107—NONDISCRIMINATION AND EQUAL OPPORTUNITY IN HOUSING UNDER EXECUTIVE ORDER 11063 42. The authority citation for part 107 continues to read as follows: Authority: 42 U.S.C. 3535(d); E.O. 11063, 27 FR 11527, 3 CFR, 1958-1963 Comp., p. 652; E.O. 12892, 59 FR 2939, 3 CFR, 1994 Comp., p. 849. 43. Revise § 107.60(b) to read as follows: § 107.60 Sanctions and penalties.
(b)Such sanctions as are specified by E.O. 11063, the contract through which federal assistance is provided, and such sanctions as are specified by the rules or regulations of the Department governing the program under which federal assistance to the project is provided shall be applied in accordance with the relevant regulations. Actions that may be taken include: cancellation or termination, in whole or in part, of the contract or agreement; refusal to approve a lender or withdrawal of approval; or a determination of ineligibility, suspension, or debarment from any further assistance or contracts; provided, however, that sanctions of debarment, suspension, and ineligibility are subject to the Department's regulations under 2 CFR part 2424, and, further, that no sanction under section 302 (a), (b), and
(c)of Executive Order 11063 shall be applied by the Assistant Secretary for Fair Housing and Equal Opportunity without the concurrence of the Secretary. PART 135—ECONOMIC OPPORTUNITIES FOR LOW-AND VERY LOW-INCOME PERSONS 44. The authority citation for part 135 continues to read as follows: Authority: 12 U.S.C. 1701u; 42 U.S.C. 3535(d). 45. Revise § 135.72(b) to read as follows: § 135.72 Cooperation in achieving compliance.
(b)The recipient shall refrain from entering into a contract with any contractor after notification to the recipient by HUD that the contractor has been found in violation of the regulations in this part. The provisions of 2 CFR part 2424 apply to the employment, engagement of services, awarding of contracts, or funding of any contractors or subcontractors during any period of debarment, suspension, or otherwise ineligible status. 46. Revise § 135.74(d) to read as follows: § 135.74 Section 3 compliance review procedures.
(d)*Continuing noncompliance by recipient or contractor.* A continuing failure or refusal by the recipient or contractor to comply with the regulations in this part may result in the application of sanctions specified in the contract through which HUD assistance is provided, or the application of sanctions specified in the regulations governing the HUD program under which HUD financial assistance is provided. HUD will notify the recipient of any continuing failure or refusal by the contractor to comply with the regulations in this part for possible action under any procurement contract between the recipient and the contractor. Where appropriate, debarment, suspension, and limited denial of participation may be applied to the recipient or the contractor, pursuant to HUD's regulations at 2 CFR part 2424. PART 200—INTRODUCTION TO FHA PROGRAMS 47. The authority citation for part 200 continues to read as follows: Authority: 12 U.S.C. 1702-1715z-21; 42 U.S.C. 3535(d). 48. Revise § 200.31 to read as follows: § 200.31 Debarment and Suspension. The requirements set forth in 2 CFR part 2424 apply to these programs. 49. Revise § 200.172(d) to read as follows: § 200.172 Removal from the Inspector Roster.
(d)*Other action.* Nothing in this section prohibits HUD from taking such other action against an inspector, as provided in 2 CFR part 2424, or from seeking any other remedy against an inspector, available to HUD by statute or otherwise. 50. Revise § 200.192(d) to read as follows: § 200.192 Removal of 203(k) consultant.
(d)*Other action.* Nothing in this section prohibits HUD from taking such other action against a consultant, as provided in 2 CFR part 2424, or from seeking any other remedy against a consultant, available to HUD by statute or otherwise. 51. Revise § 200.195(d) to read as follows: § 200.195 Removal of nonprofit organization from Nonprofit Organization Roster.
(d)*Other action.* Nothing in this section prohibits HUD from taking such other action against a nonprofit organization, as provided in 2 CFR part 2424, or from seeking any other remedy against a nonprofit organization, available to HUD by statute or otherwise. 52. Revise § 200.204(a) introductory text and
(e)to read as follows: § 200.204 What actions may HUD take against unsatisfactory appraisers on the Appraiser Roster?
(a)*Removal from the Appraiser Roster.* HUD officials, as designated by the Secretary, may at any time remove a listed appraiser from the Appraiser Roster for cause, in accordance with paragraphs (a)(1) through (a)(3) of this section. The provisions of paragraphs (a)(1) through (a)(3) of this section do not apply to removal actions taken under any section in 2 CFR part 2424 or to any other remedy against an appraiser, available to HUD by statute or otherwise.
(e)*Other action.* Nothing in this section prohibits HUD from taking any other action against an appraiser, as provided under 2 CFR part 2424, or from seeking any other remedy against an appraiser, available to HUD by statute or otherwise. § 200.226 [Amended] 53. In § 200.226(a)(2)(i), revise the reference to “24 CFR part 24” to read “2 CFR part 2424.” § 200.230 [Amended] 54. In § 200.230(a), revise the reference to “part 24 of this title” to read “2 CFR part 2424.” 55. Revise § 200.236 to read as follows: § 200.236 Modification or withdrawal of certain approvals. Approvals will not be modified or withdrawn, except in cases where the principal is subsequently suspended or debarred from further participation in any HUD programs under 2 CFR part 2424, or is found by the Review Committee to have obtained approval based upon submission to HUD of a false, fraudulent, or incomplete report or certificate. In such cases, the Review Committee may take such action, including modification or withdrawal of approval, as it determines to be in the best interest of the Department and the public. For the purpose of this section, the term “approval” includes conditional approval. 56. Revise § 200.243(b) to read as follows: § 200.243 Hearing rules—How and when to apply.
(b)Hearings and review of determination by the Hearing Officer shall be governed by the procedures contained in 2 CFR part 2424, except as modified in paragraph
(a)of this section and by § 200.245. 57. Revise § 200.935(c)(3) to read as follows: § 200.935 Administrator qualifications and procedures for HUD building products certification programs.
(c)* * *
(3)*Acceptance* . HUD shall review each submission and notify the applicant whether or not they are accepted or rejected. HUD shall be notified immediately of any change(s) in the administrator's submission regarding program procedures and/or major personnel associated with the program. HUD reserves the right to suspend or debar an administrator in accordance with 2 CFR part 2424. 58. Revise § 200.1500(b) to read as follows: § 200.1500 Sanctions against a MAP lender.
(b)The actions listed in paragraphs (a)(1) through (a)(4) of this section are carried out in accordance with the requirements of this subpart. An LDP is a sanction applied in accordance with subpart J of 2 CFR part 2424 to participants in loan transactions other than FHA-insured lenders. The Mortgagee Review Board procedures are found at 24 CFR part 25. 59. Revise § 200.1530(b)(14) and
(15)to read as follows: § 200.1530 Bases for sanctioning a MAP lender.
(b)* * *
(14)Employing or retaining an officer, partner, director, or principal at the time when the person was suspended, debarred, ineligible, or subject to an LDP under 2 CFR part 2424, or otherwise prohibited from participation in HUD programs, when the MAP lender knew or should have known of the prohibition;
(15)Employing or retaining an employee who is not an officer, partner, director, or principal, and who is or will be working on HUD-FHA program matters, at a time when that person was suspended, debarred, ineligible, or subject to an LDP under 2 CFR part 2424, or otherwise prohibited from participation in HUD programs, when the MAP lender knew or should have known of the prohibition; PART 202—APPROVAL OF LENDING INSTITUTIONS AND MORTGAGEES 60. The authority citation for part 202 continues to read as follows: Authority: 12 U.S.C. 1703, 1709, and 1715b; 42 U.S.C. 3535(d). 61. Revise § 202.5(j)(1) to read as follows: § 202.5 General approval standards.
(j)* * *
(1)Be suspended, debarred, or otherwise restricted under 2 CFR part 2424 or part 25 of this title, or under similar procedures of any other federal agency; PART 203—SINGLE FAMILY MORTGAGE INSURANCE 62. The authority citation for part 203 continues to read as follows: Authority: 12 U.S.C. 1709, 1710, 1715b, 1715z-16, and 1715u; 42 U.S.C. 3535(d). 63. Revise § 203.202(b) and
(d)to read as follows: § 203.202 Plan acceptability and acceptance renewal criteria—general.
(b)In evaluating applications for renewal of Plan acceptance, HUD will take into consideration such reliable evidence, as is made available to the Department, of a Plan issuer's failure to fulfill its obligations. Where HUD has credible evidence of a Plan issuer's failure to correct covered homeowner problems, or there are justifiable homeowner complaints about untimely problem resolution by a Plan issuer, HUD will consider this as cause for termination of a Plan's acceptance and as grounds for initiation of sanctions against a Plan issuer or insurance backer, in accordance with 2 CFR part 2424. If HUD proposes to terminate a Plan's acceptance, the issuer of the Plan will be advised of the reason therefore, and the procedural safeguards of 2 CFR part 2424 will apply.
(d)After a Plan has been accepted by HUD, there shall be no change in, or modification to, its provisions, or in its insurance backers or insurance contract(s), without prior written HUD acceptance of such change or modification, except that changes mandated by other applicable laws may not require HUD's prior approval. A violation of this condition may be cause for termination of a Plan's acceptance, and may be grounds for initiation of sanctions against the Plan issuer, in accordance with 2 CFR part 2424. Insofar as practicable, HUD will respond to a Plan issuer's request for acceptance of a change within 30 days of receipt of the request. Plan acceptance by HUD will be for a two-year period. PART 206—HOME EQUITY CONVERSION MORTGAGE INSURANCE 64. The authority citation for part 206 continues to read as follows: Authority: 12 U.S.C. 1715b, 1715z-1720; 42 U.S.C. 3535(d). 65. Revise § 206.201(b) to read as follows: § 206.201 Mortgage servicing generally; sanctions.
(b)*Importance of timely payments* . The paramount servicing responsibility is the need to make timely payments in full as required by the mortgage. Any failure of a mortgagee to make all payments required by the mortgage in a timely manner will be grounds for administrative sanctions authorized by regulations, including 2 CFR part 2424 (Debarment, Suspension, and Limited Denial of Participation), and part 25 of this title (Mortgagee Review Board). PART 245—TENANT PARTICIPATION IN MULTIFAMILY HOUSING PROJECTS 66. The authority citation for part 245 continues to read as follows: Authority: 12 U.S.C. 1715z-1b; 42 U.S.C. 3535(d). 67. Revise § 245.135 to read as follows: § 245.135 Enforcement.
(a)Owners of housing identified in § 245.10, and their agents, as well as any principals thereof (as defined in 2 CFR part 2424), who violate any provision of this subpart so as to interfere with the organizational and participatory rights of tenants, may be liable for sanctions under 2 CFR part 2424. Such sanctions may include:
(1)*Debarment* . A person who is debarred is prohibited from future participation in federal programs for a period of time. The specific rules and regulations relating to debarment are found at 2 CFR part 2424.
(2)*Suspension* . Suspension is a temporary action with the same effect as debarment, to be taken when there is adequate evidence that a cause for debarment may exist and immediate action is needed to protect the public interest. The specific rules and regulations relating to suspension are found at 2 CFR part 2424.
(3)*Limited Denial of Participation* . An LDP generally excludes a person from future participation in the federal program under which the cause arose. The duration of an LDP is generally up to 12 months. The specific rules and regulations relating to LDPs are found at 2 CFR part 2424, subpart J.
(b)These sanctions may also apply to affiliates (as defined in 2 CFR part 2424) of these persons or entities.
(c)The procedures in 2 CFR part 2424 shall apply to actions under this subpart. PART 291—DISPOSITION OF HUD-ACQUIRED SINGLE FAMILY PROPERTY 68. The authority citation for part 291 continues to read as follows: Authority: 12 U.S.C. 1701 *et seq.* ; 42 U.S.C. 1441, 1441a, 1551a, and 3535(d). 69. Revise § 291.200(b) to read as follows: § 291.200 Future REO acquisition method.
(b)*Eligible entities* . An individual, partnership, corporation, or other legal entity will not be eligible to participate in this process if at the time of the sale, that individual or entity is debarred, suspended, or otherwise precluded from doing business with HUD under 2 CFR part 2424. 70. Revise § 291.303 to read as follows: § 291.303 Eligible bidders. HUD will provide information on the eligibility of bidders in the bid package, a notice in the **Federal Register** , or other means, at the Secretary's full discretion. However, an individual, partnership, corporation, or other legal entity will not be eligible to bid for any loan pool, either as an individual or a participant, if, at the time of the sale, that individual or entity is debarred or suspended from doing business with HUD under 2 CFR part 2424. PART 401—MULTIFAMILY MORTGAGE AND HOUSING ASSISTANCE RESTRUCTURING PROGRAM (MARK-TO-MARKET) 71. The authority citation for part 401 continues to read as follows: Authority: 12 U.S.C. 1715z-1 and 1735f-19(b); 42 U.S.C. 1437(c)(8), 1437f(t), 1437f note, and 3535(d). 72. Revise § 401.101(a) and (b)(1) to read as follows: § 401.101 Which owners are ineligible to request Restructuring Plans?
(a)*Mandatory rejection* . The request of an owner of an eligible project will not be considered for a Restructuring Plan if the owner is debarred or suspended under 2 CFR part 2424.
(b)* * *
(1)An affiliate is debarred or suspended under 2 CFR part 2424; or 73. Revise § 401.403(b)(1) and (b)(2)(i) to read as follows: § 401.403 Rejection of a request for a Restructuring Plan because of actions or omissions of owner, or affiliate or project condition.
(b)* * *
(1)*Suspension or debarment* . Neither a PAE nor HUD will continue to develop or consider a Restructuring Plan if, at any time before a closing under § 401.407, the owner is debarred or suspended under 2 CFR part 2424.
(2)* * *
(i)An affiliate is debarred or suspended under 2 CFR part 2424; PART 402—SECTION 8 PROJECT-BASED CONTRACT RENEWAL UNDER SECTION 524 OF MAHRA 74. The authority citation for part 402 continues to read as follows: Authority: 42 U.S.C. 1437(c)(8), 1437f note, and 3535(d). 75. In § 402.7, revise the introductory text of paragraph
(a)and paragraph (a)(1) to read as follows: § 402.7 Refusal to consider an owner's request for a Section 8 contract renewal because of actions or omissions of owner or affiliate.
(a)*Determination of eligibility* . Notwithstanding 2 CFR part 2424, HUD may elect to not consider a request for renewal of project-based assistance, if at any time before contract renewal:
(1)The owner or an affiliate is debarred or suspended under part 2 CFR part 2424; PART 570—COMMUNITY DEVELOPMENT BLOCK GRANTS 76. The authority citation for part 570 continues to read as follows: Authority: 42 U.S.C. 3535(d) and 5301-5320. 77. Revise § 570.489(l) to read as follows: § 570.489 Program administrative requirements.
(l)*Debarment and suspension* . The requirements in 2 CFR part 2424 are applicable. CDBG funds may not be provided to excluded or disqualified persons. § 570.704 [Amended] 78. Remove and reserve § 570.704(b)(5) and (6). PART 572—HOPE FOR HOMEOWNERSHIP OF SINGLE FAMILY HOMES PROGRAM (HOPE 3) 79. The authority citation for part 572 continues to read as follows: Authority: 42 U.S.C. 3535(d) and 12891. 80. Revise § 572.225(b)(2)(v) to read as follows: § 572.225 Grant agreements; corrective and remedial actions.
(b)* * *
(2)* * *
(v)Taking action against the recipient under 2 CFR part 2424 with respect to future HOPE 3, HUD, or federal grant awards; and PART 585—YOUTHBUILD PROGRAM 81. The authority citation for part 585 continues to read as follows: Authority: 42 U.S.C. 3535(d) and 8011. § 585.502 [Amended] 82. In § 585.502, remove paragraph
(c)and redesignate paragraphs
(d)through
(j)as
(c)through (i), respectively. 83. Revise § 585.504 to read as follows: § 585.504 Use of debarred, suspended, or ineligible contractors. The provisions of 2 CFR part 2424 apply to the employment of, engagement of services from, awarding of contracts to, or funding of any contractors or subcontractors during any period of debarment, suspension, or placement in ineligibility status. PART 941—PUBLIC HOUSING DEVELOPMENT 84. The authority citation for part 941 continues to read as follows: Authority: 42 U.S.C. 1437b, 1437c, 1437g, and 3535(d). 85. Revise § 941.205(d) to read as follows: § 941.205 PHA contracts.
(d)Each PHA shall certify before executing any contract with a contractor that the contractor is not suspended, debarred, or otherwise ineligible under 2 CFR part 2424. Each PHA also shall ensure that all subgrantees, contractors, and subcontractors select only contractors who are not listed as suspended, debarred, or otherwise ineligible under 2 CFR part 2424. PART 954—INDIAN HOME PROGRAM 86. The authority citation for part 954 continues to read as follows: Authority: 42 U.S.C. 3535(d) and 12701-12839. § 954.4 [Amended] 87. Remove § 954.4(i). PART 982—SECTION 8 TENANT-BASED ASSISTANCE: HOUSING CHOICE VOUCHER PROGRAM 88. The authority citation for part 982 continues to read as follows: Authority: 42 U.S.C. 1437f and 3535(d). 89. Revise § 982.306(a) to read as follows: § 982.306 PHA disapproval of owner.
(a)The PHA must not approve an assisted tenancy if the PHA has been informed (by HUD or otherwise) that the owner is debarred, suspended, or subject to a limited denial of participation under 2 CFR part 2424. 90. Revise § 982.628(c) to read as follows: § 982.628 Homeownership option: Eligible units.
(c)*PHA disapproval of seller* . The PHA may not commence homeownership assistance for occupancy of a home if the PHA has been informed (by HUD or otherwise) that the seller of the home is debarred, suspended, or subject to a limited denial of participation under 2 CFR part 2424. § 982.631 [Amended] 91. Remove § 982.631(c)(2)(v). PART 983—PROJECT-BASED VOUCHER
(PBV)PROGRAM 92. The authority citation for part 983 continues to read as follows: Authority: 42 U.S.C. 1437f and 3535(d). 93. In § 983.4, revise the entry for “Debarment” to read as follows: § 983.4 Cross-reference to other Federal requirements. *Debarment* . Prohibition on use of debarred, suspended, or ineligible contractors. See 24 CFR 5.105(c) and 2 CFR part 2424. PART 1000—NATIVE AMERICAN HOUSING ACTIVITIES 94. The authority citation for part 1000 continues to read as follows: Authority: 25 U.S.C. 4101 *et seq.* ; 42 U.S.C. 3535(d) 95. Revise § 1000.44 to read as follows: § 1000.44 What prohibitions on the use of debarred, suspended, or ineligible contractors apply? In addition to any tribal requirements, the prohibitions in 2 CFR part 2424 on the use of debarred, suspended, or ineligible contractors apply. 96. Revise § 1000.46 to read as follows: § 1000.46 Do drug-free workplace requirements apply? Yes. In addition to any tribal requirements, the Drug-Free Workplace Act of 1988 (41 U.S.C. 701, *et seq.* ) and HUD's implementing regulations in 24 CFR part 21 apply. PART 1003—COMMUNITY DEVELOPMENT BLOCK GRANTS FOR INDIAN TRIBES AND ALASKA NATIVE VILLAGES 97. The authority citation for part 1003 continues to read as follows: Authority: 42 U.S.C. 3535(d) and 5301 *et seq.* 98. Revise § 1003.608 to read as follows: § 1003.608 Debarment and Suspension. The requirements in 2 CFR part 2424 are applicable. ICDBG funds cannot be provided to excluded or disqualified persons. PART 1005—LOAN GUARANTEES FOR INDIAN HOUSING 99. The authority citation for part 1005 continues to read as follows: Authority: 12 U.S.C. 1715z-13a; 42 U.S.C. 3535(d). 100. Revise § 1005.107(b)(5)(ii) to read as follows: § 1005.107 What is eligible collateral?
(b)* * *
(5)* * *
(ii)*Review.* If the Department ceases to issue guarantees in accordance with paragraph (b)(5)(i) of this section, HUD will notify the tribe of the reasons for such action and that the tribe may, within 30 days after notification of HUD's action, file a written appeal with the Director, Office of Loan Guarantee (OLG), Office of Native American Programs (ONAP). Within 30 days after notification of an adverse decision by the OLG Director, the tribe may file a written request for review with the Deputy Assistant Secretary for ONAP. Upon notification of an adverse decision by the Deputy Assistant Secretary, the tribe has 30 additional days to file an appeal with the Assistant Secretary for Public and Indian Housing. The determination of the Assistant Secretary shall be final, but the tribe may resubmit the issue to the Assistant Secretary for review at any subsequent time, if new evidence or changed circumstances warrant reconsideration. (Any other administrative actions determined to be necessary to debar a tribe from participating in this program will be subject to the formal debarment procedures contained in 2 CFR part 2424.) PART 1006—NATIVE HAWAIIAN HOUSING BLOCK GRANT PROGRAM 101. The authority citation for part 1006 continues to read as follows: Authority: 25 U.S.C. 4221 *et seq.* ; 42 U.S.C. 3535(d). 102. Revise § 1006.375(b) to read as follows: § 1006.375 Other Federal requirements.
(b)*Drug-free workplace.* The Drug-Free Workplace Act of 1988 (41 U.S.C. 701, *et seq.* ) and HUD's implementing regulations in 24 CFR part 21 apply to the use of assistance under this part. PART 3282—MANUFACTURED HOME PROCEDURAL AND ENFORCEMENT REGULATIONS 103. The authority citation for part 3282 continues to read as follows: Authority: 28 U.S.C. 2461 note; 42 U.S.C. 5424; and 42 U.S.C. 3535(d). 104. Revise § 3282.151(d) to read as follows: § 3282.151 Applicability and scope.
(d)To the extent that these regulations provide for Formal or Informal Presentations of Views for parties that would otherwise qualify for hearings under 2 CFR part 2424, the procedures of 2 CFR part 2424 shall not be available and shall not apply. PART 3500—REAL ESTATE SETTLEMENT PROCEDURES ACT 105. The authority citation for part 3500 continues to read as follows: Authority: 12 U.S.C. 2601 *et seq.* ; 42 U.S.C. 3535(d). 106. Revise § 3500.19(a) to read as follows: § 3500.19 Enforcement.
(a)*Enforcement policy.* It is the policy of the Secretary regarding RESPA enforcement matters to cooperate with Federal, State, or local agencies having supervisory powers over lenders or other persons with responsibilities under RESPA. Federal agencies with supervisory powers over lenders may use their powers to require compliance with RESPA. In addition, failure to comply with RESPA may be grounds for administrative action by the Secretary under 2 CFR part 2424 concerning debarment, suspension, ineligibility of contractors and grantees, or under part 25 of this title concerning the HUD Mortgagee Review Board. Nothing in this paragraph is a limitation on any other form of enforcement that may be legally available. Dated: December 14, 2007. Roy A. Bernardi, Deputy Secretary. [FR Doc. E7-24908 Filed 12-26-07; 8:45 am] BILLING CODE 4210-67-P 72 247 Thursday, December 27, 2007 Notices Part IV Railroad Retirement Board Privacy Act of 1974; New and Revised Systems of Records; Notice RAILROAD RETIREMENT BOARD Privacy Act of 1974; New and Revised Systems of Records AGENCY: Railroad Retirement Board. ACTION: Notice: Publication of New and Revised Systems of Records, Proposed Standard Disclosures and New Routine Uses, and Deletion of Systems of Records. SUMMARY: The purpose of this document is to republish and update all existing systems of records in their entirety, to retire three systems of records, to publish four new systems of records, and to establish standard disclosures and new routine uses. DATES: These changes will become effective as proposed without further notice in 40 calendar days from the date of this publication unless comments are received before this date which would result in a contrary determination. ADDRESSES: Send comments to Beatrice Ezerski, Secretary to the Board, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. FOR FURTHER INFORMATION CONTACT: Lynn Harvey, Chief Privacy Officer, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092; telephone 312-751-4869, e-mail *lynn.harvey@rrb.gov.* SUPPLEMENTARY INFORMATION: Four new systems of records are being included: RRB-52 Board Orders, RRB-53 Employee Medical and Eye Examination Reimbursement Program, RRB-54 Virtual Private Network
(VPN)Access Management, and RRB-55 Contact Log. RRB-37 Medical Records on Railroad Retirement Board Employees is being retired; records are being held under government-wide system of records OPM/GOVT-10 Employee Medical File System Records. RRB-44 Employee Test Score File is being retired; records are being held under government-wide system of records OPM/GOVT-6 Personnel Research and Test Validation Records. The RRB-45 Employee Tuition Reimbursement File system of records has been removed in its entirety as a result of the discontinuance of the program and the final disposition of its records. The RRB-46 Personnel Security Files system of records has been updated for new identity credential requirements under Homeland Security Presidential Directive 12, including a new routine use. The RRB-48 Access Management System, formerly “Identification Card Files (Building Passes) and Access Control (Key Cards),” has been renamed and generally redescribed to accomodate changes in RRB headquarters building access credentialing system and any other system records associated with Homeland Security Presidential Directive 12 not covered under government-wide system of records GSA/GOVT-7 Personal Identity Verification Identity Management System (PIV IDMS). Routine uses have been added. All other existing systems of records have been generally updated for names, titles and other minor changes as a result of the periodic system of records review and to correct inaccuracies in the last privacy issuances by the General Printing Office. Appendix I has been updated to reflect the current locations of RRB offices. Appendix II, which contained Railroad Medicare Part B carrier locations, has been retired. Lastly, the routine uses in each system of records have been updated to reflect the establishment of RRB standard disclosures. The standard disclosures represent a selection of existing routine uses that were previously repeated in each system of records (Standard Disclosures 1-4 and 6-7), as well as a new routine use specifically applying to the disclosure of information in connection with response and remedial efforts in the event of a data breach (Standard Disclosure 5). By Authority of the Board. Beatrice Ezerski, Secretary to the Board. Railroad Retirement Board
(RRB)Systems of Records RRB-1 Social Security Benefit Vouchering System RRB-2 [Reserved] RRB-3 Medicare, Part B RRB-4 Estimated Annuity, Total Compensation and Residual Amount File RRB-5 Master File of Railroad Employees' Creditable Compensation RRB-6 Unemployment Insurance Record File RRB-7 Applications for Unemployment Benefits and Placement Service Under the Railroad Unemployment Insurance Act RRB-8 Railroad Retirement Tax Reconciliation System (Employee Representatives) RRB-9 [Reserved] RRB-10 Legal Opinion and Correspondence Files RRB-11 Files on Concluded Litigation RRB-12 Railroad Employees' Registration File RRB-13-15 [Reserved] RRB-16 Social Security Administration Master Earnings File RRB-17 Appeal Decisions from Initial Denials for Benefits Under the Provisions of the Railroad Retirement Act or the Railroad Unemployment Insurance Act RRB-18 Miscellaneous Payments Posted to General Ledger RRB-19 Payroll & Cost Accounting Records RRB-20 Health Insurance and Supplementary Medical Insurance Enrollment and Premium Payment System (Medicare) RRB-21 Railroad Unemployment and Sickness Insurance Benefit System RRB-22 Railroad Retirement, Survivor, and Pensioner Benefit System RRB-23-25 [Reserved] RRB-26 Payment, Rate and Entitlement History File RRB-27 Railroad Retirement Board—Social Security Administration Financial Interchange RRB-28 [Reserved] RRB-29 Railroad Employees' Annual Gross Earnings Master File RRB-30-32 [Reserved] RRB-33 Federal Employee Incentive Awards System RRB-34 Employee Personnel Management Files RRB-35 [Reserved] RRB-36 Complaint, Grievance, Disciplinary and Adverse Action Files RRB-37-41 [Reserved] RRB-42 Overpayment Accounts RRB-43 Investigation Files RRB-44-45 [Reserved] RRB-46 Personnel Security Files RRB-47 [Reserved] RRB-48 Access Management System RRB-49 Telephone Call Detail Records RRB-50 Child Care Tuition Assistance Program RRB-51 Railroad Retirement Board's Customer PIN/Password
(PPW)Master File System RRB-52 Board Orders RRB-53 Employee Medical and Eye Examination Reimbursement Program RRB-54 Virtual Private Network
(VPN)Access Management RRB-55 Contact Log Prefatory Statement Concerning RRB Standard Disclosures Beside those disclosures provided under 5 U.S.C. 552a(b) of The Privacy Act which pertain generally to all of the RRB systems of records, the RRB proposes to adopt certain standard disclosures which also pertain generally to these systems of records, unless specifically excluded in a system notice, which are in addition to the particular routine uses listed under each system of records, as follows: Standard Disclosure 1.—Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual if that individual would not be denied access to the information. Standard Disclosure 2.—Disclosure of relevant information from the record of an individual may be made to the Office of the President in response to an inquiry from that office made at the request of that individual or a third party on the individual's behalf if that individual would not be denied access to the information. Standard Disclosure 3.—Disclosure may be made to contractors, grantees, experts, consultants, students, and others performing or working on a contract, service, grant, cooperative agreement, or other assignment for the Federal government, to the extent necessary to accomplish an RRB function related to this system of records. Standard Disclosure 4.—Disclosure may be made to the appropriate agency, whether Federal, State, local, or foreign, charged with the responsibility of investigating, enforcing, or prosecuting a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, or charged with enforcing or implementing the statute, rule, regulation, or order issued pursuant thereto, if the disclosure would be to an agency engaged in functions related to the Railroad Retirement Act or the Railroad Unemployment Insurance Act, or if disclosure would be clearly in the furtherance of the interest of the subject individual. Standard Disclosure 5.—Disclosure may be made, to appropriate agencies, entities, and persons when
(1)the Railroad Retirement Board suspects or has confirmed that the security or confidentiality of information in the system of records has been compromised;
(2)the Railroad Retirement Board has determined that as a result of the suspected or confirmed compromise there is a risk of harm to economic or property interests, identity theft or fraud, or harm to the security or integrity of this system or other systems or programs (whether maintained by the Railroad Retirement Board or another agency or entity) that rely upon the compromised information; and
(3)the disclosure made to such agencies, entities, and persons is reasonably necessary to assist in connection with the Railroad Retirement Board's efforts to respond to the suspected or confirmed compromise and prevent, minimize, or remedy such harm. Standard Disclosure 6.—Disclosure may be made to the National Archives and Records Administration or other Federal government agencies for records management inspections being conducted under the authority of 44 U.S.C. 2904 and 2906. Standard Disclosure 7.—Disclosure of non-medical information in this system of records may be made to the attorney representing such individual upon receipt of a written letter or declaration stating the fact of representation, if that individual would not be denied access to the information. Medical information may be released to an attorney when such records are requested for the purpose of contesting a determination either administratively or judicially. The standard disclosure number is referenced in any system notice where it takes the place of a previously published routine use, the letter of which is preserved for the purpose of any external references. RRB-1 SYSTEM NAME: Social Security Benefit Vouchering System. SYSTEM LOCATION: U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. SECURITY CLASSIFICATION: None. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Applicants after December 31, 1974, for benefits under Title II of the Social Security Act who have completed ten years or at least five years after 1995 of creditable service in the railroad industry, the spouse and/or divorced spouse or survivor of such an individual. CATEGORIES OF RECORDS IN THE SYSTEM: Name, address, social security number, RRB claim number, type and amount of benefit, suspension and termination information. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Section 7(b)(2) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(2)). PURPOSE(S): Records in the Social Security Vouchering System are maintained to administer Title II of the Social Security Act with respect to payment of benefits to individuals with 10 or more years or at least five years after 1995 of railroad service and their families. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS, AND THE PURPOSES OF SUCH USES: a. Benefit rate information may be disclosed to primary beneficiaries regarding secondary beneficiaries (or vice versa) when the addition of such beneficiary affects either the entitlement or benefit payment. b. In the event the Board has determined to designate a person to be the representative payee of an incompetent beneficiary, disclosure of information concerning the benefit amount and other similar information may be made to the representative payee from the record of the individual. c. Benefit rates, names and addresses may be released to the Department of Treasury to control for reclamation and return of outstanding benefit payments, to issue benefit payments, act on reports of non-receipt, to insure delivery of payments to the correct address of the beneficiary or representative payee or to proper financial organization, and to investigate alleged forgery, theft or unlawful negotiation of railroad retirement for social security benefit checks or improper diversion of payments directed to a financial organization. d. Beneficiary's name, address, check rate and date plus supporting evidence may be released to the U.S. Postal Service for investigation of alleged forgery or theft of railroad retirement or social security benefit checks. e. Beneficiary identifying information, effective date, benefit rates, and months paid may be furnished to the Veterans Administration for the purpose of assisting that agency in determining eligibility for benefits or verifying continued entitlement to and the correct amount of benefits payable under programs which it administers. f. Benefit rates and effective dates may be disclosed to the Social Security Administration, Bureau of Supplemental Security Income, to Federal, State and local welfare or public aid agencies to assist them in processing applications for benefits under their respective programs. g. Last addresses information may be disclosed to the Department of Health and Human Services in conjunction with the Parent Locator Service. h. Benefit rates, entitlement and other necessary information may be released to the Department of Labor in conjunction with payment of benefits under the Federal Coal Mine and Safety Act. i. Pursuant to a request from an employer covered by the Railroad Retirement Act or the Railroad Unemployment Insurance Act or from an organization under contract to an employer or employers, information regarding the Board's payment of benefits, the methods by which such benefits are calculated, entitlement data and present address may be released to the requesting employer or the organization under contract to the employer or employers for the purposes of determining entitlement to and the rates of private supplemental pension benefits and to calculate estimated benefits due. j. If a request for information pertaining to an individual is made by an official of a labor organization of which the individual is a member and the request is made on behalf of the individual, information from the record of the individual concerning his benefit or anticipated benefit and concerning the method of calculating that benefit may be disclosed to the labor organization official. k. (Standard Disclosure 1.) l. (Standard Disclosure 3.) m. Records may be disclosed to the Government Accountability Office for auditing purposes and for collection of debts arising from overpayments under Title II of the Social Security Act, as amended. n. Records may be disclosed in a court proceeding relating to any claims for benefits by the beneficiary under the Railroad Retirement Act and may be disclosed during the course of an administrative appeal to individuals who need the records to prosecute or decide the appeal or to individuals who are requested to provide information relative to an issue involved in the appeal. o. (Standard Disclosure 4.) p. (Standard Disclosure 7.) q. For payments made after December 31, 1983, beneficiary identifying information, address, amounts of benefits paid and repaid, beneficiary withholding instructions, and amounts withheld by the RRB for tax purposes may be furnished to the Internal Revenue Service for tax administration. r. Beneficiary identifying information, entitlement data, and benefit rates may be released to the Department of State and embassy and consular officials, to the American Institute on Taiwan, and to the Veterans Administration Regional Office, Philippines, to aid in insuring the continued payment of beneficiaries living abroad. s. (Standard Disclosure 2.) t. Entitlement data and benefit rates may be released to any court, state, agency, or interested party, or to the representative of such court, state agency, or interested party, in connection with contemplated or actual legal or administrative proceeding concerning domestic relations and support matters. DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Paper, magnetic tape and microforms. RETRIEVABILITY: Social security account number, full name. SAFEGUARDS: Records are maintained in areas not accessible to the public; buildings are secured (guard service). RETENTION AND DISPOSAL: Paper: Individual claim folders with records of all actions pertaining to the payment of claims are transferred to the Federal Records Center, Chicago, Illinois 5 years after the date of last payment or denial activity if all benefits have been paid, no future eligibility is apparent and no erroneous payments are outstanding. The claim folder is destroyed 25 years after the date it is received in the center. Accounts receivable listings and checkwriting operations daily activity listings are transferred to the Federal Records Center 1 year after date of issue and are destroyed 6 years and 3 months after receipt at the center. Other paper listings are destroyed 1 year after the date of issue. Changes of address source documents are destroyed after 1 year. Magnetic tape: Tapes are updated at least monthly. For disaster recovery purposes, certain tapes are stored for 12-18 month periods. Microforms: Originals are kept for 3 years, transferred to the Federal Records Center and destroyed when 8 years old. One duplicate copy is kept 2 years and destroyed by shredding. All other duplicate copies are kept 1 year and destroyed by shredding. SYSTEM MANAGER(S) AND ADDRESS: Office of Programs—Director of Policy and Systems, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. NOTIFICATION PROCEDURE: Requests for information regarding an individual's records should be in writing, including full name, social security number and railroad retirement claim number (if any) of the individual. Before any information about any record will be released, the individual may be required to provide proof of identity, or authorization from the individual to permit release of information. Such requests should be sent to: Office of Programs—Director of Operations, Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611-2092. RECORD ACCESS PROCEDURE: See Notification section above. CONTESTING RECORD PROCEDURE: See Notification section above. RECORD SOURCE CATEGORIES: Individual applicant or his or her authorized representative, the Social Security Administration, other record systems maintained by the Railroad Retirement Board. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. RRB-2 [Reserved] RRB-3 SYSTEM NAME: Medicare: Part B (Supplementary Medical Insurance Payment System—Contracted to Palmetto Government Benefits Administrators). SYSTEM LOCATION: Main Office: Palmetto Government Benefit Administrators, 17 Technology Circle, Columbia, South Carolina 29203-9591; Regional Office: P.O. Box 10066, Augusta, Georgia 30999. SECURITY CLASSIFICATION: None. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Qualified railroad retirement beneficiaries covered by MEDICARE, Part B, who file claims under the medical insurance program. CATEGORIES OF RECORDS IN THE SYSTEM: Name, health insurance claim number, address, date of birth, telephone number, description of illness and treatment pertaining to claim, indication of other health insurance or medical assistance pertinent to claim, date(s) and place(s) of physician service, description of medical procedures, services or supplies furnished, nature of illness(es), medical charges, name, address and telephone of physician, identifying number of provider, designation of payee, Part B entitlement date, Part B deductible status and amount of payment to beneficiary or payee. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Section 7(d) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(d)). PURPOSE(S): Records in this system are maintained to administer the supplementary medical insurance (Part B) portion of Medicare under Title XVIII of the Social Security Act for qualified railroad retirement beneficiaries. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS, AND THE PURPOSES OF SUCH USES: a. In the event the Board has determined to designate a person to be the representative payee of an incompetent beneficiary, disclosure of information concerning the benefit amount and other similar information may be made to the representative payee from the record of the individual. b. Information regarding payments and deductibles may be released to the Department of Health and Human Services for use in administering Title XVIII of the Social Security Act, as amended, and to establish, audit, and maintain account and vouchering records. c. Records may be disclosed in a court proceeding relating to any claims for benefits under Title XVIII of the Social Security Act and may be disclosed during the course of an administrative appeal hearing to individuals who need the records to prosecute or decide the appeal or to individuals who are requested to provide information relative to an issue involved in the appeal. d. Records may be disclosed to the General Accountability Office for auditing purposes and for collection of debts arising from overpayments under Title XVIII of the Social Security Act. e. (Standard Disclosure 1.) f. Pursuant to a request from an employer covered by the Railroad Retirement Act or the Railroad Unemployment Insurance Act, information regarding the status of a qualified railroad retirement beneficiary's enrollment in Medicare and premium payment status may be released to the requesting employer for the purposes of coordinating employee supplemental welfare benefits. g. If a request for information pertaining to an individual is made by an official of a labor organization of which the individual is a member and the request is made on behalf of the individual, information from the record of the individual concerning his or her entitlement and premium status may be disclosed to the labor organization official. h. (Standard Disclosure 4.) i. (Standard Disclosure 7.) j. Information may be furnished to the U.S. Postal Service and to State and local police authorities for investigation of the loss, theft, and/or forgery of Medicare checks. k. Information may be furnished to the State licensing boards for review of unethical practices or nonprofessional conduct. When such information has been disclosed to a State licensing board, it may also be disclosed when requested to State agencies investigating such conduct under Titles V and XIX of the Social Security Act and to the TRICARE organization and to TRICARE contractors that are not also Medicare contractors. l. General guidelines dealing with length of stay, diagnosis and other criteria used in the claims process to establish the basis for payment may be disclosed to the requester. Information regarding physicians' prevailing or customary charges may be furnished. m. The following general types of information may be disclosed to Title XIX agencies (to a state agency or to a carrier acting for a State agency charged with administration of a program under Title XIX): Physician, other practitioner and supplier identification numbers, and charges of physicians or other practitioners or suppliers for services furnished to beneficiaries. n. Information on such matters as entitlement, benefit payment, or benefit utilization relating to an individual may be disclosed to any State agency or to a carrier acting for a State agency charged with the administration of a program under Title XIX. Note: Disclosure to State agencies administering other Federal grants-in-aid programs requires the authorization of the beneficiary or his/her legal representative. o. (Standard Disclosure 2.) DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Paper, magnetic tape and microforms. RETRIEVABILITY: Health insurance claim number, name. SAFEGUARDS: The contractor is bound by the contract set forth by the Railroad Retirement Board which contains specific instruction regarding its responsibility in claim information handled and released, and by guidance and procedures issued by the Centers for Medicare & Medicaid Services (CMS). It is also bound by the same regulations regarding disclosure and security of information as the Board itself. RETENTION AND DISPOSAL: Records are maintained by the insurance company office for 27 months. At the end of 27 months the material is sent to the storage areas maintained by the insurance company. Records are retained and stored in accordance with guidelines issued by CMS. SYSTEM MANAGER(S) AND ADDRESS: Office of Programs—Director of Policy and Systems, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. NOTIFICATION PROCEDURE: Requests for information regarding an individual's record should be in writing, including the full name, social security number and railroad retirement claim (if any) of the individual. Before information about any record will be released, the individual may be required to provide proof of identity, or authorization from the individual to permit release of information. Requests should be sent to the Office of Programs—Director of Operations, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. RECORD ACCESS PROCEDURE: See Notification section above. CONTESTING RECORD PROCEDURE: See Notification section above. RECORD SOURCE CATEGORIES: Claimant, his/her authorized representative or his/her survivors, the Social Security Administration, the Centers for Medicare & Medicaid Services and its contractors, physicians, and hospitals. