Unknown. Notice of issuance and availability of final rule
70,096 words·~319 min read·
/register/2008/04/30/08-1197A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
--- schema: federal-register doc_type: fedreg source_file: FR-2008-04-30.xml --- 73 84 Wednesday, April 30, 2008 Contents Agriculture Agriculture Department See Natural Resources Conservation Service See Rural Housing Service NOTICES Privacy Act; Systems of Records, 23404-23416 E8-9406 E8-9407 E8-9421 Air Force Air Force Department NOTICES Privacy Act; Systems of Records, 23434-23436 E8-9387 Army Army Department See Engineers Corps RULES Employment of Troops in Aid of Civil Authorities, 23350-23351 E8-9438 Relief Assistance, 23351 E8-9436 NOTICES Availability of Non-Exclusive, Exclusive or Partially Exclusive Licensing:
Apparatus and Method to Test Abrasion, etc., 23436-23437 E8-9430 Assembled Hematin, Method for Forming Same, etc., 23437 E8-9431 Novel UV Emitting Device, 23437 E8-9458 Meetings: Army Science Board Plenary, 23437 E8-9450 Centers Centers for Disease Control and Prevention NOTICES Agency Information Collection Activities; Proposals, Submissions, and Approvals, 23465 E8-9462 Meetings: Advisory Board on Radiation and Worker Health, 23465-23466 E8-9463 Centers Centers for Medicare & Medicaid Services PROPOSED RULES Medicare Program:
Proposed Changes to the Hospital Inpatient Prospective Payment Systems and Fiscal Year 2009 Rates, 23528-23938 08-1135 Civil Civil Rights Commission NOTICES Meetings: Alabama Advisory Committee, 23417 E8-9483 South Carolina Advisory Committee, 23417-23418 E8-9478 Coast Guard Coast Guard RULES Security Zone: Cleveland Harbor, Dock 32, Cleveland, OH, 23351-23353 E8-9479 Commerce Commerce Department See Economic Development Administration See International Trade Administration See National Oceanic and Atmospheric Administration NOTICES Agency Information Collection Activities;
Proposals, Submissions, and Approvals, 23418 E8-9476 Copyright Copyright Office, Library of Congress PROPOSED RULES Registration of Claims to Copyright, Group Registration Options, 23390-23393 E8-9487 Defense Defense Department See Air Force Department See Army Department See Engineers Corps See Navy Department NOTICES Meetings: National Security Education Board Group of Advisors Meeting, 23427-23428 E8-9399 Privacy Act; Systems of Records, 23429-23434 E8-9400 E8-9409 E8-9411 Privacy Act of 1974;
Computer Matching Program, 23428-23429 E8-9396 Renewal of Department of Defense Federal Advisory Committee, 23434 E8-9398 Economic Economic Development Administration NOTICES Petitions by Firms for Determination of Eligibility to Apply for Trade Adjustment Assistance, 23418-23419 E8-9444 Education Education Department NOTICES Agency Information Collection Activities; Proposals, Submissions, and Approvals, 23451-23453 E8-9422 E8-9423 E8-9424 E8-9442 Employee Employee Benefits Security Administration RULES Default Investment Alternatives Under Participant Directed Individual Account Plans;
Correcting Amendments, 23349-23350 E8-9371 Energy Energy Department See Federal Energy Regulatory Commission NOTICES Agency Information Collection Activities; Proposals, Submissions, and Approvals, 23453-23454 E8-9468 Engineers Engineers Corps NOTICES Environmental Statements; Availability, etc.: Northern Integrated Supply Project, Larimer and Weld Counties, CO, 23437-23438 E8-9440 EPA Environmental Protection Agency RULES Approval and Promulgation of Air Quality Implementation Plans:
Indiana; Revisions to Particulate Matter Rules, 23356-23361 E8-9330 Land Disposal Restrictions: EnergySolutions Facility, Clive, UT; Withdrawal, 23361 E8-9482 NOTICES Meetings: Technological Achievement Awards Committee, 23456-23457 E8-9480 Receipt of Requests to Voluntarily Cancel Certain Pesticide Registrations: Fenvalerate, 23457-23459 E8-9511 FAA Federal Aviation Administration RULES Establishment and Removal of Class E Airspace: Centre, AL, 23321-23322 E8-9039 Establishment of Class E Airspace:
Bridgton, ME, 23323 E8-9038 Carrabassett, ME, 23323-23324 E8-9035 Dover-Foxcroft, ME, 23322-23323 E8-9043 Rumford, ME, 23323 E8-9037 Stonington, ME, 23324 E8-9033 Flight Simulation Training Device Initial and Continuing Qualification and Use, 23321 E8-9209 Standard Instrument Approach Procedures; Takeoff Minimums, Obstacle Departure Procedures, Miscellaneous Amendments, 23324-23328 E8-9242 FCC Federal Communications Commission RULES Eligibility Requirement Clarification; Consumer and Governmental Affairs Bureau:
Compensation From Interstate Telecommunications Relay Service Fund for IP CTS Providers, 23361-23362 E8-9522 NOTICES Agency Information Collection Activities; Proposals, Submissions, and Approvals, 23459-23461 E8-9507 E8-9514 Federal Energy Federal Energy Regulatory Commission NOTICES Application: Stingray Pipeline Company, LLC, 23454-23455 E8-9435 Complaint: Pepco Energy Services, Inc., et al., 23455 E8-9434 Filing: PJM Interconnection, L.L.C., 23455 E8-9433 Virginia Electric and Power Company, 23455-23456 E8-9432 Meetings;
Sunshine Act, 23456 E8-9437 Federal Highway Federal Highway Administration NOTICES Meetings: National Safe Routes to School Task Force to the Secretary of Transportation Advisory Committee, 23523-23524 E8-9525 FMC Federal Maritime Commission NOTICES Agreements Filed, 23461 E8-9510 Ocean Transportation Intermediary License; Applicants, 23461-23462 E8-9472 Federal Reserve Federal Reserve System NOTICES Formations, Acquisitions, and Mergers of Bank Holding Companies, 23462 E8-9494 Meetings;
Sunshine Act, 23463 08-1201 Proposals to Engage in Permissible Nonbanking Activities or to Acquire Companies Engaged in Permissible Nonbanking Activities, 23463 E8-9493 Fish Fish and Wildlife Service PROPOSED RULES General Regulations for Areas Administered by National Park Service and Fish and Wildlife Service, 23388-23390 E8-9606 NOTICES Agency Information Collection Activities; Proposals, Submissions, and Approvals, 23486-23487 E8-9425 Endangered and Threatened Wildlife and Plants;
Permits, 23487-23488 E8-9443 Environmental Statements; Availability, etc.: Salt River Project; Horseshoe-Bartlett Habitat Conservation Plan, Maricopa and Yavapai Counties, AZ, 23488-23489 E8-9405 Food Food and Drug Administration NOTICES Agency Information Collection Activities; Proposals, Submissions, and Approvals, 23466-23470 E8-9373 E8-9374 E8-9467 Juvenile Diabetes Research Foundation; Public Workshop, 23470-23471 E8-9375 Health Health and Human Services Department See Centers for Disease Control and Prevention See Centers for Medicare & Medicaid Services See Food and Drug Administration See Health Resources and Services Administration See National Institutes of Health NOTICES National Toxicology Program;
Report on Carcinogens, 23463-23465 E8-9379 Health Health Resources and Services Administration NOTICES Agency Information Collection Activities; Proposals, Submissions, and Approvals, E8-9490 23471-23473 E8-9491 E8-9495 Homeland Homeland Security Department See Coast Guard See National Communications System See U.S. Citizenship and Immigration Services See U.S. Customs and Border Protection NOTICES Critical Infrastructure Partnership Advisory Council Quarterly Update, 23475-23476 E8-9420 Designation of the National Infrastructure Protection Plan Critical Manufacturing Sector, 23476-23478 E8-9412 Housing Housing and Urban Development Department NOTICES Agency Information Collection Activities;
Proposals, Submissions, and Approvals, E8-9390 23482-23483 E8-9499 Fiscal Year 2008 Continuum of Care Homeless Assistance Program: Opportunity to Register and Other Important Information for Electronic Application Submission, 23483-23486 E8-9540 Indian Indian Affairs Bureau NOTICES Agency Information Collection Activities; Proposals, Submissions, and Approvals, 23489-23490 E8-9526 Interior Interior Department See Fish and Wildlife Service See Indian Affairs Bureau See Land Management Bureau See Minerals Management Service See National Park Service IRS Internal Revenue Service RULES Suspension of Statutes of Limitations and Expansion of Taxpayers’ Rights:
Third-Party and John Doe Summons Disputes, 23342-23349 E8-9518 NOTICES Inflation Adjustment Factors and Reference Prices for 2008 Calendar Year, 23525-23526 E8-9501 International International Trade Administration NOTICES Application for Export Trade Certificate of Review: Global Trade International LLC, 23419-23420 E8-9505 Preliminary Results of 2006-2007 Semi-Annual New Shipper Review: Hand Trucks and Certain Parts Thereof From the Peoples Republic of China, 23420-23425 E8-9471 International International Trade Commission NOTICES Investigation:
Electrolytic Manganese Dioxide From Australia and China, 23491-23492 E8-9417 R-134a Coolant Known as 1,1,1,2-Tetrafluoroethane, 23492-23493 E8-9416 Steel Wire Garment Hangers From China, 23493 E8-9415 Termination Of Investigation: Certain Stringed Musical Instruments and Components Thereof, 23493-23494 E8-9414 Justice Justice Department See National Institute of Corrections Labor Labor Department See Employee Benefits Security Administration See Mine Safety and Health Administration NOTICES Agency Information Collection Activities;
Proposals, Submissions, and Approvals, 23499 E8-9426 Combating Exploitive Child Labor Through Education in Guinea, Jordan, Madagascar, Nicaragua, and Yemen, 23499-23500 E8-9427 Land Land Management Bureau NOTICES Decision Approving Lands for Conveyance: Alaska Native Claims Selection, 23490 E8-9461 Library Library of Congress See Copyright Office, Library of Congress Minerals Minerals Management Service NOTICES Nominations Received and Proposed Limited Alternative Energy Leases:
Outer Continental Shelf and Initiation of Coordination, etc.; Correction, 23490-23491 E8-9466 Mine Mine Safety and Health Administration NOTICES Affirmative Decisions on Petitions for Modification Granted in Whole or in Part, 23500-23501 E8-9428 National Communications National Communications System NOTICES Meetings: National Security Telecommunications Advisory Committee; Notice of Time Change in Open Session, 23478 E8-9413 National Highway National Highway Traffic Safety Administration RULES Vehicle Identification Number Requirements, 23367-23385 08-1197 NOTICES Agency Information Collection Activities;
Proposals, Submissions, and Approvals, 23524 E8-9206 National Institute National Institute of Corrections NOTICES Solicitation for a Cooperative Agreement: Administrative Support for the NIC Learning Center, 23496-23498 E8-9455 Update and Expansion of Civil Liabilities Guidebook for Probation/Parole, 23498-23499 E8-9453 Video Production; New Jail Planning, 23494-23496 E8-9448 NIH National Institutes of Health NOTICES Agency Information Collection Activities; Proposals, Submissions, and Approvals, E8-9402 23473-23475 E8-9541 Prospective Grant of an Exclusive License:
Therapeutics for the Treatment of Spinal Cord Injury, Traumatic Brain Injury, and Leukemia, 23475 E8-9401 NOAA National Oceanic and Atmospheric Administration RULES Fisheries of Northeastern United States; Atlantic Sea Scallop Fishery; Amendment 11, 23386-23387 E8-9504 NOTICES Agency Information Collection Activities; Proposals, Submissions, and Approvals, 23425-23426 E8-9477 Meetings: General Advisory Committee; U.S. Section to the Inter-American Tropical Tuna Commission, 23426-23427 E8-9403 Unified Synthesis Product Development Committee, 23427 E8-9474 U.S.
Climate Change Science Program Synthesis and Assessment Product Draft Report 3.4 Abrupt Climate Change, 23427 E8-9473 National Park National Park Service PROPOSED RULES General Regulations for Areas Administered by the National Park Service and the Fish and Wildlife Service, 23388-23390 E8-9606 National Science National Science Foundation NOTICES Draft Programmatic Environmental Assessment; Extension of Public Comment Period, 23501 E8-9350 NRCS Natural Resources Conservation Service NOTICES BA-41 South Shore of the Pen Shoreline Protection and Marsh Creation Jefferson Parish, LA, 23417 E8-9408 Navy Navy Department NOTICES Privacy Act;
Systems of Records, 23438-23451 E8-9380 E8-9381 E8-9382 E8-9394 Nuclear Nuclear Regulatory Commission NOTICES Agency Information Collection Activities; Proposals, Submissions, and Approvals, 23501-23503 E8-9446 E8-9449 E8-9452 Draft Environmental Assessment: Luminant Generation Co. LLC, 23503-23505 E8-9456 Meetings; Sunshine Act, 23505-23506 08-1196 Personnel Personnel Management Office NOTICES Meetings: Federal Prevailing Rate Advisory Committee, 23506-23507 E8-9508 Pipeline Pipeline and Hazardous Materials Safety Administration RULES Hazardous Materials:
Fuel Cell Cartridges and Systems Transported On Board Passenger Aircraft in Carry-on Baggage, 23362-23367 E8-9203 Postal Postal Regulatory Commission NOTICES Universal Service Obligation, 23507-23516 E8-9464 Postal Postal Service PROPOSED RULES Implementation of New Standards for Intelligent Mail Barcodes, 23393-23403 E8-9502 Rural Rural Housing Service NOTICES Availability of Funds; Multi-Family and Single Family Housing, 23417 E8-9484 SEC Securities and Exchange Commission RULES Disclosure of Divestment by Registered Investment Companies, 23328-23333 E8-9410 NOTICES Application:
Thrivent Mutual Funds, et al., 23516-23517 E8-9459 Self-Regulatory Organizations; Proposed Rule Changes: International Securities Exchange, LLC, 23517-23518 E8-9460 Philadelphia Stock Exchange, Inc., 23518-23521 E8-9469 Sentencing Sentencing Commission, United States See United States Sentencing Commission Social Social Security Administration NOTICES Privacy Act; Computer Matching Programs, 23522-23523 E8-9465 Surface Surface Transportation Board NOTICES BNSF Railway Company-Trackage Rights Exemption-Dakota, Minnesota & Eastern Railroad Corp., 23524-23525 E8-9072 Transportation Transportation Department See Federal Aviation Administration See Federal Highway Administration See National Highway Traffic Safety Administration See Pipeline and Hazardous Materials Safety Administration See Surface Transportation Board NOTICES Meetings:
National Surface Transportation Infrastructure Financing Commission; Change in Meeting Location, 23523 E8-9527 Treasury Treasury Department See Internal Revenue Service U.S. Citizenship and Immigration Services U.S. Citizenship and Immigration Services NOTICES Agency Information Collection Activities; Proposals, Submissions, and Approvals, 23478-23479 E8-9496 Customs U.S. Customs and Border Protection RULES Import Restrictions on Archaeological and Ethnological Material of Iraq, 23334-23342 E8-9343 NOTICES Issuance of Final Determination:
Stereoscopic Display Models, 23479-23482 E8-9340 U.S. Sentencing United States Sentencing Commission NOTICES Sentencing Guidelines for United States Courts, 23521-23522 E8-9372 Veterans Veterans Affairs Department RULES Notice and Assistance Requirements and Technical Correction, 23353-23356 E8-9454 Separate Parts In This Issue Part II Health and Human Services Department, Centers for Medicare & Medicaid Services, 23528-23938 08-1135 Reader Aids Consult the Reader Aids section at the end of this issue for phone numbers, online resources, finding aids, reminders, and notice of recently enacted public laws.
To subscribe to the Federal Register Table of Contents LISTSERV electronic mailing list, go to http://listserv.access.gpo.gov and select Online mailing list archives, FEDREGTOC-L, Join or leave the list (or change settings); then follow the instructions. 73 84 Wednesday, April 30, 2008 Rules and Regulations DEPARTMENT OF TRANSPORTATION Federal Aviation Administration 14 CFR Part 60 [Docket No. FAA-2002-12461; Amendment No. 60-3] RIN 2120-AJ12 Flight Simulation Training Device Initial and Continuing Qualification and Use AGENCY:
Federal Aviation Administration (FAA), DOT. ACTION: Notice of issuance and availability of final rule. SUMMARY: This document announces the availability of the final rule entitled Flight Simulation Training Device Initial and Continuing Qualification and Use, which went on public inspection at the Office of the Federal Register April 30, 2008, and will be published in the **Federal Register** on May 9, 2008. FOR FURTHER INFORMATION CONTACT: For technical questions concerning this document or the final rule, contact Edward Cook, Air Transportation Division (AFS-200), Flight Standards Service, Federal Aviation Administration, 100 Hartsfield Centre Parkway, Suite 400, Atlanta, GA 30354; telephone: 404-832-4700; e-mail: *Edward.D.Cook@faa.gov* .
For legal questions concerning this document or the final rule, contact Anne Bechdolt, Office of Chief Counsel (AGC-200), Federal Aviation Administration, 800 Independence Avenue, SW., Washington, DC 20591; telephone 202-267-7230; e-mail: *Anne.Bechdolt@faa.gov* . SUPPLEMENTARY INFORMATION: Discussion On April 17, 2008, the FAA issued a final rule entitled Flight Simulation Training Device Initial and Continuing Qualification and Use. The effective date of the final rule is May 30, 2008.
The final rule amends the Qualification Performance Standards
(QPS)appendices for flight simulation training devices
(FSTD)to provide greater harmonization with international standards for simulation. In addition, the rule adds a new level of simulation for helicopter flight training devices
(FTD)and establishes FSTD Directive 1, which requires all existing FSTD airport models that are beyond the number of airport models required for qualification to meet specified requirements. The intended effect of the rule is to ensure that the flight training and testing environment is accurate and realistic. Except for the requirements of FSTD Directive 1, the technical requirements contained in the final rule do not apply to simulators qualified before May 30, 2008. The final rule results in minimal to no cost increases for manufacturers and sponsors. The final rule will go on public display at the Office of the Federal Register on April 30, 2008, and will be published in the **Federal Register** on May 9, 2008. Beginning April 30, 2008, the full text of the final rule is available for review at *http://www.faa.gov* , under the Recently Published Rulemaking Documents section, *http://www.faa.gov/regulations_policies/rulemaking/recently_published/* . The FAA has determined that the effective date of the final rule amending the QPS appendices should be May 30, 2008. Part 60 has been available to the public for review for over 1 year. The revisions to the QPS appendices of Part 60 reflect international standards that have been in existence for more than 4 years. Further, when the FAA delayed the effective date to Part 60, we also delayed the compliance dates of certain sections of the rule to provide adequate time for transition. Because of the notice provided and delayed compliance dates of certain sections, the FAA has determined that delaying the effective date of the final rule amending the QPS appendices is not required. Issued in Washington, DC on April 23, 2008. Pamela Hamilton-Powell, Director, Office of Rulemaking. [FR Doc. E8-9209 Filed 4-29-08; 8:45 am] BILLING CODE 4910-13-P DEPARTMENT OF TRANSPORTATION Federal Aviation Administration 14 CFR Part 71 [Docket No. FAA-2007-29157; Airspace Docket 07-ASO-23] Establishment and Removal of Class E Airspace; Centre, AL AGENCY: Federal Aviation Administration (FAA), DOT. ACTION: Final rule. SUMMARY: This action establishes Class E airspace at Centre-Piedmont Cherokee County Airport, (PYP), Centre, AL and removes Class E airspace at Centre Municipal Airport, Centre, AL, (C22). The operating status of the airport will include Instrument Flight Rule
(IFR)operations. DATES: *Effective Date:* 0901 UTC, June 5, 2008. The Director of the Federal Register approves this incorporation by reference action under title 1, Code of Federal Regulations, part 51, subject to the annual revision of FAA Order 7400.9 and publication of conforming amendments. FOR FURTHER INFORMATION CONTACT: Melinda Giddens, System Support, Eastern Service Center, Federal Aviation Administration, P.O. Box 20636, Atlanta, Georgia 30320; telephone
(404)305-5610. SUPPLEMENTARY INFORMATION: History On January 29, 2008, the FAA proposed to amend Title 14 Code of Federal Regulations (14 CFR) part 71 by establishing Class E airspace at Centre, AL, (73 FR 5135). This action will provide adequate Class E airspace for IFR operations at the new airport, Centre-Piedmont Cherokee County Airport (PYP), supporting the Area Navigation
(RNAV)Global Positioning System
(GPS)Standard Instrument Approach Procedures (SIAPs) developed for Runways
(RWY)07-25. Airspace supporting Centre Municipal Airport
(C22)is no longer required and through this action will be removed. Class E airspace designations for airspace areas extending upward from 700 feet or more above the surface of the earth are published in Paragraph 6005 of FAA Order 7400.9R, signed August 15, 2007, and effective September 15, 2007, which is incorporated by reference in 14 CFR 71.1. The Class E airspace designation listed in this document would be published subsequently in the Order. Interested parties were invited to participate in this proposed rulemaking by submitting written comments on the proposal to the FAA. No comments objecting to the proposal were received. The Rule The amendment to Title 14, Code of Federal Regulations (14 CFR) part 71 establishes Class E airspace at Centre, AL, to provide controlled airspace required to support the new Area Navigation
(RNAV)Global Positioning System
(GPS)Rwy 07-25 at Centre-Piedmont Cherokee County Airport
(PYP)and remove the Class E airspace at Centre Municipal Airport (C22), Centre, AL. FAA has determined that this proposed regulation only involves an established body of technical regulations for which frequent and routine amendments are necessary to keep them operationally current. It, therefore,
(1)is not a “significant regulatory action” under Executive Order 12866;
(2)is not a “significant rule” under DOT Regulatory Policies and Procedures (44 FR 11034; February 26, 1979); and
(3)does not warrant preparation of a Regulatory Evaluation as the anticipated impact is so minimal. Since this is a routine matter that will only affect air traffic procedures and air navigation, it is certified that this rule, when promulgated, will not have a significant economic impact on a substantial number of small entities under the criteria of the Regulatory Flexibility Act. The FAA's authority to issue rules regarding aviation safety is found in Title 49 of the United States Code. Subtitle I, Section 106 describes the authority of the FAA Administrator. Subtitle VII, Aviation Programs, describes in more detail the scope of the agency's authority. This rulemaking is promulgated under the authority described in Subtitle VII, Part A, Subpart I, Section 40103. Under that section, the FAA is charged with prescribing regulations to assign the use of airspace necessary to ensure the safety of aircraft and the efficient use of airspace. This regulation is within the scope of that authority as it establishes Class E airspace at Centre, AL. List of Subjects in 14 CFR Part 71 Airspace, Incorporation by reference, Navigation (air). Adoption of the Amendment In consideration of the foregoing, the Federal Aviation Administration amends 14 CFR part 71 as follows: PART 71—DESIGNATION OF CLASS A, CLASS B, CLASS C, CLASS D, AND CLASS E AIRSPACE AREAS; AIRWAYS; ROUTES; AND REPORTING POINTS 1. The authority citation for part 71 continues to read as follows: Authority: 49 U.S.C. 106(g); 40103, 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, 1959-1963 Comp., p. 389. § 71.1 [Amended] 2. The incorporation by reference in 14 CFR 71.1 of Federal Aviation Administration Order 7400.9R, Airspace Designations and Reporting Points, signed August 15, 2007, and effective September 15, 2007, is amended as follows: Paragraph 6005 Class E Airspace Areas Extending Upward from 700 feet or More Above the Surface of the Earth. ASO AL E5 Centre, AL [REMOVE] Centre Municipal Airport, AL ASO AL E5 Centre, AL [NEW] Centre-Piedmont Cherokee County Airport, AL (Lat. 34°05′24″ N., long. 85°36′36″ W.) That airspace extending upward from 700 feet above the surface within a 13-mile radius of Centre-Piedmont Cherokee County Airport. Issued in College Park, Georgia, on April 8, 2008. Kathy Swann, Acting Manager, System Support Group, Eastern Service Center, Air Traffic Organization. [FR Doc. E8-9039 Filed 4-29-08; 8:45 am] BILLING CODE 4910-13-M DEPARTMENT OF TRANSPORTATION Federal Aviation Administration 14 CFR Part 71 [Docket No. FAA-2008-0066; Airspace Docket No. 08-ANE-97] Establishment of Class E Airspace; Dover-Foxcroft, ME AGENCY: Federal Aviation Administration (FAA), DOT. ACTION: Final rule, correction, confirmation of effective date. SUMMARY: The Federal Aviation Administration published in the **Federal Register** of February 21, 2008 (73 FR 9448), a document establishing Class E airspace at Dover-Foxcroft, ME. This action confirms the effective date of a direct final rule that establishes Class E Airspace at Dover-Foxcroft, ME to support a new Area Navigation
(RNAV)Global Positioning System
(GPS)Special Instrument Approach Procedure
(IAP)that has been developed for medical flight operations into the Mayo Regional Hospital Heliport and technically corrects the omission of the word “heliport” from the name of Mayo Regional Hospital Heliport. DATES: Effective 0901 UTC, June 5, 2008. The Director of the Federal Register approves this incorporation by reference action under title 1, Code of Federal Regulations, part 51, subject to the annual revision of FAA Order 7400.9 and publication of conforming amendments. FOR FURTHER INFORMATION CONTACT: Melinda Giddens, System Support Group, Eastern Service Center, Federal Aviation Administration, P.O. Box 20636, Atlanta, Georgia 30320; telephone
(404)305-5610. SUPPLEMENTARY INFORMATION: Confirmation of Effective Date The FAA published this direct final rule with a request for comments in the **Federal Register** on February 21, 2008 (73 FR 9448) to establish Class E airspace at Dover-Foxcroft, ME. The FAA uses the direct final rulemaking procedure for a non-controversial rule where the FAA believes that there will be no adverse public comment. This direct final rule advised the public that no adverse comments were anticipated, and that unless a written adverse comment, or a written notice of intent to submit such an adverse comment, were received within the comment period, the regulation would become effective on June 5, 2008. No adverse comments were received, and thus this notice confirms that effective date. Correction to Final Rule After publication in the **Federal Register** , it was discovered that the word heliport was omitted from the name of the hospital and was incorrectly published as “Mayo Regional Hospital”. The name should have read “Mayo Regional Hospital Heliport”. This action corrects that error. Accordingly, pursuant to the authority delegated to me, the name for Mayo Regional Hospital, Dover- Foxcroft, ME, as published in the **Federal Register** on February 21, 2008 (73 FR 9448), Federal Docket No. FAA-2008-0066 is corrected as follows: § 71.1 [Corrected] Mayo Regional Hospital [Corrected] ANE ME E5 Dover-Foxcroft, ME [NEW] Mayo Regional Hospital Heliport (Lat. 45°11′19″ N., long. 69°14′12″ W.) Point in Space Coordinates (Lat. 45°11′31″ N., long. 69°15′24″ W.) That airspace extending upward from 700 feet above the surface of the Earth within a 6-mile radius of the Point in Space Coordinates (lat. 45°11′31″ N., long. 69°15′24″ W.) serving the Mayo Regional Hospital Heliport. Issued in College Park, Georgia, on April 8, 2008. Kathy Swann, Acting Manager, System Support Group, Eastern Service Center, Air Traffic Organization. [FR Doc. E8-9043 Filed 4-29-08; 8:45 am] BILLING CODE 4910-13-M DEPARTMENT OF TRANSPORTATION Federal Aviation Administration 14 CFR Part 71 [Docket No. FAA-2008-0064; Airspace Docket No. 08-ANE-95] Establishment of Class E Airspace; Bridgton, ME AGENCY: Federal Aviation Administration (FAA), DOT. ACTION: Final rule, confirmation of effective date. SUMMARY: This action confirms the effective date of a direct final rule published in the **Federal Register** (73 FR 9440) that establishes Class E Airspace at Bridgton, ME to support a new Area Navigation
(RNAV)Global Positioning System
(GPS)Special Instrument Approach Procedure
(IAP)that has been developed for medical flight operations into the Bridgton Hospital. DATES: Effective 0901 UTC, June 5, 2008. The Director of the Federal Register approves this incorporation by reference action under title 1, Code of Federal Regulations, part 51, subject to the annual revision of FAA Order 7400.9 and publication of conforming amendments. FOR FURTHER INFORMATION CONTACT: Melinda Giddens, System Support Group, Eastern Service Center, Federal Aviation Administration, P.O. Box 0636, Atlanta, Georgia 30320; telephone
(404)305-5610. SUPPLEMENTARY INFORMATION: Confirmation of Effective Date The FAA published this direct final rule with a request for comments in the **Federal Register** on February 21, 2008 (73 FR 9440), Docket No. FAA-2008-0064; Airspace Docket No. 08-ANE-95. The FAA uses the direct final rulemaking procedure for a non-controversial rule where the FAA believes that there will be no adverse public comment. This direct final rule advised the public that no adverse comments were anticipated, and that unless a written adverse comment, or a written notice of intent to submit such an adverse comment, were received within the comment period, the regulation would become effective on June 5, 2008. No adverse comments were received, and thus this notice confirms that effective date. Issued in College Park, Georgia, on April 7, 2008. Kathy Swann, Acting Manager, System Support Group, Eastern Service Center, Air Traffic Organization. [FR Doc. E8-9038 Filed 4-29-08; 8:45 am] BILLING CODE 4910-13-M DEPARTMENT OF TRANSPORTATION Federal Aviation Administration 14 CFR Part 71 [Docket No. FAA-2008-0063; Airspace Docket No. 08-ANE-94] Establishment of Class E Airspace; Rumford, ME AGENCY: Federal Aviation Administration (FAA), DOT. ACTION: Final rule, confirmation of effective date. SUMMARY: This action confirms the effective date of a direct final rule published in the **Federal Register** (73 FR 9185) that establishes Class E Airspace at Rumford, ME, to support a new Area Navigation
(RNAV)Global Positioning System
(GPS)Special Instrument Approach Procedure
(LAP)that has been developed for medical flight operations into the Rumford Community Hospital. DATES: Effective 0901 UTC, June 5, 2008. The Director of the Federal Register approves this incorporation by reference action under title 1, Code of Federal Regulations, part 51, subject to the annual revision of FAA Order 7400.9 and publication of conforming amendments. FOR FURTHER INFORMATION CONTACT: Melinda Giddens, System Support Group, Eastern Service Center, Federal Aviation Administration, P.O. Box 20636, Atlanta, Georgia 30320; telephone
(404)305-5610. SUPPLEMENTARY INFORMATION: Confirmation of Effective Date The FAA published this direct final rule with a request for comments in the **Federal Register** on February 20, 2008 (73 FR 9185), Docket No. FAA-2008-0063; Airspace Docket No. 08-ANE-94. The FAA uses the direct final rulemaking procedure for a non-controversial rule where the FAA believes that there will be no adverse public comment. This direct final rule advised the public that no adverse comments were anticipated, and that unless a written adverse comment, or a written notice of intent to submit such an adverse comment, were received within the comment period, the regulation would become effective on June 5, 2008. No adverse comments were received, and thus this notice confirms that effective date. Issued in College Park, Georgia, on April 7, 2008. Kathy Swann, Acting Manager, System Support Group, Eastern Service Center, Air Traffic Organization. [FR Doc. E8-9037 Filed 4-29-08; 8:45 am] BILLING CODE 4910-13-M DEPARTMENT OF TRANSPORTATION Federal Aviation Administration 14 CFR Part 71 [Docket No. FAA-2008-0065; Airspace Docket No. 08-ANE-96] Establishment of Class E Airspace; Carrabassett, ME AGENCY: Federal Aviation Administration (FAA), DOT. ACTION: Final rule, confirmation of effective date. SUMMARY: This action confirms the effective date of a direct final rule published in the **Federal Register** (73 FR 9447) that establishes Class E Airspace at Carrabassett, ME to support a new Area Navigation
(RNAV)Global Positioning System
(GPS)Special Instrument Approach Procedure
(IAP)that has been developed for medical flight operations into the Sugarloaf Regional Airport. DATES: Effective 0901 UTC, June 5, 2008. The Director of the Federal Register approves this incorporation by reference action under title 1, Code of Federal Regulations, part 51, subject to the annual revision of FAA Order 7400.9 and publication of conforming amendments. FOR FURTHER INFORMATION CONTACT: Melinda Giddens, System Support Group, Eastern Service Center, Federal Aviation Administration, P.O. Box 20636, Atlanta, Georgia 30320; telephone
(404)305-5610. SUPPLEMENTARY INFORMATION: Confirmation of Effective Date The FAA published this direct final rule with a request for comments in the **Federal Register** on February 21, 2008 (73 FR 9447), Docket No. FAA-2008-0065; Airspace Docket No. 08-ANE-96. The FAA uses the direct final rulemaking procedure for a non-controversial rule where the FAA believes there will be no adverse public comment. This direct final rule advised the public that no adverse comments were anticipated, and that unless a written adverse comment, or a written notice of intent to submit such an adverse comment, were received within the comment period, the regulation would become effective on June 5, 2008. No adverse comments were received, and thus this notice confirms that effective date. Issued in College Park, Georgia, on April 7, 2008. Kathy Swann, Acting Manager, System Support Group, Eastern Service Center, Air Traffic Organization. [FR Doc. E8-9035 Filed 4-29-08; 8:45 am] BILLING CODE 4910-13-M DEPARTMENT OF TRANSPORTATION Federal Aviation Administration 14 CFR Part 71 [Docket No. FAA-2008-0062; Airspace Docket No. 08-ANE-93] Establishment of Class E Airspace; Stonington, ME AGENCY: Federal Aviation Administration (FAA), DOT. ACTION: Final rule, confirmation of effective date. SUMMARY: This action confirms the effective date of a direct final rule published in the **Federal Register** (73 FR 9450) that establishes Class E Airspace at Stonington, ME to support a new Area Navigation
(RNAV)Global Positioning System
(GPS)Special Instrument Approach Procedure
(IAP)that has been developed for medical flight operations into Stonington Municipal Airport. DATES: Effective 0901 UTC, June 5, 2008. The Director of the Federal Register approves this incorporation by reference action under title 1, Code of Federal Regulations, part 51, subject to the annual revision of FAA Order 7400.9 and publication of conforming amendments. FOR FURTHER INFORMATION CONTACT: Melinda Giddens, System Support Group, Eastern Service Center, Federal Aviation Administration, P.O. Box 20636, Atlanta, Georgia 30320; telephone
(404)305-5610. SUPPLEMENTARY INFORMATION: Confirmation of Effective Date The FAA published this direct final rule with a request for comments in the **Federal Register** on February 21, 2008 (73 FR 9450), Docket No. FAA-2008-0062; Airspace Docket No. 08-ANE-93. The FAA uses the direct final rulemaking procedure for a non-controversial rule where the FAA believes that there will be no adverse public comment. This direct final rule advised the public that no adverse comments were anticipated, and that unless a written adverse comment, or a written notice of intent to submit such an adverse comment, were received within the comment period, the regulation would become effective on June 5, 2008. No adverse comments were received, and thus this notice confirms that effective date. Issued in College Park, Georgia, on April 7, 2008. Kathy Swann, Acting Manager, System Support Group, Eastern Service Center, Air Traffic Organization. [FR Doc. E8-9033 Filed 4-29-08; 8:45 am] BILLING CODE 4910-13-M DEPARTMENT OF TRANSPORTATION 14 CFR Part 97 [Docket No. 30605; Amdt. No. 3267] Standard Instrument Approach Procedures, and Takeoff Minimums and Obstacle Departure Procedures; Miscellaneous Amendments AGENCY: Federal Aviation Administration (FAA), DOT. ACTION: Final rule. SUMMARY: This rule establishes, amends, suspends, or revokes Standard Instrument Approach Procedures (SIAPs) and associated Takeoff Minimums and Obstacle Departure Procedures for operations at certain airports. These regulatory actions are needed because of the adoption of new or revised criteria, or because of changes occurring in the National Airspace System, such as the commissioning of new navigational facilities, adding new obstacles, or changing air traffic requirements. These changes are designed to provide safe and efficient use of the navigable airspace and to promote safe flight operations under instrument flight rules at the affected airports. DATES: This rule is effective April 30, 2008. The compliance date for each SIAP, associated Takeoff Minimums, and ODP is specified in the amendatory provisions. The incorporation by reference of certain publications listed in the regulations is approved by the Director of the Federal Register as of April 30, 2008. ADDRESSES: Availability of matter incorporated by reference in the amendment is as follows: For Examination— 1. FAA Rules Docket, FAA Headquarters Building, 800 Independence Avenue, SW., Washington, DC 20591; 2. The FAA Regional Office of the region in which the affected airport is located; 3. The National Flight Procedures Office, 6500 South MacArthur Blvd., Oklahoma City, OK 73169 or, 4. The National Archives and Records Administration (NARA). For Information on the availability of this material at NARA, call 202-741-6030, or go to: *http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.* *Availability* —All SIAPs are available online free of charge. Visit *nfdc.faa.gov* to register. Additionally, individual SIAP and Takeoff Minimums and ODP copies may be obtained from: 1. FAA Public Inquiry Center (APA-200), FAA Headquarters Building, 800 Independence Avenue, SW., Washington, DC 20591; or 2. The FAA Regional Office of the region in which the affected airport is located. FOR FURTHER INFORMATION CONTACT: Harry J. Hodges, Flight Procedure Standards Branch (AFS-420) Flight Technologies and Programs Division, Flight Standards Service, Federal Aviation Administration, Mike Monroney Aeronautical Center, 6500 South MacArthur Blvd., Oklahoma City, OK 73169 (Mail Address: P.O. Box 25082 Oklahoma City, OK 73125) telephone:
(405)954-4164. SUPPLEMENTARY INFORMATION: This rule amends Title 14, Code of Federal Regulations, Part 97 (14 CFR part 97) by amending the referenced SIAPs. The complete regulatory description of each SIAP is listed on the appropriate FAA Form 8260, as modified by the National Flight Data Center (FDC)/Permanent Notice to Airmen (P-NOTAM), and is incorporated by reference in the amendment under 5 U.S.C. 552(a), 1 CFR part 51, and § 97.20 of Title 14 of the Code of Federal Regulations. The large number of SIAPs, their complex nature, and the need for a special format make their verbatim publication in the **Federal Register** expensive and impractical. Further, airmen do not use the regulatory text of the SIAPs, but refer to their graphic depiction on charts printed by publishers of aeronautical materials. Thus, the advantages of incorporation by reference are realized and publication of the complete description of each SIAP contained in FAA form documents is unnecessary. This amendment provides the affected CFR sections and specifies the types of SIAP and the corresponding effective dates. This amendment also identifies the airport and its location, the procedure and the amendment number. The Rule This amendment to 14 CFR part 97 is effective upon publication of each separate SIAP as amended in the transmittal. For safety and timeliness of change considerations, this amendment incorporates only specific changes contained for each SIAP as modified by FDC/P-NOTAMs. The SIAPs, as modified by FDC P-NOTAM, and contained in this amendment are based on the criteria contained in the U.S. Standard for Terminal Instrument Procedures (TERPS). In developing these changes to SIAPs, the TERPS criteria were applied only to specific conditions existing at the affected airports. All SIAP amendments in this rule have been previously issued by the FAA in a FDC NOTAM as an emergency action of immediate flight safety relating directly to published aeronautical charts. The circumstances which created the need for all these SIAP amendments requires making them effective in less than 30 days. Because of the close and immediate relationship between these SIAPs and safety in air commerce, I find that notice and public procedure before adopting these SIAPs are impracticable and contrary to the public interest and, where applicable, that good cause exists for making these SIAPs effective in less than 30 days. Conclusion The FAA has determined that this regulation only involves an established body of technical regulations for which frequent and routine amendments are necessary to keep them operationally current. It, therefore—(1) is not a “significant regulatory action” under DOT Regulatory Order 12866;
(2)is not a “significant rule” under DOT regulatory Policies and Procedures (44 FR 11034; February 26, 1979); and
(3)does not warrant preparation of a regulatory evaluation as the anticipated impact is so minimal. For the same reason, the FAA certifies that this amendment will not have a significant economic impact on a substantial number of small entities under the criteria of the Regulatory Flexibility Act. List of Subjects in 14 CFR Part 97 Air Traffic Control, Airports, Incorporation by reference, and Navigation (Air). Issued in Washington, DC, on April 18, 2008. James J. Ballough, Director, Flight Standards Service. Adoption of the Amendment Accordingly, pursuant to the authority delegated to me, Title 14, Code of Federal Regulations, Part 97, 14 CFR part 97, is amended by amending Standard Instrument Approach Procedures, effective at 0901 UTC on the dates specified, as follows: PART 97—STANDARD INSTRUMENT APPROACH PROCEDURES 1. The authority citation for part 97 continues to read as follows: Authority: 49 U.S.C. 106(g), 40103, 40106, 40113, 40114, 40120, 44502, 44514, 44701, 44719, 44721-44722. 2. Part 97 is amended to read as follows: §§ 97.23, 97.25, 97.27, 97.29, 97.31, 97.33, 97.35 [Corrected] By amending: § 97.23 VOR, VOR/DME, VOR or TACAN, and VOR/DME or TACAN; § 97.25 LOC, LOC/DME, LDA, LDA/DME, SDF, SDF/DME; § 97.27 NDB, NDB/DME; § 97.29 ILS, ILS/DME, ISMLS, MLS/DME, MLS/RNAV; § 97.31 RADAR SIAPs; § 97.33 RNAV SIAPs; and § 97.35 COPTER SIAPs, Identified as follows: * * * Effective Upon Publication FDC date State City Airport FDC No. Subject 04/03/08 CA Los Banos Los Banos Muni 8/0967 VOR/DME or GPS Rwy 32, Amdt 4B. 04/03/08 CA Los Banos Los Banos Muni 8/0968 VOR/DME or GPS Rwy 14, Amdt 4A. 04/03/08 CA Ontario Ontario Intl 8/0969 RNAV
(GPS)Rwy 8R, Amdt 1. 04/03/08 MO Hannibal Hannibal Regional 8/0992 NDB or GPS Rwy 35, Amdt 3. 04/03/08 MO Hannibal Hannibal Regional 8/0995 VOR or GPS A, Amdt 3. 04/03/08 MN Minneapolis Crystal 8/1017 GPS Rwy 14L, Orig-B. 04/03/08 IL Pekin Pekin Muni 8/1018 VOR or GPS A, Amdt 6. 04/03/08 MO Salem Salem Memorial 8/1019 VOR A, Orig. 04/03/08 MI Hancock Houghton County Memorial 8/1020 VOR or GPS Rwy 25, Amdt 17A. 04/03/08 IL Carbondale/Murphysboro Southern Illinois 8/1025 VOR or GPS A, Amdt 5B. 04/03/08 MO Cape Girardeau Cape Girardeau Regional 8/1033 ILS Rwy 10, Amdt 10A. 04/03/08 MO Kansas City Charles B. Wheeler Downtown 8/1034 ILS or LOC Rwy 3, Amdt 2. 04/03/08 IA Sioux City Sioux Gateway/Col Bud Day Field 8/1035 GPS Rwy 17, Amdt 1. 04/04/08 FL Miami Opa Locka 8/1145 GPS Rwy 9L, Orig-A. 04/04/08 GA Augusta Augusta Regional At Bush Field 8/1146 RNAV
(GPS)Rwy 26, Orig. 04/04/08 MO Malden Malden Muni 8/1223 VOR Rwy 31, Amdt 8. 04/04/08 MO Malden Malden Muni 8/1224 RNAV
(GPS)Rwy 18, Orig. 04/04/08 MO Malden Malden Muni 8/1225 RNAV
(GPS)Rwy 31, Orig. 04/04/08 MO Malden Malden Muni 8/1226 VOR/DME Rwy 13, Orig. 04/04/08 MO Malden Malden Muni 8/1227 RNAV
(GPS)Rwy 36, Orig. 04/04/08 MO Lebanon Floyd W Jones Lebanon 8/1230 RNAV
(GPS)Rwy 36, Orig-A. 04/04/08 MO Lebanon Floyd W Jones Lebanon 8/1231 SDF Rwy 36, Amdt 5A. 04/04/08 MO Lebanon Floyd W Jones Lebanon 8/1232 RNAV
(GPS)Rwy 18, Orig-A. 04/07/08 NY Watertown Watertown Intl 8/1434 ILS Rwy 7, Amdt 6C. 04/07/08 VT Newport Newport State 8/1438 GPS Rwy 36, Orig. 04/07/08 NY Watertown Watertown Intl 8/1460 RNAV
(GPS)Rwy 7, Orig. 04/07/08 NY Watertown Watertown Intl 8/1465 VOR Rwy 7, Amdt 13B. 04/07/08 PA Pottstown Pottstown Limerick 8/1471 LOC Rwy 28, Amdt 2. 04/07/08 AK Fairbanks Fairbanks Intl 8/1547 RNAV
(GPS)Y Rwy 1L, Orig-B. 04/07/08 AK Fairbanks Fairbanks Intl 8/1548 RNAV
(GPS)Y Rwy 19R, Orig-C. 04/07/08 WI Amery Amery Muni 8/1599 NDB Rwy 18, Amdt 6. 04/07/08 TX Abilene Abilene Regional 8/1600 VOR or GPS Rwy 22, Amdt 3B. 04/07/08 ND Jamestown Jamestown Regional 8/1603 RNAV
(GPS)Rwy 4, Orig. 04/07/08 ND Minot Minot Intl 8/1604 VOR or GPS Rwy 26, Amdt 12A. 04/07/08 MN Minneapolis Crystal 8/1613 VOR or GPS A, Amdt 9C. 04/07/08 ND Northwood Northwood Muni-Vince Field 8/1646 RNAV
(GPS)Rwy 26, Orig. 04/08/08 PA Selinsgrove Penn Valley 8/1683 VOR-A, Amdt 6. 04/08/08 RI Block Island Block Island State 8/1684 VOR Rwy 28, Amdt 4. 04/08/08 IN Auburn De Kalb County 8/1689 RNAV (GPS ) Rwy 9, Orig. 04/08/08 IN Auburn De Kalb County 8/1690 RNAV
(GPS)Rwy 27, Orig. 04/08/08 IN Auburn De Kalb County 8/1691 ILS or LOC Rwy 27, Amdt 1. 04/08/08 IN Anderson Anderson Muni-Darlington Field 8/1692 ILS Rwy 30, Orig. 04/08/08 GA Savannah Savannah/Hilton Head Intl 8/1694 RNAV
(GPS)Rwy 18, Amdt 1. 04/08/08 IN Bloomington Monroe County 8/1696 RNAV
(GPS)Rwy 24, Orig. 04/08/08 IN Bloomington Monroe County 8/1697 VOR Rwy 24, Amdt 11. 04/08/08 IN Bloomington Monroe County 8/1698 RNAV
(GPS)Rwy 17, Orig. 04/07/08 OK Sand Springs William R. Pogue Muni 8/1743 NDB Rwy 35, Amdt 2D. 04/07/08 OK Sand Springs William R. Pogue Muni 8/1744 GPS Rwy 35, Orig-B. 04/08/08 IA Sibley Sibley Muni 8/1787 NDB or GPS Rwy 17, Amdt 1A. 04/08/08 TN Union City Everett-Stewart 8/1854 ILS Rwy 1, Orig. 04/09/08 WY Rawlins Rawlins Muni/Harvey Field 8/1973 VOR or GPS Rwy 22, Amdt 1B. 04/09/08 MS West Point West Point/McCharen 8/2030 RNAV
(GPS)Rwy 36, Orig. 04/09/08 GA Fitzgerald Fitzgerald Muni 8/2035 NDB or GPS Rwy 1, Orig. 04/09/08 GA Fitzgerald Fitzgerald Muni 8/2036 LOC Rwy 1, Orig. 04/09/08 WI Ashland John F. Kennedy Memorial 8/2073 VOR or GPS Rwy 2, Amdt 5. 04/09/08 WI Ashland John F. Kennedy Memorial 8/2074 VOR or GPS Rwy 31, Amdt 6. 04/09/08 ND Devils Lake Devils Lake Rgnl 8/2079 VOR Rwy 13, Orig. 04/09/08 ND Devils Lake Devils Lake Rgnl 8/2080 GPS Rwy 13, Orig. 04/09/08 ND Devils Lake Devils Lake Rgnl 8/2081 GPS Rwy 31, Orig. 04/09/08 ND Devils Lake Devils Lake Rgnl 8/2082 VOR Rwy 31, Orig. 04/09/08 ND Devils Lake Devils Lake Rgnl 8/2083 ILS Rwy 31, Amdt 1. 04/09/08 MN Thief River Falls Thief River Falls Regional 8/2106 VOR Rwy 31, Amdt 8A. 04/09/08 MN Thief River Falls Thief River Falls Regional 8/2107 VOR or GPS Rwy 13, Amdt 8A. 04/09/08 MN Thief River Falls Thief River Falls Regional 8/2108 VOR/DME Rwy 13, Amdt 2A. 04/09/08 MN Thief River Falls Thief River Falls Regional 8/2109 ILS Rwy 31, Amdt 2B. 04/09/08 MN Thief River Falls Thief River Falls Regional 8/2111 NDB or GPS Rwy 31, Amdt 1B. 04/09/08 MN Thief River Falls Thief River Falls Regional 8/2112 VOR/DME Rwy 31, Amdt 3B. 04/09/08 LA Alexandria Alexandria Intl 8/2133 VOR/DME Rwy 14, Orig-A. 04/09/08 LA Alexandria Alexandria Intl 8/2135 VOR/DME Rwy 32, Amdt 1. 04/09/08 LA Alexandria Alexandria Intl 8/2136 RNAV
(GPS)Rwy 32, Amdt 1. 04/09/08 LA Alexandria Alexandria Intl 8/2139 RNAV
(GPS)Rwy 18, Amdt 1. 04/09/08 LA Alexandria Alexandria Intl 8/2140 ILS or LOC Rwy 14, Orig-A. 04/09/08 LA Alexandria Alexandria Intl 8/2141 RNAV
(GPS)Rwy 14, Orig-A. 04/10/08 TX Killeen Skylark Field 8/2222 ILS Rwy 1, Amdt 2B. 04/10/08 TX Killeen Skylark Field 8/2223 NDB or GPS Rwy 1, Amdt 5B. 04/10/08 MO Mountain Grove Mountain Grove Memorial 8/2229 VOR/DME or GPS Rwy 8, Orig. 04/10/08 LA Lafayette Lafayette Regional 8/2349 ILS or LOC/DME Rwy 4R, Amdt 1. 04/10/08 LA Lafayette Lafayette Regional 8/2350 RNAV
(GPS)Rwy 22L, Orig. 04/10/08 LA Lafayette Lafayette Regional 8/2351 RNAV
(GPS)Rwy 4R, Orig. 04/10/08 LA Lafayette Lafayette Regional 8/2352 ILS or LOC Rwy 22L, Amdt 4F. 04/11/08 MO St Louis Lambert-St Louis Intl 8/2685 RNAV
(GPS)Rwy 29, Orig. 04/11/08 MO St Louis Lambert-St Louis Intl 8/2686 ILS or LOC Rwy 6, Amdt 1A. 04/11/08 NJ Morristown Morristown Muni 8/2692 RNAV
(GPS)Rwy 5, Amdt 1. 04/11/08 NJ Morristown Morristown Muni 8/2693 NDB or GPS Rwy 5, Amdt 11. 04/11/08 NJ Morristown Morristown Muni 8/2696 ILS or LOC Rwy 23, Amdt 9A. 04/11/08 OR Medford Rogue Valley International-Medford 8/2713 ILS Rwy 14, Amdt 1. 04/11/08 MO St Louis Lambert-St Louis Intl 8/2754 ILS or LOC Rwy 30R Amdt 9A * * * ILS Rwy 30R (Cat II) Amdt 9A * * * ILS Rwy 30R (Cat III) Amdt 9A. 04/11/08 MO St Louis Lambert-St Louis Intl 8/2762 RNAV
(GPS)Rwy 12R, Orig. 04/11/08 MO Sedalia Sedalia Memorial 8/2785 RNAV
(GPS)Rwy 36, Amdt 1. 04/11/08 MO Sedalia Sedalia Memorial 8/2788 RNAV
(GPS)Rwy 18, Amdt 1. 04/11/08 WA Spokane Spokane Intl 8/2801 VOR Rwy 3, Amdt 12A. 04/11/08 WY Casper Natrona County Intl 8/2818 VOR/DME Rwy 3, Amdt 4. 04/11/08 WA Olympia Olympia 8/2819 ILS or LOC Rwy 17, Amdt 10. 04/11/08 UT Salt Lake City Salt Lake City Intl 8/2844 RNAV
(GPS)Rwy 34R, Orig. 04/12/08 UT Salt Lake City Salt Lake City Intl 8/2845 ILS or LOC Rwy 34 Amdt 2 * * * ILS Rwy 34R (Cat Ii), Amdt 2, * * * ILS Rwy 34R (Cat III), Amdt 2. 04/14/08 CA Palmdale Palmdale Regional/USAF Plant 42 8/3000 VOR/DME or Tacan or GPS Rwy 25, Amdt 6A. 04/14/08 CA San Diego/El Cajon Gillespie Field 8/3003 GPS Rwy 17, Orig. 04/14/08 CA Palmdale Palmdale Regional/USAF Plant 42 8/3017 ILS Rwy 25, Amdt 8A. 04/14/08 AK Deering Deering 8/3019 RNAV
(GPS)Rwy 29, Orig. 04/14/08 AK Deering Deering 8/3021 RNAV
(GPS)Rwy 2, Orig. 04/14/08 AK Deering Deering 8/3022 RNAV
(GPS)Rwy 11, Orig. 04/14/08 AK Deering Deering 8/3023 RNAV
(GPS)Rwy 20, Orig. 04/14/08 AK Wales Wales 8/3024 RNAV
(GPS)Rwy 18, Orig. 04/14/08 AK Wales Wales 8/3025 RNAV
(GPS)Rwy 36, Orig. 04/14/08 HI Lanai City Lanai 8/3036 VOR or Tacan or GPS Rwy 3, Amdt 6A. 04/14/08 HI Lihue Lihue 8/3040 ILS Rwy 35, Amdt 6. 04/14/08 AK Cordova Merle K (Mudhole) Smith 8/3043 RNAV
(GPS)Rwy 27, Orig-A. 04/14/08 AK Cordova Merle K (Mudhole) Smith 8/3046 ILS or LOC/DME Rwy 27, Amdt 9A. 04/14/08 AK Cordova Merle K (Mudhole) Smith 8/3048 RNAV
(GPS)B, Amdt 1A. 04/14/08 NV Reno Reno 8/3090 ILS Rwy 16R, Amdt 10B. 04/14/08 UT Tooele Bolinder Field-Tooele Valley 8/3092 NDB Rwy 17, Amdt 1. 04/15/08 MO Neosho Neosho Hugh Robinson 8/3138 RNAV
(GPS)Rwy 1, Orig. 04/15/08 MO Neosho Neosho Hugh Robinson 8/3139 VOR A, Amdt 7. 04/15/08 MO Neosho Neosho Hugh Robinson 8/3140 RNAV
(GPS)Rwy 19, Orig. 04/15/08 MI New Hudson Oakland Southwest 8/3144 VOR or GPS A, Amdt 3. 04/15/08 MD Fort Meade (Odenton) William F. (Shorty) Tipton 8/3145 RNAV
(GPS)Rwy 28, Orig. 04/15/08 MS Oxford University-Oxford 8/3151 VOR/DME A, Amdt 4A. 04/15/08 IN Elkhart Elkhart 8/3160 RNAV
(GPS)Rwy 36, Orig. 04/15/08 IN Elkhart Elkhart 8/3161 VOR/DME Rwy 36, Amdt 4. 04/15/08 IN Elkhart Elkhart 8/3162 RNAV
(GPS)Rwy 18, Orig. 04/15/08 IN Elkhart Elkhart 8/3163 VOR Rwy 27, Amdt 15. 04/15/08 IN Elkhart Elkhart 8/3164 RNAV
(GPS)Rwy 27, Orig. 04/15/08 TX Lubbock Lubbock Preston Smith Intl 8/3168 ILS Rwy 17R, Amdt 16A. 04/15/08 MT Livingston Mission Field 8/3186 VOR A, Amdt 5B. 04/15/08 MI Detroit Willow Run 8/3298 RNAV
(GPS)Rwy 9R, Orig. 04/15/08 MI Caro Tuscola Area 8/3300 VOR/DME or GPS A, Amdt 4A. 04/15/08 MT Billings Billings Logan Intl 8/3306 VOR/DME Rwy 28R, Amdt 13B. 04/15/08 MT Billings Billings Logan Intl 8/3307 RNAV
(GPS)Rwy 25, Orig. 04/15/08 MT Billings Billings Logan Intl 8/3308 RNAV
(GPS)Rwy 28R, Amdt 1. 04/15/08 MT Billings Billings Logan Intl 8/3309 NDB Rwy 10L, Amdt 19. 04/15/08 MT Billings Billings Logan Intl 8/3310 VOR or GPS A, Amdt 1A. 04/15/08 MT Billings Billings Logan Intl 8/3311 RNAV
(GPS)Rwy 7, Orig. 04/15/08 MO Brookfield North Central Missouri Regional 8/3330 RNAV
(GPS)Rwy 18, Orig. 04/16/08 WV Wheeling Wheeling Ohio Co 8/3372 ILS or LOC Rwy 3, Amdt 21. 04/16/08 TX Baytown Rwj Airpark, Baytown 8/3506 RNAV
(GPS)Rwy 26, Amdt 1. 04/16/08 ID Lewiston Lewiston-Nez Perce County 8/3523 ILS Rwy 26, Amdt 11B. 04/16/08 ID Lewiston Lewiston-Nez Perce County 8/3527 VOR or GPS Rwy 26, Amdt 12B. 04/16/08 MS Oxford University-Oxford 8/3528 VOR/DME or GPS A, Amdt 4A. 04/16/08 VA Richmond Richmond Intl 8/3531 RNAV
(GPS)Rwy 34, Orig-A. 04/16/08 SC Spartanburg Spartanburg Downtown Memorial 8/3533 NDB or GPS A, Amdt 8B. 04/16/08 ID Pocatello Pocatello Regional 8/3538 RNAV
(GPS)Rwy 3, Amdt 1. 04/16/08 SC Spartanburg Spartanburg Downtown Memorial 8/3541 ILS Rwy 5, Orig. 04/16/08 AL Jasper Walker County-Bevill Field 8/3546 ILS/DME Rwy 27, Orig. 04/16/08 AL Jasper Walker County-Bevill Field 8/3547 VOR/DME or GPS A, Amdt 2. 04/16/08 MD College Park College Park 8/3548 TKOF MINS and Obstacle DP, Amdt 3A. [FR Doc. E8-9242 Filed 4-29-08; 8:45 am] BILLING CODE 4910-13-P SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 249 and 274 [Release Nos. 34-57711; IC-28254; File No. S7-02-08] RIN 3235-AK05 Disclosure of Divestment by Registered Investment Companies in Accordance With Sudan Accountability and Divestment Act of 2007 AGENCY: Securities and Exchange Commission. ACTION: Final rule. SUMMARY: The Securities and Exchange Commission is adopting amendments to its forms under the Securities Exchange Act of 1934 and the Investment Company Act of 1940 that will require disclosure by a registered investment company that divests, in accordance with the Sudan Accountability and Divestment Act of 2007, from securities of issuers that the investment company determines, using credible information that is available to the public, conduct or have direct investments in certain business operations in Sudan. The Sudan Accountability and Divestment Act limits civil, criminal, and administrative actions that may be brought against a registered investment company that divests itself from such securities, provided that the investment company makes disclosures in accordance with regulations prescribed by the Commission. DATES: April 30, 2008. FOR FURTHER INFORMATION CONTACT: Devin F. Sullivan, Attorney, Office of Disclosure Regulation, Division of Investment Management, at
(202)551-6784, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-5720. SUPPLEMENTARY INFORMATION: The Securities and Exchange Commission (“Commission”) is adopting amendments to Form N-CSR 1 and Form N-SAR 2 under the Securities Exchange Act of 1934 (“Exchange Act”) 3 and the Investment Company Act of 1940 (“Investment Company Act”). 4 1 17 CFR 294.331 and 274.128. 2 17 CFR 294.330 and 274.101. 3 15 U.S.C. 78a *et seq.* 4 15 U.S.C. 80a-1 *et seq.* I. Discussion On December 31, 2007, the President signed the Sudan Accountability and Divestment Act of 2007 (“Sudan Divestment Act”) into law. 5 Among other things, the Sudan Divestment Act provides that no person may bring any civil, criminal, or administrative action against any registered investment company, or any employee, officer, director, or investment adviser of the investment company, based solely upon the investment company divesting from, or avoiding investing in, securities issued by persons that the investment company determines, using credible information that is available to the public, conduct or have direct investments in certain business operations in Sudan. 6 This limitation on actions does not apply to a registered investment company, or any of its employees, officers, directors, or investment advisers, unless the investment company makes disclosures about the divestments in accordance with regulations prescribed by the Commission. 7 To that end, the Sudan Divestment Act requires us to prescribe regulations not later than 120 days after enactment that require disclosure by each registered investment company that divests itself of securities in accordance with the Act. The Sudan Divestment Act states that these rules shall require this disclosure to be included in the next periodic report filed under Section 30 of the Investment Company Act following the divestment. 8 5 Pub. L. 110-174, 121 Stat. 2516 (2007). 6 Section 4(a) of the Sudan Divestment Act [to be codified at 15 U.S.C. 80a-13(c)(1)]. 7 Section 4(a) of the Sudan Divestment Act [to be codified at 15 U.S.C. 80a-13(c)(2)(B)]. 8 Section 4(b) of the Sudan Divestment Act. To implement the Sudan Divestment Act, we proposed amendments to Form N-CSR and Form N-SAR that would require disclosure by a registered investment company that divests, in accordance with the Sudan Divestment Act, from securities of issuers that the investment company determines conduct or directly invest in certain business operations in Sudan. 9 We received two comment letters in response to our proposals. 10 The commenters generally supported the proposals, while recommending several changes. We are adopting the proposed amendments with certain modifications suggested by the commenters. 9 Investment Company Act Release No. 28148 (Feb. 11, 2008) [73 FR 8976 (Feb. 15, 2008)] (“Proposing Release”). 10 Letter of Calvert Group, Ltd. (Mar. 14, 2008) (“Calvert letter”); Letter of Investment Company Institute (Mar. 10, 2008) (“ICI letter”). A. Amendments To implement the Sudan Divestment Act, we are requiring each registered investment company that divests securities in accordance with the Sudan Divestment Act to disclose the divestment on the next Form N-CSR or Form N-SAR that it files following the divestment. Management investment companies will provide the disclosure on Form N-CSR, and unit investment trusts will provide the disclosure on Form N-SAR. 11 We are requiring disclosure of information that will identify the securities divested and the magnitude of the divestment. This includes the issuer's name; exchange ticker symbol; Committee on Uniform Securities Identification Procedures (“CUSIP”) number; total number of shares or, for debt securities, principal amount divested; and dates that the securities were divested. 12 In addition, if the registered investment company continues to hold any securities of the divested issuer, it will be required to disclose the exchange ticker symbol; CUSIP number; and total number of shares or, for debt securities, principal amount of such securities, held on the date of filing. 13 We believe that this disclosure is in the public interest and protects investors. 11 Item 6(b) of Form N-CSR; Item 133 of Form N-SAR. 12 Item 6(b)(1)-(5) of Form N-CSR; Item 133.A.-E. of Form N-SAR. We are also adopting technical amendments to Form N-SAR to change cross-references to Item 132 to reflect the addition of Item 133. 13 Item 6(b)(6) of Form N-CSR; Item 133.F. of Form N-SAR. One commenter suggested that the Commission require disclosure of divestments in accordance with the Sudan Divestment Act in shareholder reports, as well as in Form N-CSR and Form N-SAR, in order to bring more prominence to the issue and make the information more easily accessible by shareholders. 14 Consistent with the Sudan Divestment Act, which directs the Commission to prescribe regulations that “require the disclosure to be included in the next periodic report *filed* with the Commission,” (emphasis added) 15 we are not making the requested change. We have concluded that disclosure of divestments under the Sudan Divestment Act in Form N-CSR and Form N-SAR, coupled with existing requirements for complete quarterly portfolio holdings disclosure in semi-annual shareholder reports and on Form N-Q filed with the Commission, will provide shareholders with ready access to information about such divestments. 14 Calvert letter at 3. 15 Section 4(b) of the Sudan Divestment Act. We also received comment recommending that, rather than requiring disclosure of divestment of securities in accordance with the Sudan Divestment Act on the next Form N-CSR or Form N-SAR filed following such divestment, we should instead require disclosure of divestments made during the period covered by the financial information included with the Form N-CSR or Form N-SAR ( *i.e.* , the prior semi-annual fiscal period). 16 Under this recommendation, a divestment made between the close of a semi-annual fiscal period and the filing of the Form N-CSR or Form N-SAR for that period would not be disclosed in that Form but would be disclosed on the next succeeding Form N-CSR or Form N-SAR. Disclosure of a divestment made shortly after the close of a semi-annual fiscal period would be delayed for approximately 10 months. Consistent with the Sudan Divestment Act, 17 we are not adopting that recommendation but instead are adopting the rule as proposed. We are requiring the disclosure to be included in the next periodic report filed with the Commission, 18 which will help to reduce extended delays between divestments and the associated disclosure to investors. 16 ICI letter at 2-3. 17 Section 4(b) of the Sudan Divestment Act. 18 As proposed, a registered investment company that divests securities in accordance with the Sudan Divestment Act during the period that begins on the fifth business day before the date of filing a Form N-CSR or Form N-SAR and ends on the date of filing may disclose the divestment in either that filing or an amendment thereto. The registered investment company must file the amendment not later than five business days after the date of filing the Form N-CSR or Form N-SAR. Instruction 2. to Item 6(b) of Form N-CSR; Instructions to Item 133 of Form N-SAR. One commenter recommended that the amendments not require disclosure of the exchange ticker symbol and CUSIP number of securities divested in accordance with the Sudan Divestment Act. 19 We are retaining this requirement, which we believe will help to more precisely identify the specific securities for which a registered investment company may claim the benefit of the limitation on actions provided by the Sudan Divestment Act. Both commenters addressed the proposed requirement that a registered investment company disclose information about continued holdings of securities of a divested issuer. One commenter supported it as enhancing investment company accountability to shareholders. 20 The other commenter opposed it on the grounds that the Sudan Divestment Act's limitation on actions only requires disclosure made in connection with a decision to divest and that this additional disclosure is unnecessary because registered investment companies are already required to disclose their portfolio holdings. 21 We are retaining this requirement because we believe that it will help assure that investors do not confuse a registered investment company's divestment from a portion of its holdings of a particular issuer's securities with divestment from all of its holdings of that issuer's securities. The disclosure of portfolio holdings that is currently required will not necessarily prevent such confusion because that disclosure is required as of the end of each fiscal quarter, which often will not coincide with the date of a divestment. 19 ICI letter at 2. 20 Calvert letter at 3. 21 ICI letter at 3. We are adopting, as proposed, Instructions to Form N-CSR and Form N-SAR clarifying that while a registered investment company is not required to disclose divestments of securities of an issuer that conducts or has direct investments in certain business operations in Sudan, the limitation on actions provided in the Sudan Divestment Act does not apply with respect to a divestment that is not disclosed. 22 We are also adopting, as proposed, Instructions to Form N-CSR and Form N-SAR providing that, for purposes of determining when a divestment should be reported, if a registered investment company divests its holdings in a particular security in a related series of transactions, the company may deem the divestment to occur at the time of the final transaction in the series. 23 We received no comments on these Instructions. 22 Instruction 1. to Item 6(b) of Form N-CSR; Instructions to Item 133 of Form N-SAR. 23 Instruction 3. to Item 6(b) of Form N-CSR; Instructions to Item 133 of Form N-SAR. B. Termination Provision The provisions of the Sudan Divestment Act concerning registered investment company divestments terminate 30 days after the President certifies to Congress that the Government of Sudan has undertaken certain actions. 24 We are adopting a termination provision in order to clarify that the new disclosure requirements will not apply to divestitures occurring after the investment company provisions of the Sudan Divestment Act terminate. Both Form N-CSR and Form N-SAR will provide for termination of the amendments we are adopting one year after the date on which the related provisions of the Sudan Divestment Act terminate pursuant to the terms of the Act. The termination provision responds to commenters' requests that we include a provision terminating the amendments to the forms that is parallel to the termination provision of the Sudan Divestment Act. 25 We have provided that the amendments terminate one year after termination pursuant to the Sudan Divestment Act to allow sufficient time for disclosure, after termination of the Act's provisions, of divestments that occur prior to termination of the Act's provisions. 26 24 Section 12 of the Sudan Divestment Act. 25 Calvert letter at 3; ICI letter at 3-4. 26 Item 6(b) of Form N-CSR; Item 133 of Form N-SAR. C. Effective Date The amendments to the Commission's forms are effective immediately, in accordance with the Administrative Procedure Act, which permits rules to become effective less than 30 days after publication as “provided by the agency for good cause found and published with the rule.” 27 The Commission finds that good cause exists for immediate effectiveness in light of the statutory requirement that the Commission prescribe regulations not later than 120 days after the date of the enactment of the Sudan Divestment Act. 28 27 5 U.S.C. 553(d)(3). 28 Section 4(b) of the Sudan Divestment Act. D. Transition Period We solicited comment on whether our amendments should address divestments that occur after the enactment of the Sudan Divestment Act and before the effective date of our amendments. As suggested by a commenter, 29 the Rule permits a registered investment company that makes a divestment in accordance with the Sudan Divestment Act between December 31, 2007 (the date of enactment), and April 30, 2008 (the effective date of the form amendments), and that filed a Form N-CSR or Form N-SAR after the divestment but before April 30, 2008, to disclose the divestment on an amendment to that Form N-CSR or Form N-SAR filed no later than May 14, 2008. This provision will permit registered investment companies, and their employees, officers, directors, and investment advisers, to rely on the Sudan Divestment Act's limitation on actions for divestments that occurred after enactment but before the effective date of our form amendments. The period between April 30, 2008, the effective date of our form amendments, and May 14, 2008, the latest permitted transition filing date, should provide registered investment companies with a reasonable opportunity to review the form amendments and make any necessary filing. 29 ICI letter at 3. II. Paperwork Reduction Act The form amendments contain “collection of information” requirements within the meaning of the Paperwork Reduction Act of 1995 (“PRA”). 30 The titles for the collections of information are “Form N-CSR under the Investment Company Act of 1940 and Securities Exchange Act of 1934, Certified Shareholder Report,” and “Form N-SAR under the Investment Company Act of 1940, Semi-Annual Report for Registered Investment Companies.” We published notice soliciting comments on the collection of information requirements in the release proposing the amendments 31 and submitted the proposed collections of information to OMB for review and approval in accordance with 44 U.S.C. 3507(d) and 5 CFR 1320.11. We received no comments on the collection of information requirements. OMB has approved the collections of information. 30 44 U.S.C. 3501 *et seq.* 31 *See* Proposing Release, *supra* note 9, 73 FR at 8978. Form N-CSR (OMB Control No. 3235-0570) under the Exchange Act and the Investment Company Act 32 is used by registered management investment companies filing certified shareholder reports. Form N-SAR (OMB Control No. 3235-0330) under the Exchange Act and the Investment Company Act 33 is used by registered investment companies to file periodic reports with the Commission. 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 OMB control number. 32 17 CFR 249.331 and 17 CFR 274.128. 33 17 CFR 249.330 and 17 CFR 274.101. A. Summary of Amendments The Sudan Divestment Act, enacted on December 31, 2007, requires the Commission to prescribe regulations not later than 120 days after enactment that require disclosure by each registered investment company that divests itself of securities in accordance with the Act. 34 The Sudan Divestment Act states that these rules shall require this disclosure to be included in the next periodic report filed under Section 30 of the Investment Company Act following the divestment. 35 34 Section 4(b) of the Sudan Divestment Act. 35 *Id.* To implement the Sudan Divestment Act, we are requiring each registered investment company that divests securities in accordance with the Sudan Divestment Act to disclose the divestment on the next Form N-CSR or Form N-SAR that it files following the divestment. Management investment companies will provide the disclosure on Form N-CSR, and unit investment trusts will provide the disclosure on Form N-SAR. 36 We are requiring disclosure of information that will identify the securities divested and the magnitude of the divestment. This includes the issuer's name; exchange ticker symbol; CUSIP number; total number of shares or, for debt securities, principal amount divested; and dates that the securities were divested. 37 In addition, if the registered investment company continues to hold any securities of the divested issuer, it is required to disclose the exchange ticker symbol; CUSIP number; and total number of shares or, for debt securities, principal amount of such securities, held on the date of filing. 38 Compliance with the form amendments is necessary to obtain the benefit of the limitation on civil, criminal, and administrative actions provided in the Sudan Divestment Act. The information provided will not be kept confidential. 36 Item 6(b) of Form N-CSR; Item 133 of Form N-SAR. 37 Item 6(b)(1)-(5) of Form N-CSR; Item 133.A.-E. of Form N-SAR. 38 Item 6(b)(6) of Form N-CSR; Item 133.F. of Form N-SAR. B. Reporting and Cost Burden Estimates The compliance burden estimates for the collections of information are based on several assumptions. The compliance burden for the amendments to Form N-CSR and Form N-SAR will be the reporting burden of collecting information necessary to make the disclosures under new Item 6(b) of Form N-CSR and new Item 133 of Form N-SAR. We estimate that the new collections of information will result in an increase of one-half burden hour per filing. Further, we believe that the number of registered investment companies that hold securities in companies conducting or directly investing in certain business operations in Sudan, and that will divest from these securities in accordance with the Sudan Divestment Act, will be relatively small. We estimate that approximately 15% of all registered investment company portfolios have an objective of investing internationally. 39 Based on a conservative assumption that each of these portfolios will make a divestment in accordance with the Sudan Divestment Act prior to each filing it makes on Form N-CSR or Form N-SAR, we estimate that approximately 15% of the filings on Form N-CSR and Form N-SAR will include disclosures of divestments in accordance with the Sudan Divestment Act. 39 This estimate is based on analysis done by the Division of Investment Management staff of publicly available data. Based on a burden hour estimate of one-half hour per filing for each respondent that makes disclosures under the amendments, we estimate that registered management investment companies filing Form N-CSR will incur approximately 510 annual burden hours, 40 and unit investment trusts will incur approximately 10 annual burden hours, 41 to comply with the form amendments. 40 6,743 annual and semi-annual filings on Form N-CSR × 15% of filings on Form N-CSR × 1/2 burden hour = approximately 510 total burden hours (rounded to the nearest 10). 41 90 filings on Form N-SAR × 15% of filings on Form N-SAR × 1/2 burden hour = approximately 10 total burden hours (rounded to the nearest 10). The total annual burden hours for Form N-CSR, revised to include the burden hours expected from the form amendments, are estimated to be 138,662.5 burden hours, an increase of 510 burden hours from the current annual burden of 138,152.5 hours. The total annual burden hours for Form N-SAR, revised to include the burden hours expected from the form amendments, are estimated to be 107,213 burden hours, an increase of 10 burden hours from the current annual burden of 107,203 hours. III. Cost/Benefit Analysis The Commission is sensitive to the costs and benefits imposed by its rules. Our amendments to Form N-CSR and Form N-SAR require each registered investment company that divests securities in accordance with the Sudan Divestment Act to disclose the divestment on the next Form N-CSR or Form N-SAR that it files following the divestment. In the release proposing form amendments under the Sudan Divestment Act, we requested comments on our cost/benefit analysis. We received no comments in response. A. Benefits In adopting these form amendments, we are implementing the Sudan Divestment Act's mandate for rulemaking by the Commission. The amendments meet the Sudan Divestment Act's directive that the Commission “prescribe regulations, in the public interest and for the protection of investors, to require disclosure by each registered investment company that divests itself of securities in accordance with section 13(c) of the Investment Company Act of 1940.” 