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. RRB-4 SYSTEM NAME: Estimated Annuity, Total Compensation and Residual Amount File (MARC). SYSTEM LOCATION: U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. SECURITY CLASSIFICATION: None. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Railroad employees who never filed an application for an annuity, have not been reported to be deceased and who either worked in the current reporting year or have at least 120 months of creditable railroad service or have at least 60 months of creditable railroad service after 1995. CATEGORIES OF RECORDS IN THE SYSTEM: For employees with less than 120 months of creditable railroad service, or less than 60 months of creditable railroad service after 1995: SSN, name, date of birth, sex, cumulative service, cumulative tier 1 compensation, daily pay rate, employer number, gross residual, year last worked, number and pattern of months worked in year last worked, tier 1 compensation for year last worked, tier 2 compensation for year last worked. For railroad employees with 120 or more months of creditable railroad service and for employees with at least 60 months of creditable railroad service after 1995; all of the above information plus estimated annuity data and SSA data. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Section 7(b)(6) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(6)). PURPOSE(S): The primary purpose of the system is to provide field offices with the capability of furnishing annuity estimates to prospective beneficiaries. The system is also used by field offices to provide temporary annuity rates that the Division of Operations may issue to applicants for employee and spouse benefits. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS, AND THE PURPOSES OF SUCH USES: a. Entitlement information may be disclosed to primary beneficiaries regarding secondary beneficiaries (or vice versa) when the addition of such beneficiary affects either the entitlement or benefit payment. b. (Standard Disclosure 3.) c. (Standard Disclosure 1.) d. Pursuant to a request from an employer covered by the Railroad Retirement Act or the Railroad Unemployment Insurance Act, information regarding the Board's estimated payment of unemployment, sickness or retirement benefits, the methods by which such benefits are calculated and entitlement data may be released to the requesting employer for the purposes of determining entitlement to and the rates of private supplemental pensions, sickness or unemployment benefits and to calculate estimated benefits due. e. If a request for information pertaining to an individual is made by an official of a labor organization of which the individual is a member and the request is made on behalf of the individual, information from the record of the individual concerning his anticipated benefit and concerning the method of calculating that benefit may be disclosed to the labor organization official. f. (Standard Disclosure 2.) g. (Standard Disclosure 7.) h. Annuity estimates may be released to any court, state agency, or interested party, or the representative of such court, state agency, or interested party, in connection with contemplated or actual legal or administrative proceeding concerning domestic relations and support matters. DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: On-line mainframe system. RETRIEVABILITY: Social security number. SAFEGUARDS: Only authorized personnel have access to these records. Access is determined by internal computer system security levels. RETENTION AND DISPOSAL: A maximum of three sets of MARC records (the current and prior two sets of MARC) are maintained on-line with the oldest set deleted when a new MARC is produced. SYSTEM MANAGER(S) AND ADDRESS: Office of Programs—Director of Policy and Systems, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. NOTIFICATION PROCEDURE: Request for information regarding an individual's record should be in writing, including the full name, social security number and railroad retirement claim number (if any) of the individual. Before information about any record will be released, the individual may be required to provide proof of identity, authorization from the individual to permit release of information. Requests should be sent to the Office of Programs—Director of Operations, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. RECORD ACCESS PROCEDURE: See Notification section above. CONTESTING RECORD PROCEDURE: See Notification section above. RECORD SOURCE CATEGORIES: Information which is secured from the original master records is made available to all authorized headquarters and field service users. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. RRB-5 SYSTEM NAME: Master File of Creditable Service and Compensation of Railroad Employees. SYSTEM LOCATION: U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. SECURITY CLASSIFICATION: None. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: All individuals with creditable service under the Railroad Retirement and Railroad Unemployment Insurance Acts. CATEGORIES OF RECORDS IN THE SYSTEM: Name, social security number, RRB claim number, annuity beginning date, date of birth, sex, last employer identification number, amount of daily pay rate, separation allowance or severance payment, creditable service and compensation after 1937, home address, and date of death. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Section 7(b)(6) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(6)) and section 12(l) of the Railroad Unemployment Insurance Act (45 U.S.C. 362(l)). PURPOSE(S): The purpose of this system is to store railroad earnings of railroad employees which are used to determine entitlement to and amount of benefits payable under the Railroad Retirement Act, the Railroad Unemployment Insurance Act and the Social Security Act, if applicable. The records are updated daily based on earnings reports received from railroad employers and the Social Security Administration and are stored in the Employment Data Maintenance Application database and the Separation Allowance Lump Sum Adjustment master file (SALSA). ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS, AND THE PURPOSES OF SUCH USES: a. Records may be transferred to the Social Security Administration to correlate disability freeze actions and in the cases where the railroad employees do not acquire 120 creditable service months before retirement or death or have no current connection with the railroad industry, to enable SSA to credit the employee with the compensation and to pay or deny benefits. b. Yearly service months, cumulative service months, yearly creditable compensation, and cumulative creditable compensation may be released to the employees directly or through their respective employer. c. Service months and earnings may be released to employers or former employers for correcting or reconstructing earnings records for railroad employees. d. (Standard Disclosure 3.) e. Employee identification and potential entitlement may be furnished to the Social Security Administration, Bureau of Supplemental Security Income, to Federal, State, and local welfare or public aid agencies to assist them in processing application for benefits under their respective programs. f. Employee identification and other pertinent information may be released to the Department of Labor in conjunction with payment of benefits under the Federal Coal Mine and Safety Act. g. The last employer information may be disclosed to the Department of Health and Human Services in conjunction with the Parent Locator Service. h. (Standard Disclosure 1.) i. Pursuant to a request from an employer covered by the Railroad Retirement Act or the Railroad Unemployment Insurance Act, information, regarding the employee's potential eligibility for unemployment, sickness or retirement benefits may be released to the requesting employer for the purpose of determining entitlement to and the rates of private supplemental pension, sickness or unemployment benefits and to calculate estimated benefits due from the employer. j. If a request for information pertaining to an individual is made by an official of a labor organization of which the individual is a member and the request is made on behalf of the individual, information from the record of the individual concerning his anticipated benefit may be disclosed to the labor organization official. k. Records may be disclosed in a court proceeding relating to any claims for benefits by the beneficiary under the Railroad Retirement Act or the Railroad Unemployment Insurance Act and may be disclosed during the course of an administrative appeal to individuals who need the records to prosecute or decide the appeal or to individuals who are requested to provide information relative to an issue involved in the appeal. l. (Standard Disclosure 4.) m. (Standard Disclosure 7.) n. All records may be disclosed to the Social Security Administration for purposes of administration of the Social Security Act. o. Service and compensation and last employer information may be furnished, upon request, to state agencies operating unemployment or sickness insurance programs for the purposes of their administering such programs. p. (Standard Disclosure 2.) q. The name, address and gender of a railroad worker may be released to a Member of Congress when the Member requests it in order that he or she may communicate with the worker about legislation which affects the railroad retirement or railroad unemployment and sickness insurance program. r. The service history of an employee (such as whether the employee had service before a certain date and whether the employee had at least a given number of years of service) may be disclosed to AMTRAK when such information would be needed by AMTRAK to make a determination whether to award a travel pass to either the employee or the employee's widow. DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Magnetic tape, magnetic disk and paper. RETRIEVABILITY: Social security number, claim number and name. SAFEGUARDS: Magnetic tape and magnetic disk: Computer and computer storage rooms are restricted to authorized personnel; on-line query safeguards include a lock/unlock password system, a terminal oriented transaction matrix and an audit trail. Paper: Bound in hard covers and stored on steel shelving accessible to only authorized personnel. RETENTION AND DISPOSAL: Magnetic disk: Permanent. Magnetic tape and digital media: Retained five years and destroyed acccording to National Institute of Standards and Technology
(NIST)guidelines. Paper: Retained five years and destroyed by shredding. SYSTEM MANAGER(S) AND ADDRESS: Office of Programs—Director of Policy and Systems, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. NOTIFICATION PROCEDURE: Requests for information regarding an individual's record should be in writing, including the full name, social security number and railroad retirement claim number (if any) of the individual. Before any information about any record will be released, the individual may be required to provide proof of identity, or authorization from the individual to permit release of information. Requests should be sent to the Office of Programs—Assessment & Training, Chief of Employer Service and Training Center, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. RECORD ACCESS PROCEDURE: See Notification section above. CONTESTING RECORD PROCEDURE: See Notification section above. RECORD SOURCE CATEGORIES: Railroad employer. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. RRB-6 SYSTEM NAME: Unemployment Insurance Record File. SYSTEM LOCATION: District Offices: See Appendix I for addresses. SECURITY CLASSIFICATION: None. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Claimants for unemployment benefits under the Railroad Unemployment Insurance Act
(RUIA)and their respective employers. CATEGORIES OF RECORDS IN THE SYSTEM: Development file containing letters from claimants, report of Railroad Unemployment Insurance Act fraud investigations and supporting evidence, erroneous payment investigations, protest and appeal requests and responses. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Section 12(l) of the Railroad Unemployment Insurance Act (45 U.S.C. 362(l)). PURPOSE(S): This system of records is used for filing general information about applicants for RUIA benefits. If an applicant files for unemployment insurance benefits, some of the information in this file will be also placed in the claimants UI file. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS, AND THE PURPOSES OF SUCH USES: a. Beneficiary identifying information may be released to third party contacts to determine if incapacity of the beneficiary or potential beneficiary to understand or use benefits exists, and to determine the suitability of a proposed representative payee. b. Benefit rate, name and address may be referred to the Treasury Department to control for reclamation and return of outstanding benefit checks, to issue benefit checks, reconcile reports of non-delivery, and to insure delivery of payments to the correct address or account of the beneficiary or representative payee. c. Beneficiary's name, address, payment rate, date and number, plus supporting evidence may be released to the U.S. Postal Service for investigation of alleged forgery or theft of railroad unemployment or sickness benefit payments. d. Identifying information such as full name, address, date of birth, social security number, employee identification number, and date last worked, may be released to any last employer to verify entitlement for benefits under the Railroad Unemployment Insurance Act. e. Pursuant to a request from an employer covered by the Railroad Retirement Act or the Railroad Unemployment Insurance Act, information regarding the Board's payment of unemployment or sickness benefits, the methods by which such benefits are calculated, entitlement data and present address may be released to the requesting employer for the purposes of determining entitlement to and rates of private supplemental pension, sickness or unemployment benefits and to calculate estimated benefits due. f. Benefit rates and effective dates may be released to the Social Security Administration, Bureau of Supplemental Security Income, to Federal, State and local welfare or public aid agencies to assist them in processing applications for benefits under their respective programs. g. In the event the Board has determined to designate a person to be the representative payee of an incompetent beneficiary, disclosure of information concerning the benefit amount and other similar information may be made to the representative payee from the record of the individual. h. Records may be disclosed to the General Accountability Office for auditing purposes and for collection of debts arising from overpayments under the Railroad Unemployment Insurance Act, as amended. i. The last addresses and employer information may be disclosed to the Department of Health and Human Services in conjunction with the Parent Locator Service. j. (Standard Disclosure 1.) k. If a request for information pertaining to an individual is made by an official of a labor organization of which the individual is a member and the request is made on behalf of the individual, information from the record of the individual concerning this benefit or anticipated benefit may be disclosed to the labor organization official. l. Records may be disclosed in a court proceeding relating to any claims for benefits by the beneficiary under the Railroad Unemployment Insurance Act and may be disclosed during the course of an administrative appeal to individuals who need the records to prosecute or decide the appeal or to individuals who are requested to provide information relative to an issue involved in the appeal. m. (Standard Disclosure 4.) n. (Standard Disclosure 7.) o. Beneficiary identifying and claim period information may be furnished to states for the purpose of their notifying the RRB whether claimants were paid state unemployment or sickness benefits and also whether wages were reported for them. For claimants that a state identifies as having received state unemployment benefits, RRB benefit information may be furnished the state for the purpose of recovery of the amount of the duplicate payments which were made. p. (Standard Disclosure 2.) DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Paper. RETRIEVABILITY: Name, social security number. SAFEGUARDS: Kept in steel file cabinets away from the general public and are available only to district office and regional office personnel. RETENTION AND DISPOSAL: Shredded five years after end of benefit year in which originated. SYSTEM MANAGER(S) AND ADDRESS: Office of Programs—Director of Policy and Systems, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. NOTIFICATION PROCEDURE: Requests for information regarding an individual's records should be in writing, including full name, social security number, and railroad retirement claim number (if any) of the individual. Before any information about any record will be released, the individual may be required to provide proof of identity or authorization from the individual to permit release of information. Requests should be sent to the Office of Programs—Director of Operations, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. RECORD ACCESS PROCEDURE: See Notification section above. CONTESTING RECORD PROCEDURE: See Notification section above. RECORD SOURCE CATEGORIES: Individual claimant or his authorized representative, employers, State employment and unemployment claims records, Federal, and Social Security Administration employer compensation reports. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. RRB-7 SYSTEM NAME: Applications for Unemployment Benefits and Placement Service under the Railroad Unemployment Insurance Act. SYSTEM LOCATION: U.S. Railroad Retirement Board—Headquarters: 844 N. Rush Street, Chicago, Illinois 60611-2092; District Offices: See Appendix I for addresses. SECURITY CLASSIFICATION: None. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Individuals who have applied for unemployment benefits and employment service. CATEGORIES OF RECORDS IN THE SYSTEM: Name, address, account number, age, sex, education, employer, occupation, rate of pay, reason not working and last date worked, personal interview record, results of investigations. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Section 12(l) of the Railroad Unemployment Insurance Act (45 U.S.C. 362(l)). PURPOSE(S): The purpose of this system of records is to be used as an individual's UI file. The records contained in the file are pertinent to the individual's claim for unemployment benefits under the RUIA. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS, AND THE PURPOSES OF SUCH USES: a. Selected information may be disclosed to prospective employers for potential job placement. b. In the event the Board has determined to designate a person to be the representative payee of an incompetent beneficiary, disclosure of information concerning the benefit amount and other similar information may be made to the representative payee from the record of the individual. c. Beneficiary identification and entitlement information may be released to third party contacts to determine if incapacity of the beneficiary or potential beneficiary to understand or use benefits exists, and to determine the suitability of a proposed representative payee. d. A record from this system of records may be disclosed to a Federal agency, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency's decision on the matter, provided that disclosure would be clearly in the furtherance of the interest of the subject individual. e. Beneficiary identification, entitlement, and benefit rate information may be released to the Treasury Department to control for reclamation and return of outstanding benefit payments, to issue benefit payments, reconcile reports of non-delivery and to insure delivery of payments to the correct address or account of the beneficiary or representative payee. f. Information may be referred to the U.S. Postal Service for investigation of alleged forgery or theft of railroad unemployment or sickness benefit checks. g. Beneficiary identification, entitlement, and benefit rate information may be released to the Social Security Administration, Bureau of Supplemental Security Income, to Federal, State, and local welfare or public aid agencies to assist them in processing applications for benefits under their respective programs. h. The last addresses and employer information may be disclosed to Department of Health and Human Services in conjunction with the Parent Locator Service. i. (Standard Disclosure 3.) j. Records may be disclosed to the General Accountability Office for auditing purposes and for collection of debts arising from overpayments under the Railroad Unemployment Insurance Act, as amended. k. Identifying information such as full name, address, date of birth, social security number, employee identification number, and date last worked, may be released to any last employer to verify entitlement for benefits under the Railroad Unemployment Insurance Act. l. (Standard Disclosure 1.) m. Pursuant to a request from an employer covered by the Railroad Retirement Act or the Railroad Unemployment Insurance Act, information regarding the Board's payment of unemployment or sickness benefits, the methods by which such benefits are calculated, entitlement data and present address will be released to the requesting employer for the purposes of determining entitlement to and rates of private supplemental pension, sickness or unemployment benefits and to calculate estimated benefits due. n. If a request for information pertaining to an individual is made by an official of a labor organization of which the individual is a member and the request is made on behalf of the individual information from the record of the individual concerning his benefit or anticipated benefit and concerning the method of calculating that benefit may be disclosed to the labor organization official. o. Records may be disclosed in a court proceeding relating to any claims for benefits by the beneficiary under the Railroad Unemployment Insurance Act and may be disclosed during the course of an administrative appeal to individuals who need the records to prosecute or decide the appeal or to individuals who are requested to provide information relative to an issue involved in the appeal. p. (Standard Disclosure 4.) q. (Standard Disclosure 7.) r. (Standard Disclosure 2.) DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Paper, electronic records. RETRIEVABILITY: Social security number. SAFEGUARDS: Paper files stored in locked room; electronic files accessible by password and protected by network and physical security. RETENTION AND DISPOSAL: In routine cases, held for three years after end of benefit year in which originated. In those with adverse activities (claims denied), held for five years after end of benefit year in which originated. At end of both periods, files are shredded. SYSTEM MANAGER(S) AND ADDRESS: Office of Programs—Director of Policy and Systems, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. NOTIFICATION PROCEDURE: Requests for information regarding an individual's record should be in writing, including the full name, social security number and railroad retirement claim number(if any) of the individual. Before information about any record will be released, the individual may be required to provide proof of identity, or authorization from the individual to permit release of information. Requests should be sent to the Office of Programs—Director of Operations, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. RECORD ACCESS PROCEDURE: See Notification section above. CONTESTING RECORD PROCEDURE: See Notification section above. RECORD SOURCE CATEGORIES: Individual applicant or his authorized representative, present and former employers, State and Federal departments of employment security, Social Security Administration and labor organizations. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. RRB-8 SYSTEM NAME: Railroad Retirement Tax Reconciliation System (Employee Representatives). SYSTEM LOCATION: U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. SECURITY CLASSIFICATION: None. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Railroad employee representatives covered under the Railroad Retirement Act. CATEGORIES OF RECORDS IN THE SYSTEM: Employee quarterly railroad tax return. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Section 15 of the Railroad Retirement Act of 1974 (45 U.S.C. 231n). PURPOSE(S): The purpose of this system is to ensure that the earnings of employee representatives reported to the Internal Revenue Service for tax purposes agree with earnings reported to the RRB for benefit payment purposes. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS, AND THE PURPOSES OF SUCH USES: a. Service and earnings information may be released to the Internal Revenue Service and the Treasury Department to refund excess taxes. b. Records may be disclosed to the General Accountability Office for auditing purposes. c. Service and earnings information may be released to employers or former employers for correcting or reconstructing earnings records for railroad retirement, supplemental or unemployment/sickness employment tax purposes only, not to be construed as an extension of the statutory time limitation to amend such records. d. (Standard Disclosure 4.) DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Paper. RETRIEVABILITY: Name. SAFEGUARDS: Records are maintained in areas not accessible to the public and are not permitted to be removed without authorization; secured building. RETENTION AND DISPOSAL: Employee's representatives' quarterly tax returns and tax reporting reconciliation file are retained for 6 years and 3 months after the period covered by the records and then are destroyed by shredding. SYSTEM MANAGER(S) AND ADDRESS: Chief Financial Officer, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. NOTIFICATION PROCEDURE: Requests for information regarding an individual's record should be in writing addressed to the System Manager identified above, including the full name and Social Security number. Before information about any record is released, the System Manager may require the individual to provide proof of identity or require the requester to furnish an authorization from the individual to permit release of information. RECORD ACCESS PROCEDURE: See Notification section above. CONTESTING RECORD PROCEDURE: See Notification section above. RECORD SOURCE CATEGORIES: Railroad tax reports, creditable and taxable compensation. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. RRB-9 [Reserved] RRB-10 SYSTEM NAME: Legal Opinion and Correspondence Files. SYSTEM LOCATION: U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. SECURITY CLASSIFICATION: None. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Applicants for benefits under the Railroad Retirement Act or the Railroad Unemployment Insurance Act. CATEGORIES OF RECORDS IN THE SYSTEM: The files include a copy of the question submitted to the legal department for an opinion and a copy of the response released. Responses may be a formal legal opinion, a letter, or a memorandum. There may be copies of any correspondence between the agency and the individual or his/her employer concerning the question presented. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Section 7(b)(6) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(6)) and section 12(l) of the Railroad Unemployment Insurance Act (45 U.S.C. 362(l)). PURPOSE(S): The RRB needs to collect and maintain information contained in this system of records in order to make decisions regarding the claims for benefits of individual under various Acts administered by the RRB. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS, AND THE PURPOSES OF SUCH USES: None. DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Paper. RETRIEVABILITY: Name. SAFEGUARDS: Stored in areas not accessible to the public in offices locked during non-business hours; access to these files is restricted to attorneys and other authorized Board employees. RETENTION AND DISPOSAL: Opinions of precedential interest or otherwise of lasting significance, and correspondence related to these opinions are retained permanently. Opinions of limited significance beyond the particular case, and correspondence related to these opinions, are retained in the individual's claim folder, if any, established under the Railroad Retirement Act. When no folder exists, these opinions, are destroyed by shredding 2 years after the date of the last action taken by the Bureau of Law on the matter. SYSTEM MANAGER(S) AND ADDRESS: General Counsel, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. NOTIFICATION PROCEDURE: Requests for information regarding an individual's record should be in writing addressed to the System Manager identified above, including the full name, social security number and claim number of the individual. Before information about any record will be released, the System Manager may require the individual to provide proof of identity or require the requester to furnish an authorization from the individual to permit release of information. RECORD ACCESS PROCEDURE: See Notification section above. CONTESTING RECORD PROCEDURE: See Notification section above. RECORD SOURCE CATEGORIES: The subject person's authorized representative, other record systems maintained by the Railroad Retirement Board, employers. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. RRB-11 SYSTEM NAME: Files on Concluded Litigation. SYSTEM LOCATION: U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. SECURITY CLASSIFICATION: None. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Railroad employees, retired railroad employees, and individuals with some creditable railroad service who are involved in litigation in which the Railroad Retirement Board has some interest as a party or otherwise. CATEGORIES OF RECORDS IN THE SYSTEM: Legal briefs, reports on legal or factual issues involving copies of subpoenas which may have been issued, copies of any motions filed, transcripts of any depositions taken, garnishment process, correspondence received and copies of any correspondence released by the Board pertaining to the case, copies of any court rulings, and copies of the final decision in the case. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Section 7(b)(6) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(6)) and section 12(l) of the Railroad Unemployment Insurance Act (45 U.S.C. 362(l)). PURPOSE(S): The RRB needs to collect and maintain records of concluded litigation to which the RRB was a party. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS, AND THE PURPOSES OF SUCH USES: None. DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Paper. RETRIEVABILITY: Name. SAFEGUARDS: Stored in areas not accessible to the public in offices locked during non-business hours; access to these files is restricted to attorneys and other authorized Board employees. RETENTION AND DISPOSAL: Files relating to cases of precedential interest are retained permanently. Files of cases involving routine matters, other than garnishments, are retained for 5 years after the case is closed, then shredded. Files relating to garnishment of benefits are retained until 2 years after the date garnishment terminates, then destroyed. SYSTEM MANAGER(S) AND ADDRESS: General Counsel, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. NOTIFICATION PROCEDURE: Requests for information regarding an individual's record should be in writing addressed to the System Manager identified above, including the full name and social security number and claim number of the individual. Before information about any record will be released, the System Manager may require the individual to provide proof of identity or require the requester to furnish an authorization from the individual to permit release of information. RECORD ACCESS PROCEDURE: See Notification section above. CONTESTING RECORD PROCEDURE: See Notification section above. RECORD SOURCE CATEGORIES: The individual himself or his authorized representative, other record systems maintained by the Railroad Retirement Board, employers, the Social Security Administration. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. RRB-12 SYSTEM NAME: Railroad Employees' Registration File. SYSTEM LOCATION: U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. SECURITY CLASSIFICATION: None. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Individuals who had any employment for a railroad employer after 1936 who were assigned Social Security Numbers beginning with 700 through 728. (Use of the registration form was discontinued January 1, 1981.) CATEGORIES OF RECORDS IN THE SYSTEM: Railroad employee's name, address, social security number, date of birth, place of birth, mother's and father's names, sex, occupation and employer. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Section 7(b)(6) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(6)). PURPOSE(S): The purpose of the system is to provide information on railroad employees who completed Carrier Employee Registration forms (CER-1) to apply for a Social Security number (SSN). The information on these CERA-1 forms was available only at the Railroad Retirement Board. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS, AND THE PURPOSES OF SUCH USES: a. Records which consist of name, date and place of birth, social security number, and parents' names may be disclosed to the Social Security Administration to verify social security number and date of birth. b. Records may be disclosed in a court proceeding relating to any claims for benefits by the beneficiary under the Railroad Retirement Act, or Unemployment Insurance Act and may be disclosed during the course of an administrative appeal to individuals who need the records to prosecute or decide the appeal or to individuals who are requested to provide information relative to an issue involved in the appeal. c. (Standard Disclosure 3.) d. (Standard Disclosure 7.) DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Microfiche. RETRIEVABILITY: Social security number. SAFEGUARDS: Stored in steel cabinets; available to authorized unit personnel. RETENTION AND DISPOSAL: Permanent retention. SYSTEM MANAGER(S) AND ADDRESS: Office of Programs—Director of Policy and Systems, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. NOTIFICATION PROCEDURE: Requests for information regarding an individual's record should be in writing, addressed to the System Manager identified above, including the full name and social security number and claim number of the individual. Before information about any record will be released, the System Manager may require the individual to provide proof of identity or require the requester to furnish an authorization from the individual to permit release of information. RECORD ACCESS PROCEDURE: See Notification section above. CONTESTING RECORD PROCEDURE: See Notification section above. RECORD SOURCE CATEGORIES: Railroad employee and employer. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. RRB-13 through RRB-15 [Reserved] RRB-16 SYSTEM NAME: Social Security Administration Master Earnings File. SYSTEM LOCATION: U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. SECURITY CLASSIFICATION: None. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Employees who have at least 48 creditable service months under the Railroad Retirement Act
(RRA)or who attain eligibility for RRA benefits when military service is included as creditable railroad service. CATEGORIES OF RECORDS IN THE SYSTEM: Social Security account number, name, date of birth, gender, social security claim status, details of earnings and periods of employment that are creditable under the Social Security Act for years after 1936. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Section 7(b)(6) of the Railroad Retirement Act of 1974 (45 U.S.C. 231(b)(6)) PURPOSE(S): The purpose of this system of records is to have Social Security Act earnings information available to RRB benefit programs for determinations related to RRA benefit entitlement and amount. The records are stored in the Employment Data Maintenance database. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS, AND THE PURPOSES OF SUCH USES: Internal RRB use only. DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Mainframe computer database. RETRIEVABILITY: Social security account number and name. SAFEGUARDS: Mainframe computer database; computer and computer storage rooms are restricted to authorized personnel; on-line query safeguards include a lock/unlock password system; a terminal oriented transaction matrix; and an audit trail. RETENTION AND DISPOSAL: Magnetic disk: permanent. SYSTEM MANAGER(S) AND ADDRESS: Office of Programs—Director of Policy and Systems, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. NOTIFICATION PROCEDURE: Requests for information regarding an individual's record should be in writing, including the full name, social security number and railroad retirement claim number (if any) of the individual. Before information about any record will be released, the individual may be required to provide proof of identity, or authorization from the individual to permit release of information. Such requests should be sent to the Office of Programs—Assessment and Training, Chief of Employer Service and Training Center, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. RECORD ACCESS PROCEDURE: See Notification section above. CONTESTING RECORD PROCEDURE: See Notification section above. RECORD SOURCE CATEGORIES: Social Security Administration. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. RRB-17 SYSTEM NAME: Appeal Decisions from Initial Denials for Benefits Under the Provisions of the Railroad Retirement Act or the Railroad Unemployment Insurance Act. SYSTEM LOCATION: U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. SECURITY CLASSIFICATION: None. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Appellants under the provisions of the Railroad Retirement Act and the Railroad Unemployment Insurance Act. CATEGORIES OF RECORDS IN THE SYSTEM: Narrative of the facts and law pertinent to the decision made by the Hearings Officer. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Section 7(b)(6) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(6); sec. 12(l) of the Railroad Unemployment Insurance Act (45 U.S.C. 362(l)). PURPOSE(S): Maintain copies of appeals decisions issued by the Bureau of Hearings and Appeals. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS, AND THE PURPOSES OF SUCH USES: a. (Standard Disclosure 1.) b. [reserved] c. If a request for information pertaining to an individual is made by an official of a labor organization of which the individual is a member and the request is made on behalf of the individual, information from the record of the individual concerning his benefit or anticipated benefit and concerning the method of calculating that benefit may be disclosed to the labor organization official. d. Records may be disclosed in a court proceeding relating to any claims for benefits by the beneficiary under the Railroad Retirement Act and may be disclosed during the course of an administrative appeal to individuals who need the records to prosecute or decide the appeal or to individuals who are requested to provide information relative to an issue involved in the appeal. e. (Standard Disclosure 4.) f. (Standard Disclosure 7.) g. (Standard Disclosure 2.) DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Paper. RETRIEVABILITY: Claim number or social security number, Bureau of Hearings and Appeals appeal number, or Bureau of Hearings and Appeal decision number. SAFEGUARDS: Only authorized personnel have access to these records which are kept in an office that is locked at the close of business each day and remains so until start of business the next day. RETENTION AND DISPOSAL: The decisions are retained for a period of 2 years and then destroyed by shredding. SYSTEM MANAGER(S) AND ADDRESS: Director of Hearings and Appeals, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. NOTIFICATION PROCEDURE: Requests for information regarding an individual's record should be in writing addressed to the System Manager identified above, including the full name and social security number and claim number of the individual. Before information about any record will be released, the System Manager may require the individual to provide proof of identity or require the requester to furnish an authorization from the individual to permit release of information. RECORD ACCESS PROCEDURE: See Notification section above. Contesting Record Procedure: See Notification section above. Record Source Categories: Information furnished by the appellant or his/her authorized representative, information developed by the hearings officer relevant to the appeal, and information contained in other record systems maintained by the Railroad Retirement Board. Exemptions Claimed for the System: None. RRB-18 System Name: Miscellaneous Payments paid/posted to the General Ledger by FFS. System Location: U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. Security Classification: None. Categories of Individuals Covered by the System: Railroad Retirement Board employees. Categories of Records in the System: Travel vouchers, miscellaneous reimbursement vouchers. Authority for Maintenance of the System: Section 7(b)(6) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(6)) and Section 12(l) of the Railroad Unemployment Insurance Act (45 U.S.C. 362(l)). Purpose(s): The system is used to pay the operating expenses of the agency and reimbursements as needed to employees. Payment is made to vendors for goods and services. Employees are reimbursed for expenses related to the performance of their jobs. Payments are made within Federal limits and applicable guidelines. Routine Uses of Records Maintained in the System, Including Categories of USERS, AND THE PURPOSES OF SUCH USES: a. Identifying information and check amount may be released to the Treasury Department to issue checks. b. Records may be disclosed to the General Accountability Office for auditing purposes. c. Identifying information, check number, date and amount may be released to the U.S. Postal Service for investigation of alleged forgery or theft of reimbursement checks. d. (Standard Disclosure 4.) DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Paper and computer storage media. RETRIEVABILITY: Name. SAFEGUARDS: Records are maintained in areas not accessible to the public and are not permitted to be removed without authorization; secured building. RETENTION AND DISPOSAL: Retain at headquarters for two years then to Chicago Federal Records Center—GSA will destroy when authorized by General Accountability Office. SYSTEM MANAGER(S) AND ADDRESS: Chief Financial Officer, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. NOTIFICATION PROCEDURE: Requests for information regarding an individual's record should be in writing addressed to the System Manager identified above, including the full name and social security number and claim number of the individual. Before information about any record will be released, the System Manager may require the individual to provide proof of identity or require the requester to furnish an authorization from the individual to permit release of information. RECORD ACCESS PROCEDURE: See Notification section above. CONTESTING RECORD PROCEDURE: See Notification section above. RECORD SOURCE CATEGORIES: Employees travel records, memoranda from Regional Directors, and purchase orders. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. RRB-19 SYSTEM NAME: Cost Accounting Records System. SYSTEM LOCATION: U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. SECURITY CLASSIFICATION: None. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Railroad Retirement Board employees. CATEGORIES OF RECORDS IN THE SYSTEM: Time, leave, payroll information, and supporting documentation relating to participation in the agency's transit benefit program prior to July 2004. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Pay Acts as amended. PURPOSE(S): The purpose of this system is to maintain employee data related to earnings. This includes hours worked, time off, and premium pay. It is also used to calculate employee gross to net pay based on mandatory and elective deductions. Earnings data is accumulated and reported to Federal, State, and local taxing authorities. Employee benefit data is reported to the Office of Personnel Management to ensure accuracy and proper coverage. a. Routine uses of records maintained in the system, including categories of users, and the purposes of such uses: b. Salary and tax information may be disclosed to the Internal Revenue Service, the Social Security Administration, and state and city taxing authorities for tax purposes. c. Service history including pay, benefits, salary deductions for retirement, and other information necessary may be disclosed to the Office of Personnel Management for use in the computation of civil service annuities and to carry out its Government-wide personnel management functions. d. Computer payment information may be released to the Department of Treasury for issuance of salary payments. e. Identification information, check number, data and amount, plus other supporting evidence may be forwarded to the U.S. Postal Service for investigation of alleged forgery or theft of salary checks. f. The last known address and employer information may be released to Department of Health and Human Services in conjunction with the Parent Locator Service. g. Records may be disclosed to the General Accountability Office for auditing purposes. h. (Standard Disclosure 4.) i. A copy of the employee's Form W-2, Wage and Tax Statement, or other similar form containing the name, social security number, taxable earnings and amounts withheld, may be released to the state, city or other local jurisdiction which is authorized to tax the employee's compensation in accordance with a withholding agreement between the state, city or other local jurisdiction, and the Department of the Treasury or the Social Security Administration, or in absence thereof, in response to a written request from an appropriate official of the taxing jurisdiction to the Director of Budget and Fiscal Operations, U.S. Railroad Retirement Board, 844 Rush Street, Chicago, Illinois 60611. j. For employees identified as having defaulted in the repayment of an obligation incurred under any statutory authority except the Internal Revenue Code, the Social Security Act or the U.S. tariff laws, pertinent payroll information, including home address information, may be disclosed to other Federal agencies for the purpose of collecting debts owed to those agencies or the RRB. k. The names, social security numbers, home addresses, dates of birth, dates of hire, quarterly earnings, employer identifying information, and State of hire of employees may be disclosed to the Office of Child Support Enforcement, Administration for Children and Families, Department of Health and Human Services for the purpose of locating individuals to establish paternity, establishing and modifying orders of child support, identifying sources of income, and for other child support and enforcement actions as required by the Personal Responsibility and Work Opportunity Reconciliation Act (Welfare Reform Act, Pub. L. 104-193). l. Transit benefit program documentation may be furnished to the Internal Revenue Service for tax administration purposes. DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Paper, tape and microfiche. RETRIEVABILITY: Name. SAFEGUARDS: Housed in security building and maintained in areas not accessible to the public; information released only at employee's request or to approved federal and local authorities. RETENTION AND DISPOSAL: Consolidated pay tapes, first two master tapes, and last two master tapes for each year: Destroyed by erasing 3 years after close of calendar year in which prepared. Security record-current check issue tape: Destroyed by erasing when National Personnel Records Center receives second subsequent document covering same type of document. Paper: Destroyed by shredding after 3 years. Microfilm: Retained until replaced by a new record, usually within 1 year. Obsolete microfiche is destroyed by shredding. SYSTEM MANAGER(S) AND ADDRESS: Chief Financial Officer, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. NOTIFICATION PROCEDURE: Requests for information regarding an individual's record should be in writing addressed to the System Manager identified above, including the full name and social security number of the individual. Before information about any record will be released, the System Manager may require the individual to provide proof of identity or require the requester to furnish an authorization from the individual to permit release of information. RECORD ACCESS PROCEDURE: See Notification section above. CONTESTING RECORD PROCEDURE: See Notification section above. RECORD SOURCE CATEGORIES: Railroad Retirement Board employees personnel action, time and attendance reports, deduction authorizations. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. RRB-20 SYSTEM NAME: Health Insurance and Supplementary Medical Insurance Enrollment and Premium Payment System (MEDICARE). SYSTEM LOCATION: U.S. Railroad Retirement Board—Headquarters: 844 Rush Street, Chicago, Illinois 60611; District and Regional Offices: See Appendix I for addresses. SECURITY CLASSIFICATION: None CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Qualified Railroad Retirement beneficiaries who are eligible for Medicare coverage, attending physicians, chiropractors and physical therapists. CATEGORIES OF RECORDS IN THE SYSTEM: Claim number, Social Security number, name, address, type of beneficiary under the Railroad Retirement Act, date of birth, method of Supplementary Medical Insurance premium payment, enrollment status, amount of premium, paid-thru date, third party premium payment information, coverage jurisdiction determination, direct premium billing and premium refund accounting, correspondence from beneficiaries, physicians suspected of over-utilization and those suspended from payment by Medicare. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Section 7(d) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(d)) PURPOSE(S): Records in this system are maintained to administer Title XVIII of the Social Security Act for qualified railroad retirement beneficiaries. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS, AND THE PURPOSES OF SUCH USES: a. Beneficiary identification, enrollment status and premium deductions information may be released to the Social Security Administration and the Centers for Medicare & Medicaid Services to correlate actions with the administration of Title II and Title XVIII (MEDICARE) of the Social Security Act. b. Beneficiary identification may be disclosed to third party contacts to determine if incapacity of the beneficiary or potential beneficiary to understand or use benefits exists, and to determine the suitability of a proposed representative payee. c. In the event the Board has determined to designate a person to be the representative payee of an incompetent beneficiary, disclosure of information concerning the benefit amount and other similar information may be made from the record of the individual to the representative payee. d. Data may be disclosed to Department of Health and Human Services for reimbursement for work done under reimbursement provisions of Title XVIII of the Social Security Act, as amended. e. Jurisdictional clearance, premium rates, coverage election, paid-through date, and amounts of payments in arrears may be released to the Social Security Administration and the Centers for Medicare & Medicaid Services to assist those agencies in administering Title XVIII of the Social Security Act, as amended. f. Beneficiary identifying information, date of birth, sex, premium rate paid thru date, and Medicare Part A and Part B entitlement date/end date may be disclosed to effect state buy-in and third party premium payments. g. Payment data may be disclosed to consultants to determine reasonable charges for hospital insurance payments in Canada. h. Entitlement data may be disclosed to primary beneficiaries regarding secondary beneficiaries (or vice versa) when the addition of such beneficiary affects entitlement. i. (Standard Disclosure 3.) j. Beneficiary last address information may be disclosed to Department of Health and Human Services in conjunction with the Parent Locator Service. k. Beneficiary identification, entitlement data and rate information may be released to the Department of State and embassy officials, to the American Institute on Taiwan, and to the Veterans Administration Regional Office, Philippines, to aid in the development of applications, supporting evidence and the continued eligibility of beneficiaries and potential beneficiaries living abroad. l. Records may be released to the General Accountability Office for auditing purposes and for collection of debts arising from overpayments under Title XVIII of the Social Security Act, as amended. m. (Standard Disclosure 1.) n. Pursuant to a request from an employer covered by the Railroad Retirement Act or the Railroad Unemployment Insurance Act, or from an insurance company acting as an agent of an employer, information regarding the RRB's determination of Medicare entitlement, entitlement data, and present address may be released to the requesting employer or insurance company acting as its agent for the purposes of either determining entitlement to and rates of supplemental benefits under private employer welfare benefit plans or complying with requirements of law covering the Medicare program. o. If a request for information pertaining to an individual is made by an official of a labor organization of which the individual is a member and the request is made on behalf of the individual, information from the record of the individual concerning his or her entitlement to Medicare may be disclosed to the labor organization official. p. Records may be disclosed in a court proceeding relating to any claims for benefits by the beneficiary under the Railroad Retirement Act, or Social Security Act and may be disclosed during the course of an administrative appeal to individuals who need the records to prosecute or decide the appeal or to individuals who are requested to provide information relative to an issue involved in the appeal. q. (Standard Disclosure 4.) r. (Standard Disclosure 7.). s. Information may be disclosed to the Department of the Treasury for the purpose of investigating alleged forgery or theft of Medicare reimbursement checks. t. Information may be disclosed to the U.S. Postal Service for investigating alleged forgery or theft of Medicare checks. u. (Standard Disclosure 2.) v. Identifying information about Medicare-entitled beneficiaries who may be working may be disclosed to the Centers for Medicare & Medicaid Services for the purposes of determining whether Medicare should be the secondary payer of benefits for such individuals. w. Whether a qualified railroad retirement beneficiary is enrolled in Medicare Part A or Part B, and if so, the effective date(s) of such enrollment may be disclosed to a legitimate health care provider, in response to its request, when such information is needed to verify Medicare enrollment. DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Paper, digital media, magnetic tape and microfilm. RETRIEVABILITY: Claim number, social security number, full name. SAFEGUARDS: Records are maintained in areas not accessible by the public and are not permitted to be removed from headquarters without authorization RETENTION AND DISPOSAL: Paper: Computer printouts, including daily and monthly statistics, premium payment listings, state-buy-in listings and voucher listings are kept for 2 years, transferred to the Federal Records Center, and destroyed when 5 years old. Other copies of computer printouts are maintained for 1 year, then shredded. Applications material in individual claim folders with records of all actions pertaining to the payment or denial or claims are transferred to the Federal Record Center, Chicago, Illinois 5 years after the date of last payment or denial activity if all benefits have been paid, no future eligibility is apparent and no erroneous payments are outstanding. The claim folder is destroyed 25 years after the date it is received in the center. Magnetic tape: Updated weekly. Obsolete tape is written over. Microfilm and CD-ROM: Originals are kept for 3 years, transferred to the Federal Records Center and destroyed 3 years and 3 months after receipt at the center. One copy is kept 3 years then destroyed when 6 months old or no longer needed for administrative use, whichever is sooner. SYSTEM MANAGER(S) AND ADDRESS: Office of Programs—Director of Policy and Systems, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. NOTIFICATION PROCEDURE: Requests for information regarding an individual's records should be in writing, including the full name, social security number and railroad retirement claim number (if any) of the individual. Before information about any record will be released, the individual may be required to provide proof of identity, or authorization from the individual to permit release of information. Such requests should be sent to the Office of Programs—Director of Operations, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. RECORD ACCESS PROCEDURE: See Notification section above. CONTESTING RECORD PROCEDURE: See Notification section above. RECORD SOURCE CATEGORIES: Applicant (the qualified railroad beneficiary), his/her representative, Social Security Administration, Centers for Medicare & Medicaid Services, Palmetto Government Benefits Administrators, Federal, State or local agencies, their party premium payers, all other Railroad Retirement Board files, physicians. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. RRB-21 SYSTEM NAME: Railroad Unemployment and Sickness Insurance Benefit System SYSTEM LOCATION: U.S. Railroad Retirement Board-Headquarters: 844 Rush Street, Chicago, Illinois 60611; Regional and District Offices: See Appendix I for addresses. SECURITY CLASSIFICATION: None. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Applicants and claimants for unemployment and sickness (including maternity) benefits under the Railroad Unemployment Insurance Act: Some railroad employees injured at work who did not apply for Railroad Unemployment Insurance Act benefits; all railroad employees paid separation allowances. CATEGORIES OF RECORDS IN THE SYSTEM: Information pertaining to payment or denial of an individual's claim for benefits under the Railroad Unemployment Insurance Act: Name, address, sex, Social Security number, date of birth, total months of railroad service (including creditable military service), total creditable compensation for base year, last employer and date last worked before applying for benefits, last rate of pay in base year, reason not working, applications and claims filed, benefit information for each claim filed, disqualification periods and reasons for disqualification, entitlement to benefits under other laws, benefit recovery information about personal injury claims and pay for time not worked, medical reports, placement data, correspondence and telephone inquiries to and about the claimant, record of protest or appeal by claimant of adverse determinations made on his claims. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Section 12(l) of the Railroad Unemployment Insurance Act (45 U.S.C. 351, et seq.). PURPOSE(S): The purpose of this system of records is to carry out the function of collecting and storing information in order to administer the benefit program under the Railroad Unemployment Insurance Act. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS, AND THE PURPOSES OF SUCH USES: a. Beneficiary identifying information may be disclosed to third party contacts to determine if incapacity of the beneficiary or potential beneficiary to understand or use benefits exists, and to determine the suitability of a proposed representative payee. b. In the event the Board has determined to designate a person to be the representative payee of an incompetent beneficiary, disclosure of information concerning the benefit amount and other similar information may be made to the representative payee from the record of the individual. c. Beneficiary identifying information, address, check rate, date and number may be released to the Treasury Department to control for reclamation and return outstanding benefit payments, to issue benefit payments, respond to reports of non-delivery and to insure delivery of check to the correct address or account of the beneficiary or representative payee. d. Beneficiary identifying information, address, payment rate, date and number, plus other necessary supporting evidence may be released to the U.S. Postal Service for investigation of alleged forgery or theft of railroad unemployment/sickness benefit payments. e. A record from this system of records may be disclosed to a Federal agency, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letting of a contract, the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency's decision in the matter, provided that disclosure would be clearly in the furtherance of the interest of the subject individual. f. Under Section 2(f), the Railroad Retirement Board has the right to recover benefits paid to an employee who later receives remuneration for the same period, therefore, the Railroad Retirement Board may notify the person or company paying the remuneration of the Board's right to recovery and the amount of benefits to be refunded. g. Under Section 12(o), the Railroad Retirement Board is entitled to reimbursement of sickness benefits paid on account of the infirmity for which damages are paid, consequently, the Railroad Retirement Board may send a notice of lien to the liable party, and, upon request by the liable party, advise the amount of benefits subject to reimbursement. h. (Standard Disclosure 3.) i. Beneficiary identifying information, rate and entitlement data may be released to the Social Security Administration to correlate actions with the administration of the Social Security Act. j. The last addresses and employer information may be released to Department of Health and Human Services in conjunction with the Parent Locator Service. k. Benefit rate, entitlement and periods paid may be disclosed to the Social Security Administration, Bureau of Supplemental Security Income to federal, state and local welfare or public aid agencies to assist them in processing applications for benefits under their respective programs. l. Beneficiary identifying information, entitlement, rate and other pertinent data may be released to the Department of Labor in conjunction with payment of benefits under the Federal Coal Mine and Safety Act. m. [Reserved] n. Records may be referred to the General Accountability Office for auditing purposes and for collection of debts arising from overpayments under the Railroad Unemployment Insurance Act. o. If a request for information pertaining to an individual is made by an official of a labor organization, of which the individual is a member, information from the record of the individual concerning his benefit or anticipated benefit and concerning the method of calculating that benefit may be disclosed to the labor organization official. p. Pursuant to a request from an employer covered by the Railroad Retirement Act or the Railroad Unemployment Insurance Act, or from an organization under contract to an employer or employers, information regarding the Board's payment of unemployment or sickness benefits, the methods by which such benefits are calculated, entitlement data and present address may be released to the requesting employer or the organization under contract to an employer or employers for the purposes of determining entitlement to and rates of private supplemental pension, sickness or unemployment benefits and to calculate estimated benefits due. q. (Standard Disclosure 1.) r. Records may be disclosed in a court proceeding relating to any claims for benefits by the beneficiary under the Railroad Unemployment Insurance Act and may be disclosed during the course of an administrative appeal to individuals who need the records to prosecute or decide the appeal or to individuals who are requested to provide information relative to an issue involved in the appeal. s. (Standard Disclosure 4.) t. (Standard Disclosure 7.) u. Beneficiary identifying information, entitlement data, benefit rates and periods paid may be released to the Veterans Administration to verify continued entitlement to benefits. v. Identifying information such as full name, social security number, employee identification number, date last worked, occupation, and location last worked may be released to any last employer to verify entitlement for benefits under the Railroad Unemployment Insurance Act. w. The amount of unemployment benefits paid, if 10 dollars or more in a calendar year, and claimant identifying information, may be furnished to the Internal Revenue Service for tax administration purposes. x. The name and address of a claimant may be released to a Member of Congress when the Member requests it in order that he or she may communicate with the claimant about legislation which affects the railroad unemployment insurance system. y. Beneficiary identifying and claim period information may be furnished to states for the purposes of their notifying the RRB whether claimants were paid state unemployment or sickness benefits and also whether wages were reported for them. For claimants that a state identifies as having received state unemployment or sickness benefits, RRB benefit information may be furnished to the state for the purpose of recovery of the amount of the duplicate payments which is made. z. The amount of each sickness benefit that is subject to a tier 1 railroad retirement tax and the amount of the tier 1 tax withheld may be disclosed to the claimant's last railroad employer to enable that employer to compute its tax liability under the Railroad Retirement Tax Act. aa. (Standard Disclosure 2.) bb. The amount of sickness benefits paid and claimant identifying information, except for sickness benefits paid for an on-the-job injury, may be furnished to the Internal Revenue Service for tax administration purposes. cc. Entitlement data and benefit rates may be released to any court, state agency, or interested party, or to the representative of such court, state agency, or interested party in connection with contemplated or actual legal or administrative proceedings concerning domestic relations and support matters. dd. Identifying information and information about a claim for benefits filed may be disclosed to an employee's base-year railroad employer and the employee's most recent railroad employer, if different, in order to afford that employer or those employers the opportunity to submit information concerning the claim. In addition, after the claim has been paid, if the base-year railroad employer appeals the decision awarding benefits, all information regarding the claim may be disclosed to such base-year railroad employer that is necessary and appropriate for it to fully exercise its rights of appeal. ee. Non-medical information relating to the determination of sickness benefits may be disclosed to an insurance company administering a medical insurance program for railroad workers for purposes of determining entitlement to benefits under that program. ff. Scrambled Social Security number and complete home address information of unemployment claimants may be furnished to the Bureau of Labor Statistics for use in its Local Area Unemployment Statistics
(LAUS)program. DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Paper and electronic records, magnetic and optical media, and microforms. RETRIEVABILITY: Social Security number (claim number) and name. SAFEGUARDS: Paper and microforms: Maintained in areas not accessible to the public; offices are locked during non-business hours. Magnetic tape and magnetic disk; computer and computer storage rooms are restricted to authorized personnel; on-line query safeguards include a lock/unlock password system, a terminal oriented transaction matrix and an audit trail; for computerized records electronically transmitted between headquarters and field office locations, systems securities are established in accordance with National Bureau of Standards guidelines. In addition to the online query safeguards, they include encryption of all data transmitted and exclusive use of leased telephone lines. RETENTION AND DISPOSAL: Paper: Destroyed by shredding 6 years and 3 months after the end of the benefit year in which the file was closed. Magnetic tape and microform: destroyed by shredding 6 years and 3 months after the end of the benefit year. Optical media and electronic media: destroyed by shredding, pulverizing, disintegrating, or incineration 6 years and 3 months after the end of the benefit year. SYSTEM MANAGER(S) AND ADDRESS: Office of Programs—Director of Policy and Systems, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. NOTIFICATION PROCEDURE: Requests for information regarding an individual's record should be in writing, including the full name, Social Security number and railroad retirement claim number (if any) of the individual. Before information about any record will be released, the individual may be required to provide proof of identity, or authorization from the individual to permit release of information. Requests should be sent to the Office of Programs—Director of Operations, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. RECORD ACCESS PROCEDURE: See Notification section above. CONTESTING RECORD PROCEDURE: See Notification section above. RECORD SOURCE CATEGORIES: Applicant, claimant or his or her representative, physicians, employers, labor organizations, federal, state, and local government agencies, all Railroad Retirement Board files, insurance companies, attorneys, Congressmen, liable parties (in personal injury cases), funeral homes and survivors (for payment of death benefits). EXEMPTIONS CLAIMED FOR THE SYSTEM: None. RRB-22 SYSTEM NAME: Railroad Retirement, Survivor, and Pensioner Benefit System. SYSTEM LOCATION: U.S. Railroad Retirement Board-Headquarters: 844 Rush Street, Chicago, Illinois 60611; Regional and District Offices: See Appendix I for addresses. SECURITY CLASSIFICATION: None. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Applicants for retirement and survivor benefits, their dependents (spouses, divorced spouses, children, parents, grandchildren), individuals who filed for lump-sum death benefits and/or residual payments. CATEGORIES OF RECORDS IN THE SYSTEM: Information pertaining to the payment or denial of an individual's claim for benefits under the Railroad Retirement Act: Name, address, Social Security number, claim number, proofs of age, marriage, relationship, military service, creditable earnings and service months (including military service), entitlement to benefits under the Social Security Act, programs administered by the Veterans Administration, or other benefit systems, rates, effective dates, medical reports, correspondence and telephone inquiries to and about the beneficiary, suspension and termination dates, health insurance effective date, option, premium rate and deduction, direct deposit data, employer pension information, citizenship status and legal residency status (for annuitants living outside the United States), and tax withholding information (instructions of annuitants regarding number of exemptions claimed and additional amounts to be withheld, as well as actual amounts withheld for tax purposes). AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Section 7(b)(6) of the Railroad Retirement Act of 1974 (U.S.C. 231f(b)(6)). PURPOSE(S): Records in this system of records are maintained to administer the benefit provisions of the Railroad Retirement Act, sections of the Internal Revenue Code related to the taxation of railroad retirement benefits, and Title XVIII of the Social Security Act as it pertains to Medicare coverage for railroad retirement beneficiaries. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS, AND THE PURPOSES OF SUCH USES: a. Beneficiary identifying information may be disclosed to third party contacts to determine if incapacity of the beneficiary or potential beneficiary to understand or use benefits exists, and to determine the suitability of a proposed representative payee. b. In the event the Board has determined to designate a person to be the representative payee of an incompetent beneficiary, disclosure of information concerning the benefit amount and other similar information may be made to the representative payee from the record of the individual. c. Entitlement and benefit rates may be released to primary beneficiaries regarding secondary beneficiaries (or vice versa) when the addition of such beneficiary affects either the entitlement or benefit payment. d. Identifying information such as full name, address, date of birth, social security number, employee identification number, and date last worked, may be released to any last employer to verify entitlement for benefits under the Railroad Retirement Act. e. Beneficiary identifying information, address, check rates, number and date may be released to the Department of the Treasury to control for reclamation and return of outstanding benefit payments, to issue benefit payments, act on report of non-receipt, to insure delivery of payments to the correct address of the beneficiary or representative payee or to the proper financial organization, and to investigate alleged forgery, theft or unlawful negotiation of railroad retirement benefit checks or improper diversion of payments directed to a financial organization. f. Beneficiary identifying information, address, check rate, date, number and other supporting evidence may be released to the U.S. Postal Service for investigation of alleged forgery or theft of railroad retirement or social security benefit checks. g. Beneficiary identifying information, entitlement data, medical evidence and related evaluatory data and benefit rate may be released to the Social Security Administration and the Centers for Medicare & Medicaid Services to correlate actions with the administration of Title II and Title XVIII of the Social Security Act, as amended. h. Beneficiary identifying information, including social security account number, and supplemental annuity amounts may be released to the Internal Revenue Service, State and local taxing authorities for tax purposes (Form G-1099, for those annuitants receiving supplemental annuities). i. Beneficiary identifying information, entitlement, benefit rates, medical evidence and related evaluatory data, and months paid may be furnished to the Veterans Administration for the purpose of assisting that agency in determining eligibility for benefits or verifying continued entitlement to and the correct amount of benefits payable under programs which it administers. j. Beneficiary identifying information, entitlement data and benefit rates may be released to the Department of State and embassy and consular officials, the American Institute on Taiwan, and to the Veterans Administration Regional Office, Philippines, to aid in the development of applications, supporting evidence, and the continued eligibility of beneficiaries and potential beneficiaries living abroad. k. Beneficiary identifying information, entitlement, benefit rates and months paid may be released to the Social Security Administration (Bureau of Supplemental Security Income) the Centers for Medicare & Medicaid Services, to federal, state and local welfare or public aid agencies to assist them in processing applications for benefits under their respective programs. l. The last addresses and employer information may be released to the Department of Health and Human Services in conjunction with the Parent Locator Service. m. Beneficiary identifying information, entitlement, rate and other pertinent data may be released to the Department of Labor in conjunction with payment of benefits under the Federal Coal Mine and Safety Act. n. [Reserved] o. Medical evidence may be released to Board-appointed medical examiners to carry out their functions. p. Information obtained in the administration of Title XVIII (Medicare) which may indicate unethical or unprofessional conduct of a physician or practitioner providing services to beneficiaries may be released to Professional Standards Review Organizations and State Licensing Boards. q. Information necessary to study the relationship between benefits paid by the Railroad Retirement Board and civil service annuities may be released to the Office of Personnel Management. r. Records may be disclosed to the General Accountability Office for auditing purposes and for collection of debts arising from overpayments under Title II and Title XVIII of the Social Security Act, as amended, or the Railroad Retirement Act. s. (Standard Disclosure 3.) t. (Standard Disclosure 1.) u. Pursuant to a request from an employer covered by the Railroad Retirement Act or the Railroad Unemployment Insurance Act, or from an organization under contract to an employer or employers, information regarding the Board's payment of retirement benefits, the methods by which such benefits are calculated, entitlement data and present address may be released to the requesting employer or the organization under contract to an employer or employers for the purposes of determining entitlement to and rates of private supplemental pension, sickness or unemployment benefits and to calculate estimated benefits due. v. If a request for information pertaining to an individual is made by an official of a labor organization of which the individual is a member and the request is made on behalf of the individual, information from the record of the individual concerning his benefit or anticipated benefit and concerning the method of calculating that benefit may be disclosed to the labor organization official. w. Records may be disclosed in a court proceeding relating to any claims for benefits by the beneficiary under the Railroad Retirement Act, and may be disclosed during the course of an administrative appeal to individuals who need the records to prosecute or decide the appeal or to individuals who are requested to provide information relative to an issue involved in the appeal. x. (Standard Disclosure 4.) y. (Standard Disclosure 7.) z. The amount of a residual lump-sum payment and the identity of the payee may be released to the Internal Revenue Service for tax audit purposes. aa. The amount of any death benefit or annuities accrued but unpaid at death and the identity of such payee may be released to the appropriate state taxing authorities for tax assessment and auditing purposes. bb. Beneficiary identifying information, including but not limited to name, address, social security account number, payroll number and occupation, the fact of entitlement and benefit rate may be released to the Pension Benefit Guaranty Corporation to enable that agency to determine and pay supplemental pensions to qualified railroad retirees. cc. Medical records may be disclosed to vocational consultants in administrative proceedings. dd. Date employee filed application for annuity to the last employer under the Railroad Retirement Act for use in determining entitlement to continued major medical benefits under insurance programs negotiated with labor organizations. ee. Information regarding the determination and recovery of an overpayment made to an individual may be released to any other individual from whom any portion of the overpayment is being recovered. ff. The name and address of an annuitant may be released to a Member of Congress when the Member requests it in order that he or she may communicate with the annuitant about legislation which affects the railroad retirement system. gg. Certain identifying information about annuitants, such as name, social security number, RRB claim number, and date of birth, as well as address, year and month last worked for a railroad, last railroad occupation, application filing date, annuity beginning date, identity of last railroad employer, total months of railroad service, sex, disability onset date, disability freeze onset date, and cause and effective date of annuity termination may be furnished to insurance companies for administering group life and medical insurance plans negotiated between certain participating railroad employers and railway labor organizations. hh. For payments made after December 31, 1983, beneficiary identifying information, address, amounts of benefits paid and repaid, beneficiary withholding instructions, and amounts withheld by the RRB for tax purposes may be furnished to the Internal Revenue Service for tax administration purposes. ii. (Standard Disclosure 2.) jj. Last address and beneficiary identifying information may be furnished to railroad employers for the purpose of mailing railroad passes to retired employees and their families. kk. Entitlement data and benefits rates may be released to any court, state agency, or interested party, or to the representative of such court, state agency, or interested party, in connection with contemplated or actual legal or administrative proceedings concerning domestic relations and support matters. ll. Identifying information about annuitants and applicants may be furnished to agencies and/or companies from which such annuitants and applicants are receiving or may receive worker's compensation, public pension, or public disability benefits in order to verify the amount by which Railroad Retirement Act benefits must be reduced, where applicable. mm. Disability annuitant identifying information may be furnished to state employment agencies for the purpose of determining whether such annuitants were employed during times they receive disability benefits. nn. Identifying information about Medicare-entitled beneficiaries who may be working may be disclosed to the Centers for Medicare & Medicaid Services for the purposes of determining whether Medicare should be the secondary payer of benefits for such individuals. oo. Disclosure of information in claim folders is authorized for bonafide researchers doing epidemiological/mortality studies approved by the RRB who agree to record only information pertaining to deceased beneficiaries. pp. Identifying information for beneficiaries, such as name, SSN, and date of birth, may be furnished to the Social Security Administration and to any State for the purpose of enabling the Social Security Administration or State through a computer or manual matching program to assist the RRB in identifying surviving spouse beneficiaries who remarried but who may not have notified the RRB of their remarriage. qq. An employee's date last worked, annuity filing date, annuity beginning date, and the month and year of death may be furnished to AMTRAK when such information is needed by AMTRAK to make a determination whether to award a travel pass to either the employee or the employee's widow. rr. The employee's Social Security number may be disclosed to an individual eligible for railroad retirement benefits on the employee's earnings record when the employee's Social Security number would be contained in the railroad retirement claim number. DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Paper, microforms, magnetic tape and magnetic disk. RETRIEVABILITY: Claim number, Social Security number and full name. SAFEGUARDS: Papers and microforms: Maintained in areas not accessible to the public, offices are locked during non-business hours. Magnetic tape and magnetic disk: Computer and computer storage rooms are restricted to authorized personnel; on-line query safeguards include a lock/unlock password system, a terminal oriented transaction matrix and an audit trail; for computerized records electronically transmitted between headquarters and field office locations, system securities are established in accordance with National Institute of Standards and Technology guidelines. In addition to the on-line query safeguards, they include encryption of all data transmitted and exclusive use of leased telephone lines. RETENTION AND DISPOSAL: Paper: Individual claim folders with records of all actions pertaining to the payment of claims are transferred to the Federal Records Center, Chicago, Illinois 5 years after the date of last payment or denial activity if all benefits have been paid, no future eligibility is apparent and no erroneous payments are outstanding. The claim folder is destroyed 25 years after the date it is received in the center. Account receivable listings and checkwriting operations daily activity listings are transferred to the Federal Records Center 1 year after the date of issue and are destroyed 6 years and 3 months after receipt at the center. Other paper listings are destroyed 1 year after the date of issue. Change of address source documents are destroyed after 1 year. Microforms—Originals are kept for 3 years, transferred to the Federal Records Center, and destroyed when 8 years old. One duplicate copy is kept 2 years and destroyed by shredding. All other duplicate copies are kept 1 year and destroyed by shredding. Magnetic tape: Magnetic tape records are used to daily update the disk file, are retained for 90 days and then written over. For disaster recovery purposes certain tapes are stored 12-18 months. Magnetic disk: Continually updated and permanently retained. SYSTEM MANAGER(S) AND ADDRESS: Office of Programs—Director of Policy and Systems, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. NOTIFICATION PROCEDURE: Requests for information regarding an individual's records should be in writing, including the full name, Social Security number and railroad retirement claim number(if any) of the individual. Before information about any records will be released, the individual may be required to provide proof of identity, or authorization from the individual to permit release of information. Requests should be sent to the Office of Programs—Director of Operations, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. RECORD ACCESS PROCEDURE: See Notification section above. CONTESTING RECORD PROCEDURE: See Notification section above. RECORD SOURCE CATEGORIES: Individual applicants or their representatives, railroad employers, other employers, physicians, labor organizations, federal, state and local government agencies, attorneys, funeral homes, congressmen, schools, foreign government. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. RRB-23 through RRB-25 [Reserved] RRB-26 SYSTEM NAME: Payment, Rate and Entitlement History File. SYSTEM LOCATION: U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. SECURITY CLASSIFICATION: None. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Individuals who have received or are receiving benefits under the Railroad Retirement Act or the Social Security Act, including retired and disabled railroad employees, their qualified spouses, dependents, and survivors, and recipients of other, non-recurring benefits. CATEGORIES OF RECORDS IN THE SYSTEM: Data supporting the benefits and historical data recording the benefits paid to the above categories of individuals under the Railroad Retirement and Social Security Acts. Includes name, address, social security number, claim number, date of birth, dates of military service, creditable service months, amounts of benefits received under the Social Security Act, components of and final rates payable under the Railroad Retirement Act, health insurance premium deduction, direct deposit data, employer pension information and tax withholding information (actual amounts withheld for tax purposes). AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Section 7(b)(6) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(6)) PURPOSE(S): The purpose of this system is to record in one file all data concerning payment, rate, and entitlement history for recipients of Railroad Retirement benefits. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS, AND THE PURPOSES OF SUCH USES: a. (Standard Disclosure 3.) b. Records may be released to the Internal Revenue Service for the purpose of their checking amounts shown on individual tax returns as pensions and annuities received under the Railroad Retirement Act. c. Benefit data regarding persons who, it is determined, are both RRB and VA beneficiaries may be furnished to the Veterans Administration for the purpose of assisting the VA in the administration of its income dependent benefit programs. d. Disability annuitant identifying information may be furnished to state employment agencies for the purpose of determining whether such annuitants were employed during times they receive disability benefits. e. Identifying information about Medicare-entitled beneficiaries who may be working may be disclosed to the Centers for Medicare & Medicaid Services for the purposes of determining whether Medicare should be the secondary payer of benefits for such individuals. f. Benefit information may be furnished to state agencies for the purposes of determining entitlement or continued entitlement to state income-dependent benefits and, if entitled, to adjusting such benefits to the amount to which the individual is entitled under state law, provided the state agency furnishes identifying information for the individuals for whom it wants the RRB benefit information. DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Magnetic tape and magnetic disk. RETRIEVABILITY: By claim number or beneficiary's Social Security number. SAFEGUARDS: Access is limited to authorized personnel only. RETENTION AND DISPOSAL: Magnetic tapes are retained for 2 years then written over; magnetic disk files are retained permanently. SYSTEM MANAGER(S) AND ADDRESS: Supervisory Data Manager, Bureau of Information Services, Information Resources Management Center, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. NOTIFICATION PROCEDURE: Requests for information regarding an individual's record should be in writing addressed to the System Manager identified above, including the full name and social security number and claim number of the individual. Before information about any record will be released, the System Manager may require the individual to provide proof of identity or require the requester to furnish an authorization from the individual to permit release of information. RECORD ACCESS PROCEDURE: See Notification section above. CONTESTING RECORD PROCEDURE: See Notification section above. RECORD SOURCE CATEGORIES: Transmissions from the following computerized systems: Railroad Retirement Act benefit payment; Social Security benefit payment; disability rating decisions; and primary insurance amount calculations. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. RRB-27 SYSTEM NAME: Railroad Retirement Board-Social Security Administration Financial Interchange System SYSTEM LOCATION: U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. SECURITY CLASSIFICATION: None. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: One-percent sample of former railroad employees and members of their families who would have been eligible for social security benefits if railroad employment had been covered by the social security system. CATEGORIES OF RECORDS IN THE SYSTEM: Claim number, social security number, date of birth, and administrative cost and payment data on imputed and actual social security benefits. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Section 7(c)(2) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(c)(2)) PURPOSE(S): The purpose of this system is to calculate benefit amounts required to determine the financial interchange transfer amounts each year. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS, AND THE PURPOSES OF SUCH USES: a. Findings, including individual records, may be released to the Social Security Administration, determining amounts which, if added to or subtracted from the OASDI Trust Funds, would place the Social Security Administration in the position it would have been if employment covered by the Railroad Retirement Act had been covered by the Social Security and Federal Insurance Contributions Acts. b. Information may be released to the General Accountability Office for auditing purposes. c. (Standard Disclosure 3.) DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Magnetic media, paper and computer hard disk. RETRIEVABILITY: Claim and social security account numbers. SAFEGUARDS: Records are maintained in areas not accessible to the public and are not permitted to be removed. RETENTION AND DISPOSAL: Retained indefinitely, except that periodically, inactive materials are sent to the Federal Records Center to be retained for ten years, then destroyed by the General Services Administration. SYSTEM MANAGER(S) AND ADDRESS: Chief of Financial Interchange, Bureau of the Actuary, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092 NOTIFICATION PROCEDURE: Requests for information regarding an individual's record should be in writing addressed to the System Manager identified above, including the full name and social security account number and claim number of the individual. Before information about any record will be released, the System Manager may require the individual to provide proof of identity or require the requester to furnish an authorization from the individual to permit release of information. RECORD ACCESS PROCEDURE: See Notification section above. CONTESTING RECORD PROCEDURE: See Notification section above. RECORD SOURCE CATEGORIES: The Social Security Administration and other Railroad Retirement Board files. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. RRB-28 [Reserved] RRB-29 SYSTEM NAME: Railroad Employees' Annual Gross Earnings Master File SYSTEM LOCATION: U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. SECURITY CLASSIFICATION: None. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Railroad workers whose Social Security account number ends in “30”. CATEGORIES OF RECORDS IN THE SYSTEM: Gross earnings by individual by month, quarter or year. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Section 7(c)(2) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(c)(2)). PURPOSE(S): The purpose of this system is to maintain gross earnings reports for Financial Interchange sample employees for use in the calculation of payroll tax amounts used in the financial interchange determinations. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS, AND THE PURPOSES OF SUCH USES: None. DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Magnetic media, paper, and computer hard disk. RETRIEVABILITY: Social Security account number. SAFEGUARDS: Records are maintained in areas not accessible to the public and are not permitted to be removed; secured building. RETENTION AND DISPOSAL: Original reports are kept for 6 years. Final summarized file is kept for 5 years. SYSTEM MANAGER(S) AND ADDRESS: Chief of Benefit and Employment Analysis, Bureau of the Actuary, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092 NOTIFICATION PROCEDURE: Requests for information regarding an individual's record should be in writing addressed to the System Manager identified above, including the full name and social security account number and claim number of the individual. Before information about any record will be released, the System Manager may require the individual to provide proof of identity or require the requester to furnish an authorization from the individual to permit release of information. RECORD ACCESS PROCEDURE: See Notification section above. CONTESTING RECORD PROCEDURE: See Notification section above. RECORD SOURCE CATEGORIES: Railroad employers. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. RRB-30 through RRB-32 [Reserved] RRB-33 SYSTEM NAME: Federal Employee Incentive Awards System. SYSTEM LOCATION: U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. SECURITY CLASSIFICATION: None. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Railroad Retirement Board employees who have submitted suggestions or have been nominated for awards. CATEGORIES OF RECORDS IN THE SYSTEM: Employee suggestions, special achievement awards, quality increase awards, public service awards, government-sponsored awards, performance awards, and time off awards. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Chapter 45, Title 5, U.S. Code. PURPOSE(S): Past suggestion and award nominations and awards presented are maintained to provide historical and statistical records. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS, AND THE PURPOSES OF SUCH USES: a. Information may be released to the public media for public relations purposes. b. Records may be disclosed to the General Accountability Office for auditing purposes. DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Paper. RETRIEVABILITY: System indexed by number assigned when suggestion or nomination is received. Suggestions are cross-referenced by name of suggester and subject of suggestion. SAFEGUARDS: Only authorized staff has access to the files. RETENTION AND DISPOSAL: Denied suggestions are purged and destroyed five years after denial date. Adopted suggestions are retained permanently as are all special achievement awards, quality increase and public service awards, RRB Award for Excellence, and government-sponsored awards. SYSTEM MANAGER(S) AND ADDRESS: Director of Human Resources, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. NOTIFICATION PROCEDURE: Requests for information regarding an individual's record should be in writing addressed to the System Manager identified above, including the full name and social security number of the individual. Before information about any record will be released, the System Manager may require the individual to provide proof of identity or require the requester to furnish an authorization from the individual to permit release of information. RECORD ACCESS PROCEDURE: See Notification section above. CONTESTING RECORD PROCEDURE: See Notification section above. RECORD SOURCE CATEGORIES: Suggestion or award submitted by suggester or nominator. Suggestions submitted by employees; recommendations for award submitted by supervisory personnel. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. RRB-34 SYSTEM NAME: Employee Personnel Management Files. SYSTEM LOCATION: U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. SECURITY CLASSIFICATION: None. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Current employees of the U.S. Railroad Retirement Board. CATEGORIES OF RECORDS IN THE SYSTEM: Name, address and phone number of the person to notify in case of emergency and personal physician; copies of SF-52, Request for Personnel Action, SF-50, Personnel Action, service computation date form, performance ratings, other awards and nominations for recognition, supervisory informal and formal written notes, memorandums, etc., relative to admonishment, caution, warnings, reprimand or similar notices, within-grade increase materials, SF-171, Employment Application, official position descriptions, task lists and performance plans, information concerning training received and seminars attended, and miscellaneous correspondence. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Section 7(b)(9) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(9)) and 5 U.S.C. Part III. PURPOSE(S): The system is maintained to provide information to managers and supervisors to assist in their work, and meet OPM regulations. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS, AND THE PURPOSES OF SUCH USES: a. (Standard Disclosure 1.) b. Records may be disclosed in a court proceeding and may be disclosed during the course of an administrative appeal to individuals who need the records to prosecute or decide the appeal or to individuals who are requested to provide information relative to an issue involved in the appeal. c. A record from this system of records may be disclosed to a federal agency, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the reporting of an investigation of an employee, the letter of a contract, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency's decision on the matter. d. (Standard Disclosure 4.) e. Information in this system of records may be released to the attorney representing such individual, upon receipt of a written letter or declaration stating the fact of representation, subject to the same procedures and regulatory prohibitions as the subject individual. f. (Standard Disclosure 2.) DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Paper and magnetic disk. RETRIEVABILITY: Name of employee. SAFEGUARDS: Kept in lockable file cabinets or lockable desks in secured building, access limited to authorized personnel, limited access to automated system. RETENTION AND DISPOSAL: The paper folder is maintained for the period of the employee's service in the agency and is then transferred to the National Personnel Records Center for storage or, to the next employing Federal agency. Other records are either retained at the agency for various lengths of time in accordance with the National Archives and Records Administration records schedules or destroyed when they have served their purpose or when the employee leaves the agency. SYSTEM MANAGER(S) AND ADDRESS: Director of Human Resources, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. NOTIFICATION PROCEDURE: Requests for information regarding an individual's record should be addressed to the System Manager identified above, including the full name and social security number of the individual. Before information about any record will be released, the System Manager may require the individual to provide proof of identity or require the requester to furnish an authorization from the individual to permit release of information. RECORD ACCESS PROCEDURE: See Notification section above. CONTESTING RECORD PROCEDURE: See Notification section above. RECORD SOURCE CATEGORIES: Employee, agency officials and management personnel. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. RRB-35 [Reserved] RRB-36 SYSTEM NAME: Complaint, Grievance, Disciplinary and Adverse Action Files. SYSTEM LOCATION: U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. SECURITY CLASSIFICATION: None. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Railroad Retirement Board employees who are the subjects of disciplinary or adverse actions or who have filed a complaint or grievance. CATEGORIES OF RECORDS IN THE SYSTEM: Information relating to proposals and decisions in cases of discipline and adverse actions; including supporting documents; information relating to grievances filed under the agency and negotiated grievance procedures, including the grievance, final decision and any evidence submitted by the employee and/or the agency in support of or contesting the grievance. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Title 5 U.S.C. sections 7503(c), 7513(e), 7543(e). PURPOSE(S): The purpose of this system of records is to maintain information related to grievances, disciplinary actions, and adverse actions in order to furnish information to arbitrators, EEO investigators, the Merit Systems protection Board, the Federal Labor Relations Authority, and the Courts, as necessary. The information is also used for statistical purposes, as needed. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS, AND THE PURPOSES OF SUCH USES: a. (Standard Disclosure 1.) b. Information in this system of records may be released to the attorney representing such individual, upon receipt of a written letter or declaration stating the fact of representation, subject to the same procedures and regulatory prohibitions as the subject individual. c. Records may be disclosed to officials of the Merit Systems Protection Board, including the Office of Special Counsel; the Federal Labor Relations Authority and its General Counse; or the Equal Employment Opportunity Commission when requested in the performance of their authorized duties. d. (Standard Disclosure 2.) DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Paper. RETRIEVABILITY: Name of employee. SAFEGUARDS: Maintained in locked file cabinets in an area not accessible to the public. RETENTION AND DISPOSAL: Maintained for four years, then destroyed by shredding. SYSTEM MANAGER(S) AND ADDRESS: Director of Human Resources, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092 NOTIFICATION PROCEDURE: Requests for information regarding an individual's record should be addressed to the System Manager identified above and should include the name and social security number of the individual involved. Before information about any record will be released, the System Manager may require the individual to provide proof of identity or require the requester to furnish an authorization from the individual to permit release of information. RECORD ACCESS PROCEDURE: See Notification section above. CONTESTING RECORD PROCEDURE: See Notification section above. RECORD SOURCE CATEGORIES: The Railroad Retirement Board employee, the employee's supervisor, bureau or regional director, the executive director, or the employee's representative. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. RRB-37 through RRB-41 [Reserved] RRB-42 SYSTEM NAME: Overpayment Accounts. SYSTEM LOCATION: U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. SECURITY CLASSIFICATION: None. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Individuals or businesses who were overpaid in the salaries or benefits they received from the Railroad Retirement Board. Benefits overpaid are further delineated in the following two categories. —Individuals or businesses overpaid the following types of annuities or benefits payable under the Railroad Retirement Act: retirement, disability, supplemental, and survivor. —Individuals overpaid unemployment or sickness insurance benefits payable under the Railroad Unemployment Insurance Act. CATEGORIES OF RECORDS IN THE SYSTEM: Name, address, Social Security number, Railroad Retirement claim number, whether salary or benefit and if benefit type of benefit previously paid, amount of overpayment, debt identification number, cause of overpayment, source of overpayment, original debt amount, current balance of debt, installment repayment history, recurring accounts receivable administrative offset history, waiver, reconsideration and debt appeal status, general billing, dunning, referral, collection, and payment history, amount of interest and penalties assessed and collected, name of Federal agency to which account is referred for collection, date of such referral and amount collected. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Sec. 7(b)(6) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(6)); sec. 12(l) of the Railroad Unemployment Insurance Act (45 U.S.C. 362(l)); Pub. L. 97-92, Joint Resolution; Pub. L. 97-365 (Debt Collection Act of 1982); Federal Claims Collection Act (31 U.S.C. 3701 et seq.); Pub. L. 104-134 (Debt Collection Improvement Act of 1996), 5 U.S.C. section 5514 and 20 CFR part 361. PURPOSE(S): The records in this system are created, monitored and maintained to enable the Railroad Retirement Board to fulfill regulatory and statutory fiduciary responsibilities to its trust funds, the individuals to whom it pays salaries or benefits and the Federal Government as directed under the Railroad Retirement Act, Railroad Unemployment Insurance Act, Debt Collection Act of 1982, Federal Claims Collection Improvement Act of 1998. These responsibilities include: Accurate and timely determination of debt; sending timely, accurate notice of the debt with correct repayment and rights options; taking correct and timely action when rights/appeals have been requested; assessing appropriate charges; using all appropriate collection tools, releasing required, accurate reminder notices; and correctly and timely entering all recovery, write-off and waiver offsets to debts. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS, AND THE PURPOSES OF SUCH USES: a. Benefit overpayment amounts, history of collectible, history of collection efforts and identification information (name, address, Social Security number, Railroad Retirement claim number) whether salary or benefit overpayment, if benefit, type of benefit, may be disclosed to agencies of the Federal government for the purpose of recovering overpayments. b. Records may be disclosed to the General Accountability Office for auditing purposes. c. (Standard Disclosure 4.) d. (Standard Disclosure 1.) e. If a request for information pertaining to an individual is made by an official of a labor organization of which the individual is a member and the request is made on behalf of the individual, information from the record of the individual concerning his overpayment may be disclosed to the labor organization official. f. (Standard Disclosure 2.) g. Debtors' names, Social Security Numbers, Railroad Retirement claim numbers, and the amounts of debts owed may be disclosed to the Defense Manpower Data Center of the Department of Defense, to the Office of Personnel Management, and to the Postal Service to conduct computer matching programs for the purpose of identifying and locating individuals who are receiving Federal salaries or benefit payments and delinquent in their repayment of debts owed to the U.S. Government under certain programs administered by the Railroad Retirement Board in order to collect the debts under the provisions of the Debt Collection Act of 1982 (Pub. L. 97-365) by voluntary repayment, or by administrative or salary offset procedures. h. Debtors' names, Social Security Numbers, the amounts of debts owed, and the history of the debts, may be released to any Federal agency for the purpose of enabling such agency to collect debts on RRB's behalf by administrative or salary offset under the provisions of the Debt Collection Act of 1982 (Pub. L. 97-365). i. Debtors' names, Social Security Numbers, Railroad Retirement claims numbers, accounts of debts, history of the debts, and other relevant and necessary information may be disclosed to the Financial Management Service, Department of the Treasury, for the purpose of recovery of debts under the provisions of the Debt Collection Improvement Act of 1996. DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Paper, magnetic tape, and magnetic disk. RETRIEVABILITY: Salary overpayments retrievable by Social Security number and name. Benefit overpayments retrievable by Social Security number, Railroad Retirement claim number, and name. SAFEGUARDS: Salary overpayment records are maintained at the General Services Administration under safeguards equal to those of the Railroad Retirement Board (see GSA-PPFM-9). All benefit overpayment records are maintained in a secured building in areas not accessible to the public and are restricted to personnel whose official duties require access. Paper: Records are stored in locked file cabinets. Magnetic tape and magnetic disk: Computer and computer storage rooms are restricted to authorized personnel; on-line query safeguards include a lock/unlock password system, terminal oriented transaction matrix, and an audit trail. RETENTION AND DISPOSAL: Salary overpayments are maintained at the General Services Administration and follow that agency's retention and disposal guidelines. Benefit overpayments are initially maintained in an on-line database. Overpayments are removed five years after balances reach 0.00. These records are identified and removed annually. Overpayments declared uncollectible and written off are removed ten years after being so declared. Removed records are written to tape and disk. The information written is general case history, which includes cause and type of overpayment, regular recovery actions, account adjustments resulting from posting interest, charges and cash receipts. Other activity, such as reconsideration, waiver and appeal actions, and delinquent recovery actions are also included. The tapes are retained for five years and, then, made available for overwrite. There is no retention schedule for records written to disk. Paper documents, with benefit overpayment data, are shredded three years after receipt. These records are identified and destroyed annually. SYSTEM MANAGER(S) AND ADDRESS: Salary overpayments: Director, General Services Administration National Payroll Center, Attention: 6BCY, 1500 Bannister Road, Kansas City, Missouri 64131-3088; Benefit overpayments: Chief Financial Officer, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. NOTIFICATION PROCEDURE: Requests for information regarding an individual's salary overpayment record should be in writing addressed to the Director, General Services Administration National Payroll Center at the address above. Requests for information regarding an individual's or business' benefit overpayment record should be in writing addressed to the System Manager identified above, including the full name, claim number, and social security number of the individual. Before information about any record will be released, the System Manager may require the individual to provide proof of identity or require the requester to furnish an authorization from the individual to permit release of information. RECORD ACCESS PROCEDURE: See Notification section above. CONTESTING RECORD PROCEDURE: See Notification section above. RECORD SOURCE CATEGORIES: Salary overpayments: General Services Administration Records salary records, Railroad Retirement Board employee overpaid. Benefit overpayments: Railroad Retirement Board beneficiaries' claim folders, the overpaid individuals, other Board systems of records, and debt collection agencies. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. RRB-43 SYSTEM NAME: Investigation Files SYSTEM LOCATION: Office of Inspector General, U.S. Railroad Retirement Board, 844 N. Rush Street, Chicago, Illinois 60611. SECURITY CLASSIFICATION: None. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Any of the following categories of individuals on whom a complaint is made alleging a violation of law, regulation, or rule pertinent to the administration of programs by the RRB, or, with respect to RRB employees, alleging misconduct or conflict of interest in the discharge of their official duties: Current and former employees of the Retirement Railroad Board; contractors; subcontractors; consultants, applicants for, and current and former recipients of, benefits under the programs administered by the Railroad Retirement Board; officials and agents of railroad employers; members of the public who are alleged to have stolen or unlawfully received RRB benefit or salary or assisted in such activity; and others who furnish information, products, or services to the RRB. CATEGORIES OF RECORDS IN THE SYSTEM: Letters, memoranda, and other documents alleging a violation of law, regulation or rule, or alleging misconduct, or conflict of interest; reports of investigations to resolve allegations with related exhibits, statements, affidavits or records obtained during the investigation; recommendations on actions to be taken; transcripts of, and documentation concerning requests and approval for, consensual monitoring of communications; photographs, video and audio recordings made as part of the investigation; reports from law enforcement agencies; prior criminal or noncriminal records as they relate to the investigation; reports of actions taken by management personnel regarding misconduct; reports of legal actions resulting from violations referred to the Department of Justice or other law enforcement agencies for prosecution. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Inspector General Act of 1978; Pub. L. 95-452, 5 U.S.C. App., as amended. PURPOSE(S): The Office of Inspector General maintains this system of records to carry out its statutory responsibilities under the Inspector General Act. These responsibilities include a mandate to investigate allegations of fraud, waste, and abuse related to the programs and operations of the RRB and to refer such matters to the Department of Justice for prosecution. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS, AND THE PURPOSES OF SUCH USES: a. Records may be disclosed to the Department of Justice or other law enforcement authorities in connection with actual or potential criminal prosecution or civil litigation initiated by the RRB, or in connection with requests by RRB for legal advice. b. Records may be disclosed to a Federal agency which has requested information relevant or necessary to its hiring or retention of an employee or the issuance of a security clearance, provided that the subject individual is not an individual on whom the RRB has obtained information in conjunction with its administration of the Railroad Retirement Act, the Railroad Unemployment Act, the Milwaukee Railroad Restructuring Act, or the Rock Island Railroad Transition and Employee Assistance Act. c. (Standard Disclosure 1.) d. (Standard Disclosure 7.) e. Records may be disclosed to members of the President's Council on Integrity and Efficiency for the preparation of reports to the President and Congress on the activities of the Inspector General. f. Records may be disclosed to members of the President's Council on Integrity and Efficiency, or the Department of Justice, as necessary, for the purpose of conducting qualitative assessment reviews of the investigative operations of RRB-OIG to ensure that adequate internal safeguards and management procedures are maintained. DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Paper and electronic media. RETRIEVABILITY: Name, SSN, RRB Claim Number, and assigned number, all of which are cross-referenced to the other information. SAFEGUARDS: General access is restricted to the Inspector General and members of his staff; disclosure within the agency is on a limited need-to-know basis; files and paper documents are maintained in locked file cabinets located in areas not accessible to the public. Office is locked during non-business hours. Access to computers which store the electronic index is restricted to authorized personnel, and on-line query safeguards include a password unlock system. RETENTION AND DISPOSAL: Paper files are retained for 10 years after the investigation has been closed before they are destroyed by shredding. They are destroyed by shredding in the fiscal year following the expiration of the 10-year retention period. The electronic index records are retained until no longer required for any operational or administrative purposes. SYSTEM MANAGER(S) AND ADDRESS: Assistant Inspector General, Office of Inspector General, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. NOTIFICATION PROCEDURE: Requests for information regarding an individual's record should be in writing addressed to the System Manager identified above, including the full name, claim number, and social security number of the individual. Before information about any record will be released, the System Manager may require the individual to provide proof of identity or require the requester to furnish an authorization from the individual to permit release of information. Many records in this system are exempt from the notification requirements under 5 U.S.C. 552a(k) listed under “Exemptions Claimed for the System.” To the extent that records in this system of records are not subject to exemption, they are subject to notification. A determination whether an exemption applies shall be made at the time a request for notification is received. RECORD ACCESS PROCEDURE: Requests for access to the record of an individual and requests to contest such a record should be in writing addressed to the System Manager identified above, including the full name, claim number, and social security number of the individual. Before information about any record will be released, the System Manager may require the individual to provide proof of identity or require the requester to furnish an authorization from the individual to permit release of information. CONTESTING RECORD PROCEDURE: See notification section above. RECORD SOURCE CATEGORIES: The subject; the complainant; third parties, including but not limited to employers and financial institutions; local, state, and federal agencies; and other RRB record systems. EXEMPTIONS CLAIMED FOR THE SYSTEM: Pursuant to 5 U.S.C. 552a(j)(2) records in this system of records which are compiled for the purposes of criminal investigations are exempted from the requirements under 5 U.S.C. 552a(c)(3) and
(4)(Accounting of Certain Disclosures),
(d)(Access to Records), (e)(1), (2), (3), (4), (G), (H), and (I),
(5)and
(8)(Agency Requirements),
(f)(Agency Rules), and
(g)(Civil Remedies) of 5 U.S.C. 552a. Pursuant to 5 U.S.C. 552a(k)(2) records in this system of records which consist of investigatory material compiled for law enforcement purposes are exempted from the notice, access and contest requirements under 5 U.S.C. 552a(c)(3),
(d)(e)(1), (e)(4)(G), (H), and
(I)and (f); however, if any individual is denied any right, privilege, or benefit to which the individual would otherwise be eligible as a result of the maintenance of such material, such material shall be provided to such individual except to the extent that disclosure of such material would reveal the identity of a source who furnished information to the Government under an express promise that the identity of the source would be held in confidence. The reasons why the head of the Railroad Retirement Board decided to exempt this system of records under 5 U.S.C. 552a(k) are given in 20 C.F.R. 200(g). RRB-44 through RRB-45 [Reserved] RRB-46 SYSTEM NAME: Personnel Security Files. SYSTEM LOCATION: U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. SECURITY CLASSIFICATION: None. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Current and former Railroad Retirement Board
(RRB)employees and individuals being considered for possible employment, or contractor work, by the RRB. CATEGORIES OF RECORDS IN THE SYSTEM: Completed and signed suitability investigation requests; information concerning identity source documents; results of applicable background checks; copies of relevant material used to validate applicant's identity, including photos and fingerprint impressions. Records of actions taken by the Railroad Retirement Board in a personnel security investigation. If the action is favorable, the information will include identifying information and the action taken; if the action is unfavorable, the information will include the basis of the action which may be a summary of, or a selection of, information contained in an OPM investigation report. Information in an OPM investigation report may include: date and place of birth, marital status, dates and places of employment, foreign countries visited, membership in organizations, birth date and place of birth of relatives, arrest records, prior employment reports, dates and levels of clearances, and names of agencies and dates when, and reasons why, they were provided clearance information on Board employees. Note: This system of records does not include the OPM investigation report itself, even though it is in possession of the Railroad Retirement Board. The report is covered under the system of records OPM Central-9. Access to the report is governed by OPM. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Executive Order 10450, OMB Circular A-130 dated December 15, 1985, and Homeland Security Presidential Directive 12. PURPOSE(S): The purpose of this system of records is to maintain files documenting the processing of investigations on RRB employees and applicants for employment or contract work used in making security/suitability determinations. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS, AND THE PURPOSES OF SUCH USES: a. Records may be disclosed to the Office of Personnel Management in carrying out its functions. b. Records may be disclosed to an agency in the executive, legislative, or judicial branch, or the District of Columbia Government, in response to its request, in connection with the hiring or retention of an employee, the issuance of a security clearance, the conducting of a security or suitability investigation of an individual, the classifying of jobs, the letting of a contract, or the issuance of a license, grant or other benefit by the requesting agency, to the extent that the information is relevant and necessary to the requesting agency's decision on the matter. c. (Standard Disclosure 1.) d. (Standard Disclosure 2.) e. In the event of litigation where one of the parties is
(1)the Board, any component of the Board, or any employee of the Board in his or her official capacity;
(2)the United States where the Board determines that the claim, if successful, is likely to directly affect the operations of the Board or any of its components; or
(3)any Board employee in his or her individual capacity where the Justice Department has agreed to represent such employees, the Board may disclose such records as it deems desirable or necessary to the Department of Justice to enable that Department to effectively represent such party, provided such disclosure is compatible with the purpose for which the records were collected. f. (Standard Disclosure 4.) g. Disclosure may be made to the PIV card applicant's representative at the written request of the individual who is applying for a PIV card with the RRB. DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Paper. RETRIEVABILITY: Name. SAFEGUARDS: The records are kept in secure storage, in a locked room. Access to RRB personnel security files is limited to the Director of Human Resources (Personnel Security Officer) and the Chief of Human Services and Labor Relations. Access to contractor personnel security files is limited to the Director of Administration. Access to OIG personnel security files is limited to the Assistant Inspector General for Investigations. RETENTION AND DISPOSAL: GRS 18-22; Destroy upon notification of death or not later than 5 years after separation or transfer of employee, whichever is applicable. SYSTEM MANAGER(S) AND ADDRESS: RRB Employees: Human Resources Security Officer, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092; RRB OIG Employees: Assistant Inspector General for Investigations, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092; Contractors: Director of Administration, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. NOTIFICATION PROCEDURE: Requests for information regarding an individual's record should be in writing addressed to the System Manager identified above, including the full name and social security number and claim number of the individual. Before information about any record will be released, the System Manager may require the individual to provide proof of identity or require the requester to furnish an authorization from the individual to permit release of information. RECORD ACCESS PROCEDURE: See Notification section above. CONTESTING RECORD PROCEDURE: See Notification section above. RECORD SOURCE CATEGORIES: The individual to whom the information applies, the Railroad Retirement Board, the Office of Personnel Management, the FBI and other law enforcement agencies, and other third parties. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. RRB-48 SYSTEM NAME: Access Management System. SYSTEM LOCATION: U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. SECURITY CLASSIFICATION: None. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: All Railroad Retirement Board employees, contractors, Federal agency tenant employees, and other persons assigned responsibilities that require the issuance of credentials for identification and/or access privileges to locations within federally controlled properties and information systems. CATEGORIES OF RECORDS IN THE SYSTEM: Records of completed credential requests; name, photograph, signature, ID badge serial number, date and time of requests for access, system record of access granted and/or allowed. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Homeland Security Presidential Directive 12; Federal Information Processing Standards 201; Federal Property and Administrative Act of 1949, as amended. PURPOSE(S): The purpose of this system of records is to validate individuals who have been given credentials to access federally controlled property, secured areas or information systems. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS, AND THE PURPOSES OF SUCH USES: a. Records may be disclosed to another Federal agency or to a court when the government is party to a judicial proceeding before the court; b. Records may be disclosed to a Federal agency, on request, in connection with the hiring and/or retention of an employee; c. Records may be disclosed to officials of the Merit Systems Protection Board, including the Office of Special Counsel; the Federal Labor Relations Authority and its General Counsel; or the Equal Employment Opportunity Commission when requested in the performance of their authorized duties; d. Records may be disclosed to an authorized appeal or grievance examiner, formal complaints examiner, equal employment opportunity investigator, arbitrator, or other duly authorized official engaged in investigation or settlement of a grievance, complaint, or appeal filed by an employee to whom the information pertains; e. Records may be disclosed to the agency's Office of Inspector General for any official investigation or review related to the programs and operations of the RRB. f. Records may be disclosed to agency officials for any official investigation or review related to the programs and operations of the RRB. DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Paper and electronic records. RETRIEVABILITY: Name, badge serial number. SAFEGUARDS: The records are secured in a locked room. Access to records is limited to the Assistant to the Director of Administration. Access to the electronic records is limited to RRB employees and officials designated as issuers; it is also controlled through a user id and password security process. The security mechanism also limits access to data based on a user's role needs for accessing the data. RETENTION AND DISPOSAL: GRS 18-17(a) applies to access control records—destroy 5 years after final entry or 5 years after date of document, as appropriate. SYSTEM MANAGER(S) AND ADDRESS: Assistant to the Director of Administration, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. NOTIFICATION PROCEDURE: Requests for information regarding an individual's record(s) should be in writing to the System Manager identified above, and must include the full name. Before information about any record will be released, the System Manager may require the individual to provide proof of identity or require the requestor to furnish an authorization from the individual to permit release of information. RECORD ACCESS PROCEDURE: See Notification section above. CONTESTING RECORD PROCEDURE: See Notification section above. RECORD SOURCE CATEGORIES: Individuals to whom credentials are issued. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. RRB-49 SYSTEM NAME: Telephone Call Detail Records. SYSTEM LOCATION: U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. SECURITY CLASSIFICATION: None. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Individuals (generally agency employees and contractor personnel) who make or receive telephone calls from agency owned telephones at the agency's 844 North Rush Street headquarters building. CATEGORIES OF RECORDS IN THE SYSTEM: Name of employee, telephone number, location of telephone, date and time phone call made or received, duration of call, telephone number called from agency telephone, city and state of telephone number called, cost of call made on agency phone. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 31 U.S.C. 1348(b). PURPOSE(S): The purpose of this system of records are to verify the correctness of telephone service billing and to detect and deter possible improper use of agency telephones by agency employees and contractors. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS, AND THE PURPOSES OF SUCH USES: a. [Reserved.] b. Relevant records may be released to a telecommunications company providing support to permit servicing the account. c. (Standard Disclosure 1.) d. (Standard Disclosure 2.) e. Relevant records may be disclosed to representatives of the General Services Administration or the National Archives and Records Administration who are conducting records management inspections under the authority of 44 U.S.C. 2904 and 2906. f. Records may be disclosed in response to a request for discovery or for the appearance of a witness, to the extent that what is disclosed is relevant to the subject matter involved in a pending judicial or administrative proceeding. g. Records may be disclosed in a proceeding before a court or adjudicative body to the extent that they are relevant and necessary to the proceeding. h. (Standard Disclosure 4.) i. Relevant records may be disclosed to respond to a Federal agency's request made in connection with the hiring or retention of an employee, the letting of a contract or issuance of a grant, license or other benefit by the requesting agency, but only to the extent that the information disclosed is relevant and necessary to the requesting agency's decision on the matter. DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Paper and computer hard disk, cartridge, and tape. RETRIEVABILITY: Name, telephone extension, number dialed. SAFEGUARDS: Only designated personnel in the Bureau of Administration have access to the computerized records. Access to the PC database containing call detail information is password protected. An additional password is required for access to the personal computer on which the database is housed. RETENTION AND DISPOSAL: Computerized records are retained for approximately 180 days and then are written over by more current call detail information. Paper reports, when issued, are disposed of as provided in National Archives and Records Administration General Records Schedule 12. SYSTEM MANAGER(S) AND ADDRESS: Director of Administration, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. NOTIFICATION PROCEDURE: Requests for information regarding an individual's record should be in writing addressed to the Systems Manager identified above, including the full name and social security number of the individual. Before information about any record will be released, the System Manager may require the individual to provide proof of identity or require the requester to furnish an authorization from the individual to permit release of information. RECORD ACCESS PROCEDURE: See Notification section above. CONTESTING RECORD PROCEDURE: See Notification section above. RECORD SOURCE CATEGORIES: Telephone assignment records; computer software that captures telephone call information and permits query and reports generation. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. RRB-50 SYSTEM NAME: Child Care Tuition Assistance Program. SYSTEM LOCATION: U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. SECURITY CLASSIFICATION: None. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Current and former Railroad Retirement Board employees who voluntarily applied for child care tuition assistance, the employee's spouse, the employee's children and their child care providers. CATEGORIES OF RECORDS IN THE SYSTEM: Employee (parent) name, Social Security Number, pay grade, home and work numbers, addresses, total family income, spouse employment information, names of children on whose behalf the employee parent is applying for tuition assistance, each applicable child's date of birth, information on child care providers used (including name, address, provider license number and state where issued, tuition cost, and provided tax identification number), and copies of IRS Form 1040 and 1040A for verification purposes. Other records may include the child's social security number, weekly expense, pay statements, records relating to direct deposits, verification of qualification and administration for child care assistance. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Pub. L. 106-58, Section 643 and E.O. 9397. PURPOSE(S): The purpose of the system is to determine eligibility for, and the amount of, the child care tuition assistance for lower income RRB employees. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS, AND THE PURPOSES OF SUCH USES: a. [Reserved.] b. (Standard Disclosure 1.) c. (Standard Disclosure 2.) d. (Standard Disclosure 6.) e. Records may be disclosed in response to a request for discovery or for the appearance or a witness, to the extent that what is disclosed is relevant to the subject matter involved in a pending judicial or administrative proceeding. f. Records may be disclosed in a proceeding before a court or adjudicative body to the extent that they are relevant and necessary to the proceeding. g. (Standard Disclosure 4.) h. Relevant records may be disclosed to respond to a Federal agency's request made in connection with the hiring or retention of an employee, the letting of a contract or issuance of a grant, license or other benefit by the requesting agency, but only to the extent that the information disclosed is relevant and necessary to the requesting agency's decision on the matter. i. Relevant records may be disclosed to the Office of Personnel Management or the General Accountability Office when the information is required for evaluation of the subsidy program. j. (Standard Disclosure 3.) k. Relevant records may be disclosed to child care providers to verify a covered child's dates of attendance at the provider's facility. DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Paper and computer hard disk, cartridge, and tape. Retrievability: Name, Social Security Number. Safeguards: When not in use by an authorized person, paper records are stored in lockable cabinets in a building with security cameras and 24-hour security guards. Access to electronic records require the use of restricted passwords. Retention and Disposal: These records will be maintained permanently until their official retention period is established. System Manager(s) and Address: Director of Human Resources, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. Notification Procedure: Requests for information regarding an individual's record should be in writing addressed to the Systems Manager identified above, including the full name and social security number of the individual. Before information about any record will be released, the System Manager may require the individual to provide proof of identity or require the requester to furnish an authorization from the individual to permit release of information. Record Access Procedure: See Notification section above. Contesting Record Procedure: See Notification section above. Record Source Categories: Applications for child care tuition assistance submitted voluntarily by RRB employees; forms completed by child care providers. Exemptions Claimed for the System: None. RRB-51 System Name: Railroad Retirement Board's Customer PIN/Password