42 Disclosure under the form amendments will make applicable to a registered investment company, and its employees, officers, directors, and investment advisers, the limitation on actions provided by the Sudan Divestment Act. The amendments also will make important information about divestments in accordance with the Sudan Divestment Act available to investors, including information identifying the securities divested, the dates of divestment, and any securities of the issuer that the registered investment company continues to hold. 42 Section 4(b) of the Sudan Divestment Act. B. Costs While the form amendments may lead to some additional costs for registered investment companies, we believe that these costs should be minimal. We are requiring each registered investment company that divests securities in accordance with the Sudan Divestment Act to disclose the divestment on the next Form N-CSR or Form N-SAR that it files following the divestment. Registered investment companies retain records of securities transactions that, we believe, will permit them to readily identify and disclose, for divestments made in accordance with the Sudan Divestment Act, the securities divested, the dates of divestment, and any securities of the issuer retained by the investment company. Further, to ease the burden of information collection and disclosure, we have included an instruction in Form N-CSR and Form N-SAR stating that a registered investment company that divests securities in accordance with the Sudan Divestment Act during the period that begins on the fifth business day before the date of filing a Form N-CSR or Form N-SAR and ends on the date of filing may disclose the divestment in either that filing or an amendment thereto that is filed not later than five business days after the date of filing the Form N-CSR or Form N-SAR. 43 We believe that this flexibility may lessen the compliance burdens associated with reporting divestments that occur shortly before a registered investment company files a Form N-CSR or Form N-SAR. 43 Instruction 2. to Item 6(b) of Form N-CSR; Instructions to Item 133 of Form N-SAR. For purposes of the PRA, we estimate that it will take approximately 510 annual burden hours 44 to comply with the amendments to Form N-CSR and approximately 10 annual burden hours 45 to comply with the amendments to Form N-SAR, for an aggregate of approximately 520 total annual burden hours to comply with the form amendments. We estimate that this additional burden will equal total costs of approximately $145,000 annually. 46 We believe that the incremental costs of disclosing divestments in accordance with the Sudan Divestment Act on Form N-CSR and Form N-SAR are justified by the fact that such disclosures will make applicable to a registered investment company, and its employees, officers, directors, and investment advisers, the limitation on actions provided by the Sudan Divestment Act. These disclosures also will make important information about divestments in accordance with the Sudan Divestment Act available to investors, including information identifying the securities divested, the dates of divestment, and any securities of the issuer that the registered investment company continues to hold. 44 *See supra* note 40. 45 *See supra* note 41. 46 This cost increase is estimated by multiplying the total annual hour burden (520 hours) by the estimated hourly wage rate of $279.50 and rounding to the nearest 1,000. The estimated wage figure is based on published rates for compliance attorneys and senior programmers, modified to account for an 1800-hour work-year and multiplied by 5.35 to account for bonuses, firm size, employee benefits, and overhead, yielding effective hourly rates of $270 and $289, respectively. *See* Securities Industry Association, Report on Management & Professional Earnings in the Securities Industry 2007 (Sept. 2007). The estimated wage rate is further based on the estimate that attorneys and programmers would divide time equally, resulting in a weighted wage rate of $279.50 (($270 × .50) + ($289 × .50)). IV. Consideration of Burden on Competition; Promotion of Efficiency, Competition, and Capital Formation Section 23(a)(2) of the Exchange Act 47 requires us, when adopting rules under the Exchange Act, to consider the impact that any new rule will have on competition. Section 23(a)(2) also prohibits us from adopting any rule that will impose a burden on competition not necessary or appropriate in furtherance of the purposes of the Exchange Act. In addition, Section 2(c) of the Investment Company Act, 48 Section 2(b) of the Securities Act of 1933, 49 and Section 3(f) of the Exchange Act 50 require the Commission, when engaging in rulemaking that requires it 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. In the release proposing form amendments under the Sudan Divestment Act, we requested comments on whether the proposed amendments, if adopted, would promote efficiency, competition, and capital formation and whether they would impose a burden on competition. We received no comments in response. 47 15 U.S.C. 78w(a)(2). 48 15 U.S.C. 80a-2(c). 49 15 U.S.C. 77b(b). 50 15 U.S.C. 78c(f). The form amendments implement the Sudan Divestment Act's requirement that we prescribe regulations not later than 120 days after enactment that require disclosure by each registered investment company that divests itself of securities in accordance with the Act. Disclosure provided in response to the amendments will make applicable to a registered investment company, and its employees, officers, directors, and investment advisers, the limitation on actions provided by the Sudan Divestment Act. These disclosures also will make important information about divestments in accordance with the Sudan Divestment Act available to investors, including information identifying the securities divested, the dates of divestment, and any securities of the issuer that the registered investment company continues to hold. These amendments may improve efficiency. Disclosure provided in response to the amendments could increase efficiency at registered investment companies by making applicable to a registered investment company, and its employees, officers, directors, and investment advisers, the limitation on actions provided by the Sudan Divestment Act. These disclosures also could promote efficiency because they make important information about divestments in accordance with the Sudan Divestment Act available to investors, including information identifying the securities divested, the dates of divestment, and any securities of the issuer that the registered investment company continues to hold. Making such information available to investors may enable them to make more informed investment decisions. The amendments may promote competition. We anticipate that our form amendments may promote competition because they may make it easier for registered investment companies to choose whether or not to offer portfolios that include holdings in companies that conduct or directly invest in certain business operations in Sudan. Thus, the form amendments may facilitate competition by making it easier for registered investment companies to offer different types of portfolios that appeal to different investors. We do not anticipate that the amendments will impose a measurable burden on competition. We also do not anticipate that the form amendments will have a significant impact on capital formation. V. Final Regulatory Flexibility Analysis This Final Regulatory Flexibility Analysis (“Analysis”) has been prepared in accordance with the Regulatory Flexibility Act. 51 It relates to the Commission's form amendments under the Exchange Act and the Investment Company Act that require each registered investment company that divests securities in accordance with the Sudan Divestment Act to disclose the divestment on the next Form N-CSR or Form N-SAR that it files following the divestment. We published in the release proposing these amendments an Initial Regulatory Flexibility Analysis (“IRFA”), which we prepared in accordance with the Regulatory Flexibility Act. 51 5 U.S.C. 601 *et seq.* A. Need for the Form Amendments The purpose of the form amendments is to implement the Sudan Divestment Act's requirement that the Commission adopt rules requiring disclosure of divestments made in accordance with the Act. Disclosure provided in response to the amendments will make applicable to a registered investment company, and its employees, officers, directors, and investment advisers, the limitation on actions provided by the Sudan Divestment Act. These disclosures also will make important information about divestments in accordance with the Sudan Divestment Act available to investors, including information identifying the securities divested, the dates of divestment, and any securities of the issuer that the registered investment company continues to hold. B. Significant Issues Raised by Public Comment In the IRFA for the proposed amendments, we requested comment on any aspect of the IRFA, including the number of small entities that would be affected by the proposed amendments, the likely impact of the proposal on small entities, the nature of any impact, and providing any empirical data supporting the extent of the impact. 52 We received no comment letters a addressing the IRFA. 52 *See* Proposing Release, *supra* note 9, 73 FR at 8981. C. Small Entities Subject to the Rule The form amendments will affect registered investment companies that are small entities. For purposes of the Regulatory Flexibility Act, an investment company is a small entity if it, together with other investment companies in the same group of related investment companies, has net assets of $50 million or less as of the end of its most recent fiscal year. 53 Approximately 160 registered investment companies currently meet this definition. 54 53 17 CFR 270.0-10. 54 This estimate is based on analysis by the Division of Investment Management staff of publicly available data. D. Projected Reporting, Recordkeeping, and Other Compliance Requirements The amendments to Form N-CSR and Form N-SAR require each registered investment company that divests securities in accordance with the Sudan Divestment Act to disclose the divestment on the next Form N-CSR or Form N-SAR that it files following the divestment. For purposes of the PRA, we estimate that it will take approximately 510 annual burden hours to comply with the amendments to Form N-CSR and approximately 10 annual burden hours to comply with the amendments to Form N-SAR, for an aggregate of approximately 520 total annual burden hours to comply with the form amendments. We estimate that this additional burden will equal total costs of approximately $145,000 annually. E. Agency Action To Minimize the Effect on Small Entities The Regulatory Flexibility Act directs us to consider significant alternatives that would accomplish our stated objective, while minimizing any significant adverse impact on small issuers. In connection with the amendments, the Commission considered the following alternatives:
(1)The establishment of differing compliance or reporting requirements or timetables that take into account the resources available to small entities;
(2)the clarification, consolidation, or simplification of compliance and reporting requirements under the amendments for small entities;
(3)the use of performance rather than design standards; and
(4)an exemption from coverage of the amendments, or any part thereof, for small entities. The Commission believes that special compliance or reporting requirements for small entities, or an exemption from coverage for small entities, would not be appropriate or consistent with investor protection or the requirements of the Sudan Divestment Act. Disclosure provided in response to the amendments will make applicable to a registered investment company, and its employees, officers, directors, and investment advisers, the limitation on actions provided by the Sudan Divestment Act. These disclosures also will make important information about divestments in accordance with the Sudan Divestment Act available to investors, including information identifying the securities divested, the dates of divestment, and any securities of the issuer that the registered investment company continues to hold. Different disclosure requirements or different timetables for registered investment companies that are small entities would not be consistent with the requirements of the Sudan Divestment Act. Finally, in this rulemaking, we do not consider using performance rather than design standards to be consistent with the statutory requirement that we adopt rules for the protection of investors. We have endeavored through the amendments to minimize the regulatory burden on all registered investment companies, including small entities, while meeting the requirements of the Sudan Divestment Act. Small entities should benefit from the Commission's reasoned approach to the amendments to the same degree as other registered investment companies. VI. Statutory Authority The Commission is adopting amendments to Form N-SAR and Form N-CSR pursuant to authority set forth in Sections 10(b), 13, 15(d), 23(a), and 36 of the Exchange Act [15 U.S.C. 78j(b), 78m, 78o(d), 78w(a), and 78mm], and Sections 8, 13(c), 24(a), 30, and 38 of the Investment Company Act [15 U.S.C. 80a-8, 80a-13(c), 80a-24(a), 80a-29, and 80a-37]. List of Subjects 17 CFR Part 249 Reporting and recordkeeping requirements, Securities. 17 CFR Part 274 Investment companies, Reporting and recordkeeping requirements, Securities. Text of Form Amendments For the reasons set out in the preamble, the Commission amends Title 17, Chapter II, of the Code of Federal Regulations as follows. PART 249—FORMS, SECURITIES EXCHANGE ACT OF 1934 1. The authority citation for part 249 continues to read in part as follows: Authority: 15 U.S.C. 78a *et seq.* , 7202, 7233, 7241, 7262, 7264, and 7265; and 18 U.S.C. 1350, unless otherwise noted. PART 274—FORMS PRESCRIBED UNDER THE INVESTMENT COMPANY ACT OF 1940 2. The authority citation for part 274 continues to read in part as follows: Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 77s, 78c(b), 78l, 78m, 78n, 78o(d), 80a-8, 80a-24, 80a-26, and 80a-29, unless otherwise noted. 3. Form N-SAR (referenced in §§ 249.330 and 274.101) is amended by: a. Revising the reference “132” in Item 6 to read “133”; b. Adding new Item 133; c. Revising the reference “132” in the fifth paragraph of General Instruction A to read “133”; and d. Adding an instruction to new Item 133. The additions read as follows: Note: The text of Form N-SAR does not, and these amendments will not, appear in the Code of Federal Regulations. Form N-SAR 133. If the Registrant has divested itself of securities in accordance with Section 13(c) of the Investment Company Act of 1940 following the filing of its last report on Form N-SAR and before filing of the current report, disclose the following information for each such divested security: A. Name of the issuer; B. Exchange ticker symbol; C. CUSIP number; D. Total number of shares or, for debt securities, principal amount divested; E. Date(s) that the securities were divested; and F. If the Registrant holds any securities of the issuer on the date of filing, the exchange ticker symbol; CUSIP number; and the total number of shares or, for debt securities, principal amount held on the date of filing. This item 133 shall terminate one year after the date on which the provisions of Section 4 of the Sudan Accountability and Divestment Act of 2007 terminate pursuant to Section 12 of that Act. Instructions to Specific Items Item 133: Divestment of Securities in Accordance With the Sudan Accountability and Divestment Act of 2007 This item may be used by a Registrant that divested itself of securities in accordance with Section 13(c) of the Investment Company Act, which was added by the Sudan Accountability and Divestment Act of 2007. A Registrant is not required to include disclosure under this item; however, the limitation on civil, criminal, and administrative actions under Section 13(c) of the Investment Company Act does not apply with respect to a divestment that is not disclosed under this item. If a Registrant divests itself of securities in accordance with Section 13(c) of the Act during the period that begins on the fifth business day before the date of filing a Form N-SAR and ends on the date of filing, it may disclose the divestment in either the Form N-SAR or an amendment thereto that is filed not later than five business days after the date of filing the Form N-SAR. For purposes of determining when a divestment should be reported under this item, if a Registrant divests its holdings in a particular security in a related series of transactions, the Registrant may deem the divestment to occur at the time of the final transaction in the series. In that case, the Registrant should report each transaction in the series on a single Form N-SAR, but should separately state each date on which securities were divested and the total number of shares or, for debt securities, principal amount divested, on each such date. 4. Form N-CSR (referenced in §§ 249.331 and 274.128) is amended by: a. Revising the reference “Schedule of Investments.” in the caption to Item 6 to read “Investments.”; b. Designating the undesignated paragraph in Item 6 as paragraph (a); c. Revising the reference “ *Instruction* .” in Item 6 to read “ *Instruction to paragraph (a).* ”; and d. Adding new paragraph
(b)and new Instructions 1, 2, and 3 to paragraph
(b)to Item 6. The additions read as follows: Note: The text of Form N-CSR does not, and these amendments will not, appear in the Code of Federal Regulations. Form N-CSR Item 6. Investments
(a)* * *
(b)If the registrant has divested itself of securities in accordance with Section 13(c) of the Investment Company Act of 1940 following the filing of its last report on Form N-CSR and before filing of the current report, disclose the following information for each such divested security:
(1)Name of the issuer;
(2)Exchange ticker symbol;
(3)Committee on Uniform Securities Identification Procedures (“CUSIP”) number;
(4)Total number of shares or, for debt securities, principal amount divested;
(5)Date(s) that the securities were divested; and
(6)If the registrant holds any securities of the issuer on the date of filing, the exchange ticker symbol; CUSIP number; and the total number of shares or, for debt securities, principal amount held on the date of filing. This Item 6(b) shall terminate one year after the date on which the provisions of Section 4 of the Sudan Accountability and Divestment Act of 2007 terminate pursuant to Section 12 of that Act. *Instructions to paragraph (b).* 1. This Item may be used by a registrant that divested itself of securities in accordance with Section 13(c) of the Investment Company Act, which was added by the Sudan Accountability and Divestment Act of 2007. A registrant is not required to include disclosure under this Item; however, the limitation on civil, criminal, and administrative actions under Section 13(c) of the Investment Company Act does not apply with respect to a divestment that is not disclosed under this Item. 2. If a registrant divests itself of securities in accordance with Section 13(c) of the Act during the period that begins on the fifth business day before the date of filing a Form N-CSR and ends on the date of filing, it may disclose the divestment in either the Form N-CSR or an amendment thereto that is filed not later than five business days after the date of filing the Form N-CSR. 3. For purposes of determining when a divestment should be reported under this Item, if a registrant divests its holdings in a particular security in a related series of transactions, the registrant may deem the divestment to occur at the time of the final transaction in the series. In that case, the registrant should report each transaction in the series on a single Form N-CSR, but should separately state each date on which securities were divested and the total number of shares or, for debt securities, principal amount divested, on each such date. Dated: April 24, 2008. By the Commission. Nancy M. Morris, Secretary. [FR Doc. E8-9410 Filed 4-29-08; 8:45 am] BILLING CODE 8010-01-P DEPARTMENT OF HOMELAND SECURITY Bureau of Customs and Border Protection DEPARTMENT OF THE TREASURY 19 CFR Part 12 [CBP Dec. 08-17] RIN 1505-AB91 Import Restrictions Imposed on Archaeological and Ethnological Material of Iraq AGENCIES: Customs and Border Protection, Department of Homeland Security; Department of the Treasury. ACTION: Final rule. SUMMARY: This document amends the Customs and Border Protection
(CBP)regulations to reflect the imposition of import restrictions on Archaeological and Ethnological Material of Iraq pursuant to section 3002 of the Emergency Protection for Iraqi Cultural Antiquities Act of 2004. This document also contains the Designated List of Archaeological and Ethnological Material that describes the types of articles to which the import restrictions apply. DATES: *Effective Date:* April 30, 2008. FOR FURTHER INFORMATION CONTACT: For legal aspects, George F. McCray, Esq., Chief, Intellectual Property Rights and Restricted Merchandise Branch,
(202)572-8710. For operational aspects, Michael Craig, Chief, Federal Agency Enforcement Branch,
(202)863-6558. SUPPLEMENTARY INFORMATION: Background The value of cultural property, whether archaeological or ethnological in nature, is immeasurable. Such items often constitute the very essence of a society and convey important information concerning a people's origin, history, and traditional setting. The importance and popularity of such items regrettably makes them targets of theft, encourages clandestine looting of archaeological sites, and results in their illegal export and import. The United States shares in the international concern for the need to protect endangered cultural property. The appearance in the U.S. of stolen or illegally exported artifacts from other countries where there has been pillage has, on occasion, strained our foreign and cultural relations. This situation, combined with the concerns of museum, archaeological, and scholarly communities, was recognized by the President and Congress. It became apparent that it was in the national interest of the U.S. to join with other countries to control illegal trafficking of such articles in international commerce. The United States joined international efforts and actively participated in deliberations resulting in the 1970 United Nations Educational, Scientific and Cultural Organization (UNESCO) Convention on the Means of Prohibiting and Preventing the Illicit Import, Export and Transfer of Ownership of Cultural Property (823 U.N.T.S. 231 (1972)). United States acceptance of the 1970 UNESCO Convention was codified into U.S. law as the “Convention on Cultural Property Implementation Act” (Pub. L. 97-446, 19 U.S.C. 2601 *et seq.* ) This was done to promote U.S. leadership in achieving greater international cooperation towards preserving cultural treasures that are of importance to the nations from which they originate and to achieve greater international understanding of mankind's common heritage. During the past several years, import restrictions have been imposed on archaeological and ethnological artifacts of a number of signatory nations. These restrictions have been imposed as a result of requests received from those nations under Article 9 of the 1970 Convention and pursuant to provisions of the Convention on Cultural Property Implementation Act that allow for emergency action and bilateral agreements between the United States and other countries. U.N. Security Council Resolution 1483 United Nations Security Council Resolution 1483, adopted on May 23, 2003, obligates all member nations, regardless of whether they are parties to the 1970 UNESCO Convention, to assist in the protection of Iraq's cultural heritage. Paragraph 7 of the Resolution states that “all Member States shall take appropriate steps to facilitate the safe return to Iraqi institutions of Iraqi cultural property and other items of archaeological, historical, cultural, rare scientific, and religious importance illegally removed from the Iraq National Museum, the National Library, and other locations in Iraq since the adoption of resolution 661
(1990)of 6 August 1990, including by establishing a prohibition on trade in or transfer of such items with respect to which reasonable suspicion exists that they have been illegally removed, and calls upon the United Nations Educational, Scientific, and Cultural Organization, Interpol, and other international organizations, as appropriate, to assist in the implementation of this paragraph;”. Emergency Protection for Iraqi Cultural Antiquities Act of 2004 The Emergency Protection for Iraqi Cultural Antiquities Act of 2004 (title III of Pub. L. 108-429) (“the Act”) authorizes the President to exercise the authority of the President under section 304 of the Convention on Cultural Property Implementation Act (19 U.S.C. 2603) with respect to any archaeological or ethnological material of Iraq without regard to whether Iraq is a State Party under the Convention on Cultural Property Implementation Act, and without the need for a formal request from the government of Iraq. Under 19 U.S.C. 2603, if the President determines that an emergency condition applies with respect to any archaeological or ethnological material of any State Party, the President may apply the import restrictions set forth in 19 U.S.C. 2606 with respect to such material. In Presidential Memorandum for the Secretary of State and the Secretary of Homeland Security, entitled Assignment of Functions Relating to Import Restrictions on Iraqi Antiquities, dated May 5, 2006 (71 FR 28753), the President assigned the functions of the President under section 3002 of the Act to the Secretary of State. In Delegation of Authority No. 294, published in the **Federal Register** on July 20, 2006 (71 FR 41306), the Secretary of State delegated to the Under Secretary for Political Affairs, to the extent authorized by law, all authorities and functions vested in the Deputy Secretary of State, including all authorities and functions vested in the Secretary of State or the head of agency that have been or may be delegated or re-delegated to the Deputy Secretary. In Delegation of Authority No. 296, published in the **Federal Register** on February 22, 2007 (72 FR 8054), the Under Secretary of State for Political Affairs delegated to the Assistant Secretary of State for Educational and Cultural Affairs the functions of the President under section 3002 of the Act. Pursuant to section 304 of the Convention on Cultural Property Implementation Act (19 U.S.C. 2603) and section 3002 of the Act, the Acting Assistant Secretary of State for Educational and Cultural Affairs, United States Department of State, concluding that an emergency condition applies with respect to archaeological and ethnological materials of Iraq, made the necessary determination on July 2, 2007, to impose import restrictions on such materials of Iraq. Accordingly, CBP is amending 19 CFR part 12 to reflect the imposition of the import restrictions. The Designated List of Archaeological and Ethnological Material of Iraq that describes the types of articles to which the import restrictions apply is set forth below. This list is for general guidance only and is not intended to be all-inclusive. More information on import restrictions may be obtained from the International Cultural Property Protection Web site ( *http://exchanges.state.gov/culprop* ). Importation of archaeological and ethnological materials of Iraq are restricted unless the conditions set forth in 19 U.S.C. 2606 and 19 CFR 12.104c are met. These restrictions are in effect until further notice. Designated List of Archeological and Ethnological Material of Iraq Table of Contents I. Ceramic II. Stone III. Metal IV. Glass V. Ivory, Bone, Shell VI. Stucco VII. Painting VIII. Textiles IX. Paper, Parchment, Leather X. Wood Chronology Neolithic (c. 6800-5500 BC) Chalcolithic (c. 5500-3000 BC) Early Bronze Age (c. 3000-2000 BC) Middle Bronze Age (c. 2000-1600 BC) Late Bronze Age (c. 1600-1200 BC) Iron Age (c. 1200-330 BC) Late Assyrian (c. 900-612 BC) Achaemenid Persian (539-331 BC) Hellenistic-Seleucid (331-138 BC) Parthian (138 BC-AD 224) Sasanian (AD 224-636) Islamic (AD 636-present) Umayyad (AD 661-750) Abbasid (AD 750-1258) I. Ceramic A. Introduction This category includes objects of both fired and unfired clay. Types commonly encountered include cuneiform tablets, cones, and bricks (I.B.2, 3, and 4), figurines and plaques (I.C.1 and 2), incantation bowls (I.D.7.a), and beads (I.F.1). B. Inscriptions, Writing 1. Cuneiform characters are written either with patterns of small impressed triangles or with incised pictographs. Any object bearing such writing has a strong likelihood of having come from Iraq. 2. *Tablets:* Covered with cuneiform characters, they are usually unbaked and must be handled with extreme care. Shapes range from very small rounded disk forms, to small square and rectangular pillow-shaped forms, to larger rectangular tablets. Approximate sizes are from 3 x 3 cm to 20 x 30 cm, though some can be larger. They sometimes occur with an enclosing clay envelope, which is also inscribed. Both tablets and envelopes may be impressed with cylinder or stamp seals (see II.B and C). 3. *Cones:* The large end is sometimes flat, sometimes mushroom shaped. Inscribed cuneiform characters can cover the head and/or body of the cone. Approximately 15 cm long. 4. Bricks may be inscribed or stamped with cuneiform inscriptions that are often placed in small frames on one of the sides. Approximately 30 x 30 x 10 cm. 5. *Cylinders:* Large cuneiform-inscribed objects can take the form of a multisided prism or barrel. The inscription typically covers all sides of the object. Approximately 20-30 cm high. C. Sculpture 1. *Plaques:* Particularly common in the 2nd millennium BC are clay plaques made from molds and depicting a wide range of scenes in relief, including standing deities, musicians, animals, and mythological, ritual, and erotic images. Decorated on only one side, most are small enough to be easily held in the hand. Approximately 8-15 cm high. 2. *Figurines:* Terracotta figurines occur in all periods from the Neolithic through the Sasanian. a. Chalcolithic figurines include Halaf style, characterized by seated naked females (usually headless), with bulging, rounded legs, arms, and breasts, and occasionally with painted decorations on their bodies; and Ubaid style of elongated, standing, nude male and female figures with tall, conical heads, “coffee-bean”-shaped eyes, and applied body ornaments. b. Later figurine types are either hand-made or mold-made, typically nude, frontal females. Figurines of gods and goddesses that show seated or standing deities with horned helmets are most common at the end of the 3rd and beginning of the 2nd millennium. Small, naturalistically-rendered, painted animal and human terracottas are distinctive of the Kassite period at the end of the 2nd millennium. Approximately 5-20 cm high. c. Animal figurines, usually four-legged animals such as cows and horses, occur in all periods. Also occurring are relatively large-scale hollow figures of animals (up to about 70 cm high), either unglazed or glazed, seated or standing, most often of lions. d. Small, mold-made freestanding supernatural human figures and figures of dogs, often with cuneiform inscriptions, are characteristic of the 1st millennium. Approximately 5-15 cm high. e. Figurines of the Seleucid through Sasanian periods, including reclining female nudes and ladies wearing drapery, display varying degrees of influence from the Greco-Roman tradition. Terracotta molded figures, especially heads, are common in the Seleucid period. Approximately 2-10 cm high. 3. *Models and Miscellaneous:* a. Models include furniture, such as chairs and beds, chariots, boats, and buildings. Approximately 5-20 cm or larger. b. Molds used for casting metal objects and clay plaques and figures also occur. c. Oil lamps and bathtub- and slipper-shaped coffins appear in the Hellenistic through Sasanian periods. d. Some stamp and cylinder seals are made from fired clay, faience, or a composite material related to faience. e. Terracotta theatrical masks made from molds are a common feature of the Parthian period. D. Vessels 1. *General:* The ceramic tradition in Iraq is among the oldest in the world, extending back some 9000 years and encompassing a tremendous variety of shapes, fabrics, and decorative treatments. Only the most distinctive types are listed here. If in doubt, an expert should be consulted. 2. Neolithic vessels. a. *General characteristics:* Unglazed bichrome pottery having a buff body decorated with dark paint. Decoration consists of geometric patterns, sometimes based on human, animal, and plant forms. b. *Ceramic Neolithic:* Hand-made, burnished or painted with simple designs of geometric patterns such as obliquely arranged lines, chevrons, herring-bones, or “tadpole” pattern. Forms include bowls, cups, and open-mouthed jars with flat bases and curved or angled sides. Also common are undecorated, heavily tempered wares and cream or white slips. Approximately 8-30 cm in diameter. c. *Hassuna:* Hand-made, burnished, incised, painted, and coarse wares in cream, buff or greenish fabrics. Decorations take geometric shapes, such as triangles and zig-zags, that can be arranged in multiple zones of running patterns. Forms include low, open bowls, globular jars, and shallow corrugated-bottomed “husking” trays. Approximately 12-30 cm in diameter. d. *Samarra:* Most commonly hand-made deep or shallow bowls, pedestaled bowls and jars decorated in matt brown or grey on smoothed buff slip with narrow zones of geometric designs reminiscent of basketry. The interior is often painted with humans or animals in simplified geometric forms arranged in circular or whirligig compositions. Approximately 12-30 cm in diameter. 3. Chalcolithic vessels. a. *General characteristics:* Unglazed bichrome pottery having a buff body decorated with dark paint, and polychrome pottery having a buff body decorated with red, black, and white paint. Decoration consists of geometric patterns, sometimes including motifs from nature. b. *Halaf:* Hand-made polychrome pottery, often polished to a high sheen. Complex compositions of geometric and natural motifs in red, orange, brown/black, and white reminiscent of textiles, sometimes incorporating dense patterns of tiny black dots. Forms include plates, shallow bowls, footed goblets, and jars with flaring necks and oval mouth. Approximately 20-30 cm in diameter. c. *Earlier Ubaid:* Hand-made wares, including fine buff or cream-slipped fabric decorated with thick dark paint with zones of geometric designs such as parallel lines in different directions, zigzags, and chevrons. Forms include bowls with and without ring bases, large dishes, sauceboats, beakers, and globular jars. Approximately 10-30 cm in diameter. d. *Later Ubaid:* Wheel-made pottery often of a greenish hue, decorated with fine monochrome dark paint, used sparingly in broad black horizontal lines and simple curving shapes. Forms include large globular jars, shallow flaring bowls, round-bottomed bowls, and cups with flat bases. Approximately 4-20 cm in diameter. e. *Uruk:* Burnished or polished monochrome (red-slipped or grey) wares, typically undecorated and mass-produced (wheel-made). Jars of this period often have bulging bellies, large mouths, short necks, and occasionally tubular spouts on the shoulder. A standardized, small, hand-made coarse ware bowl with a beveled rim also appears commonly. Approximately 5-20 cm in diameter and 5-40 cm high. 4. Early Bronze Age vessels. a. *Jemdet Nasr:* polychrome painted vessels with tightly packed geometric patterns, usually confined to the shoulder and predominately plum-red in color. b. *Scarlet Ware:* polychrome painted globular jars, often with handles and bulging bellies, with red and black geometric designs, human figures, and animals. c. *Ninevite 5:* decorations include incised and excised geometric shapes, or dark brown painted designs. d. Many vessels are undecorated or simply incised in a single zone. Large vessels may have decorations around their necks, such as incisions or small, applied animals. Zoomorphic forms also occur, including cow, bird, and fish shapes. Approximately 10-40 cm in diameter and 8-50 cm high. 5. Middle and Late Bronze Age vessels. a. Mostly undecorated wares. b. Mitannian ware (also called Nuzi, Alalakh, or Hurrian ware): tall goblets with small, button bases, painted light floral and geometric designs on a dark (red or brown) background. Approximately 10-20 cm high. c. Jars, vases, beakers, and flasks, painted in black or brown or decorated with incised designs of birds, animals, boats, and geometric designs. d. Large jars with molded animals and decorations serving as spouts or ornamenting the body. e. Glazed vessels, often in blue or green, appear. 6. Iron Age vessels. a. “Palace” or “eggshell” wares: thin-walled, fine vessels of buff-grey-green fabric that imitate metallic shapes. Common forms include open bowls, beakers, goblets, dishes, and tall cups with animal-headed base. Approximately 3-40 cm high. b. Glazed vessels occur, many of which have polychrome decorations of geometric patterns or animals and floral designs. Forms include buckets, jars, and closed bowls. Approximately 8-40 cm high. 7. Hellenistic-Seleucid, Parthian, Sasanian vessels. a. Most common are unglazed Aramaic incantation bowls of the Sasanian period, painted on the inside surface with long magical texts that surround an image of a bound demon. Sometimes the text is only simulated with squiggles. Other painted and incised unglazed wares, particularly dating to the Parthian period, have Aramaic, Syriac, Mandaic, or Middle Persian inscriptions. b. Glazed vessels such as jars and vases are also common, occasionally in zoomorphic forms such as tall cups with animal-headed base. Glaze colors include shades of blue, green, and red. c. Sasanian buff ware is often stamped around the perimeter of the body with stamps that depict animal subjects. d. *Forms of Parthian and Sasanian pottery include:* pitchers, jugs, tall two-handled jars, lamps, bowls, pots, flasks, footed bowls, plates, dishes, cups, vases, and bottles. Approximately 10-35 cm high. 8. Umayyad, Abbasid vessels. a. *Molded and stamped earthenware:* Oil lamps, bowls, ewers, and jugs, stamped with geometric and simple floral designs. Sometimes they are covered with a green glaze. b. *Blue on White:* Small bowls, ewers, jugs, and platters, covered with a bright white glaze embellished with designs in cobalt blue. Typical patterns were floral, abstract, and geometric, and sometimes framed with a festooned edge. Short blessings in Arabic or the potter's signature were also used as decorative devices. c. *Lusterware:* Ceramics with a shiny, lustrous surface design that emulated the effect of precious metal objects. Extant vessels consist of bowls, small flat-bottomed platters, and trays, as well as some ewers and tiles. The designs include floral themes, pairs of wings, and at times highly stylized animals or even awkward-looking humans. Surface patterns were dense and highly abstract. d. *Unglazed wares:* Large unglazed water jars with rounded bottoms, covered with relief decoration and combinations of molding, engraving, carving, and piercing. Motifs included ancient gods and their sacred animals as well as court officials and revelers. E. Architectural Elements 1. *Bricks and tiles:* Molded, carved, or flat, glazed or unglazed, sets of bricks or tiles were used to veneer the walls of buildings. They can show geometric or floral designs, figured scenes, or inscriptions. Often, many separate bricks fit together to form a larger composition. 2. *Plaques:* Glazed wall plaques, including square and round examples with protruding knobs, are especially common during the 1st millennium. Approximately 30-45 cm in width/diameter. 3. *Cones:* Small to medium-sized cones are found either loose or stuck into wall plaster to form mosaic designs. Their wider end can be painted red or black, or dipped in bitumen. Some are topped with rosettes, either painted or glazed. Approximately 8-20 cm long. F. Miscellaneous 1. Beads, pendants, amulets, and seals were often made out of ceramic or ceramic-related materials such as faience and glazed ceramic. 2. Sealings are lumps of sun-dried clay that were applied over knotted cords and then impressed with images from cylinder or stamp seals (see II.B and C). They were used to secure jars and other types of containers, bundles, doors, and documents. They often have irregular forms, with the seal impressions on the outer surface, while the inner surface is molded to the shape and texture of the item secured. Inscriptions might be present. Approximately 2-15 cm in width/diameter. 3. Spindle whorls, usually in the shape of a bi-conic disk and pierced through the axis, can be either sun dried or baked and occur from the Neolithic through Sasanian periods. Approximately 3-6 cm in diameter. II. Stone A. Introduction Types most commonly encountered include cylinder and stamp seals (II.B and C), Late Assyrian relief fragments (II.D.5), and chlorite vessels (II.F.4). B. Cylinder Seals 1. A cylinder seal is a large cylindrical bead with a hole pierced through its vertical axis and engraved images around the outer circumference. These seals can range from extremely small (ca. 2 cm high) to more substantial (ca. 8 cm high), with diameters from 1-3 cm. This is the predominant seal type from the end of the 4th millennium through the 1st millennium BC. 2. Stones for seals vary over time, ranging from soft stones such as marbles and serpentines, to harder ones such as hematite and chalcedony. Semi-precious stones like lapis lazuli, agate, and jasper are also popular. In the later periods (Seleucid through Sasanian), gemstones are popular, including pearl, turquoise, garnet, carnelian, agate, quartz, onyx, sardonyx, heliotrope, jasper, rock crystal, amethyst, hematite, goethite, lapis lazuli, and also glass and metal. C. Stamp Seals 1. *Early periods (Chalcolithic):* square, circular (“button”), lentoid, hemispheric, and “gable-backed” forms carved on one flat surface with engraved geometric designs and/or simple human and animal figures. The square and circular types often have knobs on their top sides. A distinctive type is the stamp seal carved in the shape of an animal such as a reclining cow or sheep, with the sealing surface on the bottom. 2. Late stamp seals (from the 1st millennium BC through the Sasanian period) take several standardized shapes, including eight-sided pyramidal stamps, cones, cameos (carved in raised relief), ellipsoidal or domical seals (sides can be undecorated or decorated), and rings. The flat sealing surface, usually oval or round in shape, is engraved with a wide range of subjects. D. Relief and Inlay Sculpture 1. Inlay sculpture takes monumental and small-scale forms in the 3rd millennium BC. Monumental examples include friezes of sculpted stone figures set into an inlaid stone or bitumen background. Small-scale examples with flat, cut-out figures in light-colored stones set against dark stone or bitumen backgrounds decorate boxes and furniture. Subjects include narrative scenes such as warfare and banqueting. 2. Square, carved relief plaques (approximately 30-40 cm square), often depicting banqueting scenes in a series of registers arranged around a central hole, are found during the 3rd millennium BC. 3. Large free-standing stone steles, almost always fragmentary, occur from the 3rd through the 1st millennium BC. They are carved with scenes commemorating battles and building projects, and often have inscriptions on them. They can stand over 200 cm high, though most of the fragments are smaller. 4. A type of small stele, the bolder-shaped “boundary stone” of the late 2nd and early 1st millennia BC, is characterized by long inscriptions and multiple carved relief images, some of which have been associated with zodiac signs and divine symbols. Approximately 50 cm high. 5. Late Assyrian relief wall panels lined the walls of palaces and temples. Intact examples can be over 200 cm high, and fragments are common. They depict detailed images of battles, ceremonies, and supernatural beings and plants, and are often inscribed in cuneiform, either directly on the relief imagery or in designated areas. 6. In the Hellenistic-Seleucid and Parthian periods, small altars or architectural models displaying columned settings for figures are carved in a provincial Greco-Roman style. Funerary sculpture, steles, and reliefs (from sarcophagi or architectural units) can depict the deceased alone, banqueting with family members, or in association with the gods. E. Sculpture in the Round 1. Small carvings consisting of a cylindrical shaft that terminates in the head of a bird, snake, or human date to the early Neolithic period. Approximately 8-22 cm high. 2. Alabaster figurines of nude, standing females carved in an angular, geometric fashion with tall heads and sometimes having inlaid eyes date to the late Neolithic period. Approximately 5-15 cm high. 3. Small sculptures including animals, especially bulls, and human forms, such as the “Priest-King” figure depicted wearing a tight-fitting cap with a rolled brim, occur in the 4th millennium BC. 4. Votive statues of worshippers—men, women, and couples—some of which bear cuneiform inscriptions on their backs, show the figures either seated or standing with hands clasped and in a frontal position, staring straight ahead. The form is most common in the 3rd millennium BC and assumes more monumental scale later. The earlier statues, typically less than 70 cm high, tend to be from soft white stones like limestone. Larger and later statues, some life-size, use harder stones like diorite. 5. In the Late Assyrian period, gateway sculptures in the form of lions and bulls, often winged, range from diminutive to, more commonly, colossal (up to approximately 450 cm high). 6. In the Hellenistic-Seleucid and Parthian periods, statuary of historical, mythical, or divine figures are executed in two different styles: a provincial Greco-Roman style, and a local style. Stones used include soft limestones and marbles. Approximate sizes range from under-life-size to over-life-size. a. Statues in the Greco-Roman style stand in a pronounced asymmetrical pose with the weight shifted onto one leg, and often show the human figure as a nude or in Roman military garb. b. The local style features life-size statues of nobles who stand on inscribed bases and are shown wearing elaborate costumes and jewelry. Local male dress can include a long open jacket over a knee-length tunic and baggy trousers. Often only the heads survive. Also represented are divine and mythological figures, including both Greco-Roman and Iranian types, such as Hercules, Hermes, Aphrodite, Fortuna-Isis, and the moon-god. Figurines, typically of soft stones like alabaster, are also produced. Approximately 20 cm high. F. Vessels 1. Ground stone vessels occur from the early Neolithic to the Sasanian period. 2. Alabaster miniature vessels date to the late Neolithic period. Forms include small bowls, plates, cups, anthropomorphized jars, and complex forms of unknown purpose. 3. A wide variety of stone vessels, some carved with figural scenes in relief, others inlaid with colored stones to form geometric patterns, marks the later 4th millennium production. Forms include jars with spouts on their shoulders, and tall cylindrical vases. 4. During the 3rd millennium, both imported and locally produced vessels carved from soft stones, such as chlorite and alabaster, appear in a variety of different and unusual shapes and carved relief designs. The chlorite vessels are decorated with a large range of subjects including mythological figures and geometric patterns, and sometimes include colored inlays. Later forms tend to be closed containers of a fairly small size, perhaps meant for cosmetics, and are rarely decorated. 5. Small bottles and larger storage jars of stone appear in the 3rd millennium assemblage. The most common stones used include calcites (limestone, alabaster, and marble), steatites (chlorite and serpentine), and sandstones. 6. Alabaster jars with handles and high, hollow feet are popular in the Late Bronze Age. Semi-precious and extremely hard stones, such as lapis lazuli, agate, onyx, porphyry, and obsidian, are also used. Inscribed examples sometimes occur. 7. Flat-bottomed querns and mortars, often of basalt, form a constant part of the domestic repertoire. G. Architectural Elements 1. Architecture is constructed from finely dressed stone in the Seleucid through Sasanian periods, including walls, ceilings, gates, doorways, arches, blind windows and niches, engaged columns, pilasters, capitals, architraves, cornices, crenellations, and arcades. Broad expanses of surface were decorated with fluted buttresses and recesses. Larger walls were broken up with bordered paneling, either molded or painted. Column capitals occur in a variety of orders, including Corinthian, Doric, and Ionic. 2. Architectural decoration of both patterned designs and figures adorned buildings in the Seleucid through Sasanian periods, for example at Hatra. a. Architectural relief sculpture may depict frontal male and female Parthian busts, and masks of Greek mythological figures, such as the satyr; larger relief compositions (lintels, beams, wall slabs) feature military or mercantile subjects, the enthroned king, and investiture scenes. b. Decorative motifs on friezes include bead and reel, egg and dart, interlocking geometric designs, Greek key, meanders, vines, acanthus plants, laurels, grapes, palmettes, arcades, human busts and masks, and mythological subjects. 3. Mosaics are created from cut and polished stones in the Seleucid through Sasanian periods. They follow Roman practice with typically Hellenistic themes. 4. Stone mihrabs and other architectural elements in the Islamic period can be carved in relief with elaborate floral, geometric, and calligraphic designs. H. Inscriptions, Writing 1. Cuneiform inscriptions appear on stone tablets in shapes replicating those of clay tablets. 2. Cuneiform also appears on stone wall slabs, either with or without figural imagery, particularly during the Late Assyrian period. These examples are often fragmentary, with only a few characters on a fragment that has been trimmed to a regular shape. 3. Inscriptions in cuneiform, Aramaic, Greek, and Arabic characters can appear on vessels, sculptural forms, and architectural elements in the later periods. I. Amulets, Pendants, and Beads 1. Amulets in the earlier periods tend to take the form of animals. 2. Pendants and beads, appearing from the Neolithic period onward, often use semi-precious imported stones, such as lapis lazuli, carnelian, and agate, and take a variety of forms, including barrel-shaped, biconical, and discoid. Approximately 1-4 cm long. J. Tools and Weapons 1. Stone tools and weapons begin in the Paleolithic period and continue, with changes, through time. Flint and obsidian are popular stones for chipped and flaked tools and weapons, including hand axes, spear points, sickle blade components, and cutting utensils. Sizes can range from just a few centimeters for small blades to 20 cm for large axes. 2. Stone mace-heads, pierced through their long axis, appear during the historical periods and can sometimes be carved with figures in relief or inscribed with cuneiform. 3. Stone weights are found in a variety of shapes, most commonly that of a duck with its head tucked onto its back. Common stone types for weights include hematite and diorite. III. Metal A. Introduction: This category includes objects of copper/bronze, iron, gold, silver, and their alloys. Types most commonly encountered include coins (III.B), “Luristan”-style weapons and horse bridle fittings (III.C.1 and 2), foundation figurines (III.D.1), and jewelry (III.E). B. Coins 1. Coins in Iraq have a long history and great variety, spanning the Achaemenid Persian, Hellenistic Seleucid, Parthian, Sasanian, and Islamic periods. Coins from neighboring regions circulated in Iraq as well. Early coins are hand-stamped, so that the design is usually off-center. 2. Achaemenid coins are the gold daric and silver siglos, and fractional and multiple denominations. Both are stamped on the front with an image of the king holding a bow, and on the back with a non-figural oblong mark. 3. Coin types and materials for coins minted or circulated in Iraq during the Seleucid, Parthian, and Sasanian periods include gold staters and dinars, bronze or silver drachms, tetradrachms, and hemidrachms, and smaller bronze and lead coins. These coins usually have male and female busts (of kings and queens) on the front. Seated archers, seated gods such as Zeus, winged Victory, and other Greco-Roman mythological subjects, are usually on the reverse of the Seleucid and Parthian coins, which are inscribed in Greek or Parthian. Sasanian period coins typically feature a fire altar on the back, either with or without figures, and are inscribed in Middle Persian. 4. Early Islamic coins are of gold, silver, and copper. Most are stamped on both sides with inscriptions in Arabic, though a few types have an image on one side and an inscription on the other. C. Tools and Weapons 1. Copper, bronze, and iron were used to manufacture a wide range of weapons (including so-called “Luristan” types), such as blades, daggers, and axes; and tools, including adzes, points, pins, needles, and fishing hooks. Steel blades for items like swords appear in the 1st millennium AD. 2. Horse-related equipment in bronze includes bits, some of which can be cast in intricate designs (including so-called “Luristan” types), and harness trappings such as blinders and frontlets. 3. Bronze and iron armor occurs, including scales, shields, and helmets. Armor and weapons of the Islamic period can be decorated with arabesque designs and inscriptions. 4. Copper/bronze weights are found in a variety of shapes, including that of a recumbent lion. D. Sculpture 1. Solid-cast copper/bronze figurines include so-called foundation figurines of standing male figures (sometimes with a peg-shaped lower body and/or carrying a basket on the head), stands in the shape of animals and human figures, and a wide range of small figures. Approximately 10-35 cm high. 2. Hollow-cast copper/bronze large-scale figures occur, of which often only parts such as toes or feet are found, though occasionally more complete examples survive. 3. Sheet copper/bronze was hammered over a core (usually of wood and now lost) and secured with rivets to create large-scale architectural sculpture. 4. Strips of bronze decorated in relief with narrative images were nailed to wooden doors of the Late Assyrian period. E. Jewelry and Personal Ornaments 1. Gold, Electrum, and Silver a. Metalworking techniques include hammering, gilding, casting, filigree, granulation, and cloisonné. Simple forms of bangles appear in almost all periods. b. Early jewelry includes simple beads, pendants in forms such as animals and insects, spirals, wire, bands, rosettes, and hairpins. c. Exceptionally rich burials of the Early Bronze Age from Ur have produced elaborate necklaces, headdresses, and ornaments, including gold and silver ribbons, gold leaf-shaped pendants, beads, and pins, sometimes set with semiprecious stones. d. Exceptionally rich burials of the Late Assyrian period from Nimrud have produced outstanding examples of jewelry, including heavy gold bracelets inlaid with semi-precious stones, inlaid earrings, cast gold armlets with zoomorphic terminals, gold fibulae, cut out appliqués, gold mounted stamp seals, and an elaborate gold headdress with floral elements created in gold leaf and beadwork. e. Elaborate jewelry continues during the Seleucid through Sasanian periods, including finger rings, earrings, diadems, and pendants. Seleucid and Parthian jewelry is mostly of gold or gold plate, less frequently of silver or bronze. It is often inlaid with precious gems or glass imitations set in raised flanges. 2. Copper/Bronze a. Simple bracelets, anklets, and rings occur in copper and bronze in all periods. b. Small beads and simple trinkets in copper appear as early as the 9th millennium BC. c. Mirrors, tweezers, and razors appear by the 3rd millennium BC. d. Fibulae (triangular safety pins for garments) appear in the 1st millennium BC and become standard ornaments thereafter. 3. Iron Small pieces of native iron were used as ornaments before the 1st millennium BC and include items such as beads, bracelets, and pendants. F. Vessels 1. Copper/Bronze a. Bronze is commonly used for utilitarian items such as vessels from the end of the 3rd millennium through the 1st millennium BC. b. Shallow bronze bowls of “Phoenician” and “Syrian” styles from the Late Assyrian period bear concentric rings of complex imagery on their outside (they also occur in silver and gilt silver). c. Large bronze cauldrons and cauldron stands begin to be produced in the 1st millennium BC, some of which include cast decorations in the shape of bulls, griffins, or human heads. d. `Bath-tub'-shaped bronze coffins appear beginning in the 1st millennium BC. e. Ewers with bulbous bodies, long necks and handles were produced in the Sasanian and Abbasid periods. f. Copper-alloy metalwork in the Islamic period can be engraved with inscriptions and elaborate floral and geometric designs, sometimes with enamel inlays. Forms include bowls, ewers, candlesticks, and astrolabes. g. Copper-alloy metalwork inlaid with silver began to appear in the 13th century AD. The shapes include ewers, basins, boxes, incense burners, and pen boxes, which are notable for their frequent representation of princes and a wide variety of scenes, inspired by manuscript illustration. Metalwork from Mosul also stands out for its inclusion of “genre scenes,” such as shepherds with their flocks, boys shooting at birds, etc. These scenes, which vary in size, are separated by decorative patterns. 2. Gold, Electrum, and Silver a. Vessels in these metals are known primarily from the Early Bronze Age, the Late Assyrian period, and the Seleucid through Sasanian periods. Forms for vessels include fluted tumblers and bowls, spouted vessels, shallow bowls and plates, and handled jugs and jars. Decorative techniques include repoussé, chasing, engraving, and appliqué. Some carry inscriptions. b. During the Seleucid through Sasanian periods, vessels are typically in silver, less frequently in bronze or gold. Designs on silver vessels are sometimes overlaid in gold plate. Forms include platters (with royal themes, usually a hunt on horseback or on foot), bowls, ewers (with domestic or religious themes and decorative elements), pitchers, handled “tea” cups, and tall cups with animal-head bases. c. Sasanian decoration is organized by central medallions (usually having a beaded or floral border) and flanking scrollwork. Themes inside medallions include griffins, antelopes, stags, rams, eagles, flowers, dancing girls in arcades, and human busts. Common techniques for fashioning vessels include hammering, repoussé, casting small elements, and chasing. G. Miscellaneous 1. Furniture parts, such as chair legs, struts, and openwork panels, were cast and hammered in copper/bronze. 2. Architectural elements in copper/bronze include door-pivots, knobs, and nails. 3. Silver coils, rings, ingots, and scrap served as a form of pre-coinage currency. 4. Some utilitarian forms were copied in precious metal for ceremonial purposes, such as gold weapons and tools. 5. Gold and silver leaf were used to cover a number of different types of objects, including parts of lyres, such as bull head ornaments. 6. Ritual and ecclesiastical objects pertaining to Iraq's religious communities include, but are not limited to, crosses, chalices, kiddush cups, candelabra, and Torah pointers. IV. Glass A. Introduction The type most commonly encountered is Sasanian vessels (IV.B.3), which are often misrepresented as Roman glass. B. Vessels 1. Early glass is opaque or translucent, in imitation of semi-precious stones. One type of vessel is made of bands of colored glass (predominantly blue, with white, yellow, orange, and pale blue), often shaped into festoons and other patterns. Another type is mosaic glass, created by fusing multicolored glass disks. Forms include beakers, flasks, small bottles, small handled jars, hemispherical bowls, goblets, plates, and small jugs. Approximately 6-20 cm high. 2. Transparent glass appears in the 1st millennium BC. Types include blown transparent vessels, and colored glass that is pulled, cut and mold-made. Techniques of decorating glass include molded, cut, and engraved designs. 3. Small blown-glass bottles in a variety of shapes, colors, and patterns are very common in the Sasanian period. They may be iridescent, and are often mistaken for Roman glass. 4. Small, relatively thick-bodied bottles used to store perfume and other types of cosmetics are typical of the Early Islamic period. 5. Bottles blown in a mold with a counter-sunk pattern are another Early Islamic type. 6. Thin-bodied blue glassware decorated with luster painted designs, often inspired by Late Antique motifs such as scrolling vines, is the most important luxury type of glass from the Abbasid period. Shapes include cups, bowls, and plates. C. Miscellaneous 1. Glass beads are common in both single color and multicolored types. 2. Small figurines, pieces of jewelry, and inserts for inlay into larger items such as ivories can be of mold-formed glass. 3. Tiles for inlay into architecture and furniture can be made of glass, sometimes multicolored. 4. Occasional lumps and ingots of raw unworked glass as well as glass slag occur. 5. Seals (see II.B and C) were sometimes made from glass. 6. Mosaic fragments from Seleucia can be made from multicolored glass tesserae. They show the same designs and techniques as those of stone mosaics. 7. Glass weights date to the Umayyad period and consist of either ring or disk weights inscribed with short texts. V. Ivory, Bone, and Shell A. Introduction The type most commonly encountered is carved ivory sculptures and inlays (V.B.1). B. Sculpture 1. Ivory, bone, and shell were all popular materials for carved furniture inlays (solid plaques and cut-out elements), harness trappings such as blinders and frontlets, and freestanding small sculptures (typically of human or animal figures). Ivory was often covered with precious metal overlays or carved to take colored stone, glass, or faience inlays. 2. Inlays of shell were used with other materials to create figural panels in the 3rd millennium BC. Shell was also used as inlays for the eyes of freestanding sculptures. Simple geometric shapes, such as diamonds, were inlaid into architectural features like columns in several periods. 3. Giant clam shells were polished and engraved with intricate linear designs in the Late Assyrian period. C. Tools 1. Bone implements such as pins, needles, awls, and small spoons or spatulas appear in all periods. 2. Handles of bone and ivory were used on implements like mirrors, knives, daggers, and swords. 3. Folding “writing boards” of ivory consist of hinged pairs of rectangular panels whose inner surfaces were recessed in order to hold wax. D. Seals and Personal Ornaments 1. Cylinder seals (see II.B) can be made from the inner spiral of conch shells. 2. Ivory combs are a common luxury item. 3. Beads, pendants, and amulets were also commonly made from all three materials. Different kinds of shells were often used in their original forms as personal ornaments, evident from perforations made in them for attachment or suspension. Rings and bangles were cut from shells. E. Vessels 1. Containers carved from elephant ivory typically take a cylindrical shape when cut directly from the tusk. 2. Large shells (up to 30 cm long) were sometimes trimmed and incised or decorated with inlays and overlays to create spouted vessels. 3. Other shells, such as bivalves, were used as cosmetic containers. The interior may be stained or still contain powdery material. VI. Stucco A. Molded and carved stucco reliefs occur in the Sasanian period, featuring geometric, human, animal, and floral motifs, often set in pearl-bordered roundels or medallions. They could be painted, including shades of red, blue, yellow, turquoise, green, and brown. B. Samarra Stucco Relief Styles (Early Islamic Period) 1. Samarra A consists of deeply carved vine designs with deep “eyes,” usually organized in long bands as well as simple rectangles and polygons. 2. Samarra B, also deeply carved, comprises a greater number of designs and motifs, which are covered with small notches and dots. 3. Samarra C has molded designs made up of endless repetition of lines and spirals, which are beveled, i.e., they meet the surface at an oblique angle. VII. Painting A. Introduction: The category most commonly encountered is modern Iraqi paintings (VII.B). B. Iraqi paintings of the 20th century exemplify a very wide range of modern styles, techniques, and subjects. They are highly regarded by collectors and are greatly in demand throughout the Arab world and beyond. Numerous examples have been stolen from Iraqi public and private collections since 2003. Stolen paintings may be marked on the back with the former Saddam Center for the Arts seal, inventory numbers, or suspicious and sloppy dark paint intended to cover the seal or inventory numbers. Any painting that could possibly have an Iraqi connection should be examined by experts in modern Iraqi art. C. Painting on plastered walls appears starting in the 4th millennium BC. Colors most commonly follow a palette of black, red, yellow, and white. Geometric and floral patterns occur as well as figural designs including animals and humans. Painted plaster fragments can be quite small in size. D. Painted plaster walls of the Seleucid through Sasanian periods use a provincial Roman style to depict royal and religious themes, including the king seated before audience, the hunt, military themes such as archers on horseback and cavalrymen, and Jewish, Christian, Roman Mithraic, Hellenic and Babylonian religious subjects. Marble paneling and architectural forms are also imitated in paint. Graffiti in red-brown and black paint also occurs. E. Ceramic tiles and bricks may be decorated with painted subjects or patterns (see I.E.1). VIII. Textiles A. Clothing fragments from the Seleucid and Parthian periods include linen, wool, cotton, silk, and felt. Some examples have gold embellishments (plaques) or gold thread. Linen and cotton are usually undyed and made in simple weaves. Wool can be decorated with richly dyed embroidery or woven into twills for cloaks, tunics, trousers, and wall hangings. B. Sasanian textile remains include cheap hemp, wool, linen, cotton, flax, silk. Designs are elaborately woven or embroidered and usually include figural elements set in pearl-bordered roundels or medallions. C. Wool pile and knotted carpet fragments dating from the Hellenistic through Sasanian periods display both Hellenistic Greek and Iranian motifs and designs. D. Medieval Iraq was an important center for textile production but most examples are fragmentary. These include tapestry woven woolen fabrics, cotton, and silk. Many of the extant silk and cotton fabrics include embroidered Kufic benedictory inscriptions and at times include the name of the patron or ruler. E. In the 13th century, Baghdad and Mosul produced textiles decorated with roundels surrounding real or imaginary creatures in symmetrical arrangements. IX. Paper, Parchment, Leather A. Introduction: The types most commonly encountered are books and documents (IX.B). B. Manuscripts, Books, and Documents: Numerous manuscripts, books, and documents have been stolen from Iraqi public and private collections since 2003. Any manuscript, book, or document that could possibly have an Iraqi connection should be examined by experts. C. Leather and Parchment (sometimes with inscriptions) occasionally survive from the Pre-Islamic period. D. Qur'ans on Parchment 1. Iraq was one of the main centers for the production of early Qur'ans. Until the 11th century, Qur'ans were written on parchment (animal skin) rather than paper, and most have been taken apart. 2. Each Qur'an consisted of multiple “quires,” sets of five sheets of parchment folded in the middle and sewn together along the crease, to make a total of ten pages. They were usually horizontal in format. Bindings consisted of wooden boards covered with brown leather and stamped with simple geometric designs. 3. Early Qur'ans were written in the so-called Kufic, or angular, script, made up of relatively short vertical and long horizontal strokes. They were devoid of any decoration, except for red vowel marks. 4. By the 9th century, chapter heading were distinguished by colored bands, often terminating in palmettes, and these designs became increasingly more elaborate. 5. Soon gold ink became the preferred color for decorative devices, and many Qur'ans would begin and end with one or several folio(s) of gold geometric design, referred to as frontispieces and finispieces, respectively. 6. At times, groups of colored dots and 1-3 small dots or dashes were included within the body of the text as aids to pronunciation. E. Qur'ans on Paper 1. Qur'ans after the 11th century became taller in format and were written on paper. 2. They were copied in a variety of more legible cursive scripts and incorporated elaborate illumination, such as rosettes marking verses within the text, and lavishly decorated frontispieces. 3. “Monumental” manuscripts of the Qur'an in multiple volumes were made in Baghdad during the latter half of the 13th and first half of the 14th centuries. F. Torahs on Parchment: There have been active Jewish communities in Iraq since at least 586 BC. Torahs used by these communities are parchment scrolls bearing Hebrew writing in black ink. The scroll is wound around two wooden rods, and metal finials may cover the tops of the rods. The Torah is housed in a cylindrical case of wood that may be decorated with inscriptions and/or semi-precious stones. Approximately 100 cm high. G. Illustrated Manuscripts 1. Baghdad was one of the most significant centers for the production of illustrated scientific and poetic manuscripts during the Islamic medieval period. The images, painted with opaque watercolor on paper, included figurative representations, such as idealized portraits of the author or the royal patron, which would appear as the frontispiece to the manuscript. 2. In other examples, paintings were dispersed within the text as illustrations. In most instances, the landscape elements were kept to a minimum and the emphasis was on human interaction. X. Wood A. Furniture, doors, pulpits, coffins, and other wooden articles in the Islamic period can be decorated with elaborate carved or inlaid designs, including floral and geometric patterns, grape clusters, and inscriptions. B. Wood beams from decorated buildings may be carved with patterns and inscriptions. C. Wood panels in the Islamic period can be covered with stucco and gilding. D. Ritual and ecclesiastical objects pertaining to Iraq's religious communities include, but are not limited to, Qur'an stands (often carved or inlaid) and Torah scroll cases (see IX.F). Inapplicability of Notice and Delayed Effective Date Under section 553 of the Administrative Procedure Act (“APA”) (5 U.S.C. 553), agencies amending their regulations generally are required to publish a notice of proposed rulemaking in the **Federal Register** that solicits public comment on the proposed amendments, consider public comments in deciding on the final content of the final amendments, and publish the final amendments at least 30 days prior to their effective date. However, section 553(a)(1) of the APA provides that the standard prior notice and comment procedures do not apply to agency rulemaking that involves the foreign affairs function of the United States. CBP has determined that this final rule involves the foreign affairs function of the United States as it implements authority granted to the President under the Emergency Protection for Iraqi Cultural Antiquities Act of 2004 and § 304 of the Convention on Cultural Property Implementation Act (19 U.S.C. 2603) to impose import restrictions on archaeological or ethnological material of Iraq. The former Act is in response to United Nations Security Council Resolution 1483, and both the legislation and this rule do no more than to carry out the obligations of the United States under the 1970 UNESCO Convention and Chapter VII of the United Nations Charter. Accordingly, the rulemaking requirements under the APA do not apply and this final rule will be effective upon publication. In addition, § 553(b)(B) of the APA provides that notice and public procedure are not required when an agency for good cause finds them impracticable, unnecessary, or contrary to public interest. CBP has determined that providing prior notice and public procedure for these regulations would be impracticable, unnecessary, and contrary to the public interest because immediate action is necessary to respond to the pillage of Iraqi cultural antiquities and to avoid damage to those antiquities in Iraq until hostilities have ceased. Any delay in this action will likely result in further damage to the Iraqi cultural antiquities that Congress was seeking to protect with the Emergency Protection for Iraqi Cultural Antiquities Act of 2004. Finally, § 553(d)(3) of the APA permits agencies to make a rule effective less than 30 days after publication when the agency finds that good cause exists for dispensing with a delayed effective date. For the reasons described above, CBP finds that good cause exists to make these regulations effective without a delayed effective date. Regulatory Flexibility Act Because no notice of proposed rulemaking is required, the provisions of the Regulatory Flexibility Act (5 U.S.C. 601 *et seq.* ) do not apply. Executive Order 12866 CBP has determined that this document is not a regulation or rule subject to the provisions of Executive Order 12866 of September 30, 1993 (58 FR 51735, October 1993), because it pertains to a foreign affairs function of the United States, as described above, and therefore is specifically exempted by section 3(d)(2) of Executive Order 12866. Signing Authority This document is being issued in accordance with 19 CFR 0.1(a)(1), pertaining to the authority of the Secretary of the Treasury (or his/her delegate) to approve regulations related to certain customs revenue functions. List of Subjects in 19 CFR Part 12 Cultural property, Customs duties and inspection, Imports, Prohibited merchandise. Amendment to CBP Regulations For the reasons set forth above, part 12 of title 19 of the Code of Federal Regulations (19 CFR part 12), is amended as set forth below: PART 12—SPECIAL CLASSES OF MERCHANDISE 1. The general authority citation for part 12 continues to read, and specific authority for new § 12.104j is added to read, as follows: Authority: 5 U.S.C. 301; 19 U.S.C. 66, 1202 (General Note 3(i), Harmonized Tariff Schedule of the United States (HTSUS)), 1624; Section 12.104j also issued under Pub. L. 108-429, 118 Stat. 2600; 19 U.S.C. 2612; 2. Add a new § 12.104j to read as follows: § 12.104j Emergency protection for Iraqi cultural antiquities.