(PPW)Master File System. System Location: U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. Security Classification: None. Categories of Individuals Covered by the System: All RRB customers (applicants, claimants, annuitants and other customers) who elect to conduct transactions with RRB in an electronic business environment that requires the PPW infrastructure, as well as those customers who elect to block PPW access to RRB electronic transactions by requesting RRB to disable their PPW capabilities. Categories of Records in the System: The information includes identifying information such as the customer's name, Social Security number (which functions as the individual's personal identification number (PIN)) and mailing address. The system also maintains the customer's Password Request Code (PRC), the password itself, and the authorization level and associated data (e.g. effective date of authorization). Authority for Maintenance of the System: Sec. 2(b)(6) of the Railroad Retirement Act, 45 U.S.C. 231f(b)(6); and the Government Paperwork Elimination Act. Purpose(s): The purpose of this system is to enable RRB customers who wish to conduct business with the RRB to do so in a secure environment. Routine Uses of Records Maintained in the System, Including Categories of Users, and the Purposes of Such Uses: a. [Reserved.] b. (Standard Disclosure 1.) c. (Standard Disclosure 2.) d. (Standard Disclosure 6.) e. Records may be disclosed in response to a request for discovery or for the appearance of a witness, to the extent that what is disclosed is relevant to the subject matter involved in a pending judicial or administrative proceeding and provided that the disclosure would be clearly in the furtherance of the interest of the subject individual. f. Records may be disclosed in a proceeding before a court or adjudicative body to the extent that they are relevant and necessary to the proceeding and provided that the disclosure would be clearly in the furtherance of the interest of the subject individual. g. (Standard Disclosure 4.) Disclosure to Consumer Reporting Agencies: None. Policies and Practices for Storing, Retrieving, Accessing, Retaining, and Disposing of Records in the System: Storage: Electronic and paper form. Retrievability: Name and Social Security number (which acts as the individual's PIN). Safeguards: When not in use by an authorized person, paper records are stored in lockable cabinets in a secure building. Access to electronic records requires the use of restricted passwords. Retention and disposal: These records will be maintained permanently until their official retention period is established. System Manager(s) and Address: Office of Programs—Director of Policy and Systems, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. Notification Procedure: Requests for information regarding an individual's record should be in writing addressed to the Systems Manager identified above, including the full name and social security number of the individual. Before information about any record will be released, the System Manager may require the individual to provide proof of identity or require the requester to furnish an authorization from the individual to permit release of information. Record Access Procedure: See Notification section above. Contesting Record Procedure: See Notification section above. Record Source Categories: Data for the system are obtained primarily from the individuals to whom the record pertains. Exemptions Claimed for the System: None. RRB-52 System Name: Board Orders Concerning Benefit Appeals to the Three-member Board. System Location: U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. Security Classification: None. Categories of Individuals Covered by the System: Appellants for benefits under the Railroad Retirement or Railroad Unemployment Insurance Acts. Categories of Records in the System: Appellant name, social security number, railroad retirement board claim number, address, date of birth, sex, medical records, marriage or relationship records, military service, creditable earnings and service months, benefit payment history, work history, citizenship and legal residency status, correspondence and inquiries, and appeals of adverse determinations. Authority for Maintenance of the System: Section 7(b)(6) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(6); sec. 12(l) of the Railroad Unemployment Insurance Act (45 U.S.C. 362(l)). Purpose(s): Record decisions of the Board in benefit appeals cases. Routine Uses of Records maintained in the System, Including Categories of Users, and the Purposes of Such Uses: a. If a request for information pertaining to an individual is made by an official of a labor organization of which the individual is a member and the request is made on behalf of the individual, information from the record of the individual concerning his benefit or anticipated benefit and concerning the method of calculating that benefit may be disclosed to the labor organization official. b. Records may be disclosed in a court proceeding relating to any claims for benefits by the beneficiary under the Railroad Retirement Act and may be disclosed during the course of an administrative appeal to individuals who need the records to prosecute or decide the appeal or to individuals who are requested to provide information relative to an issue involved in the appeal. Disclosure to Consumer Reporting Agencies: None. Policies and Practices for Storing, Retrieving, Accessing, Retaining, and Disposing of Records in the System: Storage: Paper and electronic records. Retrievability: Name, railroad retirement claim number, social security account number, Board Order number, docket number. Safeguards: Paper records kept in locked cabinet in locked room in a secure building. Electronic records are protected in a restricted private network with access controlled by password authentication. Retention and Disposal: No records from this system will be disposed of pending a record schedule determination. System Manager(s) and Address: Secretary of the Board, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. Notification Procedure: Requests for information regarding an individual's record should be in writing addressed to the System Manager identified above, including the full name and social security number and claim number of the individual. Before information about any record will be released, the System Manager may require the individual to provide proof of identity or require the requester to furnish an authorization from the individual to permit release of information. Record Access Procedure: See Notification section. Contesting Record Procedure: See Notification section. Record Source Categories: Applications for benefits and appeal of decisions. Exemptions Claimed for the System: None. RRB-53 System Name: Employee Medical and Eye Examination Reimbursement Program. SYSTEM LOCATION: U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, IL 60611-2092. SECURITY CLASSIFICATION: None. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Any/all RRB employees that request reimbursement for the physical examination co-payment and eye examination. CATEGORIES OF RECORDS IN THE SYSTEM: RRB employee name and medical documentation including receipts for the physical exam co-pay and payment of the eye examination. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Section 7(b)(6) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(6)) and Section 12(l) of the Railroad Unemployment Insurance Act (45 U.S.C. 362(1)). Negotiated Labor Management Agreement between the U.S. Railroad Retirement Board and the Council of A.F.G.E. Locals in the Board. PURPOSE(S): To provide reimbursement for and maintain the records of the RRB's physical and eye examination program. For purposes of adjudicating the claim/reimbursement and authority for payment of fees related to RRB employee physical examination co-payment and eye examination fee. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS, AND THE PURPOSES OF SUCH USES: Internal RRB use only. DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Paper copy, hard disc removal storage kept in locked file cabinet. Individual digital files password protected. RETRIEVABILITY: Name and social security account number. SAFEGUARDS: Paper and removable media kept in locked file cabinet in locked office. Electronic records are accessible after proper network authentication and also are password protected. RETENTION AND DISPOSAL: No records from this system will be disposed of pending a record schedule determination. SYSTEM MANAGER(S) AND ADDRESS: Employee Health Services, U.S. Railroad Retirement Board, 844 North. Rush Street, Chicago, Illinois 60611-2092. NOTIFICATION PROCEDURE: Requests for information regarding an individual's record should be in writing addressed to the System Manager identified above, including the full name and social security number and claim number of the individual. Before information about any record will be released, the System Manager may require the individual to provide proof of identity or require the requester to furnish an authorization from the individual to permit release of information. RECORD ACCESS PROCEDURE: See Notification section. CONTESTING RECORD PROCEDURE: See Notification section. RECORD SOURCE CATEGORIES: Employee reimbursement claim and proofs. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. RRB-54 SYSTEM NAME: Virtual Private Network
(VPN)Access Management. SYSTEM LOCATION: U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. SECURITY CLASSIFICATION: None. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: RRB employees and contractors who are authorized to remotely access internal RRB information systems. CATEGORIES OF RECORDS IN THE SYSTEM: Name, home telephone number, work telephone number, login, password, group name, source IP address, remote computer name, home address, software serial numbers, access levels. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Section 7(b)(6) of the Railroad Retirement Act of 1974 (45 U.S.C. 231f(b)(6)) and Section 12(l) of the Railroad Unemployment Insurance Act (45 U.S.C. 362(l)). PURPOSE(S): Control and secure employees and contractors remote access to internal RRB information systems for official business. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS, AND THE PURPOSES OF SUCH USES: a. Records may be disclosed to officials of the Merit Systems Protection Board, including the Office of Special Counsel; the Federal Labor Relations Authority and its General Counsel; or the Equal Employment Opportunity Commission when requested in the performance of their authorized duties; b. Records may be disclosed to an authorized appeal or grievance examiner, formal complaints examiner, equal employment opportunity investigator, arbitrator, or other duly authorized official engaged in investigation or settlement of a grievance, complaint, or appeal filed by an employee to whom the information pertains; c. Records may be disclosed to the agency's Office of Inspector General for any official investigation or review related to the programs and operations of the RRB. d. Records may be disclosed to agency officials for any official investigation or review related to the programs and operations of the RRB. DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Paper and electronic records. RETRIEVABILITY: Name, e-mail address. SAFEGUARDS: Paper records are kept in a locked cabinet, accessible only to authorized personnel. Electronic internal network records are accessible only after appropriate individual authentication. Electronic service provider (Sprint) records are secured and accessible after proper authentication only to authorized personnel. RETENTION AND DISPOSAL: No records from this system will be disposed of pending a record schedule determination. SYSTEM MANAGER(S) AND ADDRESS: Chief of Infrastructure Services, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. NOTIFICATION PROCEDURE: Requests for information regarding an individual's record should be in writing addressed to the System Manager identified above, including the full name and enrolled e-mail address of the individual. Before information about any record will be released, the System Manager may require the individual to provide proof of identity or require the requester to furnish an authorization from the individual to permit release of information. RECORD ACCESS PROCEDURE: See Notification procedure above. CONTESTING RECORD PROCEDURE: See Notification procedure above. RECORD SOURCE CATEGORIES: VPN access application Form G-68, and infrastructure profiles. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. RRB-55 SYSTEM NAME: Contact Log. SYSTEM LOCATION: U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. SECURITY CLASSIFICATION: None. CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM: Annuitants, their representatives and other recipients of railroad retirement, survivor, disability, Medicare and supplemental annuities payable under the Railroad Retirement Act
(RRA)and individuals receiving or applying for unemployment or sickness insurance benefits payable under the Railroad Unemployment Insurance Act (RUIA). CATEGORIES OF RECORDS IN THE SYSTEM: The Railroad Retirement Board
(RRB)claim number, social security number of the annuitant/claimant, annuitant's name, contact name (if different from the annuitant), telephone number of the contact, name and office code of the RRB employee who submitted the contact, and the entered contact record. AUTHORITY FOR MAINTENANCE OF THE SYSTEM: Section 7(b)(6) of the Railroad Retirement Act
(RRA)of 1974 (45 U.S.C. 231f(b)(6); and Section 12(l) of the Railroad Unemployment Insurance Act
(RUIA)(45 U.S.C. 362(1)). PURPOSE(S): The Contact Log records, maintains and displays RRA and RUIA activities associated with customer initiated contacts with the RRB. It is used by RRB customer service staff to ensure public inquiries are handled efficiently. ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES OF USERS, AND THE PURPOSES OF SUCH USES: a. Beneficiary identifying information may be disclosed to third party contacts to determine whether the beneficiary or potential beneficiary is capable of understanding and managing their benefit payments in their own best interest and to determine the suitability of a proposed representative payee. b. Disclosure of information concerning the annuitant/claimant may be made to the representative payee on the record for the annuitant. c. Records may be disclosed in response to a request for discovery or for the appearance of a witness, to the extent that what is disclosed is relevant to the subject matter involved in a pending judicial or administrative proceeding and provided that the disclosure would be clearly in the furtherance of the interest of the subject individual. d. Records may be disclosed in a proceeding before a court or adjudicative body to the extent that they are relevant and necessary to the proceeding and provided that the disclosure would be clearly in the furtherance of the interest of the subject individual. e. Disclosure of records concerning the annuitant/claimant may be made to the attorney representing the annuitant/claimant, upon receipt of a written letter or declaration of representation. f. Records may be disclosed to the annuitant/claimant's railroad union representative(s) to the extent that what is disclosed is relevant to the subject matter involved in the union issue or proceeding and provided that the disclosure would be clearly in the furtherance of the interest of the subject individual. DISCLOSURE TO CONSUMER REPORTING AGENCIES: None. POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, AND DISPOSING OF RECORDS IN THE SYSTEM: STORAGE: Electronic media. RETRIEVABILITY: Railroad retirement claim number, social security account number, or name. SAFEGUARDS: Access to records in the contact log are controlled by:
(1)NT authentication of all user logins;
(2)encryption of data entered and transmitted by field service personnel;
(3)maintained audit trail of user actions;
(4)lock/unlock password system on network workstations; and,
(5)role-based access. Magnetic media: Computer system and computer storage rooms are restricted to authorized personnel; on-line query safeguards include a lock/unlock password system, a terminal oriented transaction matrix and an audit trail; for computerized records electronically transmitted between headquarters and field office locations, system securities are established in accordance with National Institute of Standards and Technology guidelines. In addition to the on-line query safeguards, they include encryption of all data transmitted and exclusive use of leased telephone lines. RETENTION AND DISPOSAL: No records from this system will be disposed of pending a record schedule determination. SYSTEM MANAGER(S) AND ADDRESS: Office of Programs-Director of Policy and Systems, U.S. Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois 60611-2092. NOTIFICATION PROCEDURE: Request for information regarding an individual's record should be in writing addressed to the System Manager identified above, including the full name and social security number. Before information about any record is released, the System Manager will require the individual to provide proof of identity or require the requester to furnish an authorization from the individual to permit release of information. RECORD ACCESS PROCEDURE: See Notification section above. CONTESTING RECORD PROCEDURE: See Notification section above. RECORD SOURCE CATEGORIES: Contact Log information is obtained from members of the public who contacted the RRB and to whom the record pertains. EXEMPTIONS CLAIMED FOR THE SYSTEM: None. Appendix I Offices of the U.S. Railroad Retirement Board (refer to *http://www.rrb.gov* for the most current addresses): Headquarters: 844 North Rush Street, Chicago, Illinois 60611-2092 Office of Legislative Affairs: 1310 G Street Northwest, Suite 500, Washington, DC 20005-3004 A. Regional Offices Region 1 Peachtree Summit Bldg, 401 West Peachtree Street, Room 1703, Atlanta, Georgia 30308-3519 Region 2 Nix Federal Building, 900 Market Street, Suite 304, Philadelphia, Pennsylvania 19107 Region 3 1999 Broadway, Suite 2260, Denver, Colorado 80202 B. District Offices Alabama Medical Forum Bldg., 950 22nd Street North, Room 426, Birmingham, Alabama 35203-1134 Arizona Financial Plaza, 1201 South Alma School Road, Suite 4850, Mesa, Arizona 85210-2097 Arkansas 1200 Cherry Brook Drive, Suite 500, Little Rock, Arkansas 72211-4122 California 858 South Oak Park Road, Suite 102, Covina, California 91724-3674 Oakland Federal Building, 1301 Clay Street, Suite 392N, Oakland, California 94612-5217 801 I Street, Room 205, Sacramento, California 95814-2559 Colorado 721 19th Street, Room 177, Post Office Box 8869, Denver, Colorado 80201-8869 Florida 550 Water Street, Suite 330, Jacksonville, Florida 32202-5122 Timberlake Federal Building, 500 East Zack Street, Suite 300, Tampa, Florida 33602-3918 Georgia Peachtree Summit Building, 401 West Peachtree Street, Room 1702, Atlanta, Georgia 30308-3519 Illinois 844 North Rush Street, Room 901, Chicago, Illinois 60611-2092 Millikin Court, 132 South Water Street, Suite 517, Decatur, Illinois 62523-1077 63 West Jefferson Street, Suite 102, Post Office Box 457, Joliet, Illinois 60434-0457 Indiana The Meridian Centre, 50 South Meridian Street, Suite 303, Indianapolis, Indiana 46204-3538 Iowa Federal Building, 210 Walnut Street, Room 921, Des Moines, Iowa 50309-2116 Kansas 1861 North Rock Road, Suite 390, Wichita, Kansas 67206-1264 Kentucky Theatre Building, 629 South 4th Avenue, Suite 301, Post Office Box 3705, Louisville, Kentucky 40201-3705 Louisiana Hale Boggs Federal Building, 500 Poydras Street, Suite 1045, New Orleans, Louisiana 70130-3399 Maryland George H. Fallon Building, 31 Hopkins Plaza, Suite 820, Baltimore, Maryland 21201-2826 Massachusetts 408 Atlantic Avenue, Room 441, Post Office Box 52126, Boston, Massachusetts 02205-2126 Michigan McNamara Federal Building, 477 West Michigan Avenue, Suite 1199, Detroit, Michigan 48226-2596 Minnesota Federal Building, 515 West First Street, Suite 125, Duluth, Minnesota 55802-1399 180 East 5th Street, Suite 195, St. Paul, Minnesota 55101-1640 Missouri 601 East 12th Street, Room 113, Kansas City, Missouri 64106-2808 Young Federal Building, 1222 Spruce Street, Room 7.303, St. Louis, Missouri 63103-2846 Montana Judge Jameson Federal Building, 2900 Fourth Avenue North, Room 101, Billings, Montana 59101-1266 Nebraska Hruska U.S. Court House, 111 South 18 Plaza, Suite C125, Post Office Box 815, Omaha, Nebraska 68101-0815 New Jersey 20 Washington Place, Room 516, Newark, NJ 07102-3127 New Mexico 300 San Mateo Boulevard Northeast, Suite 401, Albuquerque, New Mexico 87108-1503 New York O'Brien Federal Building, Clinton Avenue & Pearl Street, Room 264, Post Office Box 529, Albany, New York 12201-0529 186 Exchange Street, Suite 110, Buffalo, New York 14204-2085 1400 Old Country Road, Suite 202, Westbury, New York 11590-5119 Federal Building, 26 Federal Plaza, Room 3404, New York, New York 10278-3499 North Carolina Quorum Business Park, 7508 East Independence Boulevard, Suite 120, Charlotte, North Carolina 28227-9409 North Dakota U.S. Post Office Building, 657 Second Avenue North, Room 312, Fargo, North Dakota 58102-4727 Ohio URS Building, 36 East 7th Street, Suite 201, Cincinnati, Ohio 45202-4456 Celebrezze Federal Building, 1240 East 9th Street, Room 907, Cleveland, Ohio 44199-2001 Oregon Green-Wyatt Federal Building, 1220 Southwest 3rd Avenue, Room 377, Portland, Oregon 97204-2807 Pennsylvania 1514 11th Avenue, Post Office Box 990, Altoona, Pennsylvania 16603-0990 Federal Building, 228 Walnut Street, Room 576, Box 11697, Harrisburg, Pennsylvania 17108-1697 Nix Federal Building, 900 Market Street, Suite 301, Post Office Box 327, Philadelphia, Pennsylvania 19105-0327 Moorhead Federal Building, 1000 Liberty Avenue, Room 1511, Pittsburgh, Pennsylvania 15222-4107 Siniawa Plaza II, 717 Scranton Carbondale Highway, Scranton, Pennsylvania 18508-1121 Tennessee 233 Cumberland Bend, Suite 104, Nashville, Tennessee 37228-1806 Texas 819 Taylor Street, Room 10G02, Post Office Box 17420, Fort Worth, Texas 76102-0420 Leland Federal Building, 1919 Smith Street, Suite 845, Houston, Texas 77002-8098 Utah 125 South State Street, Room 1205, Salt Lake City, Utah 84138-1137 Virginia 400 North 8th Street, Suite 470, Richmond, Virginia 23219-4819 First Campbell Square, 210 First Street Southwest, Suite 260, Post Office Box 270, Roanoke, VA 24002-0270 Washington Pacific First Plaza, 155 108th Avenue Northeast, Suite 201, Bellevue, Washington 98004-5901 U.S. Court House, W 920 Riverside Avenue, Room 492B, Spokane, Washington 99201-1008 West Virginia New Federal Building, 640 4th Avenue, Room 145, Post Office Box 2153, Huntington, West Virginia 25721-2153 Wisconsin Reuss Plaza, 310 West Wisconsin Avenue, Suite 1300, Milwaukee, Wisconsin 53203-2219 [FR Doc. E7-24920 Filed 12-26-07; 8:45 am] BILLING CODE 7905-01-P 72 247 Thursday, December 27, 2007 Rules and Regulations Part V Securities and Exchange Commission 17 CFR Parts 230 and 239 Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 and F-3; Final Rule SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 230 and 239 [Release No. 33-8878; File No. S7-10-07] RIN 3235-AJ89 Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 and F-3 AGENCY: Securities and Exchange Commission. ACTION: Final rule. SUMMARY: We are adopting amendments to the eligibility requirements of Form S-3 and Form F-3 to allow certain domestic and foreign private issuers to conduct primary securities offerings on these forms without regard to the size of their public float or the rating of debt they are offering, so long as they satisfy the other eligibility conditions of the respective form, have a class of common equity securities listed and registered on a national securities exchange, and the issuers do not sell more than the equivalent of one-third of their public float in primary offerings over any period of 12 calendar months. The amendments are intended to allow more companies to benefit from the greater flexibility and efficiency in accessing the public securities markets afforded by Form S-3 and Form F-3 without compromising investor protection. The expanded form eligibility does not extend to shell companies, however, which are prohibited from using the new provisions until 12 calendar months after they cease being shell companies. In addition, we are adopting an amendment to the rules and regulations promulgated under the Securities Act to clarify that violations of the one-third restriction will also violate the requirements as to proper registration form, even though the registration statement has been declared effective previously. EFFECTIVE DATE: January 28, 2008. FOR FURTHER INFORMATION CONTACT: Raymond A. Be, at
(202)551-3430, or the Office of Chief Counsel, at
(202)551-3500, in the Division of Corporation Finance, U.S. Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-3010. SUPPLEMENTARY INFORMATION: We are amending Form S-3, 1 Form F-3 2 and Rule 401(g) 3 under the Securities Act of 1933. 4 1 17 CFR 239.13. 2 17 CFR 239.33. 3 17 CFR 230.401(g). 4 15 U.S.C. 77a *et seq.* Table of Contents I. Discussion A. Background 1. Proposing Release and Public Comment Letters 2. Form S-3 3. Reasons for New Form S-3 Amendments 4. Limited Expansion of Form Eligibility B. Amendments to Form S-3 1. One-Third Cap and Listed Securities Only 2. Calculation of Amount of Securities That May Be Sold 3. Exclusion of Shell Companies C. Amendments to Form F-3 II. Paperwork Reduction Act A. Background B. Summary of Information Collections C. Summary of Comments and Revisions to Amendments D. Revised Paperwork Reduction Act Burden Estimates III. Cost-Benefit Analysis A. Summary of Amendments B. Benefits C. Costs IV. Consideration of Promotion of Efficiency, Competition and Capital Formation V. Final Regulatory Flexibility Act Analysis A. Need for the Amendments B. Significant Issues Raised by Public Comment C. Small Entities Subject to the Amendments D. Reporting, Recordkeeping and Other Compliance Requirements E. Agency Action to Minimize Effect on Small Entities VI. Statutory Authority and Text of the Amendments I. Discussion A. Background 1. Proposing Release and Public Comment Letters On May 23, 2007, we proposed revisions to the eligibility requirements of Form S-3 and Form F-3 to allow domestic and foreign private issuers, respectively, to conduct primary securities offerings on these forms without regard to the size of their public float or the rating of debt they are offering, so long as they satisfy the other eligibility conditions of the applicable form and do not sell securities valued in excess of 20% of their public float in primary offerings pursuant to the new instructions on these forms over any period of 12 calendar months. 5 5 *Revisions to the Eligibility Requirements for Primary Securities Offerings on Forms S-3 and F-3,* Release No. 33-8812 (June 20, 2007) [72 FR 35118] (the “Proposing Release”). In response to our request for comment on the Proposing Release, we received comment letters from a variety of groups and constituencies, most of whom expressed their general support for the proposed form amendments and the objectives that we articulated in the Proposing Release. Notwithstanding their general support, however, several commenters thought that some modifications to the proposal were advisable, either to improve the usefulness of the form amendments to smaller public companies seeking capital, 6 or to ensure that the rule changes are consistent with investor protection. 7 After considering each of the comments, we are adopting amendments to Form S-3 and Form F-3 substantially in the form proposed, but with certain modifications as discussed more fully in this release. 6 See, for example, letters from the American Bar Association, Committees on Federal Regulation of Securities and State Regulation of Securities (“ABA”); Brinson Patrick Securities Corporation (“Brinson Patrick”); Feldman Weinstein and Smith LLP (“Feldman Weinstein”); Malizia Spidi & Fisch (“Malizia Spidi”); Morrison & Foerster LLP (“Morrison & Foerster”); Office of Advocacy, Small Business Administration (“SBA”); Roth Capital Partners, LLP (“Roth Capital”); Marshal Shichtman (“M. Shichtman”); and Williams Securities Law (“Williams Securities”). All comment letters are publicly available at *http://www.sec.gov/comments/s7-10-07/s71007.shtml.* 7 See letter from the Council of Institutional Investors (“CII”). These amendments are intended to allow a larger number of public companies to benefit from the greater flexibility and efficiency in accessing the public securities markets afforded by Form S-3 and Form F-3 in a manner that is consistent with investor protection. Accordingly, we are placing certain restrictions on the class of issuers who will be eligible under the new rules and are adopting a ceiling on the amount of securities that eligible issuers may offer pursuant to these rules. In creating new opportunities to facilitate capital formation consistent with the protection of investors, we believe that a careful and modest expansion of Form S-3 and Form F-3 eligibility is warranted at this time. However, as we indicated in the Proposing Release, we may revisit the appropriateness of the form restrictions at a later time if our experience with this revised requirement suggests issuer eligibility for primary offerings on Form S-3 and Form F-3 should be further revised. 8 8 Proposing Release, at 35124. 2. Form S-3 Form S-3 is the “short form” used by eligible domestic companies to register securities offerings under the Securities Act of 1933. The form also allows these companies to rely on their reports filed under the Securities Exchange Act of 1934 9 to satisfy the form's disclosure requirements. Prior to today's amendments, companies have been able to register *primary* offerings (that is, securities offered by or on behalf of the registrant for its own account) on Form S-3 only if their non-affiliate equity market capitalization, or “public float,” was $75 million or more. 10 In contrast, transactions involving primary offerings of non-convertible investment grade securities, certain rights offerings, dividend reinvestment plans and conversions, and offerings by selling shareholders of securities registered on a national securities exchange do not require the company to have a minimum public float. 11 9 15 U.S.C. 78a *et seq.* 10 General Instruction I.B.1. of Form S-3. The history and use of Form S-3 are discussed in greater detail in the Proposing Release. 11 See General Instructions I.B.2. through I.B.4. of Form S-3. Recently, the issue of Form S-3 eligibility for primary offerings was addressed by the Commission's Advisory Committee on Smaller Public Companies (the “Advisory Committee”), which the Commission chartered in 2005 to assess the current regulatory system for smaller companies under U.S. securities laws. 12 In its April 23, 2006 Final Report to the Commission, the Advisory Committee recommended that we allow all reporting companies with securities listed on a national securities exchange or Nasdaq, 13 or quoted on the Over-the-Counter Bulletin Board electronic quotation service, to be eligible to use Form S-3 if they have been reporting under the Exchange Act for at least one year and are current in their reporting at the time of filing. 14 12 More information about the Advisory Committee is available at *http://www.sec.gov/info/smallbus/acspc.shtml.* 13 There is no longer a distinction between Nasdaq and national securities exchanges. On January 13, 2006, the Commission approved Nasdaq's application to become a national securities exchange. The Nadsaq Stock Market commenced operations on August 1, 2006. 14 Recommendation IV.P.3. of the Final Report of the Advisory Committee on Smaller Public Companies (Apr. 23, 2006) (the “Final Report”), at 68-72. The Final Report is available at *http://www.sec.gov/info/smallbus/acspc/acspc-finalreport.pdf.* In addition to elimination of the public float requirement, Recommendation IV.P.3. also called for
(1)elimination of General Instruction I.A.3.(b) to Form S-3 requiring that the issuer has timely filed all required reports in the last year and
(2)extending Form S-3 eligibility for secondary transactions to issuers quoted on the Over-the-Counter Bulletin Board. The Proposing Release also included additional discussion of the Advisory Committee and its recommendations. 3. Reasons for New Form S-3 Amendments The ability to conduct primary offerings on Form S-3 confers significant advantages on eligible companies. 15 Form S-3 permits the incorporation of required information by reference to a company's disclosure in its Exchange Act filings, including Exchange Act reports that were previously filed and those that will be filed in the future. 16 15 See generally, *Shelf Registration,* Release No. 33-6499 (Nov. 17, 1983) [48 FR 5289] (discussing the benefits of shelf registration). 16 Item 12 of Form S-3: “Incorporation of Certain Information by Reference.” Form S-3 eligibility for primary offerings also enables companies to conduct primary offerings “off the shelf” under Rule 415 of the Securities Act. 17 Rule 415 provides considerable flexibility in accessing the public securities markets from time to time in response to changes in the markets and other factors. The shelf eligibility resulting from Form S-3 eligibility and the ability to forward incorporate information on Form S-3, therefore, allow companies to avoid additional delays and interruptions in the offering process and can reduce or even eliminate the costs associated with preparing and filing post-effective amendments to the registration statement. 17 Rule 415 [17 CFR 230.415] provides that:
(a)Securities may be registered for an offering to be made on a continuous or delayed basis in the future, *Provided,* That:
(1)the registration statement pertains only to: * * *
(x)Securities registered (or qualified to be registered) on Form S-3 or Form F-3 which are to be offered and sold on an immediate, continuous or delayed basis by or on behalf of the registrant, a majority owned subsidiary of the registrant or a person of which the registrant is a majority-owned subsidiary. By having more control over the timing of their offerings, these companies can take advantage of desirable market conditions, thus allowing them to raise capital on more favorable terms (such as pricing) or to obtain lower interest rates on debt. As a result, the ability to take securities off the shelf as needed gives issuers a significant financing alternative to other widely available methods, such as private placements with shares usually priced at discounted values based in part on their relative illiquidity. 18 Consequently, we believe that extending Form S-3 short-form registration to additional issuers should enhance their ability to access the public securities markets. Likewise, a significant proportion of commenters to the Proposing Release welcomed an expansion of Form S-3 eligibility, agreeing that such a measure would greatly enhance smaller public companies' access to capital in the securities markets, with far less burden and cost. 19 18 See, for example, Susan Chaplinsky and David Haushalter, *Financing Under Extreme Uncertainty: Contract Terms and Returns to Private Investments in Public Equity* (May 2006), available at: *http://papers.ssrn.com/sol3/papers.cfm?abstract_id=907676* (discussing the typical contractual terms of PIPEs (Private Investments in Public Equities) financings, where the average purchase discount is between 18.5% to 19.7%, depending on the types of contractual rights embedded in the securities). 19 See, for example, letters from Feldman Weinstein; Malizia Spidi; and M. Shichtman. Given the great advances in the electronic dissemination and accessibility of company disclosure transmitted over the Internet in the last several years, 20 we believe that moderately expanding the class of transactions that are permitted on Form S-3 for primary securities offerings is warranted once again. In contrast to 1992, when the Commission last adjusted the issuer eligibility requirements for Form S-3, 21 most public filings under the Securities Act and the Exchange Act, and all Forms S-3, are now filed on the Commission's Electronic Data Gathering, Analysis, and Retrieval system (“EDGAR”). The pervasiveness of the Internet in daily life and the advent of EDGAR as a central repository of company filings have combined to allow widespread, direct, and contemporaneous accessibility to company disclosure at little or no cost to those interested in obtaining the information. For this reason, we think it is appropriate to once again expand the class of companies who may register primary offerings on Form S-3 in a limited manner. 20 See, for example, *Internet Availability of Proxy Materials,* Release No. 34-52926 (Dec. 8, 2005) [70 FR 74597] and the Final Report of the Advisory Committee, at 69: The Commission has recently taken several steps acknowledging the widespread accessibility over the Internet of documents filed with the Commission. In its recent release concerning Internet delivery of proxy materials, the Commission notes that recent data indicates that up to 75% of Americans have access to the Internet in their homes, and that this percentage is increasing steadily among all age groups. As a result we believe that investor protection would not be materially diminished if all reporting companies on a national securities exchange, NASDAQ or the Over-the-Counter Bulletin Board were permitted to utilize Form S-3 and the associated benefits of incorporation by reference. 21 *Simplification of Registration Procedures for Primary Securities Offerings,* Release No. 33-6964 (Oct. 22, 1992) [57 FR 48970]. 4. Limited Expansion of Form Eligibility We are not prepared at this time to abandon our longstanding prerequisite contained in the instructions to Form S-3 and allow unlimited use of this form for primary offerings by companies who do not have at least $75 million in public float. Although the Advisory Committee recommended the qualified elimination of this requirement 22 and some commenters supported removing the concept of float altogether as a criterion of eligibility, 23 we believe that retaining some capitalization restrictions on Form S-3 eligibility is still advisable. We are persuaded that the technological advances that have revolutionized communications between companies and the market should allow us to ease the Form S-3 eligibility standards without undermining investor protection or the integrity of the markets. However, as explained more fully below, we believe this warrants only the limited expansion of certain offerings on Form S-3, not the wholesale elimination of public float as an important criterion of form eligibility. The Commission's system of integrated disclosure has, since its inception, been premised on the idea that a company's disclosure in its registration statement can be streamlined to the extent that the market has already taken that information into account. 24 Public float has for many years been used as an approximate measure of a stock's market following and, consequently, the degree of efficiency with which the market absorbs information and reflects it in the price of a security. 25 While current technology provides investors with access to information about publicly reporting companies at an unprecedented level of ease and speed, it does not guarantee that the market has fully absorbed and synthesized all of the available information of a given company. Technology can facilitate and enhance market following, but it does not ensure it. Therefore, we are retaining public float as a factor in determining the extent of short-form eligibility. While the purpose of these amendments is to give smaller companies added flexibility to quickly respond to favorable market conditions by conducting some primary shelf offerings on Form S-3, this objective must be balanced against the imperatives of investor protection. 22 The Advisory Committee's recommendation to expand Form S-3 eligibility encompassed only companies whose securities are listed on a national securities exchange or Nasdaq (which, at the time, was not yet a national securities exchange), or quoted on the Over-the Counter Bulletin Board. Refer to Recommendation IV.P.3. of the Final Report. 23 See letters from the ABA; Morrison & Foerster; and Roth Capital. 24 See Release No. 33-6499, at 5: Forms S-3 and F-3 recognize the applicability of the efficient market theory to those companies which provide a steady stream of high quality corporate information to the marketplace and whose corporate information is broadly disseminated. Information about these companies is constantly digested and synthesized by financial analysts, who act as essential conduits in the continuous flow of information to investors, and is broadly disseminated on a timely basis by the financial press and other participants in the marketplace. Accordingly, at the time S-3/F-3 registrants determine to make an offering of securities, a large amount of information already has been disseminated to and digested by the marketplace. See also Harold S. Bloomenthal and Samuel Wolff, *Securities and Federal Corporate Law,* § 9:30, available through Westlaw at 3B Sec. & Fed. Corp. Law § 9:30 (2d. ed.) (“Form S-3 epitomizes the efficient market concept.”). See also Randall S. Thomas and James F. Cotter, Measuring Securities Market Efficiency in the Regulatory Setting, 63 Law & Contemp. Probs. 105