(a)*Restriction* . Importation of archaeological or ethnological material of Iraq is restricted pursuant to the Emergency Protection for Iraqi Cultural Antiquities Act of 2004 (title III of Pub. L. 108-429) and section 304 of the Convention on Cultural Property Implementation Act (19 U.S.C. 2603).
(b)*Description of restricted material* . The term “archaeological or ethnological material of Iraq” means cultural property of Iraq and other items of archaeological, historical, cultural, rare scientific, or religious importance illegally removed from the Iraq National Museum, the National Library of Iraq, and other locations in Iraq, since the adoption of United Nations Security Council Resolution 661 of 1990. CBP Decision 08-17 sets forth the Designated List of Archaeological and Ethnological Material of Iraq that describes the types of specific items or categories of archaeological or ethnological material that are subject to import restrictions. Jayson P. Ahern, Acting Commissioner, U.S. Customs and Border Protection. Approved: April 24, 2008. Timothy E. Skud, Deputy Assistant Secretary of the Treasury. [FR Doc. E8-9343 Filed 4-29-08; 8:45 am] BILLING CODE 9111-14-P DEPARTMENT OF THE TREASURY Internal Revenue Service 26 CFR Part 301 [TD 9395] RIN 1545-BA31 Suspension of Statutes of Limitations in Third-Party and John Doe Summons Disputes and Expansion of Taxpayers' Rights To Receive Notice and Seek Judicial Review of Third-Party Summonses AGENCY: Internal Revenue Service (IRS), Treasury. ACTION: Final regulations. SUMMARY: This document contains final regulations relating to third-party and John Doe summonses. These final regulations reflect amendments to sections 7603 and 7609 of the Internal Revenue Code of 1986 made by the Internal Revenue Service Restructuring and Reform Act of 1998, the Omnibus Budget Reconciliation Act of 1990, the Technical and Miscellaneous Revenue Act of 1988, and the Tax Reform Act of 1986. These final regulations provide guidance relating to the manner by which summonses may be served on third-party recordkeepers, the expanded class of third-party summonses subject to notice requirements and other procedures, and the suspension of periods of limitations if a court proceeding is brought involving a challenge to a third-party summons, or if a third party's response to a summons is not finally resolved within six months after service. These final regulations affect third parties who are served with a summons, taxpayers identified in a third-party summons, and other persons entitled to notice of a third-party summons. DATES: *Effective Date:* These regulations are effective April 30, 2008. *Applicability Date:* For the date of applicability, see §§ 301.7603-1(f); 301.7603-2(c); 301.7609-1(d); 301.7609-2(c); 301.7609-3(e); 301.7609-4(d); and 301.7609-5(f). FOR FURTHER INFORMATION CONTACT: Elizabeth Rawlins at
(202)622-3630 (not a toll-free number). SUPPLEMENTARY INFORMATION: Background This document contains final regulations amending the Procedure and Administration Regulations (26 CFR part 301) under sections 7603 and 7609 of the Internal Revenue Code of 1986 (Code). The final regulations reflect amendments to sections 7603 and 7609 made by the Internal Revenue Service Restructuring and Reform Act of 1998 (Pub. L. 105-206, 112 Stat. 685) (RRA 1998), the Technical and Miscellaneous Revenue Act of 1988 (Pub. L. 100-647, 102 Stat. 3343) (TAMRA 1988), and the Tax Reform Act of 1986 (Pub. L. 99-514, 100 Stat. 2085) (TRA 1986). The final regulations also reflect changes made to section 6503(j) in the Omnibus Budget Reconciliation Act of 1990 (Pub. L. 101-508, 104 Stat. 1388) (OBRA 1990). On July 21, 2006, the IRS published in the **Federal Register** a notice of proposed rulemaking (REG-153037-01; 71 FR 41377) that interprets the amendments to sections 7603 and 7609. Written comments from one commentator on several of the proposed sections were received. No request for a public hearing was received, nor was one held. The proposed regulations, as revised by this Treasury decision, are substantially adopted as final regulations. As described more fully in the preamble to the proposed regulations, these regulations provide guidance relating to the manner in which summonses may be served on third-party recordkeepers, the expanded class of third-party summonses to which the notice requirements and other procedures apply, the suspension of a taxpayer's periods of limitations if that taxpayer petitions to quash a third-party summons or intervenes in a proceeding to enforce such a summons, and the suspension of a taxpayer's periods of limitations if a summoned third party does not finally resolve its response to a summons within six months after service of a summons. Comments on the Proposed Regulations and Explanation of Changes Section 301.7609-1(a)(2)—In General Proposed § 301.7609-1(a)(2) provides that neither section 7609 nor the regulations “limit the IRS's ability to obtain information, other than by summons, through formal or informal procedures authorized by sections 7601 and 7602.” The commentator suggested that this provision be prefaced with the phrase “[e]xcept as provided in section 7609 or Treasury Regulations” and further explained that section 7609 does contain provisions, such as section 7609(d), that limit the IRS's ability to obtain information when a summons has been served. This suggestion has not been adopted in the final regulations. Proposed § 301.7609-1(a)(2) is consistent with the language of section 7609(j), which provides: “Nothing in this section shall be construed to limit the [IRS's] ability to obtain information, other than by summons, through formal or informal procedures authorized by sections 7601 and 7602.” Section 7609(j) and proposed § 301.7609-1(a)(2) are directed to situations in which the IRS has not issued a summons, but is instead seeking information through informal procedures authorized by sections 7601 and 7602. In these situations, section 7609 and the regulations do not apply. Section 301.7609-2(a)(1)—Persons Entitled to Notice Section 7609(a)(1) provides that notice of a third party summons shall be given to “any person (other than the person summoned) who is identified in the summons.” Proposed § 301.7609-2(a)(1) provides: “The only persons so identified are the person with respect to whose liability the summons is issued and any other person identified in the description of summoned records or testimony. For example, if the IRS issues a summons to a bank with respect to the liability of C that requires the production of account records of A and B, both of whom are named in the summons, the IRS must notify A, B, and C of the summons.” The commentator suggested that the statutory phrase “any person * * * identified in the summons” should be interpreted more broadly to encompass persons to whom the summoned records relate who belong to a specifically identifiable class, but who are not identified by name in the summons. The commentator offered examples of persons described generically by phrases, such as “children” or “closely-held corporations in which the taxpayer is a shareholder.” This suggestion has not been adopted in the final regulations. The requirement that an identified person be named in the summons is consistent with longstanding regulations under section 7609. Nothing in the statutory amendments to section 7609 since these regulations were promulgated suggests that Congress intended to change the meaning of this concept. The commentator also suggested that the example in the proposed regulations could be read to mean that a person named in a summons is only entitled to notice if that person's records are sought from the third party. This reading is incorrect. The regulations do not condition the right to notice on a finding that the identified person's records are sought. Instead, “any * * * person identified in the description of summoned records or testimony” is entitled to notice, as is the taxpayer with respect to whose liability the summons is issued. Section 301.7609-3(a)—Duty of the Summoned Party Proposed § 301.7609-3(a) provides: “Upon receipt of a summons, the summoned party must begin to assemble the summoned records. The summoned party must be prepared to produce the summoned records on the date on which the summons states that they are to be examined, regardless of the institution or anticipated institution of a proceeding to quash or the summoned party's intervention in a proceeding to quash, as allowed under section 7609(b)(2)(C).” The commentator suggested that proposed § 301.7609-3(a) is overbroad because the statutory provision on which it is based, section 7609(i)(1), is preceded by the heading: “Recordkeeper Must Assemble Records and Be Prepared To Produce Records.” The commentator concluded that section 7609(i)(1) can apply only to third-party recordkeepers. This conclusion is not supported by the statutory amendment to section 7609(i)(1) under RRA 98, which replaced the prior reference to “third-party recordkeeper” with the term *summoned party* . Thus, section 7609(i)(1) applies to all recipients of third-party summonses (other than certain excepted summonses under section 7609(c)(2)). The commentator also suggested that proposed § 301.7609-3(a) is overbroad because the requirements of section 7609(i)(1) do not apply if a proceeding to quash is brought. Section 7609(i)(1), however, does not require the summoned party to produce the documents when a petition to quash has been filed but merely requires the summoned party to “assemble” and “be prepared to produce” them. The commentator suggested that proposed § 301.7609-3(a) would infringe on the rights of those summoned persons who receive a vague or overbroad summons. This provision, however, does not preclude a summoned person from raising such a defense in a summons enforcement proceeding. Accordingly, the IRS and Treasury have concluded that these suggestions provide no basis for adopting changes in the final regulations. Section 301.7609-4(c)—Presumption No Notice of Proceeding To Quash Has Been Mailed Section 7609(b) provides that any person entitled to notice of a summons may bring a proceeding to quash by filing a petition in district court and mailing notice of the petition to both the IRS and the summoned person within 20 days of the day the notice was given. Proposed § 301.7609-4(b)(3) provides that if a person fails to give proper and timely notice of the petition to quash, then that person has failed to institute a proceeding to quash and the district court lacks jurisdiction to hear the proceeding. Proposed § 301.7609-4(c) provides that “it is presumed that the notification [of the petition to quash] was not timely mailed if the copy of the petition was not delivered to the summoned person or to the person and office designated to receive the notice on behalf of the IRS within three days after the close of the 20-day period allowed for instituting a proceeding to quash.” The commentator suggested that proposed § 301.7609-4(c) should be clarified to provide that the presumption of untimeliness would no longer apply “if a copy of the petition is subsequently received and it is determined that it was mailed prior to the close of the 20-day period.” Proposed § 301.7609-4(c) is identical, however, in all salient respects to a provision in the prior regulations that the IRS has administered since 1986 without controversy. In cases where the IRS has not received a copy of a petition to quash within three days after the close of the 20-day period, but it is later determined that a copy of the petition was timely mailed within the 20-day period, the IRS has halted the examination of summoned witnesses and records upon receiving a timely filed petition to quash, consistent with IRM provisions providing that, if a proceeding to quash is begun, no examination of summoned records is allowed until the court so orders. Section 301.7609-5(e)(2)(i)—Intervention in an Enforcement Proceeding Section 7609(e)(1) provides for the suspension of the statute of limitations with respect to a third-party summons “for the period during which a proceeding, and appeals therein, with respect to the enforcement of such summons is pending.” Proposed § 301.7609(e)(2)(i) provides: “If, following issuance of an order to enforce a third-party summons, a collateral proceeding is brought challenging whether production made by the summoned party fully satisfied the court order and whether sanctions should be imposed against the summoned party for a failure to satisfy that order, the periods of limitations remain suspended until all appeals of the collateral proceeding are disposed of, or until the expiration of the period during which an appeal may be taken or a request for further review of the collateral proceeding may be made. Any collateral proceeding to the original proceeding shall be considered to be a continuation of the original proceeding.” The commentator suggested that including collateral proceedings and related appeals periods within the suspension period under section 7609(e)(1) goes beyond the statutory language and the IRS's authority to promulgate regulations. The statutory phrase “a proceeding, and appeals therein, with respect to the enforcement of such summons” connotes a category of court actions that are related to, but not limited to, a summons enforcement suit. Thus, section 7609(e)(1) is properly interpreted to encompass collateral proceedings and related appeals. Section 301.7609-5(e)(3)—Final Resolution of the Summoned Third Party's Response to a Summons Section 7609(e)(2)(B) suspends a taxpayer's periods of limitations on assessment and criminal prosecution “in the absence of the resolution of the summoned party's response to the summons” for a period beginning six months after service of the summons and ending on the date of “final resolution.” Proposed § 301.7609-5(e)(3) provides that “final resolution” occurs when the summons or any summons enforcement order is fully complied with and all appeals are disposed of or the period for appeal or further review has expired. The proposed regulation further provides that the determination of whether there has been full compliance will be made within a reasonable time, given the volume and complexity of the records produced, after the later of the giving of all testimony or the production of all records requested by the summons. The proposed regulation additionally provides that the suspension shall continue if, following an enforcement order, collateral proceedings are brought challenging whether the summoned party fully satisfied the court order. The suspension will continue until the summons or the enforcement order is fully complied with and the decision in the collateral proceeding becomes final, which occurs when all appeals are disposed of or when the period for appeal or further review has expired. The commentator suggested that proposed § 301.7609-5(e)(3) be revised to reflect that the suspension under section 7609(e)(2) does not apply to a taxpayer who brings a proceeding to quash or who intervenes in an enforcement suit. This suggestion has not been adopted as the statutory structure already provides for the applicability of alternative suspension periods. This suggestion has also not been adopted as nothing prevents the suspension under section 7609(e)(2) from applying after the expiration of the suspension under section 7609(e)(1). The commentator also suggested that the provisions concerning collateral proceedings be removed. This recommendation has not been adopted. The suspension will only terminate upon final resolution of the summoned person's response to the summons, and collateral proceedings, such as contempt proceedings, may be necessary to obtain a summoned third party's compliance with an enforcement order. The commentator further suggested that the “operative fact” in determining whether final resolution has occurred should be the date of the summoned person's “actual compliance” with the summons, not “the Service's determination as to whether and when this has occurred.” This suggestion has not been adopted because compliance can only be determined after the records are examined. The regulations provide that the determination of whether there has been full compliance will be made within a reasonable time, given the volume and complexity of the records produced, after the later of the giving of all testimony or the production of all records requested by the summons or required by any order enforcing any part of the summons. In addition, as stated in the preamble to the proposed regulations, the IRS intends to publish additional administrative procedures regarding the compliance determination in the Internal Revenue Manual. An aspect of these procedures will involve the creation of procedures by which taxpayers can inquire about the suspension of their periods of limitations under section 7609(e)(2). Sections 301.7603-1(f); 301.7603-2(c); 301.7609-1(d); 301.7609-2(c); 301.7609-3(e); 301.7609-4(d); and 301.7609-5(f)—Effective/Applicability Date The commentator suggested making these regulations applicable only to summonses issued after the date on which they are published. This suggestion was not adopted because these regulations are interpretative of statutory provisions that have existed as law for several years. Special Analyses It has been determined that this final regulation is not a significant regulatory action as defined in Executive Order 12866. Therefore, a regulatory assessment is not required. It also has been determined that section 553(b) of the Administrative Procedure Act (5 U.S.C. chapter 5) does not apply to these regulations and, because these regulations do not impose a collection of information under the Paperwork Reduction Act (44 U.S.C. section 3501), the Regulatory Flexibility Act (5 U.S.C. chapter 6) does not apply to these regulations. Pursuant to section 7805(f) of the Code, the regulations, when published previously in the Notice of Proposed Rulemaking, were submitted to the Chief Counsel for Advocacy of the Small Business Administration for comment on its impact on small business. Drafting Information The principal author of these regulations is Elizabeth Rawlins of the Office of the Associate Chief Counsel, Procedure and Administration, Internal Revenue Service. List of Subjects in 26 CFR Part 301 Employment taxes, Estate taxes, Excise taxes, Gift taxes, Income taxes, Penalties, Reporting and recordkeeping requirements. Adoption of Amendments to the Regulations Accordingly, 26 CFR part 301 is amended as follows: PART 301—PROCEDURE AND ADMINISTRATION **Paragraph 1 .** The authority citation for part 301 continues to read, in part, as follows: Authority: 26 U.S.C. 7805 * * * **Par. 2.** Section 301.7603-1 is revised to read as follows: § 301.7603-1 Service of summons.
(a)*In general* —(1) *Hand delivery or delivery to place of abode* . Except as otherwise provided in paragraph (a)(2) of this section, a summons issued under section 6420(e)(2), 6421(g)(2), 6427(j)(2), or 7602 shall be served by an attested copy delivered in hand to the person to whom it is directed, or left at such person's last and usual place of abode.
(2)*Summonses issued to third-party recordkeepers* . A summons issued under section 6420(e)(2), 6421(g)(2), 6427(j)(2), or 7602 for the production of records (or testimony about such records) by a third-party recordkeeper, as described in section 7603(b)(2) and § 301.7603-2, may also be served by certified or registered mail to the third-party recordkeeper's last known address, as defined in § 301.6212-2. If service to a third-party recordkeeper is made by certified or registered mail, the date of service is the date on which the summons is mailed.
(b)*Persons who may serve a summons* . The officers and employees of the Internal Revenue Service whom the Commissioner has designated to carry out the authority described in § 301.7602-1(b) to issue a summons are authorized to serve a summons issued under section 6420(e)(2), 6421(g)(2), 6427(j)(2), or 7602.
(c)*Effect of certificate of service* . The certificate of service signed by the person serving the summons shall be evidence of the facts it states on the hearing of an application for the enforcement of the summons.
(d)*Sufficiency of description of summoned records* . When a summons requires the production of records, it shall be sufficient if such records are described with reasonable certainty.
(e)*Records* . For purposes of this section and § 301.7603-2, the term *records* includes books, papers, or other data.
(f)*Effective/applicability date* . This section is applicable on April 30, 2008. **Par. 3.** Section 301.7603-2 is added to read as follows: § 301.7603-2 Third-party recordkeepers.
(a)*Definitions* —(1) *Accountant* . A person is an accountant under section 7603(b)(2)(F) for purposes of determining whether that person is a third-party recordkeeper if, on the date the records described in the summons were created, the person was registered, licensed, or certified as an accountant under the authority of any state, commonwealth, territory, or possession of the United States, or of the District of Columbia.
(2)*Attorney* . A person is an attorney under section 7603(b)(2)(E) for purposes of determining whether that person is a third-party recordkeeper if, on the date the records described in the summons were created, the person was registered, licensed, or certified as an attorney under the authority of any state, commonwealth, territory, or possession of the United States, or of the District of Columbia.
(3)*Credit cards* —(i) *Person extending credit through credit cards* . The term *person extending credit through the use of credit cards or similar devices* under section 7603(b)(2)(C) generally includes any person who issues a credit card. The term does not include a seller of goods or services who honors credit cards issued by other parties but who does not extend credit through the use of credit cards or similar devices.
(ii)*Devices similar to credit cards* . An object is a device similar to a credit card under section 7603(b)(2)(C) only if it is physical in nature, such as a charge plate or similar device that may be tendered to obtain an extension of credit. Thus, a person who extends credit by requiring customers to sign sales slips without requiring the use of, or reference to, a physical object issued by that person is not a third-party recordkeeper under section 7603(b)(2)(C).
(iii)*Debit cards* . A debit card is not a credit card or similar device because a debit card is not tendered to obtain an extension of credit.
(4)*Enrolled agent* . A person is an enrolled agent under section 7603(b)(2)(I) for purposes of determining whether that person is a third-party recordkeeper if the person is enrolled as an agent authorized to practice before the Internal Revenue Service pursuant to Circular 230, 31 CFR Part 10.
(5)*Owner or developer of certain computer code and data* . An owner or developer of computer software source code under section 7603(b)(2)(J) is a third-party recordkeeper when summoned to produce a computer software source code (as defined in section 7612(d)(2)), or an executable code and associated data described in section 7612(b)(1)(A)(ii), even if that person did not make or keep records of another person's business transactions or affairs.
(b)*When third-party recordkeeper status arises* —(1) *In general.* Except as provided in paragraph (a)(5) of this section, a person listed in section 7603(b)(2) is a third-party recordkeeper for purposes of section 7609(c)(2)(E) and § 301.7603-1 only if the summons served on that person seeks records (or testimony regarding such records) of a third party's business transactions or affairs and such recordkeeper made or kept the records in the capacity of a third-party recordkeeper. For instance, an accountant is not a third-party recordkeeper (by reason of being an accountant) with respect to the accountant's records of a sale of property by the accountant to another person. Similarly, a credit card issuer is not a third-party recordkeeper (by reason of being a person extending credit through the use of credit cards or similar devices) with respect to—
(i)Records relating to non-credit card transactions, such as a cash sale by the issuer to a holder of the issuer's credit card; or
(ii)Records relating to transactions involving the use of another issuer's credit card.
(2)*Examples* . The rules of paragraph (b)(1) of this section are illustrated by the following examples: Example 1. V issues a credit card (the V card) that is honored by R, a retailer. When using the V card, C, a customer, signs a sales slip in triplicate. C, R, and V each retain one copy. Only the copy held by V is held by a third-party recordkeeper under section 7603(b)(2), even though R may issue its own credit card. Example 2. R, a retailer, issues its own credit card (the R card) to C, a customer. When C makes a credit purchase from R using the R card, C signs a sales slip in duplicate. C and R each retain one copy. Because R keeps the copy in its capacity as credit card issuer, as well as in its capacity as a retailer, it is a third-party recordkeeper under section 7603(b)(2) with respect to its copy of the sales slip.
(c)*Effective/applicability date* . This section is applicable on April 30, 2008. **Par. 4.** Sections 301.7609-1 through 301.7609-5 are revised to read as follows: § 301.7609-1 Special procedures for third-party summonses.
(a)*In general* —(1) Section 7609 requires the Internal Revenue Service
(IRS)to follow special procedures when summoning a third party's testimony, records, or computer software source code. Except as provided in § 301.7609-2(b), the IRS must provide notice of a third-party summons to any person identified in the summons, other than the person summoned. A person entitled to notice of a third-party summons may intervene in any proceeding brought to enforce the summons or may bring a proceeding to quash the summons, regardless of whether they receive notice of the summons from the IRS pursuant to section 7609(a) and § 301.7609-2.
(2)Neither section 7609 nor the regulations hereunder limit the IRS's ability to obtain information, other than by summons, through formal or informal procedures authorized by sections 7601 and 7602.
(b)*Cross references.* See § 301.7609-2 for rules relating to persons who must be notified of a third-party summons and exceptions to the notification requirements. See § 301.7609-3 for rules relating to the rights and duties of summoned parties. See § 301.7609-4 for rules relating to actions to quash a summons or to intervene in a summons enforcement proceeding. See § 301.7609-5 for rules relating to the suspension of periods of limitations.
(c)*Records.* For purposes of §§ 301.7609-1 through 301.7609-5, the term *records* includes books, papers, or other data.
(d)*Effective/applicability date.* This section is applicable on April 30, 2008. § 301.7609-2 Notification of persons identified in third-party summonses.
(a)*In general* —(1) *Persons entitled to notice.* Except as provided in § 301.7609-2(b), the Internal Revenue Service
(IRS)shall give notice of a third-party summons to any person, other than the person summoned, who is identified in the summons. The only persons so identified are the person with respect to whose liability the summons is issued and any other person identified in the description of summoned records or testimony. For example, if the IRS issues a summons to a bank with respect to the liability of C that requires the production of account records of A and B, both of whom are named in the summons, the IRS must notify A, B and C of the summons.
(2)*Time for providing notice.* If notice is required by this paragraph, such notice must be given within three days of the date on which the summons is served on the third party, but no later than 23 days prior to the date fixed in the summons as the date on which the examination of the summoned person or records is scheduled.
(3)*Methods for serving notice.* Notice may be served by hand delivery to any person entitled to notice or by leaving notice at such person's last and usual place of abode. Notice also may be served by certified or registered mail to the person's last known address, as defined in § 301.6212-2. If service to a person entitled to notice is made by certified or registered mail, the date of service is the date on which the notice is mailed.
(4)*Content of the notice.* Notice required to be given to any person entitled to notice must be accompanied by a copy of the summons that has been served and must include an explanation of the right to bring a proceeding to quash the summons. The copy of the summons accompanying the notice is not required to contain the attestation that appears pursuant to section 7603 on the copy of the summons served on the summoned person.
(b)*Exceptions.* The IRS is not required to provide notice to persons identified in the following third-party summonses:
(1)*Summons served on the taxpayer.* The IRS is not required to provide notice of a summons served on the person with respect to whose liability the summons was issued, or any officer or employee of such person.
(2)*Existence of records.* The IRS is not required to provide notice in the case of a summons issued to determine whether or not records of the business transactions or affairs of a person identified in the summons have been made or kept.
(3)*Numbered account or similar arrangement.* The IRS is not required to provide notice in the case of a summons issued solely to determine the identity of a person having a numbered account or similar arrangement with a bank or other institution. An account is a numbered account or similar arrangement within the meaning of this paragraph if it is an account through which a person may authorize transactions solely through the use of a number, symbol, code name, or other device not involving the disclosure of the person's identity. The term *person having a numbered account or similar arrangement* includes the person who opened the account and any person authorized to access the account or to receive records or statements concerning it.
(4)*Summonses in aid of the collection of liabilities* —(i) *In general.* The IRS is not required to provide notice in the case of a summons issued in aid of the collection of liabilities. A summons is in aid of the collection of liabilities within the meaning of this paragraph if it is issued in connection with the collection of—
(A)An assessment or judgment against the person with respect to whose liability the summons is issued; or
(B)The liability determined at law or in equity of any transferee or fiduciary of a person described in paragraph (b)(4)(i)(A) of this section.
(ii)*Examples.* The rules of paragraph (b)(4) of this section are illustrated by the following examples: Example 1. A third-party summons is issued to a bank to determine the amount held in an account in the name of A, against whom unpaid income taxes have been assessed. Notice of the summons is not required to be given to A or any other persons identified in the summons because the summons is issued in connection with the collection of taxes that have been assessed. Example 2. A third-party summons is issued to determine whether assessments should be made against A, who is potentially liable for a trust fund recovery penalty under section 6672 with respect to the assessed but unpaid withholding tax liability of employer E. The summons is captioned: In the matter of A. Notice of the summons must be provided to A and to any other persons identified in the summons because the summons was issued with respect to A's potential, unassessed liability under section 6672.
(5)*Summonses issued by a criminal investigator.* The IRS is not required to provide notice in the case of a summons issued by a criminal investigator to a person other than a third-party recordkeeper, as defined in section 7603(b). For purposes of section 7609(c)(2)(E), a summons issued by a criminal investigator is any summons issued as part of a criminal investigation by an IRS officer or employee having authority to conduct a criminal investigation and to issue a summons.
(6)*John Doe summons.* The IRS is not required to provide notice in the case of a John Doe summons issued under section 7609(f).
(7)*Summons issued pursuant to a court order to prevent spoliation of evidence.* The IRS is not required to provide notice in the case of a summons for which a court determines there is reasonable cause to believe the giving of notice may lead to attempts to conceal, destroy, or alter records relevant to the examination, to prevent communication of information from other persons through intimidation, bribery, or collusion, or to flee to avoid prosecution, testifying, or production of records.
(c)*Effective/applicability date.* This section is applicable on April 30, 2008. § 301.7609-3 Duty of and protection for the summoned party.
(a)*Duty of the summoned party.* Upon receipt of a summons, the summoned party must begin to assemble the summoned records. The summoned party must be prepared to produce the summoned records on the date on which the summons states that they are to be examined, regardless of the institution or anticipated institution of a proceeding to quash or the summoned party's intervention in a proceeding to quash, as allowed under section 7609(b)(2)(C).
(b)*Disclosing summoned party not liable* —(1) *In general.* A summoned party, or an agent or employee thereof, who makes a disclosure of records or gives testimony as required by a summons in good faith reliance on the certificate of the Secretary (as defined in paragraph (b)(2) of this section) or an order of a court requiring production of records or giving of testimony, will not be liable for any claim arising from such disclosure brought by any customer, any party with respect to whose tax liability the summons was issued, or any other person.
(2)*Certificate of the Secretary.* The Secretary may issue to the summoned party a certificate if the person with respect to whose liability the summons was issued expressly consents to the examination of the records summoned and the taking of testimony. The Secretary also may issue to the summoned party a certificate stating that—
(i)The 20-day period within which a person entitled to notice of the summons may institute a proceeding to quash the summons has expired; and
(ii)No proceeding has been instituted within that period.
(c)*Reimbursement of costs.* Summoned third parties may be entitled to reimbursement of their costs of assembling and preparing to produce summoned records, to the extent allowed by section 7610 and § 301.7610-1.
(d)*Notification of suspension of periods of limitations in connection with a John Doe summons* —(1) *Requirement of notification.* If any periods of limitations are suspended under section 7609(e)(2) and § 301.7609-5(d) with respect to a John Doe summons described in section 7609(f), the summoned party is required under section 7609(i)(4) to provide notice of such suspension to all persons with respect to whose liability the summons was issued.
(2)*Content of notification.* A summoned party required to notify a person of the suspension of the periods of limitations shall provide the following information to such person—
(i)A John Doe summons was served on the summoned party seeking records that may be relevant to the person's tax liability;
(ii)The date on which the summons was served;
(iii)The tax period(s) to which the summons relates;
(iv)Six months have passed since service of the summons and the summoned party's response to the summons has not been finally resolved;
(v)The periods of limitations under section 6501 (relating to assessment and collection) and section 6531 (relating to criminal prosecution), have been suspended; and
(vi)The date on which suspension of the periods of limitations under sections 6501 and 6531 began.
(3)*Time and manner of notification.* The notification must be made in writing and may be delivered in person, by mail sent to the address last known by the summoned party, or by use of any electronic means of transmission. Notification should be made as soon as possible after the suspension of the periods of limitations begins. Failure by a summoned party to give notice of the suspension of periods of limitations as required by section 7609(i)(4) does not prevent the suspension of the periods of limitations under section 7609(e)(2).
(e)*Effective/applicability date.* This section is applicable on April 30, 2008. § 301.7609-4 Right to intervene; right to institute a proceeding to quash.
(a)*Intervention in proceeding with respect to enforcement of a summons.* Under section 7609(b)(1), a person entitled to notice of a summons under section 7609(a) and § 301.7609-2 is entitled to intervene in any proceeding brought under section 7604 with respect to the enforcement of that summons.
(b)*Right to institute a proceeding to quash* —(1) *In general.* Under section 7609(b), a person entitled to notice of a summons under section 7609(a) and § 301.7609-2 may institute a proceeding to quash the summons in the United States district court for the district in which the summoned person resides or is found.
(2)*Requirements for a proceeding to quash.* To institute a proceeding to quash a summons, a person entitled to notice of the summons must, not later than the 20th day following the day the notice of the summons was served on or mailed to such person—
(i)File a petition to quash a summons in the name of the person entitled to notice of the summons in the proper district court;
(ii)Notify the Internal Revenue Service
(IRS)by sending a copy of that petition to quash by registered or certified mail to the IRS employee and office designated in the notice of summons to receive the copy; and
(iii)Notify the summoned person by sending by registered or certified mail a copy of the petition to quash to the summoned person.
(3)*Failure to give timely notice.* If a person entitled to notice of the summons fails to give proper and timely notice to either the summoned person or the IRS in the manner described in this paragraph, that person has failed to institute a proceeding to quash and the district court lacks jurisdiction to hear the proceeding. For example, if the person entitled to notice mails a copy of the petition to the summoned person, but fails to mail a copy of the petition to the designated IRS employee and office, the person entitled to notice has failed to institute a proceeding to quash. Similarly, if the person entitled to notice mails a copy of such petition to the summoned person but, instead of sending a copy of the petition by registered or certified mail to the designated IRS employee and office, the person entitled to notice provides the designated IRS employee and office the petition by some other means, the person entitled to notice has failed to institute a proceeding to quash.
(4)*Failure to institute a proceeding to quash.* If a person entitled to notice fails to institute a proceeding to quash within 20 days following the day the notice of the summons was served on or mailed to such person, the IRS may examine the summoned records and take summoned testimony following the 23rd day after notice of the summons was served on or mailed to the person entitled to notice.
(c)*Presumption no notice has been mailed.* Section 7609(b)(2)(B) permits a person entitled to notice to institute a proceeding to quash by filing a petition in district court and notifying both the IRS and the summoned person. Unless the person entitled to notice has notified both the IRS and the summoned person in the appropriate manner, the person entitled to notice has failed to institute a proceeding to quash. For the purpose of permitting the IRS to examine the summoned witnesses and records, it is presumed that the notification was not timely mailed if the copy of the petition was not delivered to the summoned person or to the person and office designated to receive the notice on behalf of the IRS within three days after the close of the 20-day period allowed for instituting a proceeding to quash.
(d)*Effective/applicability date.* This section is applicable on April 30, 2008. § 301.7609-5 Suspension of periods of limitations.
(a)*In general.* Except in the case of a summons that is a designated or related summons described in section 6503(j), the following rules relating to the suspension of certain periods of limitations apply to all third-party summonses subject to the notice requirements of section 7609(a) and to all John Doe summonses subject to the requirements of section 7609(f).
(b)*Intervention in an action to enforce the summons* —(1) In general. If a person entitled to notice of a summons under section 7609(a) and § 301.7609-2 with respect to whose liability the summons was issued, or such person's agent, nominee, or other person acting under the direction or control of the person entitled to notice, takes any action to intervene in a proceeding with respect to enforcement of such summons brought pursuant to section 7604, that person's periods of limitations under sections 6501 (relating to assessment and collection) and 6531 (relating to criminal prosecutions) for the tax period or periods that are the subject of the summons are suspended for the period during which such proceeding is pending.
(2)*Action to intervene.* A person entitled to notice takes any action to intervene in a proceeding to enforce a summons within the meaning of § 301.7609-4(a) on the date when a motion to intervene is filed with the court.
(c)*Institution of a proceeding to quash a summons* —(1) *In general.* If a person entitled to notice of a summons under section 7609(a) and § 301.7609-2 with respect to whose liability the summons was issued, or such person's agent, nominee, or other person acting under the direction or control of such person, takes any action described in § 301.7609-4(b) to institute a proceeding to quash such summons, that person's periods of limitations under sections 6501 and 6531 for the tax period or periods that are the subject of the summons are suspended for the period during which such proceeding is pending.
(2)*Action to institute a proceeding to quash a summons.* A person entitled to notice takes any action to institute a proceeding to quash if he or she files a petition to quash the summons in any district court, regardless of whether the timely filing requirements of section 7609(b)(2)(A) or the notice requirements of section 7609(b)(2)(B) are satisfied. For example, a person entitled to notice takes an action to institute a proceeding to quash a summons for purposes of this section if that person files a petition to quash the summons in district court and notifies the summoned person by sending a copy of the petition by registered or certified mail, but fails to mail a copy of that notice to the appropriate Internal Revenue Service
(IRS)person and office.
(d)*Summoned party's failure to finally resolve the response to a summons after six months from service* —(1) *In general.* If a third party's response to a summons for which the IRS was required to provide notice to persons identified in the summons, or to a John Doe summons described in section 7609(f), is not finally resolved within six months after the date of service of the summons, the periods of limitations are suspended under sections 6501 and 6531, for the person with respect to whose liability the summons was issued and for any person whose identity is sought to be obtained by a John Doe summons, for the tax period or periods that are the subject of the summons. The suspension shall begin on the date which is six months after the service of the summons and shall end on the date on which there is a final resolution of the summoned party's response to the summons.
(2)*Example.* The rules of paragraph (d)(1) of this section are illustrated by the following example: A John Doe summons is issued on April 1, 2004, to the promoter of a tax shelter and seeks the names of all participants in the shelter in order to investigate the participants' income tax liabilities for 2001 and 2002. The district court approves service of the summons on April 30, 2004, and the summons is served on the promoter on May 3, 2004. The promoter does not provide the names of the participants. The periods of limitations for the participants' income tax liabilities and criminal prosecution for 2001 and 2002 are suspended under section 7609(e)(2) beginning on November 3, 2004, the date which is six months after the date the John Doe summons was served until the date on which the promoter's response to the summons is finally resolved.
(e)*Definitions* —(1) *Agent, nominee, etc.* A person is the agent, nominee, or other person of a person entitled to notice under section 7609(a) and § 301.7609-2, and is acting under the direction or control of the person entitled to notice for purposes of section 7609(e)(1), if the person entitled to notice has the ability in fact or at law to cause the agent, nominee or other person, to take the actions permitted under section 7609(b).
(2)*Period during which a proceeding is pending* —(i) *Intervention in an enforcement proceeding.* The period during which the periods of limitations under sections 6501 and 6531 are suspended under section 7609(e)(1) begins on the date any person described in paragraph
(b)of this section intervenes in an action to enforce the summons. The periods of limitations remain suspended until all appeals are disposed of, or until the expiration of the period during which an appeal may be taken or a request for further review may be made. The periods of limitations remain suspended for the period during which a proceeding is pending, regardless of compliance (or partial compliance) with the summons during that period. If, following issuance of an order to enforce a third-party summons, a collateral proceeding is brought challenging whether production made by the summoned party fully satisfied the court order and whether sanctions should be imposed against the summoned party for a failure to satisfy that order, the periods of limitations remain suspended until all appeals of the collateral proceeding are disposed of, or until the expiration of the period during which an appeal may be taken or a request for further review of the collateral proceeding may be made. Any collateral proceeding to the original proceeding shall be considered to be a continuation of the original proceeding.
(ii)*Proceeding to quash a summons.* The period during which the periods of limitations under sections 6501 and 6531 are suspended under section 7609(e)(1) begins on the date any person described in paragraph
(c)of this section files a petition to quash the summons in district court. The periods of limitations remain suspended until all appeals are disposed of, or until expiration of the period in which an appeal may be taken or a request for further review may be made. The periods of limitations remain suspended for the period during which a proceeding is pending, regardless of compliance (or partial compliance) with the summons during that period.
(iii)*Examples.* The rules of paragraph (e)(2) are illustrated by the following examples: Example 1. A revenue agent issues a summons to A, an accountant for B, requiring production of records relating to B's income tax liabilities for 2002. The summons is served on A on March 1, 2004. B files a petition to quash the summons in district court on March 15, 2004. The district court dismisses B's petition on July 1, 2004. B fails to appeal this decision by filing a notice of appeal within 60 days from the date of the district court's order of dismissal. The revenue agent notifies A that B did not appeal the district court's order. A turns over all of the records requested in the summons. The periods of limitations applicable to B for 2002 under sections 6501 and 6531 are suspended under section 7609(e)(1) from March 15, 2004, the date B filed a petition to quash, until August 30, 2004, the last day on which B could have filed a notice of appeal. Example 2. A revenue agent issues a summons to A, an accountant for B, requiring production of records relating to B's income tax liabilities for 2003. The summons is served on A on June 1, 2005. B files an untimely petition to quash the summons in district court on June 29, 2005. The district court dismisses B's petition on July 29, 2005. B does not file an appeal of the district court's order. The periods of limitations applicable to B for 2003 under sections 6501 and 6531 are suspended under section 7609(e)(1) from June 29, 2005, the date B filed an untimely petition to quash, until September 27, 2005, the last day on which B could have filed a notice of appeal.
(3)*Final resolution of the summoned third party's response to a summons.* For purposes of section 7609(e)(2)(B), final resolution with respect to a summoned party's response to a third-party summons occurs when the summons or any order enforcing any part of the summons is fully complied with and all appeals or requests for further review are disposed of, the period in which an appeal may be taken has expired or the period in which a request for further review may be made has expired. The determination of whether there has been full compliance will be made within a reasonable time, given the volume and complexity of the records produced, after the later of the giving of all testimony or the production of all records requested by the summons or required by any order enforcing any part of the summons. If, following an enforcement order, collateral proceedings are brought challenging whether the production made by the summoned party fully satisfied the court order and whether sanctions should be imposed against the summoned party for a failing to do so, the suspension of the periods of limitations shall continue until the summons or any order enforcing any part of the summons is fully complied with and the decision in the collateral proceeding becomes final. A decision in a collateral proceeding becomes final when all appeals are disposed of, the period in which an appeal may be taken has expired or the period in which a request for further review may be made has expired.
(f)*Effective/applicability date.* This section is applicable on *April 30, 2008.* Dated: April 17, 2008. Linda E. Stiff, Deputy Commissioner for Services and Enforcement. Eric Solomon, Assistant Secretary of the Treasury (Tax Policy). [FR Doc. E8-9518 Filed 4-29-08; 8:45 am] BILLING CODE 4830-01-P DEPARTMENT OF LABOR Employee Benefits Security Administration 29 CFR Part 2550 RIN 1210-AB10 Default Investment Alternatives Under Participant Directed Individual Account Plans AGENCY: Employee Benefits Security Administration, Department of Labor. ACTION: Correcting amendments. SUMMARY: The Department published in the **Federal Register** of October 24, 2007 (72 FR 60452), a final regulation providing relief from certain fiduciary responsibilities for fiduciaries of participant-directed individual account plans who, in the absence of directions from a participant, invest the participant's account in a qualified default investment alternative. The final regulation implemented recent amendments to title I of the Employee Retirement Income Security Act of 1974 (ERISA) enacted as part of the Pension Protection Act of 2006, Public Law 109-280. The Department has determined that two paragraphs in the final regulation, and one statement in the SUPPLEMENTARY INFORMATION , require correction. Accordingly, this document corrects the final regulation by revising these paragraphs. DATES: *Effective Date:* The amendments to the final regulation are effective on April 30, 2008. *Applicability Date:* The amendments to the final regulation apply on and after December 24, 2007. FOR FURTHER INFORMATION CONTACT: Allison Wielobob, Office of Regulations and Interpretations, Employee Benefits Security Administration,
(202)693-8500. This is not a toll-free number. SUPPLEMENTARY INFORMATION: A. General Section 624(a) of the Pension Protection Act of 2006 (Pension Protection Act) added a new section 404(c)(5) to ERISA. Section 404(c)(5)(A) of ERISA provides that, for purposes of section 404(c)(1) of ERISA, a participant in an individual account plan shall be treated as exercising control over the assets in the account with respect to the amount of contributions and earnings which, in the absence of an investment election by the participant, are invested by the plan in accordance with regulations prescribed by the Secretary of Labor. On October 24, 2007, the Department of Labor (Department) published a final regulation implementing the provisions of section 404(c)(5) of ERISA. A fiduciary of a plan that complies with the final regulation will not be liable for any loss, or by reason of any breach, that occurs as a result of investment in a qualified default investment alternative. The regulation describes the types of investments that qualify as default investment alternatives under section 404(c)(5) of ERISA. B. Correcting Amendments The Department has determined that one statement in the text of the SUPPLEMENTARY INFORMATION to the final regulation and two regulatory provisions require amendment. 1. Amendment of Supplementary Information Text In the Supplementary Information, 72 FR at 60456, the Department provides an explanation of paragraph (c)(5)(ii) of the final regulation. This paragraph provides that any transfer or permissible withdrawal from a qualified default investment alternative resulting from a participant's or beneficiary's election to make such a transfer or withdrawal during the 90-day period beginning on the date of the participant's first elective contribution, or other first investment in a qualified default investment alternative, shall not be subject to any restrictions, fees or expenses, other than certain ongoing administrative and investment fees. The Department explained that this provision was intended to prevent the imposition of any restriction, fee, or expense on a transfer or permissible withdrawal of assets, whether assessed by the plan, the plan sponsor, or as part of an underlying investment product or portfolio. The Department also provided a few examples of restrictions that might inhibit a participant's or beneficiary's decision to withdraw, sell or transfer assets out of a qualified default investment alternative during this 90-day period. One of the cited examples was a “round-trip” restriction on the ability of the participant or beneficiary to reinvest within a defined period of time. The Department has concluded that the reference to “round-trip” restrictions was too broad and should not have been included as an example of an impermissible restriction. “Round-trip” restrictions, unlike fees and expenses assessed directly upon liquidation of, or transfer from, an investment, generally affect only a participant's ability to reinvest in the qualified default investment alternative for a limited period of time. This is not a restriction prohibited by paragraph (c)(5)(ii) of the final regulation. However, to the extent that a “round-trip” restriction would affect a participant's or beneficiary's ability to liquidate or transfer from a qualified default investment alternative or restrict a participant's or beneficiary's ability to invest in any other investment alternative available under the plan, it would be impermissible for purposes of paragraph (c)(5)(ii) of the final regulation. 2. Regulatory Text Amendments The Department is also amending language in paragraph (e)(3) of the regulation, describing persons that may manage a qualified default investment alternative. In response to comments on the proposed regulation, paragraph (e)(3) was expanded to include a plan sponsor who is a named fiduciary of the plan. The Department intended that this expansion would broadly accommodate employers that manage their plan investments in-house. However, the reference to “plan sponsor” in paragraph (e)(3)(i)(C) has raised questions as to whether a committee that is a named fiduciary of the plan and is comprised primarily of employees of the plan sponsor can manage a qualified default investment alternative when that committee, pursuant to plan documents, is a named fiduciary. To address this uncertainty, the Department is amending paragraph (e)(3)(i)(C) to make clear that such a committee of the plan sponsor may manage a qualified default investment alternative. Finally, the Department is amending paragraph (e)(4)(v) of the final regulation. As explained in the Supplementary Information to the final regulation, this provision establishes a “grandfather”-type rule to treat stable value products and funds as qualified default investment alternatives solely for purposes of investments made before the effective date of the final regulation. The Department included this provision to accommodate employers who had selected stable value products or funds as their default investments before the regulation's effective date and who may not be able to transfer participants' and beneficiaries' assets out of such investments without incurring significant expenses. Following publication of the final regulation, the Department determined that the description of stable value products and funds as set forth in paragraph (e)(4)(v) may limit the availability of the “grandfather”-type relief, contrary to the intention of the Department. To ensure broad application of this relief to stable value products and funds, the Department is changing paragraph (e)(4)(v) of the final regulation to provide that stable value products or funds must invest primarily in investment products that are backed by state or federally regulated financial institutions. For example, these investment products may be issued directly by such institutions. Alternatively, the principal and accrued interest on the investment products may be backed by contracts issued by such institutions. The Department finds, in accordance with section 553(b) of the Administrative Procedure Act (5 U.S.C. 553(b)), that notice and public comment is not necessary. This document merely amends a statement in the SUPPLEMENTARY INFORMATION to the final regulation regarding the application of a regulatory provision and modifies two provisions to address public uncertainty regarding their scope. For the same reason, the Department finds good cause for making this document effective upon publication in the **Federal Register** . C. Regulatory Impact Analysis None of the correcting amendments being adopted herein will alter the analysis or data contained in the regulatory impact analysis of the final regulation. See 72 FR at 60466 (October 24, 2007). List of Subjects in 29 CFR Part 2550 Employee benefit plans, Exemptions, Fiduciaries, Investments, Pensions, Prohibited transactions, Real estate, Securities, Surety bonds, Trusts and trustees. Accordingly, 29 CFR part 2550 is corrected by making the following correcting amendments: PART 2550—RULES AND REGULATIONS FOR FIDUCIARY RESPONSIBILITY 1. The authority citation for part 2550 continues to read as follows: Authority: 29 U.S.C. 1135; sec. 657, Pub. L. 107-16, 115 Stat. 38; and Secretary of Labor's Order No. 1-2003, 68 FR 5374 (Feb. 3, 2003). Sec. 2550.401b-1 also issued under sec. 102, Reorganization Plan No. 4 of 1978, 43 FR 47713 (Oct. 17, 1978), 3 CFR, 1978 Comp. 332, effective Dec. 31, 1978, 44 FR 1065 (Jan. 3, 1978), 3 CFR, 1978 Comp. 332. Sec. 2550.401c-1 also issued under 29 U.S.C. 1101. Sections 2550.404c-1 and 2550.404c-5 also issued under 29 U.S.C. 1104. Sec. 2550.407c-3 also issued under 29 U.S.C. 1107. Sec. 2550.408b-1 also issued under 29 U.S.C. 1108(b)(1) and sec. 102, Reorganization Plan No. 4 of 1978, 3 CFR, 1978 Comp. p. 332, effective Dec. 31, 1978, 44 FR 1065 (Jan. 3, 1978), and 3 CFR, 1978 Comp. 332. Sec. 2550.412-1 also issued under 29 U.S.C. 1112. 2. Amend § 2550.404c-5 by revising paragraphs (e)(3)(i)(C) and (e)(4)(v)(A) to read as follows: § 2550.404c-5 Fiduciary relief for investments in qualified default investment alternatives.
(e)* * *
(3)* * *
(i)* * *
(C)the plan sponsor, or a committee comprised primarily of employees of the plan sponsor, which is a named fiduciary within the meaning of section 402(a)(2) of the Act;
(4)* * *
(v)* * *
(A)Subject to paragraph (e)(4)(v)(B) of this section, an investment product or fund designed to preserve principal; provide a rate of return generally consistent with that earned on intermediate investment grade bonds; and provide liquidity for withdrawals by participants and beneficiaries, including transfers to other investment alternatives. Such investment product or fund shall, for purposes of this paragraph (e)(4)(v), meet the following requirements: ( *1* ) There are no fees or surrender charges imposed in connection with withdrawals initiated by a participant or beneficiary; and ( *2* ) Such investment product or fund invests primarily in investment products that are backed by State or federally regulated financial institutions. Signed at Washington, DC, this 24th day of April, 2008. Bradford P. Campbell, Assistant Secretary, Employee Benefits Security Administration, Department of Labor. [FR Doc. E8-9371 Filed 4-29-08; 8:45 am] BILLING CODE 4510-29-P DEPARTMENT OF DEFENSE Department of the Army 32 CFR Part 501 Employment of Troops in Aid of Civil Authorities AGENCY: Department of the Army, DoD. ACTION: Final rule. SUMMARY: This action removes 32 CFR Part 501, Employment of Troops in Aid of Civil Authorities. The regulations are being removed because they are obsolete and no longer govern policies for the Department of the Army in planning and operations involving the use of Army resources in the control of actual or anticipated civil disturbances. The program responsibility has been transferred to the Office of the Assistant Secretary of Defense for Homeland Defense. DATES: Effective April 30, 2008. ADDRESSES: Department of the Army, Office of the Deputy Chief of Staff, G-3/5/7, DAMO-ODS, 400 Army Pentagon, Washington, DC 20310-0400. FOR FURTHER INFORMATION CONTACT: Ms. Loretta Phillips,
(703)692-7459. SUPPLEMENTARY INFORMATION: The responsibility for this program was originally with the Department of the Army and was published as 32 CFR Part 501. The program responsibility was transferred to the Office of the Assistant Secretary of Defense for Homeland Defense and is now covered by DoD Directive 3025.12, Employment of Military Resources in the Event of Civil Disturbances which replaces the requirements formerly set forth. Therefore, to avoid confusion with the public, 32 CFR Part 501 is removed. List of Subjects in 32 CFR Part 501 Armed forces, Civil disorders, Intergovernmental relations, Law enforcement, Military law. PART 501—[REMOVED] Accordingly, for reasons stated in the preamble, under the authority of Sections 331, 332, 333, and 3012 70A Stat. 15, 157; 10 U.S.C. 331, 332, 333, 3012, 32 CFR part 501, *Employment of Troops in Aid of Civil Authorities,* is removed in its entirety. Brenda S. Bowen, Army Federal Register Liaison Officer. [FR Doc. E8-9438 Filed 4-29-08; 8:45 am] BILLING CODE 3710-08-P DEPARTMENT OF DEFENSE Department of the Army 32 CFR Part 502 Relief Assistance AGENCY: Department of the Army, DoD. ACTION: Final rule. SUMMARY: This action removes 32 CFR Part 502, Relief Assistance. The regulations are being removed because they are obsolete and no longer govern policies and procedures for disaster relief activities. The program responsibility has been transferred to the Office of the Assistant Secretary of Defense for Homeland Defense. DATES: Effective April 30, 2008. ADDRESSES: Department of the Army, Office of the Deputy Chief of Staff, G-3/5/7, DAMO-ODS, 400 Army Pentagon, Washington, DC 20310-0400. FOR FURTHER INFORMATION, CONTACT: Ms. Loretta Phillips,
(703)692-7459. SUPPLEMENTARY INFORMATION: The responsibility for this program was originally with the Department of the Army and was published as 32 CFR part 502. The program responsibility was transferred to the Office of the Assistant Secretary of Defense for Homeland Defense and is now covered by the DoD Directive 3025.1, Military Support to Civil Authorities
(MSCA)which replaces the requirements formerly set forth. Therefore, to avoid confusion with the public, 32 CFR Part 502 is removed. List of Subjects in 32 CFR Part 502 Armed forces, Disaster assistance. PART 502—[REMOVED] Accordingly, for reasons stated in the preamble, under the authority of Section 3012, 70A Stat. 147; 10 U.S.C. 3012, 32 CFR part 502, *Relief Assistance,* is removed in its entirety. Brenda S. Bowen, Army Federal Register Liaison Officer. [FR Doc. E8-9436 Filed 4-29-08; 8:45 am] BILLING CODE 3710-08-P DEPARTMENT OF HOMELAND SECURITY Coast Guard 33 CFR Part 165 [USCG-2008-0329] RIN 1625-AA87 Security Zone; Cleveland Harbor, Dock 32, Cleveland, OH AGENCY: Coast Guard, DHS. ACTION: Temporary final rule. SUMMARY: The Coast Guard is establishing a temporary security zone in the eastern basin section of Lake Erie adjacent to Dock 32 in Cleveland, OH. This zone is intended to restrict vessels during the Ninth Coast Guard District Change of Command Ceremony on May 22, 2008. This security zone is necessary to provide for the security and safety of life for event participants. Entry into this zone is prohibited unless authorized by the Captain of the Port, Buffalo, NY, or a designated representative. DATES: This rule is effective from 12 noon until 5 p.m. on May 22, 2008. ADDRESSES: Documents indicated in this preamble as being available in the docket USCG-2008-0329 are part of this docket are available online at *http://www.regulations.gov* . This material is also available for inspection or copying at two locations: the Docket Management Facility (M-30), U.S. Department of Transportation, West Building Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC 20590, between 9 a.m. and 5 p.m., Monday through Friday, except Federal holidays and at the U.S. Coast Guard Marine Safety Unit Cleveland, 1055 East 9th Street, Cleveland, OH 44114 between 8 a.m. and 3:30 p.m., Monday through Friday, except Federal holidays. FOR FURTHER INFORMATION CONTACT: Lieutenant
(LT)Nicole Starr, U.S. Coast Guard Marine Safety Unit Cleveland, at
(216)937-0128. If you have questions about viewing the online docket, call Renee V. Wright, Program Manager, Docket Operations, telephone 202-366-9826. SUPPLEMENTARY INFORMATION: Regulatory Information We did not publish a notice of proposed rulemaking
(NPRM)for this regulation. Under 5 U.S.C. 553(b)(B), the Coast Guard finds that good cause exists for not publishing an NPRM. Under 5 U.S.C. 553(d)(3), good cause exists for making this rule effective less than 30 days after publication in the **Federal Register** . Delaying this rule would be contrary to the public interest of ensuring the security of event participants. Background and Purpose The Coast Guard will conduct a Change of Command ceremony along Lake Erie at dock 32 in Cleveland, OH, on May 22, 2008. A security zone is needed from 12 noon through 5 p.m. on that date to protect dignitaries taking part in this high-level military ceremony and spectators from potential threats posed by waterborne acts of sabotage or other subversive acts. The event will consist of a background comprised of two U.S. Coast Guard vessels anchored perpendicular to the stern of the SS MATHER on the waters of Cleveland Harbor at dock 32. U.S. Coast Guard patrol vessels will be provided to prevent the movement of persons and vessels. Discussion of Rule The Coast Guard is establishing a temporary security zone for the Ninth Coast Guard District Change of Command on May 22, 2008. The zone encompasses all waters of Lake Erie adjacent to Dock 32 in Cleveland, OH, within a 200-yard radius originating from the north east corner of Dock 32. Entry into this zone is prohibited unless authorized by the Captain of the Port or his designated representative. This security zone will be in effect from 12 noon through 5 p.m. on May 22, 2008 to safeguard event participants and spectators. All persons other than those approved by the Captain of the Port Buffalo, or his on-scene representative, are prohibited from entering or moving within this security zone. In addition to today's publication of this temporary final rule, the Coast Guard will provide notice of this security zone and its restrictions involved via Broadcast Notice to Mariners. Regulatory Evaluation This rule is not a “significant regulatory action” under section 3(f) of Executive Order 12866, Regulatory Planning and Review, and does not require an assessment of potential costs and benefits under section 6(a)(3) of that Order. The Office of Management and Budget has not reviewed this rule under that Order. This determination is based on the size and location of the security zone within the water. Commercial vessels will not be hindered by the security zone. Recreational vessels will be allowed to transit through the designated security zone during the specified times if approved by the Captain of the Port, Buffalo or his designated representative. Small Entities Under the Regulatory Flexibility Act (5 U.S.C. 601-612), we have considered whether this rule will have a significant impact on a substantial number of small entities. The term “small entities” comprises small businesses, not-for-profit organizations that are independently owned and operated and are not dominant in their fields, and governmental jurisdictions with populations of less than 50,000. The Coast Guard certifies under 5 U.S.C. 605(b) that this rule will not have a significant economic impact on a substantial number of small entities. This rule will affect the following entities, some of which might be small entities: The owners or operators of commercial vessels intending to transit a portion of the security zone from 12 noon until 5 p.m. on May 22, 2008. The zone will only encompass a limited area. Shallow water vessel traffic not constrained by draft can pass safely around the security zone. A lack of commercial vessel traffic exists in the area during the effective period. Maritime advisories on the Change of Command ceremony have been advertised and made widely available to users of the waterway and will continue until the ceremony is complete. Assistance for Small Entities Under section 213(a) of the Small Business Regulatory Enforcement Fairness Act of 1996 (Pub. L. 104-121), we offered to assist small entities in understanding this rule so that they can better evaluate its effects and participate in the rulemaking process. If the rule will affect your small business, organization, or governmental jurisdiction and you have questions concerning its provisions or options for compliance, please contact Lieutenant Nicole Starr, U.S. Coast Guard Marine Safety Unit Cleveland, 1055 East 9th Street, Cleveland, OH 44114; telephone
(216)937-0128. The Coast Guard will not retaliate against small entities that question or complain about this rule or any policy or action of the Coast Guard. Collection of Information This rule calls for no new collection of information under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520). Federalism A rule has implications for federalism under Executive Order 13132, Federalism, if it has a substantial direct effect on State or local governments and would either preempt State law or impose a substantial cost of compliance on them. We have analyzed this rule under that Order and have determined that it does not have implications for federalism. Unfunded Mandates Reform Act The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538) requires Federal agencies to assess the effects of their discretionary regulatory actions. In particular, the Act addresses actions that may result in the expenditure by a State, local, or tribal government, in the aggregate, or by the private sector of $100,000,000 or more in any one year. Though this rule will not result in such an expenditure, we do discuss the effects of this rule elsewhere in this preamble. Taking of Private Property This rule will not effect a taking of private property or otherwise have taking implications under Executive Order 12630, Governmental Actions and Interference with Constitutionally Protected Property Rights. Civil Justice Reform This rule meets applicable standards in sections 3(a) and 3(b)(2) of Executive Order 12988, Civil Justice Reform, to minimize litigation, eliminate ambiguity, and reduce burden. Protection of Children The Coast Guard has analyzed this rule under Executive Order 13045, Protection of Children from Environmental Health Risks and Safety Risks. This rule is not an economically significant rule and does not concern an environmental risk to health or risk to safety that may disproportionately affect children. Indian Tribal Governments The Coast Guard recognizes the treaty rights of Native American Tribes. Moreover, the Coast Guard is committed to working with Tribal Governments to implement local policies and to mitigate tribal concerns. We have determined that these special local regulations and fishing rights protection need not be incompatible. We have also determined that this Rule does not have tribal implications under Executive Order 13175, Consultation and Coordination with Indian Tribal Governments, because it does not have a substantial direct effect on one or more Indian tribes, on the relationship between the Federal Government and Indian tribes, or on the distribution of power and responsibilities between the Federal Government and Indian tribes. Nevertheless, Indian Tribes that have questions concerning the provisions of this Rule or options for compliance are encourage to contact the point of contact listed under FOR FURTHER INFORMATION CONTACT . Energy Effects We have analyzed this rule under Executive Order 13211, Actions Concerning Regulations That Significantly Affect Energy Supply, Distribution, or Use. We have determined that it is not a “significant energy action” under that order because it is not a “significant regulatory action” under Executive Order 12866 and is not likely to have a significant adverse effect on the supply, distribution, or use of energy. The Administrator of the Office of Information and Regulatory Affairs has not designated it as a significant energy action. Therefore, it does not require a Statement of Energy Effects under Executive Order 13211. Technical Standards The National Technology Transfer and Advancement Act (NTTAA) (15 U.S.C. 272 note) directs agencies to use voluntary consensus standards in their regulatory activities unless the agency provides Congress, through the Office of Management and Budget, with an explanation of why using these standards would be inconsistent with applicable law or otherwise impractical. Voluntary consensus standards are technical standards (e.g., specifications of materials, performance, design, or operation; test methods; sampling procedure; and related management system practices) that are developed or adopted by voluntary consensus standards bodies. This rule does not use technical standards. Therefore, we did not consider the use of voluntary consensus standards. Environment We have analyzed this rule under Commandant Instruction M16475.lD which guides the Coast Guard in complying with the National Environmental Policy Act of 1969
(NEPA)(42 U.S.C. 4321-4370f), and have concluded that there are no factors in this case that would limit the use of a categorical exclusion under section 2.B.2 of the Instruction. Therefore, this rule is categorically excluded, under figure 2-1, paragraph 34(g) of the Instruction from further environmental documentation. This rule establishes a security zone and as such is covered by this paragraph. A final “Environmental Analysis Check List” and a final “Categorical Exclusion Determination” are available in the docket where indicated under ADDRESSES . List of Subjects in 33 CFR Part 165 Harbors, Marine Safety, Navigation (water), Reporting and record keeping requirements, Waterways. For the reasons discussed in the preamble, the Coast Guard amends 33 CFR part 165 as follows: PART 165—REGULATED NAVIGATION AREAS AND LIMITED ACCESS AREAS 1. The authority citation for part 165 continues to read as follows: Authority: 33 U.S.C. 1226, 1231; 46 U.S.C. Chapter 701; 50 U.S.C. 191, 195; 33 CFR 1.05-1, 6.04-1, 6.04-6, and 160.5; Pub. L. 107-295, 116 Stat. 2064; Department of Homeland Security Delegation No. 0170.1. 2. A new temporary § 165.T09-004 is added as follows: § 165.T09-004 Security Zone; Cleveland Harbor, Dock 32.