(2000)at 106. 25 See *Reproposal of Comprehensive Revision to System for Registration of Securities Offerings,* Release No. 33-6331 (Aug. 6, 1981) [46 FR 41902], at 9: “The Commission views as significant the strong relationship between float and information dissemination to the market and following by investment institutions.” See also Thomas and Cotter, *Measuring Securities Market Efficiency in the Regulatory Setting,* at 108 (stating that the numerical thresholds of Form S-3 were intended to be a rough proxy for which companies were widely followed by the investment community). Concerns have been raised in the past when the Commission considered easing the restrictions of shelf registration eligibility to allow smaller public companies to use a modified form of shelf registration, 26 and similar concerns were voiced again during the comment period. 27 It has been observed that the securities of smaller public companies are comparatively more vulnerable to price manipulation than the securities of larger public companies, 28 and may also be more prone to financial reporting error and abuses. 29 As we stated in the Proposing Release, although we believe that the public securities markets have benefited from advances in both technology and corporate disclosure requirements, we are nevertheless mindful that companies with a smaller market capitalization as a group have a comparatively smaller market following than larger, well-seasoned issuers and are more thinly traded. In such markets, the potential for manipulative practices is more acute. 30 As such, we are sensitive to the market effects of loosening the standards for shelf eligibility without limitation. 26 See, for example, *Report of the Task Force on Disclosure Simplification* (Mar. 5, 1996), available at *http://www.sec.gov/news/studies/smpl.htm.* See also *Delayed Pricing for Certain Registrants,* Release No. 33-7393 (Feb. 20, 1997) [62 FR 9276]. 27 See letter from the CII. 28 See, for example, Rajesh Aggarwal and Guojon Wu, *Stock Market Manipulations,* 79 Journal of Business, No. 4 (2006). The authors' data indicate that manipulative practices predominantly occur in the Over-the-Counter Bulletin Board, Pink Sheets and other regional or unidentified markets characterized by very low average trading volume and market capitalization. The authors conclude that stock manipulation is more likely to occur “in relatively inefficient markets * * * that are small and illiquid.” 29 In its letter commenting on the Proposing Release, the CII “strongly opposed any weakening of the proposed limitations on eligibility in the final rule,” stating: We share the Commission's concerns that the Proposed Rule presents “risks to investor protection by expanding the base of companies eligible for primary offerings” on Forms S-3 and F-3 * * * In addition [to the risks discussed by the Commission in the Proposing Release], we believe that the final rule should explicitly acknowledge that smaller public companies have long been especially prone to financial reporting fraud. Consistent with the historical evidence, a recent analysis of the reporting by public companies in response to SEC Staff Accounting Bulletin 108 found that
(1)reporting errors at smaller public companies “ *tend to be more significant* ” than those of larger companies; and
(2)smaller public companies “are more likely to sit on errors that decrease earnings than big companies.” Thus, the Commission should ensure that the final rule avoids understating the significant risks that smaller public companies present to investors [emphasis in original]. 30 The Commission's staff has stated previously that, with respect to short sales in reliance on the safe harbor of Rule 144 where the borrower closes out using the restricted securities, all the conditions of Rule 144 must be met at the time of the short sale. See Questions 80 through 82 of *Resales of Restricted and Other Securities,* Release No. 33-6099 (Aug. 2, 1979) [44 FR 46752, 46765]. In the Commission's view, the term “sale” under the Securities Act includes contract of sale. See *Securities Offering Reform,* Release No. 33-8591 (Jul. 19, 2005) [70 FR 44722, 44765] and *Short Selling in Connection With a Public Offering,* Release No. 34-56206 (Aug. 6, 2007) [72 FR 45094]. The Commission has previously indicated that, in a short sale, the sale of securities occurs at the time the short position is established, rather than when shares are delivered to close out that short position, for purposes of Section 5 of the Securities Act. See, for example, Questions 3 and 5 of *Commission Guidance on the Application of Certain Provisions of the Securities Act of 1933, the Securities Exchange Act of 1934, and Rules Thereunder to Trading in Security Futures Products,* Release No. 33-8107 (June 21, 2002) [67 FR 43234] and Release No. 34-56206 n. 46 (Aug. 6, 2007) [72 FR 45094, 45096]. We also note that the disclosure obligations and liability imposed by the federal securities laws on smaller public companies are comparable, but not identical, to the largest reporting companies. 31 We are comfortable that the scaled disclosure standards for smaller public companies are sufficiently comparable to those governing larger issuers such that the limited expansion of Form S-3 primary offering eligibility, as we are adopting it, will not adversely impact investors. However, the level of disclosure required of smaller public companies under the federal securities laws is yet another factor that we believe weighs against expanding Form S-3 eligibility further than we have in this release. 32 31 Beginning with its introduction in 1992, Regulation S-B of the Securities Act provided for a scaled set of disclosure requirements for small business issuers. *Small Business Initiatives,* Release No. 33-6949 (July 30, 1992) [57 FR 36442]. Recent amendments to the disclosure regime for smaller companies maintain these scaled disclosure requirements, but integrate them into Regulation S-K. *Smaller Reporting Company Regulatory Relief and Simplification,* Release No. 33-8876 (Dec. 19, 2007). In addition, we acknowledge that the companies implicated in this rulemaking are not yet fully subject to Section 404 of Sarbanes-Oxley. See *Internal Control Over Financial Reporting in Exchange Act Periodic Reports of Non-Accelerated Filers and Newly Public Companies,* Release No. 33-8760 (Dec. 15, 2006) [71 FR 76580]. We have taken steps to implement a plan to improve the efficiency and effectiveness of Section 404 implementation, including its scalability to smaller companies. See * Commission Guidance Regarding Management's Report on Internal Control Over Financial Reporting Under Section 13(a) or 15(d) of the Securities Exchange Act of 1934, * Release No. 34-55929 (June 20, 2007) [72 FR 35323]. It is true, however, that, unlike “large accelerated filers” and “accelerated filers,” companies that are “non-accelerated filers” (companies with less than $75 million in float) will not need to comply with the auditor's attestation report requirements of Section 404 until they file their annual report for the fiscal year ending on or after December 15, 2008. For large accelerated filers and accelerated filers, the auditor's attestation report is required for all annual reports for fiscal years ending on or after November 15, 2004. In light of this fact, one commenter recommended that Form S-3 eligibility be contingent on full implementation of both the management and auditor attestation report requirements of Section 404. See letter from the CII. Because adding this condition would effectively delay the benefits of these Form S-3 amendments to smaller public companies for at least one year, and because the decision has been made to allow smaller public companies to phase in full compliance with Section 404, we have decided not to delay the effective date of this rulemaking. We may revisit the limitation on our expansion of Form S-3 after full compliance with Section 404 is complete. 32 This is especially true given that, under recent amendments, the scaled detailed disclosure regime for smaller companies will now extend to issuers who have a public float between $25 and $75 million. Release No. 33-8876. Prior to such amendments, only companies with less than $25 million in public float were covered by the disclosure requirements of Regulation S-B. In revising the shelf eligibility requirements, therefore, we must consider the unique set of investment risks posed by smaller public companies in the context of shelf registration, which provides speed and flexibility to issuers, but at the same time may limit Commission and underwriter involvement in the registration process. Extending the benefits of shelf registration to an expanded group of transactions will limit the staff's direct prior involvement in takedowns of securities off the shelf. Although the Commission's staff may review registration statements before they are declared effective, individual takedowns are not conditioned on further Commission action or subject to prior selective staff review. 33 In addition, the short time horizon of shelf offerings may also reduce the time that participating underwriters have to apply their independent scrutiny and judgment to an issuer's prospectus disclosure. Historically, concerns such as these have been at the center of the debate when the Commission has previously considered expanding shelf registration eligibility. 34 33 We note some commenters suggested that our concerns about expanding the base of companies eligible to use Form S-3 for primary offerings “off the shelf” could be alleviated by requiring more detailed disclosure from these companies. See letters from Feldman Weinstein and Morrison & Foerster. However, requiring additional disclosure would not address the fact that the staff does not have the ability to review, in advance, individual takedowns off an effective shelf registration statement. Prospectus supplements reflecting such takedowns are filed after the fact. Similarly, the fact that the Form S-3 filed by reporting companies with smaller public floats would not become automatically effective and would therefore remain subject to pre-effective review and comment by the Commission's staff does not satisfactorily address the lack of the staff's prior involvement in shelf takedowns. See letter from the ABA. 34 Among other things, the Commission's 1996 Task Force on Disclosure Simplification made several recommendations to amend the shelf registration procedure “so as to provide increased flexibility to a wider array of companies with respect to their capital-raising activities.” These recommendations included a “modified form of shelf registration” that would have allowed smaller companies to price their securities on a delayed basis for up to one year in order to time securities offerings more effectively with opportunities in the marketplace. The Task Force stated: While this recommendation will afford small companies time and cost savings, the Task Force appreciates concerns raised about possible adverse effects shelf registration may have on the adequacy and accuracy of disclosures provided to investors, on Commission oversight of the disclosures and on the role of underwriters in the registration process. These concerns are similar to those raised when the shelf registration rule was first being considered on a temporary basis and was made available to any offering including an initial public offering. *Report of the Task Force on Disclosure Simplification* , at 33. Following on the Task Force's recommendations, in 1997 the Commission proposed to permit certain smaller companies to price registered securities offerings on a delayed basis for up to one year after effectiveness. Release No. 33-7393. In that release, the Commission noted: Concerns have been raised that the expedited access to the markets that would be provided by these proposals could make it difficult for gatekeepers, particularly underwriters, to perform adequate due diligence for the smaller companies that would be eligible to use expanded Rule 430A. Accordingly, since the Commission first introduced the system of integrated disclosure more than twenty-five years ago, the ability to use Form S-3 to conduct primary offerings “off the shelf” has been carefully tempered by restricting the class of companies eligible for this benefit. Consistent with this well-established approach, we are amending the Form S-3 eligibility requirements to enable more companies to use Form S-3 for primary offerings, 35 but only to the extent that they are consistent with investor protection. 35 As part of Recommendation IV.P.3 of the Final Report, the Advisory Committee also recommended that the Commission extend S-3 eligibility for secondary transactions to issuers with securities quoted on the Over-the-Counter Bulletin Board. General Instruction I.B.3. to Form S-3 limits the use of the form for secondary offerings to securities “listed and registered on a national securities exchange or * * * quoted on the automated quotation system of a national securities association,” a restriction that excludes the securities of Over-the-Counter Bulletin Board and Pink Sheets issuers. In addition, some commenters to the Proposing Release echoed the recommendation of the Advisory Committee and supported extending the use of Form S-3 for secondary offerings to additional issuers who are ineligible under current rules. See letters from the ABA; Feldman Weinstein; SBA; and Williams Securities. After considering the recommendation of the Advisory Committee and commenters, we are not at this time amending the Form S-3 eligibility rules for secondary offerings. As we made clear in the Proposing Release, this rulemaking pertains only to the limited issue of Form S-3 eligibility for primary securities offerings and is not intended to encompass or otherwise impact existing requirements for secondary offerings on Form S-3. Moreover, any amendment of the Form S-3 requirements for secondary offerings would have to be carefully weighed against the costs of further exposing the markets to the potential for abusive primary offerings disguised as secondary offerings. Therefore, at this time we are not revising secondary offering eligibility under General Instruction I.B.3. B. Amendments to Form S-3 We are adopting new General Instruction I.B.6. to Form S-3 to allow companies with less than $75 million in public float to register primary offerings of their securities on Form S-3, 36 provided they: 36 Form S-3 eligibility under new General Instruction I.B.6. (and Form F-3 eligibility under new General Instruction I.B.5.) applies only to an issuer's ability to conduct a limited primary offering on Form S-3 (or Form F-3, as applicable). That is, an issuer's eligibility to use Form S-3 or Form F-3 under these new form instructions does not mean that the issuer meets the requirements of Form S-3 or Form F-3 for purposes of any other rule or regulation of the Commission (apart from Rule 415(a)(1)(x), which pertains to shelf registration). Instruction 6 to new General Instruction I.B.6. of Form S-3 and Instruction 6 to new General Instruction I.B.5. of Form F-3. Rule 415(a)(1)(x) permits shelf offerings of securities “registered ( *or qualified to be registered* )” on Form S-3 or Form F-3 (emphasis added). We note that a closed-end investment company, including a business development company, (“closed-end fund”) that meets the eligibility standards enumerated in Form S-3, as revised by new General Instruction I.B.6., may register its securities in reliance on Rule 415(a)(1)(x) notwithstanding the fact that closed-end funds register their securities on Form N-2 rather than Form S-3. • Meet the other registrant eligibility conditions for the use of Form S-3; 37 37 See General Instruction I.A. of Form S-3. Among other things, General Instruction I.A. requires that the registrant: • Has a class of securities registered pursuant to Sections 12(b) or 12(g) of the Exchange Act or is required to file reports pursuant to Section 15(d) of the Exchange Act; and • Has been subject to the requirements of Sections 12 or 15(d) of the Exchange Act and has filed in a timely manner all the material required to be filed pursuant to Sections 13, 14 or 15(d) for a period of at least twelve calendar months immediately preceding the filing of the Form S-3 registration statement. • Have a class of common equity securities that is listed and registered on a national securities exchange; 38 38 A “national securities exchange” is a securities exchange that has registered with the Commission under Section 6 of the Exchange Act [15 U.S.C. 78f]. There are currently ten securities exchanges registered under Section 6(a) of the Exchange Act as national securities exchanges. These are the New York Stock Exchange, American Stock Exchange and Nasdaq, as well as the Boston Stock Exchange, Chicago Board Options Exchange, Chicago Stock Exchange, International Securities Exchange, National Stock Exchange (formerly the Cincinnati Stock Exchange), NYSE Arca (formerly the Pacific Exchange) and the Philadelphia Stock Exchange. In addition, an exchange that lists or trades security futures products (as defined in Section 3(a)(56) of the Exchange Act [15 U.S.C. 78c(56)]) may register as a national securities exchange under Section 6(g) of the Exchange Act solely for the purpose of trading security futures products. For purposes of new General Instruction I.B.6., however, only exchanges registered under Section 6(a) of the Exchange Act will be deemed to be “national securities exchanges.” Instruction 8 to new General Instruction I.B.6. • Do not sell more than the equivalent of one-third of their public float in primary offerings under General Instruction I.B.6. of Form S-3 over the previous period of 12 calendar months; 39 and 39 The meaning of the phrase “period of 12 calendar months” is intended to be consistent with the way in which the phrase “12 calendar months” is used for purposes of the registrant eligibility requirements in Form S-3. A “calendar month” is a month beginning on the first day of the month and ending on the last day of that month. For example, for purposes of Form S-3 registrant eligibility, if a registrant were not timely on a Form 10-Q due on September 15, 2006, but was timely thereafter, it would first be eligible to use Form S-3 on October 1, 2007. Similarly, for purposes of new General Instruction I.B.6. of Form S-3, if a registrant relies on this Instruction to conduct a shelf takedown equivalent to one-third of its public float on September 15, 2007, it will next be eligible to do another takedown (assuming no change in its float) on October 1, 2008. • Are not shell companies 40 and have not been shell companies for at least 12 calendar months before filing the registration statement. 40 The term “shell company” is defined in Rule 405 of the Securities Act [17 CFR 230.405]. See also *Use of Form S-8, Form 8-K, and Form 20-F by Shell Companies,* Release No. 33-8587 (July 15, 2005) [70 FR 42233] (adopting definition of shell company). 1. One-Third Cap and Listed Securities Only As discussed above, we are sensitive to the risks associated with making shelf registration available to more issuers. At the same time, we are also sensitive to the possibility that constraining the rule too much may limit its utility to the companies that qualify for its use. Therefore, we have decided to increase the limitation on the amount of securities that can be offered by companies under the new rules from 20% of public float to one-third of public float, while at the same time conditioning a company's eligibility under new General Instruction I.B.6. of Form S-3 on having a class of common equity securities listed and registered on a national securities exchange (often described as “listed” securities). 41 41 New General Instruction I.B.6(c) of Form S-3. As proposed, new General Instruction I.B.6. of Form S-3 would have limited the amount of securities eligible companies could sell in accordance with its provisions to no more than the equivalent of 20% of their public float over any period of 12 calendar months. We proposed a cap of 20% in order to allow an offering that is large enough to help an issuer obtain financing when market opportunities arise, yet small enough to take into account the effect such new issuance may have on the market for a thinly traded security. As we stated in the Proposing Release, we believed that the 20% ceiling would help a large number of smaller public companies with their capital raising. 42 42 As we noted in the Proposing Release, the Division of Corporation Finance undertook a study of shelf registration takedowns in 2006 by companies with a public float of moderate size in order to evaluate the appropriate public float ceiling for the new rule. Specifically, the Division looked at all prospectus supplements filed pursuant to shelf registration statements in calendar year 2006 by companies with a public float between $75 million and $140 million. While we observed a wide range of variously sized shelf takedowns (from less than 1% of float to greater than 80% of float), the data indicated that 20% of float was approximately the median annual takedown for companies in the band considered. This suggested that limiting smaller public companies to 20% of their public float in any 12-month period might increase the capital raising alternatives for these companies consistent with investor protection. Some commenters, however, were critical of this proposed restriction and concerned that capping issuers at 20% of the value of their public float every twelve months would limit the usefulness of the rule. 43 The commenters thought that the 20% ceiling would be of limited utility because they believed that the capital needs of small businesses would, in many cases, greatly exceed the amount of securities that could be sold under the rule. 44 Several commenters also suggested various alternatives to a 20% limit, 45 including raising the ceiling from 20% to at least one-third of a company's public float. 46 43 See, for example, letters from the ABA; SBA; Feldman Weinstein; Malizia Spidi; Morrison & Foerster; M. Shichtman; and Roth Capital. 44 See letters from the SBA; Brinson Patrick; Feldman Weinstein; Malizia Spidi; M. Shichtman; and Roth Capital. For an opposing viewpoint, see letter from the CII. 45 See, for example, letters from Feldman Weinstein; Morrison & Foerster; and Williams Securities (commenters suggesting that a percentage of trading volume be used as an alternative to public float); Malizia Spidi and Roth Capital (commenters suggesting that shareholder approval be obtained for dilutive issuances constituting over 20% of public float); and letters from Feldman Weinstein and Morrison & Foerster (commenters suggesting that additional disclosure be required in lieu of imposing a 20% ceiling). Some commenters were also concerned that the Commission might amend Rule 430B of the Securities Act to vary the application of Section 11 liability to the various parties involved in a shelf registration statement based on the size of the issuer. See letters from BDO Seidman, LLP; Center for Audit Quality; Deloitte & Touche LLP; Ernst & Young LLP (“Ernst & Young”); and KPMG LLP (“KPMG”). These commenters maintained that the filing of a prospectus supplement to a shelf registration statement should not be considered a new effective date for purposes of Section 11 liability for auditors, regardless of the size of the issuer's public float. The set of comprehensive amendments in 2005, known as “Securities Offering Reform,” provide in Rule 430B that the effective date for auditors who previously provided consent in an existing registration statement for their report on previously issued financial statements or previous reports on management's assessment of internal control over financial reporting does not change upon the filing of a prospectus supplement unless the prospectus supplement (and any Exchange Act report incorporated by reference into the prospectus and registration statement) contains new audited financial statements or other information as to which the auditor is an expert and for which a new consent is required. Release No. 33-8591. Two of the commenters emphasized that taking a different approach for smaller issuers would run the risk of creating substantial delays in the filing process (as auditors would have to provide new consents) and issuers would likely lose a substantial amount of flexibility in accessing the public markets. See letters from Ernst & Young and KPMG. We agree with these commenters and are not modifying Rule 430B in connection with this rulemaking. 46 See letters from the ABA; Feldman Weinstein; Morrison & Foerster; M. Shichtman; and Williams Securities. The SBA also suggested raising the threshold in its letter, but did not specify the size of the increase it favored. We note that some of the commenters who advocated increasing the threshold to one-third of a company's public float reasoned that doing so would harmonize the amount of securities which could be registered in a primary offering on Forms S-3 and F-3 under the proposed rule with a purported staff position in a different context. See letter from Feldman Weinstein. See also letters from Morrison & Foerster and Williams Securities. The purported staff position is not related to the instant Form S-3 and Form F-3 amendments, which concern expanding the availability of these forms for primary offerings to more companies. Rather, the staff has indicated that some resale registration statements may raise a concern where, among other things, there is an unusually large number of shares being registered in relation to the number of the issuer's outstanding shares held by nonaffiliates. In these situations, the staff may question whether the offering is a bona fide secondary transaction or a disguised primary offering. After considering these comments, we have decided to set the twelve-month offering threshold under new General Instruction I.B.6. of Form S-3 at one-third of an issuer's public float. We are comfortable making this adjustment in light of the additional protection afforded by the new requirement in General Instruction I.B.6(c) of Form S-3 that eligibility under this instruction is contingent upon the registrant having a class of common equity securities listed and registered on a national securities exchange, as discussed below. We think raising the cap to one-third of public float will allow an offering that is large enough to help an issuer raise a relatively significant amount of capital when market opportunities arise, but still small enough for us to moderate the expansion of shelf eligibility with appropriate attention to the protection of investors, including the effect such new issuance may have on the market for a thinly traded security. Under these amendments, offerings above the one-third cap would violate the form requirements of Form S-3. In order to provide absolute clarity on this point, we are adopting a corresponding amendment to Rule 401(g) 47 of the Securities Act to provide that violations of the one-third cap would also violate the requirements as to proper form under Rule 401 even though the registration statement previously has been declared effective. 48 47 17 CFR 230.401(g). 48 See letter from the ABA (recommending that the Commission not revise current Rule 401(g) to provide that an issuer will be deemed to have used an incorrect registration form if it exceeds the one-third cap under new General Instruction I.B.6.). Our objective with this rulemaking is to provide smaller companies some additional financing flexibility that will aid them in their efforts to raise capital, but at the same time give the Commission an opportunity to consider the impact of this expansion in an environment where there are limitations in place to address investor protection. As a general proposition, the greater the magnitude of the offering, the more likely it is that the transaction will be transformative to the issuer rather than routine in nature, such as the incremental expansion of the issuer's business. At the current time, we believe that securities transactions exceeding one-third of the value of an issuer's public float are generally of such significance to the issuer that the opportunity for specific staff review of the transaction and a greater window for underwriter due diligence are advisable. We believe that the one-third cap will help a substantial number of smaller public companies with their capital raising needs, which is supported by our observations of market activity of recent shelf registrants. 49 Moreover, it is important to understand that the one-third cap imposed by new General Instruction I.B.6. to Form S-3 only relates to other primary offerings conducted pursuant to this instruction. Accordingly, an issuer that is temporarily prevented from utilizing Form S-3 for shelf offerings to raise capital would not be foreclosed from registering a primary offering of securities on Form S-1 or in private placements. The new eligibility instruction that we are adopting today is not meant to be mutually exclusive. Rather, it is designed to provide added flexibility to smaller public companies by giving them supplemental avenues of capital formation. As we have stated previously, our adoption of this amendment does not foreclose the possibility that we may revisit the appropriateness of this one-third cap at a later time. For now, however, we think that this limitation promotes small business capital formation consistent with the protection of investors. 49 When we further narrowed the set of shelf registration takedowns reviewed (the original review is referenced in n. 42) to companies with at least one class of listed common equity, the data indicated that 75% of sample registrants took down the equivalent of one-third or less of their public float annually off the shelf. For the majority of these sample registrants, therefore, an offering ceiling of one-third would appear satisfactory. At the same time that we are adopting an offering ceiling under new General Instruction I.B.6. of one-third of an issuer's public float, we are also making eligibility under this new rule contingent on the issuer having a class of common equity securities listed and registered on a national securities exchange. 50 In the Proposing Release, we requested comment as to whether we should allow all companies with a public trading market, including companies with securities traded in the over-the-counter market such as the Pink Sheets, to use the amended Form S-3 as proposed or whether we should limit eligibility to inter-dealer quotations systems with some level of oversight and operated by a self-regulatory organization. 51 In addition, we asked whether there were other restraints on the proposed expansion of Form S-3 eligibility that should be considered, such as restrictions on the class of issuers that could utilize the revised forms. 52 Most commenters did not address these specific points directly, but their responses generally suggested that they would not favor further restrictions on a registrant's form eligibility in addition to those already proposed. 53 However, one commenter expressed concern over the risks inherent in expanding the base of companies eligible for primary offerings on Forms S-3 and F-3 and, accordingly, recommended that Form S-3 and Form F-3 eligibility be contingent on full implementation of both the management and auditor attestation report requirements of Section 404. 54 At a minimum, the commenter opposed any weakening of the proposed limitations on eligibility in the final rule. 50 New General Instruction I.B.6(c) of Form S-3. 51 The Proposing Release, at 35127. 52 *Id.* 53 See, for example, letters from the ABA; Feldman Weinstein; Malizia Spidi; Morrison & Foerster; SBA; M. Shichtman; and Williams Securities. 54 See letter from the CII. See also nn. 29 and 31 discussing this letter. Allowing only companies with at least one class of listed common equity securities to avail themselves of new General Instruction I.B.6. should help to minimize potential abuses that may arise from expanded shelf registration. This is because the exchanges' listing rules and procedures, as well as other requirements, provide an additional measure of protection for investors. 55 Exchanges have both quantitative and qualitative listing rules that are designed to evidence that their listed issuers meet specified minimum requirements when the issuer first lists on the exchange and thereafter. Initial listing standards serve as a means for an exchange to screen issuers and to provide listed status to issuers with sufficient public float, investor base, and trading interest to assure that the market for the issuer's security has the depth and liquidity necessary to maintain fair and orderly markets. Maintenance listing criteria help assure that the issuer continues to meet the exchange's standards for depth and liquidity. While the exchanges' listing standards with respect to common equity securities can vary, 56 generally the exchanges require the issuer to meet minimum standards relating to number of public shareholders and shares outstanding, shareholder approval of specified matters, and, in certain cases, earnings or income. Moreover, the exchanges' listing standards generally require issuers of common equity securities to meet strong corporate governance standards, including the requirement that the issuer's board be composed of a majority of independent directors and that key committees be composed solely of independent directors. 57 Exchange-listed securities also are subject to real-time reporting of quotation and transaction information, which benefits investors by apprising them of current market information about the security. Together, these common attributes allow the exchanges to sustain efficient and liquid markets that should help monitor the expansion of shelf registration eligibility on Form S-3 and help mitigate any attendant risks posed by expansion. 58 55 In contrast to the national securities exchanges, automated inter-dealer quotation systems such as the Over-the-Counter Bulletin Board and the Pink Sheets do not provide companies with the ability to list their securities, but, rather, serve as a medium for the over-the-counter securities market by collecting and distributing market maker quotes to subscribers. These automated inter-dealer quotation systems do not maintain or impose listing standards, nor do they have a listing agreement or arrangement with the companies whose securities are quoted through them. 56 See, for example, Nasdaq Rules 4300 *et seq.,* and NYSE Listed Company Manual (“LCM”), Sections 1 through 9. 57 See, for example, Nasdaq Rule 4350 and NYSE LCM Section 3, which require listed issuers to comply with Rule 10A-3 under the Exchange Act, 17 CFR 240.10A-3, with regard to audit committee responsibility and independence, as well as an additional, broader array of corporate governance standards. 58 See n. 28. We also note that limiting eligibility under new General Instruction I.B.6. to companies with common equity securities listed on a national securities exchange is more consistent with our historical treatment of secondary offering eligibility on Form S-3. 59 We think this parallel approach is sensible given that Form S-3 has for many years allowed registrants to conduct secondary offerings on the form irrespective of public float, so long as the securities offered thereby were listed securities. 60 59 See General Instruction I.B.3. of Form S-3. 60 In its comment letter, the ABA pointed out that, as proposed, the eligibility standards for primary offerings on Form S-3 would have allowed both “listed and unlisted” reporting companies to make primary offerings on the form, while resale transactions on Form S-3 are limited to reporting companies whose securities are listed on a national securities exchange or quoted on the automated quotation system of a national securities association. In addition, the ABA noted that the staff of the Commission, through interpretive guidance, has historically permitted unlisted companies that are primarily eligible to use Form S-3 under the existing rules to register resale transactions on Form S-3 notwithstanding that the resale eligibility rules of Form S-3 require that the securities be listed on an exchange or quoted on the automated quotation system of a national securities association. We believe that the final rules, by limiting primary offering eligibility under new General Instruction I.B.6. to companies with equity securities listed on a national securities exchange, address these inconsistencies noted by the ABA in its comment letter. Some commenters noted that, under the proposed amendments, companies with securities not listed or authorized for listing on a national securities exchange would nevertheless be eligible to offer such securities in primary offerings on Form S-3 or Form F-3 so long as there was a public trading market for their securities. 61 Because such securities would not be “covered securities,” as defined by Section 18(b) of the Securities Act, commenters expressed concern that some companies registering transactions under new General Instruction I.B.6. might well be subject to state securities registration requirements, which would frustrate the speed and efficacy of shelf registration. However, because we are limiting eligibility under the new rules to companies with listed equity, in most cases issuers will not be subject to state securities registration requirements in their efforts to raise capital utilizing new General Instruction I.B.6. By requiring issuers to have at least one listed class of common equity securities, most securities offered pursuant to the new eligibility rules will be “covered securities,” as defined by Section 18(b) of the Securities Act, and therefore exempt from state Blue Sky regulation. 62 61 See letters from the ABA; Feldman Weinstein; Morrison & Foerster; and Williams Securities Law. 62 The exception would be a class of securities that are neither listed nor at least equal in seniority to a class of the issuer's listed securities. See Section 18(b)(1)(A) through
(C)of the Securities Act [15 U.S.C. 77r(b)(1)
(A)through (C)]. 2. Calculation of Amount of Securities That May Be Sold To ascertain the amount of securities that may be sold pursuant to Form S-3 by registrants with a public float below $75 million, the new rule requires a two-step process: • Determination of the registrant's public float immediately prior to the intended sale; and • Aggregation of all sales of the registrant's securities pursuant to primary offerings under General Instruction I.B.6. of Form S-3 in the previous 12-month period (including the intended sale) to determine whether the one-third cap would be exceeded. The new rule requires registrants to compute their public float by reference to the price at which their common equity was last sold, or the average of the bid and asked prices of their common equity, in the principal market for the common equity as of a date within 60 days prior to the date of sale. 63 Then, for purposes of calculating the aggregate market value of securities sold during the preceding period of 12 calendar months, the rule requires registrants to add together the gross sales price for all primary offerings pursuant to new General Instruction I.B.6. to Form S-3 during the preceding period of 12 calendar months. Based on that calculation, registrants will be permitted to sell securities with a value up to, but not greater than, the difference between one-third of their public float and the value of securities sold in primary offerings on Form S-3 under new General Instruction I.B.6. in the prior period of 12 calendar months. 63 Instruction 1 to new General Instruction I.B.6. of Form S-3. This is modeled after the calculation of public float provided in the instruction to General Instruction I.B.1. of Form S-3. However, the relevant date for purposes of Instruction 1 to new General Instruction I.B.6. is the date of sale, while the relevant date for purposes of General Instruction I.B.1. is the date of filing. The aggregate gross sales price includes sales of equity as well as debt offerings. 64 Therefore, eligible registrants will also be able to offer non-investment grade debt on Form S-3. 65 In the case of securities that are convertible into or exercisable for equity shares, such as convertible debt or warrants, however, we are requiring that registrants calculate the amount of securities they may sell in any period of 12 calendar months by reference to the aggregate market value of the underlying equity shares in lieu of the market value of the convertible securities. The aggregate market value of the underlying equity will be based on the maximum number of shares into which the securities sold in the prior period of 12 calendar months are convertible as of a date within 60 days prior to the date of sale, multiplied by the same per share market price of the registrant's equity used for purposes of calculating its public float pursuant to Instruction 1 to new General Instruction I.B.6. of Form S-3. We believe calculating the one-third cap based on the market value of the underlying securities makes it less likely that convertible securities would be structured and offered in a manner designed to avoid the effectiveness of the cap. 64 As adopted, the method of calculating the one-third cap on sales is the same whether the registrant is selling equity or debt securities, or a combination of both. As we discussed in the Proposing Release, we had some concern that we would be inadvertently encouraging issuances of debt securities over equity if the proposed limitation on sales excluded debt. Because we do not intend for the rule to dictate or otherwise influence the overall form of security that companies offer, we have adopted the one-third cap on sales to include both equity and debt. 65 The provisions of Form S-3 in effect today allow registrants to offer non-convertible investment grade debt securities on Form S-3 regardless of the size of their public float. General Instruction I.B.2. to Form S-3. It is important to note that the one-third cap on sales is not intended to impact a holder's ability to convert or exercise derivative securities purchased from the company. For example, this limit will apply to the amount of common stock warrants that a company can sell under Form S-3, and the number of common shares into which the warrants are exercisable will be relevant for determining the company's compliance with the one-third cap at the time the warrants were sold, but the number will not impede the purchaser's later exercise of the warrants. As adopted, the one-third cap is designed to allow issuers flexibility. Because the restriction on the amount of securities that can be sold over a period of 12 calendar months is calculated by reference to a registrant's public float immediately prior to a contemplated sale, as opposed to the time of the initial filing of the registration statement, the amount of securities that an issuer is permitted to sell can continue to grow over time as the issuer's public float increases. Therefore, the value of one-third of a registrant's float during the period that a shelf registration statement is effective may, at any given time, be much greater than at the time the registration statement was initially filed. Registrants may therefore benefit from increases in the size of their public float during the time that the registration statement is effective. Conversely, the amount of securities that an issuer is permitted to sell at any given time may also decrease if the issuer's public float contracts. It is important to note, however, that a contraction in a registrant's float, such that the value of one-third of the float decreases from the time the registration statement was initially filed, would not necessarily run afoul of the cap because the relevant point in time for determining whether a registrant has exceeded the threshold is the time of sale. If the sale of securities, together with all securities sold in the preceding period of 12 calendar months, does not exceed one-third of the registrant's float calculated within 60 days of the sale, then the transaction would not violate new General Instruction I.B.6. to Form S-3 even if the registrant's public float later drops to a level such that the prior sale now accounts for over one-third of the new lower float. 66 To keep track of the securities sold under General Instruction I.B.6., the revised instructions to Form S-3 require registrants to disclose in each prospectus filed with the Commission their updated calculation of public float and the amount of securities offered pursuant to this instruction during the prior 12 calendar month period that ends on, and includes, the date of the prospectus. 67 66 Along these lines, under the amendments registrants will be able to sell up to the equivalent of the full one-third of their public float immediately following the effective date of their registration statement, provided that there were no prior sales pursuant to new General Instruction I.B.6. of Form S-3. This is consistent with Rule 415(a)(1)(x), which was amended in 2005 to allow primary offerings on Form S-3 or Form F-3 to occur immediately after effectiveness of a shelf registration statement. Release No. 33-8591. Assuming that the sale of the entire one-third of public float allotted under the new form eligibility rules complied with the rule at the time of the takedown, the subsequent contraction in the registrant's public float will not invalidate this prior sale. 67 Instruction 7 to new General Instruction I.B.6. Because Form S-3 registrants who meet the $75 million float threshold of existing General Instruction I.B.1. at the time their registration statement is filed are not subject to restrictions on the amount of securities they may sell under the registration statement even if their float falls below $75 million subsequent to the effective date of the Form S-3 but prior to the update required under Section 10(a)(3) of the Securities Act, we believe it is appropriate to provide issuers registering on Form S-3 pursuant to new General Instruction I.B.6. the same flexibility if their float increases to a level that equals or exceeds $75 million subsequent to the effective date of their Form S-3 without the additional burden of filing a new Form S-3 registration statement. Therefore, we are adopting an instruction to I.B.6. that lifts the one-third cap on additional sales in the event that the registrant's float increases to $75 million or more subsequent to the effective date of the registration statement. 