(a)*Location.* The following area is a temporary security zone: all waters of Cleveland Harbor, Cleveland, OH, within a 200 yard radius originating from the north east corner of dock 32.
(b)*Effective period.* This section is effective from 12 noon until 5 p.m. on May 22, 2008.
(c)*Regulations.*
(1)In accordance with the general regulations in § 165.33 of this part, entry into, transiting, or anchoring within this security zone is prohibited unless authorized by the Captain of the Port Buffalo, or his on-scene representative.
(2)The security zone described in paragraph
(a)of this section is closed to all vessel traffic, except as may be permitted by the Captain of the Port Buffalo or his on-scene representative.
(3)The *on-scene representative of the Captain of the Port* is any Coast Guard commissioned, warrant, or petty officer who has been designated by the Captain of the Port to act on his behalf. The on-scene representative of the Captain of the Port will be onboard either a Coast Guard or Coast Guard Auxiliary vessel.
(4)Vessel operators desiring to enter or operate within the security zone shall contact the Captain of the Port Buffalo or his on-scene representative to obtain permission to do so. The Captain of the Port or his on-scene representative may be contacted via VHF Channel 16. Vessel operators given permission to enter or operate in the security zone shall comply with all directions given to them by the Captain of the Port Buffalo or his on-scene representative. Dated: April 14, 2008. S.J. Ferguson, Captain, U.S. Coast Guard, Captain of the Port Buffalo. [FR Doc. E8-9479 Filed 4-29-08; 8:45 am] BILLING CODE 4910-15-P DEPARTMENT OF VETERANS AFFAIRS 38 CFR Part 3 RIN 2900-AM17 Notice and Assistance Requirements and Technical Correction AGENCY: Department of Veterans Affairs. ACTION: Final rule. SUMMARY: The Department of Veterans Affairs
(VA)is amending its regulation governing VA's duty to provide a claimant with notice of the information and evidence necessary to substantiate a claim and VA's duty to assist a claimant in obtaining the evidence necessary to substantiate the claim. The purpose of these changes is to clarify when VA has no duty to notify a claimant of how to substantiate a claim for benefits, to make the regulation comply with statutory changes, and to streamline the development of claims. Additionally, we are making a non-substantive, technical correction to the statutory references in a separate part 3 regulation. DATES: *Effective Date:* This amendment is effective May 30, 2008. *Applicability Date:* The amendments to 38 CFR 3.159 apply to applications for benefits pending before VA on or filed after the effective date of this rule. FOR FURTHER INFORMATION CONTACT: Maya Ferrandino, Consultant, Regulations Staff (211D), Compensation and Pension Service, Veterans Benefits Administration, Department of Veterans Affairs, 810 Vermont Avenue, NW., Washington, DC 20420,
(727)319-5847. SUPPLEMENTARY INFORMATION: On October 31, 2006, VA published in the **Federal Register** (71 FR 63732) a proposal to revise VA's regulation regarding VA assistance in developing claims, 38 CFR 3.159. Interested persons were invited to submit written comments on or before January 2, 2007. We received two comments from members of the public. Proposed Rule 38 CFR 3.159(b)(3) Under 38 U.S.C. 5103(a), upon receipt of a substantially complete application for benefits, VA must “notify the claimant and the claimant's representative, if any, of any information, and any medical or lay evidence, not previously provided to the Secretary that is necessary to substantiate the claim” (section 5103(a) notice). VA implemented section 5103(a) in 38 CFR 3.159, which reflects section 5103(a)'s requirement that VA give the notice upon receipt of a substantially complete application. *See* 38 CFR 3.159(b)(1). In addition, VA defined “substantially complete application” for purposes of section 5103(a) notice. *See* 38 CFR 3.159(a)(3). Experience implementing section 5103(a) disclosed a potential ambiguity in the regulations, which this rulemaking removes. That ambiguity is whether VA's receipt of a notice of disagreement
(NOD)also triggers VA's duty to give section 5103(a) notice because the NOD can be viewed as satisfying the definition of “application” in 38 CFR 3.1(p). We proposed to clarify that it does not. An NOD is the means by which a claimant initiates an appeal of a decision on a claim to the Board of Veterans' Appeals (Board). 38 U.S.C. 7105(a); 38 CFR 20.200. “A written communication from a claimant or his or her representative expressing dissatisfaction or disagreement with an adjudicative determination by the agency of original jurisdiction and a desire to contest the result will constitute [an NOD].” 38 CFR 20.201. We stated that, because the definition of “application” in § 3.1(p) is a holdover from before the Veterans Claims Assistance Act of 2000 (VCAA), Public Law 106-475, 114 Stat. 2096, and was not intended to govern when VA must give section 5103(a) notice, VA does not view it as dispositive of the question. Furthermore, section 5103(a) does not specify whether VA must issue section 5103(a) notice upon receipt of an NOD. VA believes that Congress did not intend to require section 5103(a) notice upon VA's receipt of an NOD, for the following reasons: Congress intended VA to give section 5103(a) notice at the beginning of the claim process, but an NOD is filed after VA has decided a claim; Congress requires VA to issue a statement of the case in response to an NOD, so additional section 5103(a) notice would be redundant; giving section 5103(a) notice at the appeal stage of the claim process results in logical inconsistencies in the claim process; and not requiring section 5103(a) notice upon VA's receipt of an NOD would be consistent with case law governing such notice. Therefore, we proposed to state in § 3.159(b)(3)(i) that VA does not have a duty to provide section 5103(a) notice upon receipt of an NOD. To avoid any confusion, however, we note that VA may continue to have an obligation to provide adequate section 5103(a) notice despite receipt of an NOD, if compliant notice was not previously provided and if the claim was denied. In such instances, VA's duty to provide adequate section 5103(a) notice is still triggered upon receipt of a substantially complete application for benefits, not upon receipt of an NOD. Courts have specifically held that, although VA is required to provide section 5103(a) notice prior to the initial adjudication of a claim, if VA does not provide timely notice and a claim remains unsubstantiated, this defect can be cured by the subsequent provision of section 5103(a) notice followed by readjudication of the claim. *See Mayfield* v. *Nicholson* , 444 F.3d 1328, 1333-34 (Fed. Cir. 2006); *Paralyzed Veterans of Am* . v. *Sec'y of Veterans Affairs* , 345 F.3d 1334, 1345-46 (Fed. Cir. 2003); *Overton* v. *Nicholson* , 20 Vet. App. 427, 437 (2006); *Dingess* v. *Nicholson* , 19 Vet. App. 473, 491 (2006). After further consideration, we have revised § 3.159(b)(3)(i) to clarify that no duty to provide section 5103(a) notice arises upon VA's receipt of an NOD. Additionally, we proposed to state at § 3.159(b)(3)(ii) that the section 5103(a) notice duty does not arise when the claimant is not entitled to the claimed benefit as a matter of law. In such circumstances, there is no additional information or evidence the claimant could provide or VA could obtain that could substantiate the claim. This regulation would be consistent with the intent of Congress expressed in 38 U.S.C. 5103A(a)(2), which provides that “[t]he Secretary is not required to provide assistance to a claimant under this section if no reasonable possibility exists that such assistance would aid in substantiating the claim.” The legislative history of sections 5103(a) and 5103A(a) supports the conclusion that, if the claim is barred as a matter of law, VA's duty to notify does not apply because there is no relevant information or evidence to obtain. Proposed § 3.159(b)(3)(ii) provided some examples of when a claimant would not be entitled to the claimed benefit as a matter of law, such as when the claimant lacks qualifying service or veteran status. However, because a determination that a claimant is not entitled to a benefit as a matter of law often requires fact-specific analysis, VA may be required to furnish section 5103(a) notice in the specific examples provided in the proposed rule. *See* , e.g., *Palor* v. *Nicholson* , 21 Vet. App. 202, 209
(2007)(concluding that VA's section 5103(a) notice should have informed the veteran in that case of the types of evidence he could have submitted to establish veteran status and qualifying service); *Dingess* v. *Nicholson* , 19 Vet. App. 473, 485
(2006)(concluding that section 5103(a) notice should address evidence required to establish veteran status when appropriate). After further consideration, we have decided not to include specific examples in § 3.159(b)(3)(ii) because they may not always determine whether section 5103(a) notice is required in a given case. 38 CFR 3.159(b)(1) We additionally proposed to amend 38 CFR 3.159(b)(1). First, we proposed to remove the third sentence of current § 3.159(b)(1), which states that VA will request the claimant to provide any evidence in the claimant's possession that pertains to the claim. Section 3.159(b)(1) generally implements the notice requirements of section 5103(a). The three notice requirements in section 5103(a) are currently prescribed in § 3.159(b)(1) as follows: VA will notify the claimant
(1)of the information and medical or lay evidence required to substantiate the claim,
(2)of which information and evidence, if any, that the claimant is to provide to VA, and
(3)of which information and evidence, if any, VA will attempt to obtain on behalf of the claimant. However, the third sentence of current § 3.159(b)(1) is not required by statute and is redundant of the three statutory requirements from the perspective of what the claimant needs to submit to support the claim. As such, it is unnecessary as part of the regulation. A claimant who receives a section 5103(a) notice containing the three statutory elements will have received the same information regarding what the claimant needs to submit to support the claim as the claimant would have received had the claimant received a letter containing the three statutory elements and an additional request that the claimant provide any evidence in the claimant's possession that pertains to the claim. To avoid the possibility of misunderstandings regarding the nature of this provision and to ensure consistency between the manual and regulatory provisions, we further proposed to rescind the provision of paragraph I.1.B.3.b of the Veterans Benefits Administration Adjudication Procedures Manual M21-1MR (VBA Manual M21-1MR) that currently requires regional offices
(ROs)to send to the claimant in response to a substantially complete application a letter that “asks the claimant to submit any evidence in his/her possession that pertains to the claim.” Second, for ease of use, we proposed to add at the end of the first sentence of current § 3.159(b)(1) the term “notice” in parentheses, to use as a term of art within § 3.159(b)(1). Third, we proposed to remove the fourth sentence of current § 3.159(b)(1). This sentence states: “If VA does not receive the necessary information and evidence requested from the claimant within one year of the date of the notice, VA cannot pay or provide any benefits based on that application.” This provision implemented language from section 5103 that was repealed by the Veterans Benefits Act of 2003, Public Law 108-183, section 701(b), 117 Stat. 2670. To ensure consistency with current law and the intent of Congress, we proposed to replace this sentence with the following: “The information and evidence that the claimant is informed that the claimant is to provide must be provided within one year of the date of the notice.” 38 CFR 3.159(g) We proposed to add to § 3.159 a new paragraph (g), which states that the authority recognized in subsection
(g)of 38 U.S.C. 5103A is reserved to the sole discretion of the Secretary and will be implemented, when deemed appropriate by the Secretary, through the promulgation of regulations, in accordance with VA's intention to issue regulations when the Secretary deems it appropriate to provide any additional assistance in substantiating a claim, as contemplated in section 5103A(g). In accordance with section 5103A(g), VA promulgated the second sentence of § 3.159(c), obligating itself to give the assistance described in paragraphs (c)(1), (c)(2), and (c)(3) of § 3.159, relating to assistance with obtaining records, to an individual attempting to reopen a finally decided claim. *See* Duty to Assist, 66 FR 45,620, 45,628 (Aug. 29, 2001). The main purpose of this new provision is to avoid the potential disparate treatment of similarly situated claimants that could arise from inconsistent use in various parts of the agency of open-ended authority to provide “extra” development assistance. Also, this provision is consistent with the Secretary's determination, in the prior rulemaking for § 3.159, of the appropriate level of assistance to be provided individuals based on VA's finite resources and the need to process claims in an efficient manner for the benefit of all veterans. 38 CFR 3.159(c)(4)(i) We proposed to add the following sentence after the first sentence in § 3.159(c)(4)(i): “A medical examination or medical opinion is not necessary to show a link between a veteran's current disability or death and some disease or symptoms during service when the evidence of record already satisfies the chronicity or continuity requirements in § 3.303(b).” After further consideration, we have decided not to effectuate this proposed revision for policy reasons. We will reconsider this proposed revision at a later date if necessary. Response to Comments One commenter stated that VA information was withheld from him and that he had not been offered assistance by VA. He felt that VA was interested in denying veterans benefits. He additionally stated that he felt that any claim for benefits should be considered a claim for any benefits for any reason. This commenter's comments concern the development of the commenter's specific claim and are irrelevant to the amendments contained in the proposed rule. Therefore, we make no changes to this final rule based on these comments. The other commenter stated that he did not like the proposed amendment to § 3.159(b)(1) to add the following sentence: “The information and evidence that the claimant is informed that the claimant is to provide must be provided within one year of the date of the notice.” The commenter stated that it could take more than one year to obtain some information and evidence. To ensure consistency with 38 U.S.C. 5103(b)(1) and the intent of Congress, we proposed to remove the fourth sentence of current § 3.159(b)(1) and replace it with the following sentence: “The information and evidence that the claimant is informed that the claimant is to provide must be provided within one year of the date of the notice.” The statute requires that, “[i]n the case of information or evidence that the claimant is notified under subsection
(a)is to be provided by the claimant, such information or evidence must be received by the Secretary within one year from the date such notice is sent.” 38 U.S.C. 5103(b)(1). Because we are implementing a statutory requirement with this amendment, we make no changes based on this comment. Further, VA will make reasonable efforts to assist claimants. It is VA's intent that adequate information regarding evidence to support the claim should be received from the claimant within the one-year time period, not that all evidence, including examination reports, must be obtained by VA within the one-year period. Therefore, we make no changes based on this comment. Additional Change In the proposed rulemaking, we proposed to amend the fifth sentence of current § 3.159(b)(1), which states that VA may decide the claim if the claimant has not responded to the section 5103(a) notice within 30 days. We proposed to provide 45 days as a more reasonable period after which VA may decide a claim if no response to the section 5103(a) notice has been received. Based on administrative concerns and matters of consistency, we have reconsidered this proposal and decided to maintain the current 30-day period after which VA may decide a claim if a claimant has not responded to the section 5103(a) notice. By statute, VA may make a decision on a claim before the expiration of the one-year period, 38 U.S.C. 5103(b), and this 30-day period merely sets forth a time frame for VA to wait for a response from the claimant before deciding the claim. The claimant will continue to have one year from the date of the section 5103(a) notice to provide the information and evidence requested. Furthermore, if VA decides the claim after 30 days and subsequently receives the information or evidence requested from the claimant within one year of VA giving the notice, VA must readjudicate the claim. We additionally proposed to rescind the provision of paragraph I.1.B.3.c of the VBA Manual M21-1MR that currently advises ROs to “inform the claimant that if he/she does not respond to the request for information within 60 days, VA may decide the claim based on all the information and evidence in the file.” We did not receive any comments on this manual rescission. To ensure consistency between the manual and current regulatory provisions, we will rescind that manual provision and replace it with a new provision that will provide for a 30-day period, as set forth in the regulation. VA appreciates the comments submitted in response to the proposed rule. Based on the rationale stated in the proposed rule and in this document, the proposed rule is adopted with the changes noted. Technical Correction Section 5(a) of Public Law 102-83, the Department of Veterans Affairs Codification Act, redesignated 38 U.S.C. 410, 416, and 417 as 38 U.S.C. 1310, 1316, and 1317, respectively. We are updating the parenthetical following the last sentence in 38 CFR 3.5(b)(3) to reflect current statutory designations. We are making no substantive changes to the regulation. Paperwork Reduction Act This document contains no provisions constituting a new collection of information under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3521). Regulatory Flexibility Act The Secretary hereby certifies that this regulatory amendment will not have a significant economic impact on a substantial number of small entities as they are defined in the Regulatory Flexibility Act, 5 U.S.C. 601-612. Only VA beneficiaries could be directly affected. Therefore, pursuant to 5 U.S.C. 605(b), this final rule is exempt from the initial and final regulatory flexibility analysis requirements of sections 603 and 604. Executive Order 12866 Executive Order 12866 directs agencies to assess all costs and benefits of available regulatory alternatives and, when regulation is necessary, to select regulatory approaches that maximize net benefits (including potential economic, environmental, public health and safety, and other advantages; distributive impacts; and equity). The Executive Order classifies a “significant regulatory action,” requiring review by the Office of Management and Budget
(OMB)unless OMB waives such review, as any regulatory action that is likely to result in a rule that may:
(1)Have an annual effect on the economy of $100 million or more or adversely affect in a material way the economy, a sector of the economy, productivity, competition, jobs, the environment, public health or safety, or State, local, or tribal governments or communities;
(2)create a serious inconsistency or otherwise interfere with an action taken or planned by another agency;
(3)materially alter the budgetary impact of entitlements, grants, user fees, or loan programs or the rights and obligations of recipients thereof; or
(4)raise novel legal or policy issues arising out of legal mandates, the President's priorities, or the principles set forth in the Executive Order. The economic, interagency, budgetary, legal, and policy implications of this final rule have been examined and it has been determined to be a significant regulatory action under the Executive Order because it is likely to result in a rule that may raise novel legal or policy issues arising out of legal mandates, the President's priorities, or the principles set forth in the Executive Order. Unfunded Mandates The Unfunded Mandates Reform Act of 1995 requires, at 2 U.S.C. 1532, that agencies prepare an assessment of anticipated costs and benefits before issuing any rule that may result in the expenditure by State, local, and tribal governments, in the aggregate, or by the private sector, of $100 million or more (adjusted annually for inflation) in any year. This final rule would have no such effect on State, local, and tribal governments, or on the private sector. Catalog of Federal Domestic Assistance Numbers The Catalog of Federal Domestic Assistance program numbers and titles are 64.100, Automobiles and Adaptive Equipment for Certain Disabled Veterans and Members of the Armed Forces; 64.101, Burial Expenses Allowance for Veterans; 64.102, Compensation for Service-Connected Deaths for Veterans' Dependents; 64.103, Life Insurance for Veterans; 64.104, Pension for Non-Service-Connected Disability for Veterans; 64.105, Pension to Veterans Surviving Spouses, and Children; 64.106, Specially Adapted Housing for Disabled Veterans; 64.109, Veterans Compensation for Service-Connected Disability; 64.110, Veterans Dependency and Indemnity Compensation for Service-Connected Death; 64.114, Veterans Housing—Guaranteed and Insured Loans; 64.115, Veterans Information and Assistance; 64.116, Vocational Rehabilitation for Disabled Veterans; 64.117, Survivors and Dependents Educational Assistance; 64.118, Veterans Housing—Direct Loans for Certain Disabled Veterans; 64.119, Veterans Housing-Manufactured Home Loans; 64.120, Post-Vietnam Era Veterans' Educational Assistance; 64.124, All-Volunteer Force Educational Assistance; 64.125, Vocational and Educational Counseling for Servicemembers and Veterans; 64.126, Native American Veteran Direct Loan Program; 64.127, Monthly Allowance for Children of Vietnam Veterans Born with Spina Bifida; and 64.128, Vocational Training and Rehabilitation for Vietnam Veterans' Children with Spina Bifida or Other Covered Birth Defects. List of Subjects in 38 CFR Part 3 Administrative practice and procedure, Claims, Disability benefits, Health care, Pensions, Radioactive materials, Veterans, Vietnam. Approved: January 17, 2008. Gordon H. Mansfield, Deputy Secretary of Veterans Affairs. For the reasons set out in the preamble, 38 CFR part 3 is amended as follows: PART 3—ADJUDICATION Subpart A—Pension, Compensation, and Dependency and Indemnity Compensation 1. The authority citation for part 3, subpart A continues to read as follows: Authority: 38 U.S.C. 501(a), unless otherwise noted. § 3.5 [Amended] 2. Amend § 3.5(b)(3) by removing “(38 U.S.C. 410, 416, 417, Public Law 92-197, 85 Stat. 660)” and adding, in its place, “(38 U.S.C. 1310, 1316, 1317, Public Law 92-197, 85 Stat. 660)”. 3. Amend § 3.159 as follows: a. In paragraph (b)(1), at the end of the first sentence after the word “claim”, add the following parenthetical “(hereafter in this paragraph referred to as the “notice”)”. b. In paragraph (b)(1), at the beginning of the second sentence, add “In the notice,”. c. In paragraph (b)(1), remove the third sentence. d. In paragraph (b)(1), remove the fourth sentence and add a new sentence in its place as set forth below. e. In paragraph (b)(1), remove “request” each place it appears and add, in its place, “notice”. f. Add paragraphs (b)(3), and (g). The revisions read as follows: § 3.159 Department of Veterans Affairs assistance in developing claims.