68 Of course, pursuant to Rule 401 under the Securities Act, registrants are also required to recompute their public float each time an amendment to the Form S-3 is filed for the purpose of updating the registration statement in accordance with Section 10(a)(3) of the Securities Act—typically when an annual report on Form 10-K is filed. In the event that the registrant's public float as of the date of the filing of the annual report is less than $75 million, the one-third cap will be reimposed for all subsequent sales made pursuant to new General Instruction I.B.6. and will remain in place until the registrant's float equals or exceeds $75 million. 68 Instruction 3 to new General Instruction I.B.6. of Form S-3. The following examples illustrate how the new Instruction will operate. 69 For purposes of these examples, we are assuming that the hypothetical registrants satisfy the registrant eligibility requirements in General Instruction I.A. of Form S-3, are not shell companies, and have at least one class of common equity securities listed and registered on a national securities exchange. 69 The examples that follow are for illustrative purposes only and are not intended to be indicative of actual market activity. Example A On January 1, 2009, a registrant with a public float of $25 million files a shelf registration statement on Form S-3 pursuant to new General Instruction I.B.6. intending to register the offer and sale of up to $50 million of debt and equity securities over the next three years from time to time as market opportunities arise. 70 The registration statement is subsequently declared effective. In March 2009, the registrant decides to sell common stock off the registration statement. To determine the amount of securities that it may sell in connection with the intended takedown, the registrant calculates its public float as of a date within 60 days prior to the anticipated date of sale, pursuant to Instruction 1 to new General Instruction I.B.6. Calculating that its public float has risen to $30 million, the registrant determines that the total market value of all sales effected pursuant to new General Instruction I.B.6. over the past year, including the intended sale, may not exceed $10 million, or one-third of the registrant's float. Since the registrant has conducted no prior securities offerings on Form S-3 pursuant to new General Instruction I.B.6., it is able to sell the entire $10 million off the Form S-3. 70 Although only one-third of the public float may be sold in any year, a company may register a larger amount. Release No. 33-8591 at 44774-5 (discussing the adoption of an amendment to Rule 415 that eliminated limits on the amount of securities that may be registered on Form S-3 or Form F-3 under Rule 415(a)(1)(x) and Rule 415(a)(1)(ix)). Assuming that it sold the entire $10 million of securities in March 2009, the registrant in September 2009 once again contemplates a takedown off the shelf. It determines that its public float (as calculated pursuant to Instruction 1 to new General Instruction I.B.6.) has again risen, this time to $54 million. Because one-third of $54 million is $18 million, the registrant is now able to sell additional securities in accordance with new General Instruction I.B.6(a), even though in March 2009 it took down the equivalent of what was then the entire one-third of its float. However, because the registrant has already sold $10 million worth of its securities within the 12 calendar months prior to the contemplated sale, the registrant may sell no more than $8 million of additional securities at this time ($18 million minus $10 million of securities previously sold). In December 2009, the registrant determines that its public float has risen to $78 million. To this point, assuming it has only sold an aggregate of $18 million of its securities pursuant to the subject Form S-3 as described above, it has $32 million of securities remaining on the registration statement and potentially available for takedown (the total amount registered of $50 million, less the $18 million previously sold). Because one-third of $78 million is $26 million, and the registrant has already sold $18 million within the previous year, new General Instruction I.B.6(a) will, in most circumstances, prohibit the registrant from selling more than an additional $8 million of securities in the latest offering. However, under Instruction 3 to new General Instruction I.B.6., the registrant is no longer subject to the one-third cap on annual sales because its float has exceeded $75 million. If it chooses, the registrant may sell the entire $32 million of securities remaining on the registration statement all at once or in separate tranches at any time until the company next updates the registration statement pursuant to Section 10(a)(3) by filing its Form 10-K. This will be the case even if the registrant's float subsequently falls below $75 million before it files that Form 10-K, at which time the registrant is required to recompute its public float in accordance with Rule 401. In the event that the registrant's public float as of the date of that Form 10-K filing is less than $75 million, the one-third cap will be reimposed for all subsequent sales made pursuant to new General Instruction I.B.6. and will remain in place until the registrant's float equals or exceeds $75 million. Example B A registrant has 12 million shares of voting common equity outstanding held by nonaffiliates. The market price of this stock is $5 per share, so the registrant has a public float of $60 million. The registrant has an effective Form S-3 shelf registration statement filed in reliance on new General Instruction I.B.6. of Form S-3, pursuant to which the registrant wants to issue $10 million of convertible debt securities which will be convertible into common stock at a 10% discount to the market price of the common stock. Pursuant to Instruction 2 to new General Instruction I.B.6., the amount of securities issued is measured by reference to the value of the underlying common stock rather than the amount for which the debt securities will be sold. At the 10% discount, the conversion price is $4.50 and, as a result, 2,222,222 shares currently underlie the $10 million of convertible debt. Because the current market price of those underlying shares is $5 per share, for purposes of General Instruction I.B.6. the value of the securities being offered is $11,111,110 (2,222,222 shares at $5 per share), which is less than the $20 million allowed by the one-third cap (one-third of $60 million). After the convertible debt securities are sold and are outstanding, the registrant contemplates an additional takedown. To determine the amount of securities that the registrant may sell under General Instruction I.B.6. in the anticipated offering, the registrant must know its current public float and must calculate the aggregate market value of all securities sold in the last year on Form S-3 pursuant to General Instruction I.B.6. Instruction 2 to new General Instruction I.B.6. requires that the registrant compute the market value of convertible debt securities sold under I.B.6. by reference to the value of the underlying common stock rather than the amount for which the debt securities were sold. With respect to the notes that were sold and have been converted, the aggregate market value of the underlying common stock is calculated by multiplying the number of common shares into which the outstanding convertible securities were converted times the market price on the day of conversion. With respect to the notes that were sold but have not yet been converted, the aggregate market value of the underlying common stock is calculated by multiplying the maximum number of common shares into which the notes are convertible as of a date within 60 days prior to the anticipated sale by the per share market price of the registrant's equity used for purposes of determining its current float. 71 71 The date chosen by the registrant for determination of the maximum number of shares underlying the convertible notes must be the same date that the registrant chooses for determining its market price in connection with the calculation of public float pursuant to new General Instruction I.B.6. See Instruction 5 to new General Instruction I.B.6. In this example, assume that the registrant has a current per share stock price of $5.55. If half of the notes converted into common stock while the per share market price was $5.00 ($4.50 discount), then, for purposes of Instruction 2 to new General Instruction I.B.6., the value of that prior issuance is $5,555,555 (half of the notes divided by the discounted conversion price of $4.50 and then multiplied by $5, the market price on the day of conversion). As for the notes that have not yet been converted, the aggregate market value of the underlying common stock is determined by calculating the number of shares that may be received upon conversion and multiplying that by the current market value of $5.55. Therefore, the outstanding note amount ($5 million) is divided by the discount conversion price ($5), resulting in 1,000,000 shares and this amount is then multiplied by the current market value of $5.55. Thus, for purposes of Instruction 2 to new General Instruction I.B.6., $5,550,000 is the value of the outstanding notes that have not yet been converted. Adding this to the value of the notes that have already been converted results in a total value of $11,105,555 having been issued under this Form S-3. To determine the amount of additional securities that the registrant may sell under General Instruction I.B.6., the registrant should add the value of the notes issued ($11,105,555) plus the value of all other securities sold by the registrant pursuant to Instruction I.B.6. during the preceding 12 calendar months. If this amount is less than one-third of the registrant's current public float, it may sell additional securities with a value up to, but not greater than, the difference between one-third of its current public float and the value of all securities sold by it pursuant to Instruction I.B.6. during the preceding 12 calendar months. Example C A registrant has an effective registration statement on Form S-3, filed pursuant to new General Instruction I.B.6., through which it intends to conduct shelf offerings of its securities. At the time of its first shelf takedown, the registrant's public float is equal to $21 million (which means that the maximum amount available to be sold under the one-third cap would be $7 million). Based on new General Instruction I.B.6(a), the registrant sells $3 million of its debt securities. Six months later, the registrant's public float has decreased to $9 million. The registrant wishes to conduct an additional takedown of debt securities off the shelf but, because of the reduction in its float, it is prohibited from doing so. This is because with a public float of $9 million, General Instruction I.B.6(a) only allows the registrant to sell a maximum of $3 million worth of securities (one-third of $9 million) pursuant to the registration statement during the prior period of 12 calendar months that ends on the date of the contemplated sale. However, the registrant has already sold securities valued (for purposes of new General Instruction I.B.6.) at $3 million in the 6 months prior to the contemplated sale and so must wait until at least one full year has passed since the $3 million sale of securities to undertake another offering off the Form S-3 unless its float increases. Note that although the registrant's float does not allow additional sales, the $3 million takedown of securities 6 months prior does not violate the one-third cap because, at the time of that prior sale, the registrant's float was $21 million. Example D Pursuant to new General Instruction I.B.6., a registrant with a public float of $48 million files a Form S-3, which the registrant intends to use as a universal shelf registration statement to sell up to $100 million of debt or equity securities, or a combination of both at any time or from time to time. After the registration statement is declared effective, the registrant decides to do a takedown off the shelf comprised of convertible promissory notes and warrants to purchase to common stock. The notes are convertible into shares of common stock at a 50% discount to the market price of the common stock. The warrants are exercisable for shares of common stock at an exercise price equal to $5 per share. Because the registrant's float is $48 million, it may sell up to $16 million of securities (one-third of $48 million) pursuant to General Instruction I.B.6. The registrant wants to do a takedown of $1 million in convertible promissory notes. The registrant intends to issue the notes along with warrants to purchase an additional 10,000 shares of its common stock. In order to determine if this sale is permissible under General Instruction I.B.6., the registrant must calculate the amount of securities it has sold pursuant to General Instruction I.B.6. in the previous 12 months and add this to the value of the securities in the intended sale. If the combined value is $16 million or less, it may proceed with the sale. Assume that the registrant has not sold any securities pursuant to the Instruction I.B.6. in the previous 12 months. To determine the value of the convertible promissory notes, the registrant is required by Instruction 2 to General Instruction I.B.6. to calculate the value of the shares underlying the convertible notes. The notes are convertible into shares of common stock at a 50% discount to the market price of the common stock. Assuming that the market price of the common stock is $2 per share, the notes are convertible as follows: $1 million (the price of the notes) divided by 1 (50% of the market price of the common stock) is equal to 1 million shares of common stock that the purchasers will receive upon conversion. Since the market price of the stock is $2 per share, the value of the 1 million shares is $2 million (1 million shares at $2 per share). Therefore, the value of the accompanying warrants for 10,000 shares must be less than $14 million for the sale to be within the one-third cap (one-third of $48 million, less the $2 million of common stock underlying the convertible notes). To calculate the value of the warrants, which are derivative securities, Instruction 2 to General Instruction I.B.6. requires that the registrant calculate the value of the shares underlying the warrants in lieu of the market value of the warrants. Under the terms of the warrants, the warrants are exercisable for 10,000 shares at an exercise price of $5 per share. Instruction 2 to General Instruction I.B.6. states that the aggregate market value of the underlying equity shall be calculated by multiplying the maximum number of common equity shares into which the derivative securities are convertible or for which they are exercisable, as of a date within 60 days prior to the date of sale, by the same per share market price of the registrant's equity used for purposes of calculating the registrant's float. Assuming that the market price of the registrant's stock is $2 per share, the value of the shares underlying the warrants is $20,000 (10,000 shares multiplied by $2 per share). Because the underlying value of the convertible notes is $2 million and the underlying value of the warrants is $20,000, the intended sale has a value of $2,020,000 and does not exceed the one-third cap (of $16 million). 3. Exclusion of Shell Companies In accordance with our desire to expand Form S-3 eligibility consistent with the protection of investors, the expanded eligibility rules specifically exclude shell companies, which will be prohibited from registering securities in primary offerings on Form S-3 unless they meet the minimum $75 million float threshold of General Instruction I.B.1. 72 While we are not passing on the relative merits of shell companies and we recognize that these entities are used for many legitimate business purposes, we have repeatedly stated our belief that these entities may give rise to disclosure abuses. 73 Under the final rules, a former shell company that cannot meet the $75 million float criterion but otherwise satisfies the registrant requirements of Form S-3 will become eligible to use Form S-3 to register primary offerings of its securities, provided that: 72 This prohibition is intended to apply equally to “blank check companies,” as such entities are defined in Rule 419 of the Securities Act. However, because we believe that the definition of “shell company” under Rule 405 is expansive enough to encompass blank check companies for purposes of excluding them from S-3 eligibility under new General Instruction I.B.6., we do not exclude them separately. See *Use of Form S-8 and Form 8-K by Shell Companies* , Release No. 33-8407 (Apr. 15, 2004) [69 FR 21650], at n. 20: We believe that under today's proposals all blank check companies as defined in Rule 419 would be considered shell companies until they acquire an operating business or more than nominal assets. Not all shell companies, however, would be classified as blank check companies under Rule 419. 73 See, for example, Release No. 33-8591; Release No. 33-8587; Release No. 33-7393; and *Penny Stock Definition for Purposes of Blank Check Rule* , Release No. 33-7024 (Oct. 25, 1993) [58 FR 58099]. • It has not been a shell company for at least 12 calendar months; 74 74 Similarly, Form S-8 is not available to shell companies or to former shell companies until 60 days after they have ceased being shell companies and have filed information that would be required in a registration statement on Form 10 or Form 20-F, as applicable, to register a class of securities under Section 12 of the Exchange Act. Release No. 33-8587. Unlike the eligibility rules of Form S-8, however, a company must be reporting for at least 12 calendar months before it is eligible under *any* criteria to use Form S-3. Therefore, instead of the 60-day delay required by Form S-8, it is more appropriate for a shell company to be prohibited from using the new provisions of S-3 and F-3 until at least 12 calendar months after it ceases being a shell company. • It has filed information that would be required in a registration statement on Form 10 or Form 20-F, as applicable, to register a class of securities under Section 12 of the Exchange Act; 75 and 75 This information is collectively described as “Form 10 information.” See Instruction 4 to new General Instruction I.B.6(b). • It has been timely reporting for 12 calendar months. 76 76 New General Instruction I.B.6(b) of Form S-3 addresses the requirements pertaining to former shell companies. Ordinarily, the information required to be filed would be in a current report on Form 8-K, reporting completion of the transaction that caused it to cease being a shell company. 77 In other cases, the information may be filed in a Form 10 or Form 20-F. Consistent with the current registrant eligibility rules of Form S-3 that require at least 12 calendar months of timely reporting, the 12 calendar-month delay under the new rules is intended to provide investors in the former shell company with the benefit of disclosure over a full 12-month period in the newly structured entity prior to its use of Form S-3 for primary securities offerings. 77 Items 2.01(f) and 5.01(a)(8) of Form 8-K require a company in a transaction where the company ceases being a shell company to file a current report on Form 8-K containing the information (or identifying the previous filing in which the information is included) that would be required in a registration statement on Form 10 to register a class of securities under Section 12 of the Exchange Act. Commenters held contrasting opinions of our proposal to exclude shell companies 78 and the requirement that former shell companies may not rely on General Instruction I.B.6. to Form S-3 until at least one year has elapsed since they ceased being shell companies. 79 Because of the limited and less comprehensive public information available regarding shell companies, we are adopting General Instruction I.B.6(b) as proposed to ensure that investors have the benefit of one full year of disclosure once the entity ceases to be a shell company. In this regard, requiring one year of timely reporting puts our treatment of former shell companies on par with the eligibility requirements of any other new company wishing to use Form S-3. 80 78 See letters from the ABA and Morrison & Foerster (supporting the exclusion of shell companies) and letter from M. Baum (opposing the exclusion). 79 See letters from the ABA and Morrison & Foerster (supporting the one-year delay) and letters from Feldman Weinstein and Williams Securities (objecting to the one-year delay and contrasting it to the 90-day delay the Commission proposed in Release No. 33-8813 (July 5, 2007) [72 FR 36822] in order for shareholders of former shell companies to resell their securities in reliance on Rule 144). This analogy to Rule 144 is inapposite. A delay of at least 90 days under Rule 144, versus one year under Form S-3, is not unique to shell companies. Form S-3 requires any issuer to have been timely reporting for at least one year, while Rule 144 requires that an issuer be subject to the reporting requirements for at least 90 days before an affiliate of a reporting issuer is able to sell unrestricted securities under the rule. 80 See General Instruction I.A.3. of Form S-3. C. Amendments to Form F-3 Form F-3, which was designed to parallel Form S-3, 81 is the equivalent short-form registration form available for use by “foreign private issuers” 82 to register securities offerings under the Securities Act. Similar to Form S-3, Form F-3 is available to foreign private issuers that satisfy the form's registrant requirements and at least one of the form's transaction requirements. 83 The Form F-3 registrant requirements are similar to Form S-3 and generally relate to a registrant's reporting history under the Exchange Act. 84 In addition, like the Form S-3 registration statement, Form F-3 limits the ability of registrants to conduct primary offerings on the form unless their public float equals or exceeds a particular threshold. 85 81 *Integrated Disclosure System for Foreign Private Issuers* , Release No. 33-6360 (Nov. 20, 1981) [46 FR 58511], at 7: The three forms proposed under the Securities Act roughly parallel proposed Forms S-1, S-2 and S-3 in the domestic integration system, but the foreign system is based on the Form 20-F instead of the Form 10-K and annual report to shareholders as the uniform disclosure package. 82 The term “foreign private issuer” is defined in Rule 405 of the Securities Act to mean any foreign issuer other than a foreign government except an issuer meeting the following conditions:
(1)More than 50 percent of the outstanding voting securities of such issuer are directly or indirectly owned of record by residents of the United States; and
(2)Any of the following:
(i)The majority of the executive officers or directors are United States citizens or residents;
(ii)More than 50 percent of the assets of the issuer are located in the United States; or
(iii)The business of the issuer is administered principally in the United States. 83 General Instruction I. of Form F-3: “Eligibility Requirements for Use of Form F-3.” 84 One difference is that, unlike Form S-3, General Instruction I.A.1. of Form F-3 requires that registrants have previously filed at least one annual report on Form 20-F, Form 10-K or, in certain cases, Form 40-F under the Exchange Act. For an explanation of this difference, see *Simplification of Registration and Reporting Requirements for Foreign Companies; Safe Harbors for Public Announcements of Unregistered Offerings and Broker-Dealer Research Reports* , Release No. 33-7029 (Nov. 3, 1993) [58 FR 60307], at 3; and *Simplification of Registration and Reporting Requirements for Foreign Companies; Safe Harbors for Public Announcements of Unregistered Offerings and Broker-Dealer Research Reports* , Release No. 33-7053 (Apr. 19, 1994) [59 FR 21644], at 2 (explaining that the requirement was adopted “in order to ensure that information regarding the issuer is available to the market”). 85 General Instruction I.B.1. of Form F-3. Note that, unlike Form S-3, the Instruction makes reference to the registrant's “worldwide” public float. As with Form S-3, the Commission has attempted to limit the availability of Form F-3 for primary offerings to a class of companies believed to provide a steady stream of corporate disclosure that is broadly disseminated to, and digested by, the marketplace. When the Commission adopted Form F-3 in 1982, 86 it set the public float test for foreign issuers at $300 million in response to public comment recommending that the numerical test for foreign issuers be much greater than for domestic registrants. 87 In 1994, however, the Commission reduced this threshold to $75 million in order to extend to foreign issuers the benefits of short-form registration “to the same extent available to domestic companies.” 88 In explaining its rationale, the Commission stated: 86 *Adoption of Foreign Issuer Integrated Disclosure System* , Release No. 33-6437 (Nov. 19, 1982) [47 FR 54764]. 87 Release No. 33-7029, at 2. 88 Release No. 33-7053, at 2. In the same rulemaking, the Commission also reduced the reporting history requirement in Form F-3 from 36 to 12 months to match the eligibility criteria applicable to domestic companies using Form S-3. [Our] experience with foreign issuers, as well as the internationalization of securities markets, indicates that foreign issuers with a public float of $75 million or more have a degree of analyst following in their world-wide markets comparable to similarly-sized domestic companies. 89 89 Release No. 33-7029, at 2. As a result, the Commission believed that expanding Form F-3 eligibility by lowering the float standard to $75 million would give foreign issuers the same capital raising advantages enjoyed by domestic issuers on Form S-3 consistent with investor protection. 90 90 The Commission stated: These provisions are part of the ongoing efforts of the Commission to ease the transition of foreign companies into the U.S. disclosure system, enhance the efficiencies of the registration and reporting processes and lower costs of compliance, where consistent with investor protection. Release No. 33-7053, at 2. In order to maintain the rough equivalency between Form S-3 and Form F-3, which have had the same public float criteria for primary offering eligibility since 1994, 91 we are adopting amendments to Form F-3 that are comparable to our changes to Form S-3. Specifically, new General Instruction I.B.5. to Form F-3 will allow foreign private issuers with less than $75 million in worldwide public float to register primary offerings of their securities on Form F-3, provided: 91 The Commission's adoption of the “Securities Offering Reform” amendments in July 2005 is a recent instance where parallel changes were made to Form S-3 and Form F-3. See Release No. 33-8591. For example, the 2005 amendments provided that the ability to conduct an automatic shelf offering under both Form S-3 and Form F-3 is limited to registrants that qualify as “well-known seasoned issuers” under Rule 405 of the Securities Act. We note the minimum public float threshold required to be a well-known seasoned issuer is the same for both Form S-3 and Form F-3. • They meet the other registrant eligibility conditions for the use of Form F-3; • The class of securities to be offered is listed and registered on a national securities exchange; • They do not sell more than the equivalent of one-third of their public float in primary offerings under General Instruction I.B.5. on Form F-3 over any period of 12 calendar months; and • They are not shell companies and have not been shell companies for at least 12 calendar months before filing the registration statement. II. Paperwork Reduction Act A. Background The new rules and amendments to Forms S-3 and F-3 contain “collection of information” requirements within the meaning of the Paperwork Reduction Act of 1995. 92 We published a notice requesting comment on the collection of information requirements in the Proposing Release and submitted these to the Office of Management and Budget for review and approval in accordance with the Paperwork Reduction Act. 93 The titles for the collection of information are: 92 44 U.S.C. 3501 *et seq.* 93 44 U.S.C. 3507(d) and 5 CFR 1320.11. “Form S-3” (OMB Control No. 3235-0073); “Form F-3” (OMB Control No. 3235-0256); “Form S-1” 94 (OMB Control No. 3235-0065); and 94 Because our amendments to Form S-3 and Form F-3 are anticipated to affect the annual number of Forms S-1 and Forms F-1 filed, we are including them in the titles of information collections even though we are not amending the substance of the collection in this release. Note that the Proposing Release also included our estimates with respect to Form SB-2 (OMB Control No. 3235-0418), in addition to Forms S-3, F-3, S-1 and F-1. However, Release No. 33-8876, which was adopted by the Commission on November 15, 2007, will eliminate Form SB-2 when it becomes effective. Therefore, our revised Paperwork Reduction Act estimates do not include new estimates for Form SB-2. As discussed in greater detail below, we have taken the elimination of Form SB-2 into consideration for purposes of revising our estimates of the burden associated with Forms S-3, S-1 and F-1. “Form F-1” 95 (OMB Control No. 3235-0258). 95 *Id.* We adopted existing Forms S-3, S-1, F-3 and F-1 pursuant to the Securities Act. These forms set forth the disclosure requirements for registration statements that are prepared by eligible issuers to provide investors with the information they need to make informed investment decisions in registered offerings. Our amendments to Forms S-3 and F-3 are intended to allow issuers that are ineligible to use Forms S-3 and F-3 for primary offerings because they do not meet the forms' public float requirements to nevertheless register a limited amount of securities in primary offerings on Form S-3 or Form F-3, as applicable, so long as they are not shell companies, they meet the other eligibility requirements of the forms, and they have at least one class of common equity securities listed and registered on a national securities exchange. The hours and costs associated with preparing disclosure, filing forms, and retaining records constitute reporting and cost burdens imposed by the collection of information. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid control number. The information collection requirements related to registration statements on Forms S-3, S-1, F-3 and F-1 are mandatory. There is no mandatory retention period for the information disclosed, and the information disclosed would be made publicly available on the EDGAR filing system. B. Summary of Information Collections Because the amendments that we are adopting in this release pertain principally to Forms S-3 and F-3 eligibility, rather than to the disclosure required by these forms, we do not believe that the amendments will impose any new recordkeeping or information collection requirements, other than those that will be de minimis in nature. 96 On a per-response basis, therefore, the amendments should not increase or decrease existing disclosure burdens for Form S-3 or Form F-3. However, because we expect that many companies newly eligible for primary offerings on Forms S-3 and F-3 as a result of these amendments will choose to file short-form Form S-3 and Form F-3 registration statements in lieu of Forms S-1 or F-1, as applicable, we believe there will be an aggregate decrease in the disclosure burdens associated with Forms S-1 and F-1 and an increase in the disclosure burdens associated with Forms S-3 and F-3. The shift in aggregate disclosure burden among these forms will be due entirely to the change in the number of annual responses expected with respect to each form, as companies previously ineligible to use Form S-3 and Form F-3 switch to these forms for their public offerings and away from Forms S-1 and F-1. 96 Instruction 7 to new General Instruction I.B.6. of Form S-3 and Instruction 7 to new General Instruction I.B.5. of Form F-3 require registrants to disclose in each prospectus filed with the Commission their updated calculation of public float and the amount of securities offered on Form S-3 or F-3, as applicable, pursuant to this instruction during the prior 12 calendar months. Although this is a new disclosure requirement for Forms S-3 and F-3, we think that the registrant's determination of its public float and the amount of securities offered in the prior twelve-month period should be readily accessible and easily calculable. In addition, we note that registrants are already required to ascertain their public float at the time they file a registration statement for a primary offering on Form S-3 or Form F-3. See General Instruction I.B.1. of Form S-3 and General Instruction I.B.1. of Form F-3. As such, we anticipate that the total time, effort and financial resources to generate and maintain this information will be insignificant for each registrant. In addition, because of the anticipated benefits to issuers associated with Forms S-3 and F-3, in particular the lower costs of preparing and filing the registration statements and the ability to make delayed and continuous offerings in response to changing market conditions, we think that this will increase the demand for, and lead to more, company filings on Forms S-3 and F-3 than would otherwise have been made on Forms S-1 and F-1. That is, we think that the opportunity for capital raising will be more robust for many companies because of the availability of shelf registration on Forms S-3 and F-3. We also anticipate that many companies newly eligible to use Forms S-3 or F-3 will choose to offer their securities directly to the public through registration on these registration forms instead of through private placements and, therefore, we expect comparatively more Forms S-3 and F-3 registration statements to be filed as companies forego private offerings in favor of the public markets. In order to provide an estimate of the change in the collection of information burden for purposes of the Paperwork Reduction Act, our assumption is that the amendments to Forms S-3 and F-3 will result in an overall increase in the number of such forms filed annually by eligible companies and an overall decrease in the number of Forms S-1 and Forms F-1 filed annually by these companies. As discussed, however, we do not expect that the incremental increase in the number of all Forms S-3 and F-3 filed will be roughly equal to the incremental decrease in the number of Forms S-1 and Forms F-1 filed, because our assumption is that the advantages of shelf registration on Form S-3 and Form F-3 will encourage financings on these forms that would otherwise have been carried out through exempt offerings or perhaps not at all. Therefore, we believe the amendments will result in a net increase in the annual aggregate number of filings on all Forms S-3, S-1, F-3 and F-1 taken together, since the increased number of Form S-3 and F-3 filings should exceed the decreased number of Form S-1 and F-1 filings. Accordingly, we believe the overall net decrease in disclosure burden that should result from companies changing to the more streamlined Forms S-3 and F-3 will be offset to some extent by newly eligible companies filing Forms S-3 and F-3 more frequently than they did Forms S-1 or F-1. However, this offset could be lessened in part by the one-third cap on the amount of securities that eligible companies may sell on Form S-3 and Form F-3 in any period of 12 calendar months pursuant to the new form eligibility rules. 97 Companies that require more capital but are prohibited by this one-third cap from using Form S-3 and Form F-3 for primary offerings may, as a result, continue to conduct some offerings on Forms S-1 or F-1 or through the private markets even though Forms S-3 and F-3 are preferable. 97 As previously discussed, new General Instructions I.B.6. of Form S-3 and I.B.5. of Form F-3 prohibit registrants from selling more than the equivalent of one-third of their public float in any period of 12-calendar months. C. Summary of Comments and Revisions to Amendments None of the commenters addressed our request for comment on the Paperwork Reduction Act analysis contained in the Proposing Release. We are nevertheless revising our Paperwork Reduction Act estimates in light of certain modifications we have made to the final rules as opposed to the proposal. As proposed, new General Instruction I.B.6. of Form S-3 and new General Instruction I.B.5. of Form F-3 would have limited the amount of securities eligible companies could sell in accordance with these provisions to no more than the equivalent of 20% of their public float over any period of 12 calendar months. In consideration of commenters who were concerned that capping issuers at 20% of the value of their public float every twelve months would limit the usefulness of these new rules, we have decided to increase the twelve-month offering threshold to one-third of an issuer's public float. In light of this increase, however, we are adopting a further condition to eligibility under new General Instruction I.B.6. of Form S-3 and new General Instruction I.B.5. of Form F-3 that the issuer must have at least one class of common equity securities listed and registered on a national securities exchange. This additional restriction should help to minimize the potential abuses arising from expanded shelf registration because the securities exchanges, through their listing rules and procedures, as well as other requirements, provide an additional measure of protection for investors. D. Revised Paperwork Reduction Act Burden Estimates As discussed in Section II.C. above, we are revising our Paperwork Reduction Act burden estimates that were originally submitted to the Office of Management and Budget. Our revised estimates reflect the changes that we have made to the final rules as compared to the proposal. For purposes of the Paperwork Reduction Act, we now estimate the annual decrease in the paperwork burden for companies to comply with our collection of information requirements to be approximately 10,375 hours of in-house company personnel time and to be approximately $12,450,000 for the services of outside professionals. 98 These estimates include the time and the cost of preparing and reviewing disclosure, filing documents and retaining records. Our methodologies for deriving the above estimates are discussed below. 98 For administrative convenience, the totals related to the paperwork burden hours have been rounded to the nearest whole number and the cost totals have been rounded to the nearest thousand. Our estimates represent the burden for all issuers, both large and small. As mentioned, however, the estimated decreases are wholly attributable to our assumptions, discussed in Section II.B. above, about how the amendments will influence the behavior of certain issuers who were formerly ineligible to conduct primary offerings on Forms S-3 and F-3. These issuers are non-shell companies who satisfy the registrant eligibility requirements of Form S-3 99 or Form F-3, 100 as applicable, have at least one class of common equity securities listed and registered on a national securities exchange, and had a public float of less than $75 million at the end of their last fiscal year. In all, we estimate that there were approximately 1,400 such companies at the end of calendar year 2006 and that they filed a total of 66 registration statements on Forms S-1, SB-2 101 and F-1 during the twelve months ending December 31, 2006. 102 To determine the effect of our amendments on the overall paperwork burden, we have assumed that these filings on Forms S-1, SB-2 103 and F-1 would be made instead on Form S-3 or Form F-3, as applicable, to the extent that the issuers would not be limited by the one-third cap on the amount of securities they may sell in any period of 12 calendar months under the new rules. Therefore, we assume that the Forms S-1 and F-1 filed by the subject companies will decrease from the number filed in 2006, but because of the one-third cap on sales, will not decrease to 0. 104 Instead, we believe that some Forms S-1 and F-1 will continue to be filed annually by these companies. To reflect this, we have taken the number of Forms S-1 and F-1 that were filed by these companies in calendar year 2006 and decreased this number by 90% 105 for each form, for a total decrease of 60 filings. 106 Therefore, we assume that approximately 60 fewer Forms S-1 and F-1 will be filed by all issuers annually as a result of the new amendments. The actual number could be more or less depending on various factors, including future market conditions. 99 See n. 37. 100 See n. 83. 101 As mentioned, the Commission voted to eliminate Form SB-2 on November 15, 2007. Release No. 33-8876. However, because some of the companies who filed on Form SB-2 in 2006 will become eligible to use Form S-3 under the new amendments to the form, we factor these Form SB-2 filings into our estimate of the number of additional Forms S-3 that will be filed in 2008 as a result of the rule change. 102 The total of 66 filings is comprised of 37 Forms S-1; 26 Forms SB-2; and 3 Forms F-1. 103 See n. 101. 104 Because it has been eliminated, the number of new Forms SB-2 will, in fact, decrease to 0 after Release No. 33-8876 goes into effect. Therefore, companies that previously filed Forms SB-2, but who are now eligible to use Form S-3 under new General Instruction I.B.6. of the form, would not be able to fall back to Form SB-2 in the event that they exceed the one-third cap on Form S-3. Instead, to the extent they wanted to conduct an additional registered public offering, they would likely have to file on Form S-1. To reflect this, we have taken the number of 2006 Form SB-2 filings by companies that we estimate will become eligible on Form S-3 under the new rules and added this to the number of Forms S-1 filed in 2006 by companies who qualify to use Form S-3 for primary offerings under the new rules. This allows us to estimate how many total Forms S-1 will be filed by domestic companies that exceed the one-third cap but still wish to conduct registered public offerings. So, for purposes of our baseline assumptions, the number of Forms S-1 filed in 2006 by companies who will become eligible to use Form S-3 under the new rules will include the number of Forms SB-2 filed in 2006 by qualifying companies
(26)and will therefore total 63 filings (37 Forms S-1 plus 26 Forms SB-2). 105 In the Proposing Release, this decrease was 85% for each form but has been raised to 90% in light of the 12-month offering restriction on sales being raised from 20% to one-third of a company's public float. In other words, because the ceiling has been raised, eligible companies will be able to expand the size and/or frequency of their offerings on Forms S-3 and F-3 and, consequently, will have less need to file alternate registration forms. Therefore, the number of filings on these forms should decrease even more than was predicted in the Proposing Release. 106 This number deducts 90% from the totals for each of the registration forms, as follows: Form S-1 (90% of 63, rounded up, equals 57) and Form F-1 (90% of 3, rounded up, equals 3). Adding these together, the combined reduction totals 60 filings. Furthermore, we believe that the 1,400 companies that we estimate will be affected by the rule change would have conducted more registered securities offerings had they been able to use Forms S-3 and F-3, because of the benefits of forward incorporation and the ability to utilize shelf registration to maximize market opportunities. We assume that the inability of these companies to utilize Forms S-3 and F-3 limited their capacity to access the public securities markets and, because of the cost and lack of flexibility associated with Forms S-1, SB-2 and F-1, they either did not file registration statements on Forms S-1 SB-2 or F-1, or were limited in the number that they filed. We therefore believe that the annual number of responses on Forms S-3 and F-3 for purposes of the Paperwork Reduction Act will increase by an increment greater than simply the total of 60 fewer registration statements on Forms S-1 and F-1 that we estimate will be filed in future years by the 1,400 companies who would qualify for primary offerings on Forms S-3 and F-3 as a result of our amendments. We further assume that this increase in Forms S-3 and F-3 will be mitigated to some degree by the one-third cap on securities sold in any period of 12 calendar months under the new rules, which may limit the frequency and volume of additional securities offerings on Form S-3 and Form F-3. To reflect this, we have taken the total of 60 fewer Forms S-1 and F-1 that we think will be filed by these companies in future years as a result of the amendments (because of the availability of Forms S-3 and F-3) and increased this number by 15% 107 for each form, for a total increase of 70 filings. 108 Therefore, we assume that approximately 70 additional Forms S-3 and F-3 will be filed annually over and above the number of total Forms S-3 and F-3 filed by all issuers, large and small, as a result of the new amendments. The actual number could be more or less depending on various factors, including future market conditions. 107 In the Proposing Release, this increase was 10% for each form but has been raised to 15% in light of the 12-month offering restriction on sales being raised from 20% to one-third of a company's public float. That is, because the ceiling has been raised, eligible companies will be able to conduct somewhat larger and/or more frequent offerings on Form S-3 and F-3. 108 This number adds a 15% premium to the individual totals for each of the registration forms, as follows: Form S-1 (15% of 57, rounded up, equals 9) and Form F-1 (15% of 3, rounded up, equals 1). The sum of these increases, which is equal to 10, is then added to the total of 60 Forms S-1 and F-1 filed by the subject companies in 2006 that we believe will be filed on Forms S-3 and F-3 by these companies in future years. The total is an estimated increase of 70 Forms S-3 and F-3 (comprised of 66 additional Forms S-3 and four additional Forms F-3). To calculate the total effect of the amendments on the overall compliance burden for all issuers, large and small, we subtracted the burden associated with the 60 fewer Forms S-1 and F-1 registration statements that we expect will be filed annually in the future and added the burden associated with our estimate of 70 additional Forms S-3 and F-3 filed annually as a result of the amendments. We used current Office of Management and Budget estimates in our calculation of the hours and cost burden associated with preparing, reviewing and filing each of these forms. Consistent with current Office of Management and Budget estimates and recent Commission rulemaking, 109 we estimate that 25% of the burden of preparation of Forms S-3, S-1, F-3 and F-1 is carried by the company internally and that 75% of the burden is carried by outside professionals retained by the issuer at an average cost of $400 per hour. 110 The portion of the burden carried by outside professionals is reflected as a cost, while the portion of the burden carried by the company internally is reflected in hours. 109 For discussions of the relative burden of preparation of registration statements under the Securities Act allocated between issuers internally and their outside advisers, see *Executive Compensation and Related Person Disclosure* , Release No. 33-8732A (Aug. 29, 2006) [71 FR 56225] and Release No. 33-8591. 110 In connection with other recent rulemakings, we have had discussions with several private law firms to estimate an hourly rate of $400 as the average cost of outside professionals that assist issuers in preparing disclosures and conducting registered offerings. The table below illustrates our estimates concerning the incremental annual compliance burden in the collection of information in hours and cost for Forms S-3, S-1, F-3 and F-1 as a result of these amendments. Form Estimated change in annual responses Hours/form 111 Incremental burden 25% Issuer 75% Professional $400/hr Professional cost
(B)(C)=(A)*(B) (D)=(C)*0.25 (E)=(C)*0.75 (F)=(E)*$400 S-3 66 459 30,294 7,573.50 22,720.50 $9,088,200 S-1
(57)1,176 (67,032) (16,758) (50,274) (20,109,600) F-3 4 166 664 166 498 199,200 F-1
(3)1,809 (5,427) (1,356.75) (4,070.25) (1,628,100) Total (41,501) (10,375.25) (31,125.75) ($12,450,300) III. Cost-Benefit Analysis A. Summary of Amendments We are adopting revisions to the transaction eligibility requirements of Forms S-3 and F-3 that will allow companies to take advantage of these forms for primary offerings regardless of the size of their public float. Whereas secondary offerings may be registered on Forms S-3 and F-3 irrespective of float, the instructions to Forms S-3 and F-3 have, before now, restricted the use of these forms for primary securities offerings to companies that have a minimum of $75 million in public float calculated within 60 days prior to the date the registration statement is filed. To expand the availability of Forms S-3 and F-3 for primary offerings to more companies, we are adopting revisions to these forms that allow companies with less than $75 million in public float to register primary offerings of their securities on Forms S-3 and F-3, provided: 111 This reflects current Office of Management and Budget estimates. • They meet the other registrant eligibility conditions for the use of Form S-3 or Form F-3, as applicable; • They have at least one class of common equity securities listed and registered on a national securities exchange; • They do not sell more than the equivalent of one-third of their public float in primary offerings under General Instruction I.B.6. of Form S-3 or under General Instruction I.B.5. of Form F-3, as applicable, over the previous period of 12 calendar months; and • They are not shell companies and have not been shell companies for at least 12 calendar months before filing the registration statement. B. Benefits The ability to conduct primary offerings on Forms S-3 and F-3 confers significant advantages on eligible companies in terms of cost savings and capital formation. The time required to prepare Form S-3 or Form F-3 is significantly lower than that required for Forms S-1 and F-1. 112 This difference is magnified by the fact that Form S-3 and Form F-3, unlike Forms S-1 and F-1, permit registrants to forward incorporate required information by reference to disclosure in their Exchange Act filings. Therefore, Form S-3 and Form F-3 registration statements can be automatically updated. This allows such companies to avoid additional delays and interruptions in the offering process and can reduce the costs associated with preparing and filing post-effective amendments to the registration statement. 112 The Office of Management and Budget currently estimates the time required to prepare Form S-3 and Form F-3 as 459 hours and 166 hours, respectively. This is contrasted with current estimates for Form S-1 and F-1 as 1,176 hours and 638 hours, respectively. Overall, we anticipate that the expansion of Form S-3 and Form F-3 eligibility will decrease the aggregate costs of complying with the Commission's rules by allowing companies previously eligible to use only Form S-1 or Form F-1 the use of short-form registration on Form S-3 or Form F-3, as applicable. Using our estimates prepared for purposes of the Paperwork Reduction Act, we estimate that under the amendments the annual decrease in the compliance burden for companies to comply with our collection of information requirements to be approximately 10,375 hours of in-house company personnel time (valued at $1,816,000 113 ) and to be approximately $12,450,000 for the services of outside professionals. 113 Consistent with recent rulemaking releases, we estimate the value of work performed by the company internally at a cost of $175 per hour. In addition to the benefits associated with the estimated reduction in the time required to prepare Forms S-3 and F-3 in lieu of Forms S-1 and F-1, and a company's ability to forward incorporate prospectus disclosure by reference, Forms S-3 and F-3 provide substantial flexibility to companies raising money in the capital markets, which ultimately may reduce the cost of capital for such companies and facilitate their access to additional sources of investment. Companies that are eligible to use Form S-3 or Form F-3 for primary offerings are able to conduct delayed and continuous registered offerings under Rule 415 of the Securities Act, which provides considerable flexibility in accessing the public securities markets from time to time in response to changes in the market and other factors. Eligible companies are permitted to register securities prior to planning any offering and, once the registration statement is effective, offer these securities in one or more tranches without waiting for further Commission action. By having more control over the timing of their offerings, these companies can take advantage of desired market conditions, thus allowing them to raise capital on more favorable terms (such as pricing) or to obtain lower interest rates on debt. In addition, they can vary certain terms of the securities being offered upon short notice, enabling them to more efficiently meet the competitive requirements of the public securities markets. We believe that extending shelf registration benefits to more companies, in the manner we have chosen, will facilitate the capital-raising efforts of smaller public companies who currently have fewer financing options than their larger counterparts. 114 Consequently, we anticipate that the amendments will result in smaller issuers raising more capital through the public markets rather than through exempt offerings conducted in the domestic and offshore markets. Investors in these companies will benefit by such companies' improved access to capital on more favorable terms. In particular, investors in smaller public companies may be less subject to the risk of dilution in the value of their shares if the companies in which they invest are able to meet more of their capital needs in the public markets. By selling into the public markets, these companies may be able to avoid the substantial pricing discounts that private investors often demand to compensate them for the relative illiquidity of the restricted shares they are purchasing. 115 114 See generally, Chaplinsky and Haushalter, *Financing Under Extreme Uncertainty: Contract Terms and Returns to Private Investments in Public Equity* . 115 *Id.* The public registration of securities also provides additional benefits to investors over alternative forms of capital raising. To the extent that the amendments lead to an increase in the use of registered offerings through the use of Form S-3 and Form F-3 as a source of financing and a resulting decrease in private market alternatives, investors in those offerings will benefit from the additional investor protections associated with public registration. Notwithstanding our belief regarding the beneficial effects of the amendments, however, any resulting benefits that accrue to companies and their investors as a result of these amendments will depend on future market conditions and circumstances unique to each company. C. Costs As discussed in Section B. above, we do not expect that the amendments to Forms S-3 and F-3 will materially increase companies' overall compliance costs associated with preparing, reviewing and filing these registration statements, although there may be some additional costs incurred by companies to monitor their ongoing compliance with the one-third sales cap imposed by the amendments. At the same time, the amendments could result in certain additional market costs that are difficult to quantify. For example, it has been suggested that there are risks inherent in allowing smaller public companies to take advantage of shelf primary offerings on Forms S-3 and F-3. Because this would permit such companies to avail themselves of periodic takedowns without further Commission action or prior staff review, concerns have been raised about the increased potential for fraud and market manipulation. 116 Although the Commission would retain the authority to review registration statements before declaring them effective, individual takedowns are not subject to prior staff review. Under the current rules, if issuers are instead using Forms S-1 or F-1, they would be required to file separate registration statements for each new offering, which would be subject to selective staff review before going effective. If these issuers can instead conduct shelf offerings on Form S-3 and Form F-3, there may be some loss of the deterrent effect on the companies' disclosures in connection with each takedown off the shelf because of the lack of prior staff review. In addition, the short time horizon of shelf offerings may also reduce the time that participating underwriters have to apply their independent scrutiny and judgment to an issuer's prospectus disclosure. We have also considered the effect the amendments may have on market demand for the securities of smaller public companies offered on Form S-3 and Form F-3. If there is a perception that smaller public company securities offered through shelf registration statements are more prone to abuse because of the lack of involvement by the Commission staff, this may erode investor confidence in these offerings generally. This could, in turn, make it more difficult for these companies to raise capital and significantly negate some of the benefits of the rule. 116 See n. 34. While we recognize that extending the benefits of shelf registration to an expanded group of companies will limit the staff's direct involvement in takedowns of securities off the shelf and could therefore pose some risk to investors, we believe that the risks are justified by the benefits that we anticipate will accrue by facilitating the capital formation efforts of smaller public companies. As we have discussed elsewhere in this release, we believe these risks have been mitigated by the emergence of the Internet which, in combination with the Commission's EDGAR database, has greatly enhanced the ability of the market to readily digest and assimilate public company information. However, in order minimize risks to investors, the amendments include certain restrictions intended to moderate the impact of expanding Forms S-3 and F-3 eligibility. These are: • Excluding shell companies from eligibility; • Requiring that companies have at least one class of common equity securities listed and registered on a national securities exchange; and • Imposing a cap of one-third of a company's public float on the amount of securities that can be sold into the market in any period of 12 calendar months by eligible issuers on Forms S-3 and F-3. We note, however, that monitoring compliance with the one-third cap may be difficult given the lack of staff review before a shelf offering. IV. Consideration of Promotion of Efficiency, Competition and Capital Formation Securities Act Section 2(b) 117 requires us, when engaging in rulemaking where we are required to consider or determine whether an action is necessary or appropriate in the public interest, to consider, in addition to the protection of investors, whether the action will promote efficiency, competition, and capital formation. 117 15 U.S.C. 77b(b). We expect the amendments will increase efficiency and enhance capital formation by facilitating the ability of smaller public companies to access the capital markets consistent with investor protection. Prior to these amendments, many companies have been ineligible to use Forms S-3 and F-3 to register primary offerings of their securities because the size of their public float did not satisfy the $75 million threshold required by these forms. Consequently, they have been unable to take advantage of the important benefits enjoyed by eligible companies, the most significant of which is the ability to conduct primary offerings on a delayed and continuous basis. The ability to register securities that may be taken off the shelf as needed, without prior staff review, provides a powerful tool for capital formation because it allows companies the flexibility to take advantage of desired market conditions efficiently and upon short notice. Companies may be able to raise capital more cheaply, quickly, and on more favorable terms than would otherwise be the case. By selling into the public markets, these companies may be able to avoid the substantial pricing discounts that private investors often demand to compensate them, in part, for the relative illiquidity of the restricted shares they are purchasing. 118 118 See n. 115. We therefore believe that extending shelf registration benefits to more companies in the manner that we have chosen will facilitate the capital-raising efforts of smaller public companies who currently have fewer financing options than their larger counterparts. 119 Consequently, we anticipate that the amendments will lead to efficiencies in capital formation, as smaller issuers will be able to raise more capital through the public markets rather than through exempt offerings conducted in the domestic and offshore markets. 119 See n. 114. At the same time, we have also considered the potential that the amendments might result in certain additional market costs that could limit any efficiencies realized. For example, it has been suggested that extending the benefits of shelf registration to an expanded group of companies will limit the staff's direct involvement in takedowns of securities off the shelf and could therefore pose some risk to investors. In addition, the short time horizon of shelf offerings also may reduce the time that participating underwriters have to apply their independent scrutiny and judgment to an issuer's prospectus disclosure. By reducing this staff and underwriter oversight, there is a risk that these securities offerings may be more vulnerable to abuses. Moreover, because companies with a smaller market capitalization, as a group, have a comparatively smaller market following than larger, well-seasoned issuers and are more thinly traded, smaller companies' securities may be more vulnerable to potential manipulative practices. We also have considered the effect the amendments may have on market demand for the securities of smaller public companies offered on Form S-3 and Form F-3. If there is a perception that smaller public company securities offered through shelf registration statements are more prone to abuse because of the lack of prior involvement by the Commission staff, this may erode investor confidence in these offerings generally. This could, in turn, make it more difficult for these companies to raise capital and significantly negate the benefits of the rule. The effects of the amendments on competition are difficult to predict, but it is possible that making it easier for smaller public issuers to access the domestic public securities markets will lead to a reallocation of capital, as companies that previously had little choice but to offer their securities in private offerings or in offshore markets because of their Form S-3 and Form F-3 ineligibility will now find it cost-effective to offer their securities domestically in primary offerings on Form S-3 and Form F-3. If such a reallocation occurs, it may also impact securities market professionals, such as finders, brokers and agents, who specialize in facilitating private securities offerings. The demand for these services may shift to the public markets, where other professionals, such as investment banks that underwrite public offerings, have a comparative advantage. V. Final Regulatory Flexibility Act Analysis This Final Regulatory Flexibility Act Analysis has been prepared in accordance with 5 U.S.C. 603. It relates to revisions to the eligibility requirements for the use of registration statements on Forms S-3 and F-3 to register primary offerings of securities. A. Need for the Amendments Prior to these amendments, many smaller public companies have been ineligible to use Forms S-3 and F-3 to register primary offerings of their securities because the size of their public float did not satisfy the $75 million threshold required by these forms. Consequently, they have been unable to take advantage of the important benefits enjoyed by eligible companies, the most significant of which is the ability to conduct primary offerings on a delayed and continuous basis. The ability to register securities that may be taken off the shelf as needed, without prior staff review, provides a powerful tool for capital formation because it allows companies the flexibility to take advantage of desired market conditions efficiently and on short notice. As such, eligible companies may be able to raise capital more cheaply, quickly, and on more favorable terms than would otherwise be the case. Without this source of financing, smaller public companies that are not eligible to register primary offerings on Form S-3 or Form F-3 currently have fewer, and less favorable, financing options than their larger Form S-3 and F-3-eligible counterparts. B. Significant Issues Raised by Public Comment In the Proposing Release, we requested comment on any aspect of the Initial Regulatory Flexibility Act Analysis, including the number of small entities that would be affected by the proposals, and both the qualitative and quantitative nature of the impact. Several commenters supported the proposal because they believed it would benefit smaller public companies, but did not provide any specific comments on the Initial Regulatory Flexibility Act Analysis. C. Small Entities Subject to the Amendments The Regulatory Flexibility Act defines “small entity” to mean “small business,” “small organization,” or “small governmental jurisdiction.” 120 The Commission's rules define “small business” and “small organization” for purposes of the Regulatory Flexibility Act for each of the types of entities regulated by the Commission. 121 Roughly speaking, a “small business” and “small organization,” when used with reference to an issuer other than an investment company, means an issuer with total assets of $5 million or less on the last day of its most recent fiscal year. We estimate that there are approximately 1,100 issuers, other than investment companies, that may be considered reporting small entities. 122 120 5 U.S.C. 601(6). 121 Rules 157 under the Securities Act [17 CFR 230.157], 0-10 under the Exchange Act [17 CFR 240.0-10] and 0-10 under the Investment Company Act [17 CFR 270.0-10] contain the applicable definitions. 122 The estimated number of reporting small entities is based on 2007 data, including the Commission's EDGAR database and Thomson Financial's Worldscope database. See also Revisions to *Rule 144 and Rule 145 to Shorten Holding Period for Affiliates and Non-Affiliates,* Release No. 33-8813 (June 20, 2007) [72 FR 36822, 36841-36842]. This represents an update from the number of reporting small entities estimated in prior rulemakings. See, for example, *Executive Compensation and Related Disclosure,* Release No. 33-8732A (Aug. 29, 2006) [71 FR 53158] (in which the Commission's estimated a total of 2,500 small entities, other than investment companies). The amendments will affect small entities that: • Are not shell companies; • Have at least one class of common equity securities listed and registered on a national securities exchange; and • Satisfy the registrant eligibility requirements for the use of Form S-3 or Form F-3, which generally pertain to a company's reporting history under the Exchange Act. 123 123 See n. 37 and n. 83. Based on these registrant eligibility requirements, we estimate that there are approximately 115 to 350 small entities that will be affected by the amendments and therefore will become eligible to use Form S-3 or Form F-3 for primary securities offerings. 124 124 The burden estimates for small entities are presented as a range representing the minimum and maximum number of small entities that we estimate would currently qualify for eligibility under either General Instruction I.B.6. of Form S-3 or General Instruction I.B.5. of Form F-3, as applicable, based on data available to us. D. Reporting, Recordkeeping and Other Compliance Requirements Because Forms S-3 and F-3 are abbreviated registration forms that can be updated automatically through incorporation by reference of a registrant's Exchange Act filings, we believe use of the forms by eligible small entities will decrease their existing compliance burden. Because the amendments have little effect on the information disclosure requirements of Form S-3 or Form F-3, 125 we do not believe that the costs of complying with the amendments for small entities will be disproportionate to that of large entities. 126 We recognize, however, that there will be some additional costs associated with an issuer's need to continually monitor its compliance with the one-third cap on sales in any period of 12 calendar months, but we believe that any such costs will be insignificant. 125 See n. 96. Instruction 7 to new General Instruction I.B.6. of Form S-3 and Instruction 7 to new General Instruction I.B.5. of Form F-3 require disclosure of the registrant's updated calculation of public float and the amount of securities offered on Form S-3 or F-3, as applicable, pursuant to this instruction during the prior 12 calendar months, but we believe any burden associated with this requirement will be minimal. 126 It should be noted, however, that General Instruction II.C. of Form S-3 currently requires: * * * smaller reporting compan[ies] (as defined in Rule 405 of the Securities Act [17 CFR 230.405]) that [are] eligible to use Form S-3 shall use the disclosure items in Regulation S-K [17 CFR 229.10 *et seq.* ] with specific attention to the subparagraph describing scaled disclosure, if any. Smaller reporting companies may provide the financial information called for by Item 310 of Regulation S-K in lieu of the financial information called for by Item 11 in this form. Release No. 33-8876. Because such scaled disclosure requirements generally allow scaled disclosure for smaller reporting companies, small entities that file on Form S-3 may have a comparatively lesser compliance burden overall than larger issuers. For purposes of the Paperwork Reduction Act, we estimate the annual decrease in the paperwork burden for small entities to comply with our collection of information requirements to be approximately between 3,843 and 14,168 hours of in-house company personnel time (valued between $673,000 to 2,480,000 127 ) and to be approximately between $4,612,000 and $17,001,000 for the services of outside professionals. 127 See n. 113. E. Agency Action to Minimize Effect on Small Entities The Regulatory Flexibility Act directs us to consider significant alternatives that would accomplish the stated objectives, while minimizing any significant adverse impact on small entities. In connection with the amendments, the Regulatory Flexibility Act requires that we consider the following alternatives: 1. Establishing different compliance or reporting requirements which take into account the resources available to smaller entities; 2. The clarification, consolidation or simplification of disclosure for small entities; 3. Use of performance standards rather than design standards; and 4. Exempting smaller entities from coverage of the disclosure requirements, or any part thereof. Of these alternatives, only the last appears germane to these amendments. Alternative 3 is not applicable, as the distinction between performance standards and design standards has no bearing on the amendments. Alternatives 1 and 2, because they pertain to establishing different or simplified reporting requirements for smaller entities, also would not seem helpful in this instance because our amendments are already expected to reduce the compliance burden on eligible smaller entities. Regarding Alternatives 1, 2 and 4, we considered relaxing the transaction eligibility requirements for Forms S-3 and F-3 to a greater degree than we are adopting, which would have the effect of further reducing the compliance burden among smaller entities by making more entities eligible for short-form disclosure. As we stated, however, we decline at this time to adopt a less restrictive eligibility requirement. We believe at this time that imposing the one-third cap on the amount of securities that smaller public companies listed on exchanges may sell pursuant to primary offerings on Forms S-3 and F-3, as described, will help to facilitate capital formation through the securities markets consistent with our primary objective of investor protection. VI. Statutory Authority and Text of the Amendments The amendments described in this release are being adopted under the authority set forth in Sections 6, 7, 8, 10 and 19(a) of the Securities Act, as amended. List of Subjects in 17 CFR Parts 230 and 239 Reporting and recordkeeping requirements, Securities. For the reasons set out in the preamble, the Commission amends title 17, chapter II, of the Code of Federal Regulations as follows: PART 230—GENERAL RULES AND REGULATIONS, SECURITIES ACT OF 1933 1. The authority citation for part 230 continues to read in part as follows: Authority: 15 U.S.C. 77b, 77c, 77d, 77f, 77g, 77h, 77j, 77r, 77s, 77z-3, 77sss, 78c, 78d, 78j, 78 *l* , 78m, 78n, 78o, 78t, 78w, 78 *ll* (d), 78mm, 80a-8, 80a-24, 80a-28, 80a-29, 80a-30, and 80a-37, unless otherwise noted. 2. Amend § 230.401 by: a. in paragraph (g)(1), revising the cite “paragraph (g)(2)” to read “paragraphs (g)(2) and (g)(3)”; and b. adding paragraph (g)(3). The addition reads as follows: § 230.401 Requirements as to proper form.
(g)* * *
(3)Violations of General Instruction I.B.6. of Form S-3 or General Instruction I.B.5. of Form F-3 will also violate the requirements as to proper form under this section notwithstanding that the registration statement may have been declared effective previously. PART 239—FORMS PRESCRIBED UNDER THE SECURITIES ACT OF 1933 3. The authority citation for part 239 continues to read in part as follows: Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 77s, 77z-2, 77z-3, 77sss, 78c, 78 *l* , 78m, 78n, 78o(d), 78u-5, 78w(a), 78 *ll* , 77mm, 80a-2(a), 80a-3, 80a-8, 80a-9, 80a-10, 80a-13, 80a-24, 80a-26, 80a-29, 80a-30, and 80a-37, unless otherwise noted. 4. Amend Form S-3 (referenced in § 239.13) by adding General Instruction I.B.6. to read as follows: Note: The text of Form S-3 does not, and this amendment will not, appear in the Code of Federal Regulations. FORM S-3—REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 General Instructions I. Eligibility Requirements for Use of Form S-3 * * * B. Transaction Requirements. * * * 6. *Limited Primary Offerings by Certain Other Registrants.* Securities to be offered for cash by or on behalf of a registrant; *provided that:*
(a)the aggregate market value of securities sold by or on behalf of the registrant pursuant to this Instruction I.B.6. during the period of 12 calendar months immediately prior to, and including, the sale is no more than one-third of the aggregate market value of the voting and non-voting common equity held by non-affiliates of the registrant;
(b)the registrant is not a shell company (as defined in § 230.405 of this chapter) and has not been a shell company for at least 12 calendar months previously and if it has been a shell company at any time previously, has filed current Form 10 information with the Commission at least 12 calendar months previously reflecting its status as an entity that is not a shell company; and
(c)the registrant has at least one class of common equity securities listed and registered on a national securities exchange. *Instructions.* 1. “Common equity” is as defined in Securities Act Rule 405 (§ 230.405 of this chapter). For purposes of computing the aggregate market value of the registrant's outstanding voting and non-voting common equity pursuant to General Instruction I.B.6., registrants shall use the price at which the common equity was last sold, or the average of the bid and asked prices of such common equity, in the principal market for such common equity as of a date within 60 days prior to the date of sale. See the definition of “affiliate” in Securities Act Rule 405 (§ 230.405 of this chapter). 2. For purposes of computing the aggregate market value of all securities sold by or on behalf of the registrant in offerings pursuant to General Instruction I.B.6. during any period of 12 calendar months, registrants shall aggregate the gross proceeds of such sales; *provided,* that, in the case of derivative securities convertible into or exercisable for shares of the registrant's common equity, registrants shall calculate the aggregate market value of any underlying equity shares in lieu of the market value of the derivative securities. The aggregate market value of the underlying equity shall be calculated by multiplying the maximum number of common equity shares into which the derivative securities are convertible or for which they are exercisable as of a date within 60 days prior to the date of sale, by the same per share market price of the registrant's equity used for purposes of calculating the aggregate market value of the registrant's outstanding voting and non-voting common equity pursuant to Instruction 1 to General Instruction I.B.6. If the derivative securities have been converted or exercised, the aggregate market value of the underlying equity shall be calculated by multiplying the actual number of shares into which the securities were converted or received upon exercise, by the market price of such shares on the date of conversion or exercise. 3. If the aggregate market value of the registrant's outstanding voting and non-voting common equity computed pursuant to General Instruction I.B.6. equals or exceeds $75 million subsequent to the effective date of this registration statement, then the one-third limitation on sales specified in General Instruction I.B.6(a) shall not apply to additional sales made pursuant to this registration statement on or subsequent to such date and instead the registration statement shall be considered filed pursuant to General Instruction I.B.1. 4. The term “Form 10 information” means the information that is required by Form 10 or Form 20-F (§ 249.210 or § 249.220f of this chapter), as applicable to the registrant, to register under the Securities Exchange Act of 1934 each class of securities being registered using this form. A registrant may provide the Form 10 information in another Commission filing with respect to the registrant. 5. The date used in Instruction 2 to General Instruction I.B.6. shall be the same date used in Instruction 1 to General Instruction I.B.6. 6. A registrant's eligibility to register a primary offering on Form S-3 pursuant to General Instruction I.B.6. does not mean that the registrant meets the requirements of Form S-3 for purposes of any other rule or regulation of the Commission apart from Rule 415(a)(1)(x) (§ 230.415(a)(1)(x) of this chapter). 7. Registrants must set forth on the outside front cover of the prospectus the calculation of the aggregate market value of the registrant's outstanding voting and non-voting common equity pursuant to General Instruction I.B.6. and the amount of all securities offered pursuant to General Instruction I.B.6. during the prior 12 calendar month period that ends on, and includes, the date of the prospectus. 8. For purposes of General Instruction I.B.6(c), a “national securities exchange” shall mean an exchange registered as such under Section 6(a) of the Securities Exchange Act of 1934. 5. Amend Form F-3 (referenced in § 239.33) by adding General Instruction I.B.5. to read as follows: Note: The text of Form F-3 does not, and this amendment will not, appear in the Code of Federal Regulations. FORM F-3—REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 General Instructions I. Eligibility Requirements for Use of Form F-3 * * * B. Transaction Requirements * * * 5. *Limited Primary Offerings by Certain Other Registrants.* Securities to be offered for cash by or on behalf of a registrant; *provided that:*
(a)the aggregate market value of securities sold by or on behalf of the registrant pursuant to this Instruction I.B.5. during the period of 12 calendar months immediately prior to, and including, the sale is no more than one-third of the aggregate market value worldwide of the voting and non-voting common equity held by non-affiliates of the registrant;
(b)the registrant is not a shell company (as defined in § 230.405 of this chapter) and has not been a shell company for at least 12 calendar months previously and if it has been a shell company at any time previously, has filed current Form 10 information with the Commission at least 12 calendar months previously reflecting its status as an entity that is not a shell company; and
(c)the registrant has at least one class of common equity securities listed and registered on a national securities exchange. *Instructions.* 1. “Common equity” is as defined in Securities Act Rule 405 (§ 230.405 of this chapter). For purposes of computing the aggregate market value of the registrant's outstanding voting and non-voting common equity pursuant to General Instruction I.B.5., registrants shall use the price at which the common equity was last sold, or the average of the bid and asked prices of such common equity, in the principal market for such common equity as of a date within 60 days prior to the date of sale. See the definition of “affiliate” in Securities Act Rule 405 (§ 230.405 of this chapter). 2. For purposes of computing the aggregate market value of all securities sold by or on behalf of the registrant in offerings pursuant to General Instruction I.B.5. during any period of 12 calendar months, registrants shall aggregate the gross proceeds of such sales; *provided,* that, in the case of derivative securities convertible into or exercisable for shares of the registrant's common equity, registrants shall calculate the aggregate market value of any underlying equity shares in lieu of the market value of the derivative securities. The aggregate market value of the underlying equity shall be calculated by multiplying the maximum number of common equity shares into which the derivative securities are convertible or for which they are exercisable as of a date within 60 days prior to the date of sale, by the same per share market price of the registrant's equity used for purposes of calculating the aggregate market value of the registrant's outstanding voting and non-voting common equity pursuant to Instruction 1 to General Instruction I.B.5. If the derivative securities have been converted or exercised, the aggregate market value of the underlying equity shall be calculated by multiplying the actual number of shares into which the securities were converted or received upon exercise, by the market price of such shares on the date of conversion or exercise. 3. If the aggregate market value of the registrant's outstanding voting and non-voting common equity computed pursuant to General Instruction I.B.5. equals or exceeds $75 million subsequent to the effective date of this registration statement, then the one-third limitation on sales specified in General Instruction I.B.5(a) shall not apply to additional sales made pursuant to this registration statement on or subsequent to such date and instead the registration statement shall be considered filed pursuant to General Instruction I.B.1. 4. The term “Form 10 information” means the information that is required by Form 10 or Form 20-F (§ 249.210 or § 249.220f of this chapter), as applicable to the registrant, to register under the Securities Exchange Act of 1934 each class of securities being registered using this form. A registrant may provide the Form 10 information in another Commission filing with respect to the registrant. 5. The date used in Instruction 2 to General Instruction I.B.5. shall be the same date used in Instruction 1 to General Instruction I.B.5. 6. A registrant's eligibility to register a primary offering on Form F-3 pursuant to General Instruction I.B.5. does not mean that the registrant meets the requirements of Form F-3 for purposes of any other rule or regulation of the Commission apart from Rule 415(a)(1)(x) (§ 230.415(a)(1)(x) of this chapter). 7. Registrants must set forth on the outside front cover of the prospectus the calculation of the aggregate market value of the registrant's outstanding voting and non-voting common equity pursuant to General Instruction I.B.5. and the amount of all securities offered pursuant to General Instruction I.B.5. during the prior 12 calendar month period that ends on, and includes, the date of the prospectus. 8. For purposes of General Instruction I.B.5(c), a “national securities exchange” shall mean an exchange registered as such under Section 6(a) of the Securities Exchange Act of 1934. By the Commission. Dated: December 19, 2007. Nancy M. Morris, Secretary. [FR Doc. E7-24968 Filed 12-26-07; 8:45 am] BILLING CODE 8011-01-P 72 247 Thursday, December 27, 2007 Presidential Documents Part VI The President Proclamation 8213—To Implement an Amendment to the Dominican Republic-Central America-United States Free Trade Agreement Title 3— The President Proclamation 8213 of December 20, 2007 To Implement an Amendment to the Dominican Republic-Central America-United States Free Trade Agreement By the President of the United States of America A Proclamation 1. On August 5, 2004, the United States entered into the Dominican Republic-Central America-United States Free Trade Agreement (the “Agreement”) with Costa Rica, the Dominican Republic, El Salvador, Guatemala, Honduras, and Nicaragua (the “Agreement countries”). The Congress approved the Agreement in section 101(a) of the Dominican Republic-Central America-United States Free Trade Agreement Implementation Act (the “CAFTA-DR Act”) (19 U.S.C. 4011). 2. The Parties to the Agreement entered into an amendment to the Agreement on July 27, August 6, and August 14, 2007 (the “Amendment”). The terms of the Amendment are contained in letters of understanding between the United States and the Agreement countries described in sections 1634(a)(2) and 1634(b)(2) of the Pension Protection Act of 2006 (Public Law 109-280, 120 Stat. 780). 3. Section 1634 of the Pension Protection Act authorizes the President to proclaim modifications to the Harmonized Tariff Schedule of the United States
(HTS)as necessary to carry out the understandings described therein subject, in the case of certain provisions of the Amendment, to the consultation and layover requirements in section 104 of the CAFTA-DR Act (19 U.S.C. 4014). 4. Section 203(o) of the CAFTA-DR Act (19 U.S.C. 4033) authorizes the President to proclaim, as part of the HTS, the provisions set out in Annex 4.1 of the Agreement. 5. Executive Order 11651 of March 3, 1972, as amended, established the Committee for the Implementation of Textile Agreements (CITA), consisting of representatives of the Departments of State, the Treasury, Commerce, and Labor, and the Office of the United States Trade Representative, with the representative of the Department of Commerce as Chairman, to supervise the implementation of textile trade agreements. Consistent with 3 U.S.C. 301, when carrying out functions vested in the President by statute and assigned by the President to CITA, the officials collectively exercising those functions are all to be officers required to be appointed by the President with the advice and consent of the Senate. 6. Section 604 of the Trade Act of 1974, as amended (the “1974 Act”) (19 U.S.C. 2483), authorizes the President to embody in the HTS the substance of relevant provisions of that Act, or other acts affecting import treatment, and of actions taken thereunder. NOW, THEREFORE, I, GEORGE W. BUSH, President of the United States of America, acting under the authority vested in me by the Constitution and the laws of the United States of America, including but not limited to section 203 of the CAFTA-DR Act, section 1634 of the Pension Protection Act, section 301 of title 3, United States Code, and section 604 of the 1974 Act, do proclaim that:
(1)In order to provide generally for the modifications in the rules for determining whether goods imported into the customs territory of the United States are eligible for preferential tariff treatment under the Agreement, to provide preferential tariff treatment for certain other goods under the Agreement, and to make technical and conforming changes in the general notes to the HTS, the HTS is modified as set forth in:
(a)Sections A, B, and C of the Annex to this proclamation; and
(b)Section D of that Annex.
(2)The modifications to the HTS made by paragraph (1)(a) of this proclamation shall enter into effect on the date, as announced by the United States Trade Representative in the **Federal Register** , that the Amendment enters into force and shall be effective with respect to goods entered, or withdrawn from warehouse for consumption, on or after that date.
(3)The modifications to the HTS made by paragraph (1)(b) of this proclamation shall enter into effect on the date, as announced by the United States Trade Representative in the **Federal Register** , that the Amendment has entered into force and the conditions set forth in paragraph (a), paragraph (b), or both, of footnote 1 to Appendix 4.1-B of the Agreement have been fulfilled, and shall be effective with respect to goods entered, or withdrawn from warehouse for consumption, on or after that date.
(4)The CITA is authorized to exercise my authority under section 203(o) of the CAFTA-DR Act to implement Appendix 4.1-B of the Agreement by determining whether and, if so, by what amount, to increase in accordance with paragraph 3 or footnote 2 of that Appendix the quantitative limits in the provisions of the HTS set out in section D of the Annex to this proclamation. (5)The United States Trade Representative shall modify U.S. note 21 to subchapter XXII of chapter 98 of the HTS in a notice published in the **Federal Register** to reflect determinations pursuant to paragraph
(4)of this proclamation by the CITA.
(6)Any provisions of previous proclamations and Executive Orders that are inconsistent with the actions taken in this proclamation are superseded to the extent of such inconsistency. IN WITNESS WHEREOF, I have hereunto set my hand this twentieth day of December, in the year of our Lord two thousand seven, and of the Independence of the United States of America the two hundred and thirty-second. GWBOLD.EPS Billing code 3195-01-P ED27DE07.000 ED27DE07.001 ED27DE07.002 ED27DE07.003 ED27DE07.004 ED27DE07.005 ED27DE07.006 ED27DE07.007 ED27DE07.008 ED27DE07.009 ED27DE07.010 ED27DE07.011 ED27DE07.012 ED27DE07.013 ED27DE07.014 ED27DE07.015 [FR Doc. 07-6246 Filed 12-26-07; 9:06 am]
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