(b)* * *
(1)* * * The information and evidence that the claimant is informed that the claimant is to provide must be provided within one year of the date of the notice.* * *
(3)No duty to provide the notice described in paragraph (b)(1) of this section arises:
(i)Upon receipt of a Notice of Disagreement; or
(ii)When, as a matter of law, entitlement to the benefit claimed cannot be established. (Authority: 38 U.S.C. 5103(a), 5103A(a)(2))
(g)The authority recognized in subsection
(g)of 38 U.S.C. 5103A is reserved to the sole discretion of the Secretary and will be implemented, when deemed appropriate by the Secretary, through the promulgation of regulations. (Authority: 38 U.S.C. 5103A(g)) [FR Doc. E8-9454 Filed 4-29-08; 8:45 am] BILLING CODE 8320-01-P ENVIRONMENTAL PROTECTION AGENCY 40 CFR Part 52 [EPA-R05-OAR-2007-1177; FRL-8559-7] Approval and Promulgation of Air Quality Implementation Plans; Indiana; Revisions to Particulate Matter Rules AGENCY: Environmental Protection Agency (EPA). ACTION: Final rule. SUMMARY: On March 14, 2008, EPA proposed to approve Indiana's February 21, 2008, request to revise its particulate matter State Implementation Plan
(SIP)for sources in Clark, Dearborn, Dubois, Howard, Lake, Marion, St. Joseph, Vanderburgh, Vigo, and Wayne Counties. This SIP revision updated facility names, revised formatting, removed sources no longer in operation, and revised some emission limits. The State submitted air quality modeling analyses that demonstrated that air quality will continue to be protected in the five counties where some emission limits increased. EPA received one letter containing several comments on the proposal. After review of these comments and for the reasons discussed below, EPA is approving this SIP revision request. DATES: This final rule is effective on May 30, 2008. ADDRESSES: EPA has established a docket for this action under Docket ID No. EPA-R05-OAR-2007-1177. All documents in the docket are listed on the *www.regulations.gov* Web site. Although listed in the index, some information is not publicly available, *i.e.* , Confidential Business Information
(CBI)or other information whose disclosure is restricted by statute. Certain other material, such as copyrighted material, is not placed on the Internet and will be publicly available only in hard copy form. Publicly available docket materials are available either electronically through *www.regulations.gov* or in hard copy at the Environmental Protection Agency, Region 5, Air and Radiation Division, 77 West Jackson Boulevard, Chicago, Illinois 60604. This facility is open from 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding Federal holidays. We recommend that you telephone Mary Portanova, Environmental Engineer, at
(312)353-5954 before visiting the Region 5 office. FOR FURTHER INFORMATION CONTACT: Mary Portanova, Environmental Engineer, Criteria Pollutant Section, Air Programs Branch (AR-18J), Environmental Protection Agency, Region 5, 77 West Jackson Boulevard, Chicago, Illinois 60604,
(312)353-5954, *Portanova.mary@epa.gov.* SUPPLEMENTARY INFORMATION: Throughout this document whenever “we,” “us,” or “our” is used, we mean EPA. This supplementary information section is arranged as follows: I. Background II. Response to Public Comments III. What Action Is EPA Taking? IV. Statutory and Executive Order Reviews I. Background On November 27, 2007, Indiana submitted to EPA draft revised rules for parallel processing as revisions to the Indiana SIP for particulate matter (PM). Indiana supplemented its submittal with a public hearing transcript and additional technical support documents on December 3, 2007, and submitted final, fully adopted revised rules on February 21, 2008. Indiana's submittal consisted of revisions to 326 Indiana Administrative Code
(IAC)6.5, Particulate Matter Emission Limitations Except Lake County; and 326 IAC 6.8, Particulate Matter Emission Limitations For Lake County. Portions of 326 IAC 6.5 and 6.8 were unchanged by the submittal, and therefore they remain a part of the Indiana PM SIP as approved on March 22, 2006 (71 FR 14383). The revised rules apply to facilities in Clark, Dearborn, Dubois, Howard, Lake, Marion, St. Joseph, Vanderburgh, Vigo, and Wayne Counties. They include a variety of changes to Indiana's Federally approved PM SIP rules, such as: Updates to affected facilities' names or emission source identifiers; rule formatting revisions which have no effect on numerical emission limits; the removal of emission limits for individual emission units which no longer exist or operate; and the removal of rules for entire facilities which no longer exist or which no longer operate the PM sources that were listed in the previous PM SIP. Indiana has increased some PM emission limits for sources in Clark, Dubois, Marion, St. Joseph, and Lake Counties. Indiana has also tightened PM emission limits at several sources. In addition, Indiana relocated the opacity limits and natural gas combustion-only restrictions for its Lake County sources to the facility-specific sections of the rule. The PM limits and any opacity limits and natural gas-only restrictions for each facility are now grouped in a single section. EPA proposed to approve Indiana's February 21, 2008, SIP revision request on March 14, 2008, (73 FR 13813). The public comment period for the March 14, 2008, proposed rule ended on April 14, 2008. EPA received one comment letter on the March 14, 2008, proposed rule. II. Response to Public Comments EPA received several public comments contained in a letter dated April 14, 2008, from the City of Chicago, the People of the State of Illinois, *ex rel.* Lisa Madigan, Attorney General of the State of Illinois, Natural Resources Defense Council and Environmental Law and Policy Center (Commenters), on behalf of their constituents and members. These comments focused solely on the proposed PM10 emission limits for BP Products North America, Inc.'s Whiting Refinery in Lake County, Indiana (BP). *Comment:* The revised limits for BP should include limits on sulfur content. Refinery fuel gas contains more sulfur than natural gas, and the sulfur in the fuel will be converted to fine particulate matter in the atmosphere. BP should be required to reduce the sulfur content of its refinery fuel gas in order to meet the proposed PM10 limit. *Response:* Indiana's February 21, 2008, SIP revision request requires the gas-combusting sources at BP to meet a PM10 emission limit of 0.0075 pounds per million British Thermal Units (lb/MMBTU), whether natural gas or refinery fuel gas is used. BP's Title V permit requires testing while refinery gas, which has higher PM10 emissions than natural gas, is being combusted. The required compliance test methods, Methods 201A and 202, are designed to capture both the filterable and condensible PM fractions, including sulfur compounds. An air dispersion modeling analysis demonstrated that Indiana's February 21, 2008, SIP revision request will maintain the PM10 National Ambient Air Quality Standards (NAAQS) in Lake County. Therefore, requiring additional reductions in the sulfur content of BP's refinery fuel gas is not necessary for Federal approval of this SIP revision request. In further support of its contentions concerning fuel sulfur content, the commenters cite (and, in some cases, incorporate by reference) the following: The Bay Area Quality Management District's BACT guideline for refinery process heaters; EPA's RACT/BACT/LAER Clearinghouse; South Coast Air Quality Management District Regulations; and several permits that contain sulfur content limits more stringent than those for the BP refinery. These documents and provisions are not germane to the air quality issue addressed by EPA's proposal, *i.e.* , whether the proposed emission limits are adequate to maintain the NAAQS. See, *e.g.* , *Train* v. *NRDC* , 421 U.S. 60 (1975). *Comment:* The AP-42 emission factors for natural gas should be updated and the BP limits based on these factors recalculated accordingly. The emission factors were last updated in July 1998. The stack tests conducted since 1998 would show that the current AP-42 emission factors are overestimations of particulate matter. The AP-42 emission factors for natural gas should be updated and the SIP revision should not be approved until the BP limits reflect the newer AP-42 emission factors. *Response:* While IDEM used AP-42 emission factors to set PM10 limits, the test for approval is whether these limits are sufficient to meet the PM10 NAAQS. Such a demonstration has been made by IDEM. EPA manages and maintains an AP-42 emissions factor database. User-supplied updates to the AP-42 emissions factors for natural gas are welcome, but EPA is unaware of any new submissions, including any that would support the commenters' suggestion. Indiana used the most recent available emission factor as a basis for the PM emission limits for BP's gas combustion units in the proposed SIP revision and demonstrated through air dispersion modeling that the proposed SIP revision would meet the PM10 NAAQS. If the AP-42 emission factors overestimate emissions, as the commenters have asserted, then the air dispersion modeling analysis would overestimate PM emissions, yielding a conservative analysis, *i.e.* , one that overpredicts actual emissions and their impacts. *Comment:* The limits should require the use of EPA test methods 201 and 202, and BP must be required to install PM continuous emission monitoring systems
(CEMs)and conduct annual stack testing to ensure continuous compliance. The commenters approve of the test methods applicable to BP, namely, Methods 201A for filterable PM and 202 for condensible PM. In addition, the commenters request that EPA approval in writing be required for the “excessive temperatures” exception justifying use of Method 5; and that additional language be added stating that alternative methods will only be allowed if EPA determines in writing that the listed methods are otherwise shown to be technologically infeasible and the proposed alternatives are substantially comparable to the listed methods. The public should have an opportunity to submit comments on any proposed alternative method before EPA issues a written approval. In addition, the limits should specify an averaging time, unless the intent is that the limit be met on an instantaneous basis. *EPA Response:* The PM test methods applicable to BP require the use of Method 201A for determining filterable particulate matter and Method 202 for determining condensibles. EPA's approval in writing is not necessary to allow use of Method 5 in lieu of Method 201A for the excessive temperature exception, because Method 5 measures all filterable PM, not just PM10, and is therefore a more stringent requirement. In fact, Method 5 in combination with Method 202 would likely result in higher results than Method 201A with Method 202. EPA agrees that an alternative test method would only be allowed if the existing method is infeasible for a particular application, in which case the most appropriate method would be used. Such technical testing issues are not typically subject to public notice. An averaging time is not specified because these limits must be met on an instantaneous basis. Both EPA and IDEM are authorized to require stack testing when appropriate. CEMs are not appropriate because they only measure filterable PM emissions which, as the commenters have stated, only represent a fraction of the PM emissions. *Comment:* Indiana has failed to adequately address controlling PM10 emissions from flares in general. Flares can be significant sources of particulate emissions. EPA should consider whether the proposed SIP revision reflects all applicable requirements that could control particulate emissions from flares at the BP facility. *Response:* Flares are an insignificant source of PM10 emissions (contributing less than one percent of BP's PM10 emissions) and therefore, are not included in Indiana's PM10 SIP. Flares operate at high temperatures and their emissions are released at elevated heights. These factors result in efficient combustion and increased dispersion, both of which minimize the ambient impact of any resulting PM emissions. Because of these characteristics, EPA does not anticipate that the emissions from the BP flares would be significant contributors to ambient PM concentrations. In addition, it is not feasible to establish PM limits for flares because they are not generally amenable to testing, as well as for safety reasons. It should also be noted that the Indiana SIP contains opacity regulations which apply to flares and which can be easily enforced. See 326 IAC 5-1-2(2)(B). Indiana's February 21, 2008 submittal did not contain PM10 control requirements for flares at the BP refinery and they are therefore not addressed in this final approval. EPA finds this omission acceptable for the reasons stated above. III. What Action Is EPA Taking? EPA is approving Indiana's February 21, 2008, PM SIP revision request, consisting of revisions to 326 IAC 6.5 and 326 IAC 6.8. On March 27, 2008, Indiana provided an updated copy of 326 IAC 6.5 and 326 IAC 6.8 to EPA. This copy includes three State corrections. In the proposed rule, at 73 FR 13815, EPA stated that Indiana was planning to correct an error in the units of the PM emission limit for Kimball Office-Borden (326 IAC 6.5-2-8). Indiana filed a correction notice to correct the error on February 29, 2008. It was posted in the Indiana Register on March 12, 2008. On February 5, 2008, Indiana filed a correction notice to correct the PM emission limit units for Accucast Technology, LLC (326 IAC 6.5-7-14). A copy of this correction notice was included in Indiana's February 21, 2008, submittal and the correction was noted in EPA's March 14, 2008, proposed rule at 73 FR 13817. Indiana's March 27, 2008, submittal also incorporates a third correction notice, which amended minor typographical errors. This correction notice was filed on January 31, 2008, and posted in the Indiana Register on February 20, 2008. A copy of this correction notice was included in Indiana's February 21, 2008, submittal. Additionally, as a clarification to EPA's proposal, we noted that Indiana's rules were for PM measured as particles with an aerodynamic diameter less than or equal to ten microns in diameter
(PM10)for all counties. However, only Lake County is covered by PM10 limits and the remaining counties are covered by PM limits. Although the SIP regulations for sources outside of Lake County are expressed as PM, the State's and EPA's analyses focused on PM10, a subset of PM. EPA is approving revisions to 325 IAC 6.5, Particulate Matter Emission Limitations Except Lake County, at 326 IAC 6.5-2, Clark County; 326 IAC 6.5-3, Dearborn County; 326 IAC 6.5-4, Dubois County; 326 IAC 6.5-5, Howard County; 326 IAC 6.5-6, Marion County; 326 IAC 6.5-7, St. Joseph County; 326 IAC 6.5-8, Vanderburgh County; 326 IAC 6.5-9, Vigo County; and 326 IAC 6.5-10, Wayne County. EPA is also approving revisions to 326 IAC 6.8, Particulate Matter Emission Limitations For Lake County, at 326 IAC 6.8-1-1, General Provisions, Applicability; 326 IAC 6.8-1-5, Control strategies; 326 IAC 6.8-1-7, Scope; 326 IAC 6.8-2, Lake County: PM10 Emission Requirements; 326 IAC 6.8-4-1, Lake County: Opacity Limits; Test Methods; 326 IAC 6.8-8-1, Lake County: Continuous Compliance Plan, Applicability; 326 IAC 6.8-9-3, Lake County: PM10 Coke Battery Emission Requirements, Emission limitations; and 326 IAC 6.8-10-1, Lake County: Fugitive Particulate Matter, Applicability. The following portions of 326 IAC 6.5 were repealed and are no longer a part of the Indiana PM SIP: 326 IAC 6.5-2, Clark County, sections 2, 3, 5, 6, 7, 10, 11, and 12; 326 IAC 6.5-3, Dearborn County, sections 6 and 9; 326 IAC 6.5-4, Dubois County, sections 7, 8, 11, 12, 13, 14, 20, 22, and 23; 326 IAC 6.5-5, Howard County, sections 3, 4, 6, 7, 8, 9, 12, 13, 14, and 15; 326 IAC 6.5-6, Marion County, sections 4, 6, 7, 8, 9, 10, 11, 12, 13, 14, 16, 17, 19, 20, 21, 24, 27, 29, 30, 32, and 36; 326 IAC 6.5-7, St. Joseph County, sections 2, 3, 4, 5, 7, 8, 9, 12, 15, 17, 19, and 20; 326 IAC 6.5-8, Vanderburgh County, sections 2, 3, 4, 5, 6, 7, 8, 9, 10, and 15; 326 IAC 6.5-9, Vigo County, sections 2, 3, 4, 5, 6, 7, 9, 12, 14, 16, 18, 19, and 20; and 326 IAC 6.5-10, Wayne County, sections 4, 7, 8, 10, 17, 18, and 19. EPA is approving their removal from the Indiana PM SIP, as discussed in the March 14, 2008, proposed rule. The following portions of 326 IAC 6.8 were repealed and are no longer a part of the Indiana PM10 SIP: 326 IAC 6.8-2, Lake County: PM10 Emission Requirements, sections 3, 5, 10, 11, 12, 15, and 23; 326 IAC 6.8-3, Lake County: Opacity Limits; Exceptions to 326 IAC 5-1-2; 326 IAC 6.8-5, Lake County: Opacity Continuous Emissions Monitors; 326 IAC 6.8-6, Lake County: Combustion Sources; Natural Gas; and 326 IAC 6.8-7, Lake County: Site-Specific Control Requirements. EPA is approving their removal from the Indiana PM10 SIP, as discussed in the March 14, 2008, proposed rule. In addition, please note that for purposes of clarity, EPA is also including provisions currently in Indiana's PM SIP that it has previously approved. IV. Statutory and Executive Order Reviews Under the Clean Air Act, the Administrator is required to approve a SIP submission that complies with the provisions of the Act and applicable Federal regulations. 42 U.S.C. 7410(k); 40 CFR 52.02(a). Thus, in reviewing SIP submissions, EPA's role is to approve state choices, provided that they meet the criteria of the Clean Air Act. Accordingly, this action merely approves state law as meeting Federal requirements and does not impose additional requirements beyond those imposed by state law. For that reason, this action: • Is not a “significant regulatory action” subject to review by the Office of Management and Budget under Executive Order 12866 (58 FR 51735, October 4, 1993); • does not impose an information collection burden under the provisions of the Paperwork Reduction Act (44 U.S.C. 3501 *et seq.* ); • is certified as not having a significant economic impact on a substantial number of small entities under the Regulatory Flexibility Act (5 U.S.C. 601 *et seq.* ); • does not contain any unfunded mandate or significantly or uniquely affect small governments, as described in the Unfunded Mandates Reform Act of 1995 (Pub. L. 104-4); • does not have Federalism implications as specified in Executive Order 13132 (64 FR 43255, August 10, 1999); • is not an economically significant regulatory action based on health or safety risks subject to Executive Order 13045 (62 FR 19885, April 23, 1997); • is not a significant regulatory action subject to Executive Order 13211 (66 FR 28355, May 22, 2001); • is not subject to requirements of Section 12(d) of the National Technology Transfer and Advancement Act of 1995 (15 U.S.C. 272 note) because application of those requirements would be inconsistent with the Clean Air Act; and • does not provide EPA with the discretionary authority to address, as appropriate, disproportionate human health or environmental effects, using practicable and legally permissible methods, under Executive Order 12898 (59 FR 7629, February 16, 1994). In addition, this rule does not have tribal implications as specified by Executive Order 13175 (65 FR 67249, November 9, 2000), because the SIP is not approved to apply in Indian country located in the state, and EPA notes that it will not impose substantial direct costs on tribal governments or preempt tribal law. The Congressional Review Act, 5 U.S.C. 801 *et seq.* , as added by the Small Business Regulatory Enforcement Fairness Act of 1996, generally provides that before a rule may take effect, the agency promulgating the rule must submit a rule report, which includes a copy of the rule, to each House of the Congress and to the Comptroller General of the United States. EPA will submit a report containing this action and other required information to the U.S. Senate, the U.S. House of Representatives, and the Comptroller General of the United States prior to publication of the rule in the **Federal Register** . A major rule cannot take effect until 60 days after it is published in the **Federal Register** . This action is not a “major rule” as defined by 5 U.S.C. 804(2). Under section 307(b)(1) of the Clean Air Act, petitions for judicial review of this action must be filed in the United States Court of Appeals for the appropriate circuit by June 30, 2008. Filing a petition for reconsideration by the Administrator of this final rule does not affect the finality of this action for the purposes of judicial review nor does it extend the time within which a petition for judicial review may be filed, and shall not postpone the effectiveness of such rule or action. This action may not be challenged later in proceedings to enforce its requirements. (See section 307(b)(2).) List of Subjects in 40 CFR Part 52 Environmental protection, Air pollution control, Incorporation by reference, Intergovernmental relations, Particulate matter. Dated: April 22, 2008. Bharat Mathur, Acting Regional Administrator, Region 5. For the reasons stated in the preamble, part 52, chapter I, of title 40 of the Code of Federal Regulations is amended as follows: PART 52—[AMENDED] 1. The authority citation for part 52 continues to read as follows: Authority: 42 U.S.C. 7401 *et seq.* Subpart P—Indiana 2. Section 52.770 is amended by adding paragraph (c)(187) to read as follows: § 52.770 Identification of plan.
(c)* * *
(187)On February 21, 2008, Indiana submitted revisions to its particulate matter SIP. On March 27, 2008, Indiana submitted a corrected copy of its rules. The submittal revises 326 IAC 6.5: Particulate Matter Limitations Except Lake County and 326 IAC 6.8: Particulate Matter Limitations for Lake County. This SIP revision updates facility names, revises formatting, removes sources no longer in operation, and revises some emission limits.
(i)*Incorporation by reference.* The following sections of Title 326 of the Indiana Administrative Code
(IAC)are incorporated by reference:
(A)Indiana Administrative Code Title 326: Air Pollution Control Board, Article 6.5: Particulate Matter Limitations Except Lake County, Rule 1, General Provisions, sections 326 IAC 6.5-1-1 through 326 IAC 6.5-1-7, filed August 10, 2005, effective on September 9, 2005 and previously incorporated by reference (see paragraph (c)(173)(i)(A) of this section).
(B)Indiana Administrative Code Title 326: Air Pollution Control Board, Article 6.5: Particulate Matter Limitations Except Lake County, Rule 2, Clark County, sections 326 IAC 6.5-2-1 through 326 IAC 6.5-2-12, filed January 23, 2008, effective on February 22, 2008 (326 IAC 6.5-2-8 Kimball Office-Borden, filed January 23, 2008, effective on February 22, 2008, errata filed on February 29, 2008).
(C)Indiana Administrative Code Title 326: Air Pollution Control Board, Article 6.5: Particulate Matter Limitations Except Lake County, Rule 3, Dearborn County, sections 326 IAC 6.5-3-1 through 326 IAC 6.5-3-9, filed January 23, 2008, effective on February 22, 2008.
(D)Indiana Administrative Code Title 326: Air Pollution Control Board, Article 6.5: Particulate Matter Limitations Except Lake County, Rule 4, Dubois County, sections 326 IAC 6.5-4-1 through 326 IAC 6.5-4-24, filed January 23, 2008, effective on February 22, 2008.
(E)Indiana Administrative Code Title 326: Air Pollution Control Board, Article 6.5: Particulate Matter Limitations Except Lake County, Rule 5, Howard County, sections 326 IAC 6.5-5-1 through 326 IAC 6.5-5-16, filed January 23, 2008, effective on February 22, 2008.
(F)Indiana Administrative Code Title 326: Air Pollution Control Board, Article 6.5: Particulate Matter Limitations Except Lake County, Rule 6, Marion County, sections 326 IAC 6.5-6-1 through 326 IAC 6.5-6-36, filed January 23, 2008, effective on February 22, 2008 (326 IAC 6.5-6-18, Cargill, Inc., filed January 23, 2008, effective on February 22, 2008, errata filed on January 31, 2008).
(G)Indiana Administrative Code Title 326: Air Pollution Control Board, Article 6.5: Particulate Matter Limitations Except Lake County, Rule 7, St. Joseph County, sections 326 IAC 6.5-7-1 through 326 IAC 6.5-7-20, filed January 23, 2008, effective on February 22, 2008 (326 IAC 6.5-7-14 Accucast Technology, LLC, filed January 23, 2008, effective on February 22, 2008, errata filed on February 5, 2008).
(H)Indiana Administrative Code Title 326: Air Pollution Control Board, Article 6.5: Particulate Matter Limitations Except Lake County, Rule 8, Vanderburgh County, sections 326 IAC 6.5-8-1 through 326 IAC 6.5-8-15, filed January 23, 2008, effective on February 22, 2008.
(I)Indiana Administrative Code Title 326: Air Pollution Control Board, Article 6.5: Particulate Matter Limitations Except Lake County, Rule 9, Vigo County, sections 326 IAC 6.5-9-1 through 326 IAC 6.5-9-20, filed January 23, 2008, effective on February 22, 2008.
(J)Indiana Administrative Code Title 326: Air Pollution Control Board, Article 6.5: Particulate Matter Limitations Except Lake County, Rule 10, Wayne County, sections 326 IAC 6.5-10-1 through 326 IAC 6.5-10-19, filed January 23, 2008, effective on February 22, 2008.
(K)Indiana Administrative Code Title 326: Air Pollution Control Board, Article 6.8: Particulate Matter Limitations For Lake County, Rule 1, General Provisions, sections 326 IAC 6.8-1-1, Applicability, 6.8-1-5, Control strategies, and 6.8-1-7, Scope, filed January 23, 2008, effective on February 22, 2008; and Indiana Administrative Code Title 326: Air Pollution Control Board, Article 6.8: Particulate Matter Limitations For Lake County, Rule 1, General Provisions, sections 326 IAC 6.8-1-1.5, Definitions, 6.8-1-2, Particulate emission limitations; fuel combustion steam generators, asphalt concrete plant, grain elevators, foundries, mineral aggregate operations; modification by commission, 6.8-1-3, Compliance Determination, 6.8-1-4, Compliance schedules, and 6.8-6-6, State implementation plan revisions, filed August 10, 2005, effective on September 9, 2005 and previously incorporated by reference (see paragraph (c)(173)(i)(A) of this section).
(L)Indiana Administrative Code Title 326: Air Pollution Control Board, Article 6.8: Particulate Matter Limitations for Lake County, Rule 2, Lake County: PM10 Emission Requirements, sections 326 IAC 6.8-2-1 through 326 IAC 6.8-2-38, filed January 23, 2008, effective on February 22, 2008 (326 IAC 6.8-2-6 BP Products North America, Inc.-Whiting Refinery, filed January 23, 2008, effective on February 22, 2008, errata filed on February 29, 2008).
(M)Indiana Administrative Code Title 326: Air Pollution Control Board, Article 6.8: Particulate Matter Limitations for Lake County, Rule 3, Lake County: Opacity Limits; Exceptions to 326 IAC 5-1-2, sections 326 IAC 6.8-3-1 through 326 IAC 6.8-3-4, filed January 23, 2008, effective on February 22, 2008.
(N)Indiana Administrative Code Title 326: Air Pollution Control Board, Article 6.8: Particulate Matter Limitations for Lake County, Rule 4, Lake County: Opacity Limits; Test Methods, filed January 23, 2008, effective on February 22, 2008.
(O)Indiana Administrative Code Title 326: Air Pollution Control Board, Article 6.8: Particulate Matter Limitations for Lake County, Rule 5, Lake County: Opacity Continuous Emissions Monitors, Installation and operation of continuous emissions monitors (Repealed), filed January 23, 2008, effective on February 22, 2008.
(P)Indiana Administrative Code Title 326: Air Pollution Control Board, Article 6.8: Particulate Matter Limitations for Lake County, Rule 6, Lake County: Combustion Sources; Natural Gas, sections 326 IAC 6.8-6-1 through 326 IAC 6.8-6-20), filed January 23, 2008, effective on February 22, 2008.
(Q)Indiana Administrative Code Title 326: Air Pollution Control Board, Article 6.8: Particulate Matter Limitations for Lake County, Rule 7, Lake County: Site-Specific Control Requirements, sections 326 IAC 6.8-7-1 through 326 IAC 6.8-7-8, filed January 23, 2008, effective on February 22, 2008.
(R)Indiana Administrative Code Title 326: Air Pollution Control Board, Article 6.8: Particulate Matter Limitations for Lake County, Rule 8, Lake County: Continuous Compliance Plan, section 326 IAC 6.8-8-1 Applicability, filed January 23, 2008, effective on February 22, 2008; and Indiana Administrative Code Title 326: Air Pollution Control Board, Article 6.8: Particulate Matter Limitations for Lake County, Rule 8, Lake County: Continuous Compliance Plan, sections 326 IAC 6.8-8-2 Documentation; operation and maintenance procedures, 326 IAC 6.8-8-3 Plan requirements, 326 IAC 6.8-8-4 Plan; schedule for complying with 326 IAC 6.8-7, 326 IAC 6.8-8-5 Plan; source categories, 326 IAC 6.8-8-6 Plan; particulate matter control equipment; operation and maintenance, 326 IAC 6.8-8-7 Plan; particulate matter control equipment; recording; operation; inspection, 326 IAC 6.8-8-8 Plan; department review, filed August 10, 2005, effective on September 9, 2005 and previously incorporated by reference (see paragraph (c)(173)(i)(A) of this section).
(S)Indiana Administrative Code Title 326: Air Pollution Control Board, Article 6.8: Particulate Matter Limitations for Lake County, Rule 9, Lake County: PM10 Coke Battery Emission Requirements, section 326 IAC 6.8-9-3 Emission limitations, filed January 23, 2008, effective on February 22, 2008; and Indiana Administrative Code Title 326: Air Pollution Control Board, Article 6.8: Particulate Matter Limitations for Lake County, Rule 9, Lake County: PM10 Coke Battery Emission Requirements, sections 326 IAC 6.8-9-1 Applicability, and 326 IAC 6.8-9-2 Definitions, filed August 10, 2005, effective on September 9, 2005 and previously incorporated by reference (see paragraph (c)(173)(i)(A) of this section).
(T)Indiana Administrative Code Title 326: Air Pollution Control Board, Article 6.8: Particulate Matter Limitations for Lake County, Rule 10, Lake County: Fugitive Particulate Matter, section 326 IAC 6.8-10-1 Applicability, filed January 23, 2008, effective on February 22, 2008; and Indiana Administrative Code Title 326: Air Pollution Control Board, Article 6.8: Particulate Matter Limitations for Lake County, Rule 10, Lake County: Fugitive Particulate Matter, sections 326 IAC 6.8-10-2 Definitions, 326 IAC 6.8-10-3 Particulate matter emission limitations, and 326 IAC 6.8-10-4 Compliance requirements; control plans, filed August 10, 2005, effective on September 9, 2005 and previously incorporated by reference (see paragraph (c)(173)(i)(A) of this section).
(U)Indiana Administrative Code Title 326: Air Pollution Control Board, Article 6.8: Particulate Matter Limitations for Lake County, Rule 11, Lake County: Particulate Matter Contingency Measures, sections 326 IAC 6.8-11-1 through 326 IAC 6.8-11-6, filed August 10, 2005, effective on September 9, 2005 and previously incorporated by reference (see paragraph (c)(173)(i)(A) of this section).
(ii)*Additional material* .
(A)Certificate of Authenticity, Indiana Administrative Code, (As Updated Through March 26, 2008), signed by John M. Ross, Executive Director, Legislative Services Agency. [FR Doc. E8-9330 Filed 4-29-08; 8:45 am] BILLING CODE 6560-50-P ENVIRONMENTAL PROTECTION AGENCY 40 CFR Part 268 [EPA-HQ-RCRA-2007-0936; FRL-8560-1] Land Disposal Restrictions: Site-Specific Treatment Variance for P and U-Listed Hazardous Mixed Wastes Treated by Vacuum Thermal Desorption at the EnergySolutions' Facility in Clive, UT AGENCY: Environmental Protection Agency. ACTION: Withdrawal of direct final rule. SUMMARY: On March 6, 2008, the Environmental Protection Agency
(EPA)published in the **Federal Register** a direct final rule granting a site-specific treatment variance to Energy *Solutions* LLC (Energy *Solutions* ) in Clive, Utah for the treatment of certain P and U-listed hazardous waste containing radioactive contamination using vacuum thermal desorption. At the same time, the EPA also published a parallel proposal in the **Federal Register** to address any adverse comments received on the direct final rule. We specifically noted that if EPA received adverse comment on the direct final rule, EPA would withdraw the direct final rule and address public comments in any subsequent final rule. Because EPA received an adverse comment, we are withdrawing the direct final rule and will address the comment in a final rule. DATES: As of May 2, 2008, EPA withdraws the direct final rule published at 73 FR 12017 on March 6, 2008. FOR FURTHER INFORMATION CONTACT: For more information on this action, contact Elaine Eby, Hazardous Waste Minimization and Management Division, Office of Solid Waste (MC 5302 P), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460; telephone
(703)308-8449; fax
(703)308-8443; or *eby.elaine@epa.gov* . SUPPLEMENTARY INFORMATION: On March 6, 2008 (73 FR 12017), EPA issued a direct final rule and a parallel proposal (73 FR 12043) granting a site-specific treatment variance to Energy *Solutions* for the treatment of certain P- and U-listed mixed waste using vacuum thermal desorption. The variance establishes an alternative treatment standard to treatment by combustion (CMBST) required for these wastes under EPA rules implementing the land disposal restriction provisions of the Resource Conservation and Recovery Act. EPA stated in the preamble to the direct final rule and parallel proposal that if adverse comments were received by April 7, 2008, we would publish a timely withdrawal of the direct final rule in the **Federal Register** . EPA subsequently received an adverse comment on the direct final rule and is therefore withdrawing it with today's notice. EPA will address this comment in a subsequent final action, which will be based on the parallel proposed rule (73 FR 12043). As stated in the direct final rule and parallel proposed rule, we will not institute a second comment period on this action. List of Subjects in 40 CFR Part 268 Environmental protection, Hazardous waste, Mixed waste and variances. Dated: April 23, 2008. Susan Parker Bodine, Assistant Administrator, Office of Solid Waste and Emergency Response. Accordingly, the amendments to 40 CFR 268.42 and 268.44 which published in the **Federal Register** on March 6, 2008 at 73 FR 12017 are withdrawn as of May 2, 2008. [FR Doc. E8-9482 Filed 4-29-08; 8:45 am] BILLING CODE 6560-50-P FEDERAL COMMUNICATIONS COMMISSION 47 CFR Part 64 [CG Docket No. 03-123; DA 08-478] Consumer and Governmental Affairs Bureau Clarifies the Eligibility Requirement for Compensation From the Interstate Telecommunications Relay Service
(TRS)Fund for Providers of Internet Protocol Captioned Telephone Service AGENCY: Federal Communications Commission. ACTION: Clarification. SUMMARY: In this document, the Consumer and Governmental Affairs Bureau (Bureau) clarifies the eligibility requirement for compensation from the TRS Fund
(Fund)for providers of Internet Protocol
(IP)captioned telephone service (IP CTS). The Bureau also clarifies that an IP CTS provider seeking compensation from the Fund must notify the Interstate TRS Fund administrator 30 days prior to the date the provider submits minutes for payment. ADDRESSES: Federal Communications Commission, 445 12th Street, SW., Washington, DC 20554. FOR FURTHER INFORMATION CONTACT: Thomas Chandler, Consumer and Governmental Affairs Bureau, Disability Rights Office at
(202)418-1475 (voice),
(202)418-0597 (TTY), or e-mail at *Thomas.Chandler@fcc.gov* . SUPPLEMENTARY INFORMATION: This is a summary of the Bureau's public notice DA 08-478, released February 28, 2008 in CG Docket No. 03-123. The full text of DA 08-478 and copies of any subsequently filed documents in this matter will be available for public inspection and copying during regular business hours at the FCC Reference Information Center, Portals II, 445 12th Street, SW., Room CY-A257, Washington, DC 20554. DA 08-478 and copies of subsequently filed documents in this matter also may be purchased from the Commission's duplicating contractor at Portals II, 445 12th Street, SW., Room CY-B402, Washington, DC 20554. Customers may contact the Commission's duplicating contractor at its Web site *http://www.bcpiweb.com* or by calling 1-800-378-3160. To request materials in accessible formats for people with disabilities (Braille, large print, electronic files, audio format), send an e-mail to *fcc504@fcc.gov* or call the Consumer and Governmental Affairs Bureau at
(202)418-0530 (voice) or
(202)418-0432 (TTY). DA 08-478 also can be downloaded in Word or Portable Document Format
(PDF)at: *http://www.fcc.gov/cgb/dro/trs.html#orders.* Synopsis On January 11, 2007, the Commission released *Telecommunications Relay Services and Speech-to-Speech Services for Individuals with Hearing and Speech Disabilities; Internet-based Captioned Telephone Service,* CG Docket No. 03-123, Declaratory Ruling, 22 FCC Rcd 379 ( *IP CTS Declaratory Ruling* ), published at 72 FR 6960, February 14, 2007. In the *IP CTS Declaratory Ruling,* the Commission recognized IP CTS as a form of TRS eligible for compensation from the Fund. Because the Bureau has received questions concerning the manner in which IP CTS providers may be eligible for compensation from the Fund, the Bureau issues this clarification. The Commission's eligibility rules set forth in 47 CFR 64.604(c)(5)(iii)(F) provide that TRS providers eligible for receiving payments from the Interstate TRS Fund must be:
(1)TRS facilities operated under contract with and/or by certified state TRS programs pursuant to section 64.605 of the Commission's rules; or
(2)TRS facilities owned by or operated under contract with a common carrier providing interstate services operated pursuant to section 64.604 of the Commission's rules; or
(3)Interstate common carriers offering TRS pursuant to section 64.604 of the Commission's rules; or
(4)Video Relay Service (VRS)[, * * *] Internet Protocol
(IP)Relay * * *[, and IP CTS] providers certified by the Commission pursuant to section 64.605 of the Commission's rules. The fourth eligibility criterion—certification by the Commission—was adopted in *Telecommunications Relay Services for Individuals with Hearing and Speech Disabilities,* CG Docket No. 03-123, Report and Order and Order on Reconsideration, 20 FCC Rcd 20577
(2005)( *2005 IP Relay/VRS Certification Order* ), published at 71 FR 2942, January 18, 2006. Prior to that time, there was no federal certification process for relay providers seeking compensation from the Fund; the regulations provided only for the certification of state TRS programs. *See generally Telecommunications Relay Services and Speech-to-Speech Services for Individuals with Hearing and Speech Disabilities,* CC Docket Nos. 90-571 and 98-67, CG Docket No. 03-123, Report and Order, Order on Reconsideration, and Further Notice of Proposed Rulemaking, ( *2004 TRS Report and Order* ), 19 FCC Rcd 12475, 12516, paragraph 99 (2004), published at 69 FR 53346 and 69 FR 53382, September 1, 2004. The Commission has interpreted the third eligibility criterion—an interstate common carrier offering TRS pursuant to section 64.604—to apply only to common carriers “offering telephone voice transmission services that are obligated to provide TRS in a state that does not have a certified TRS program.” *2004 TRS Report and Order,* 19 FCC Rcd at 12517, paragraph 103, note 304. As the Commission explained in the *2005 IP Relay/VRS Certification Order* : The third eligibility category—“Interstate common carriers offering TRS pursuant to § 64.604”—has been the means by which some entities that are not voice telephone service providers have sought to offer VRS, and not the other forms of TRS, and be compensated for doing so from the Interstate TRS Fund. The Commission previously construed [in the *2004 TRS Report and Order* ] the third eligibility prong, however, as applying to common carriers obligated to provide TRS in a state that does not have a certified program. Because we now adopt a fourth eligibility criterion, which will allow common carriers seeking to offer VRS or IP Relay and receive compensation to do so without being part of a certified state program or contracting with an entity that is, it is not necessary at this time to revisit this construction of the third eligibility category. *2005 IP Relay/VRS Certification Order* , 20 FCC Rcd at 20587, paragraph 18. Against this background, in the *IP CTS Declaratory Ruling,* the Commission expressly addressed the manner in which IP CTS providers may be eligible for compensation from the Fund. The Commission concluded that “an entity desiring to provide IP captioned telephone service * * * may choose to seek certification from the Commission under [§ 64.605],” and that therefore, “[a]s a general matter, potential IP CTS providers may become eligible for compensation from the Fund by being accepted into a certified state TRS program or subcontracting with an entity that is part of a certified state program, or by seeking Commission certification.” *IP CTS Declaratory Ruling,* 22 FCC Rcd at 391, paragraph 28. The Commission made clear that “[p]resent eligibility to receive compensation from the Fund for the provision of other forms of TRS (including captioned telephone service) does not confer eligibility with regard to the provision of the IP CTS recognized in this Declaratory Ruling.” The Bureau therefore clarifies that, to establish eligibility for compensation from the Fund, IP CTS providers must either:
(1)Seek certification from the Commission pursuant to 47 CFR 64.605;
(2)become part of a certified state program; or
(3)subcontract with an entity that is part of a certified state program. Only where an IP CTS provider is a common carrier offering telephone voice transmission services and obligated to provide IP CTS in a state that does not have a certified TRS program would it be able to establish eligibility for compensation from the Fund via section 64.604(c)(5)(iii)(F)(3) of the Commission's rules. Further, the fact that a provider is eligible to receive compensation from the Fund for the provision of other forms of TRS is not sufficient grounds, on its own, to establish a provider's eligibility to receive compensation from the Fund for the provision of IP CTS. The intent of the more specific eligibility rules for IP CTS providers set forth in the *IP CTS Declaratory Ruling* is to ensure that either the Commission or a state has oversight responsibility for each provider. The Bureau also clarifies that IP CTS providers seeking compensation from the Fund must notify the Fund administrator (currently, the National Exchange Carrier Association (NECA)) 30 days prior to the date they submit minutes to the Fund administrator for payment. 47 CFR 64.604(c)(5)(iii)(G). This requirement applies even if the provider presently offers other forms of TRS and is compensated from the Fund. Because the *2007 IP CTS Declaratory Ruling* specifically states that merely being a relay provider of another service is not enough to confer eligibility, it follows that for IP CTS providers to become eligible for compensation, they must both seek Commission or state certification (or be a subcontractor), *and* must notify NECA 30 days prior to submitting minutes for payment. Federal Communications Commission. Nicole McGinnis, Deputy Chief, Consumer and Governmental Affairs Bureau. [FR Doc. E8-9522 Filed 4-29-08; 8:45 am] BILLING CODE 6712-01-P DEPARTMENT OF TRANSPORTATION Pipeline and Hazardous Materials Safety Administration 49 CFR Parts 171, 173, and 175 [Docket No. PHMSA-2006-25446 (HM-243)] RIN 2137-AE19 Hazardous Materials: Fuel Cell Cartridges and Systems Transported on Board Passenger Aircraft in Carry-On Baggage AGENCY: Pipeline and Hazardous Materials Safety Administration (PHMSA), Department of Transportation (DOT). ACTION: Final rule. SUMMARY: PHMSA is amending the Hazardous Materials Regulations
(HMR)to permit certain fuel cell cartridges and fuel cell systems designed for portable electronic devices to be transported by passengers and crew in carry-on baggage on board passenger-carrying aircraft. Fuel cell cartridges and fuel cell systems are an emerging energy technology developed to provide a more efficient, longer-lasting, and renewable power source for electrically operated equipment. This final rule prescribes regulations for transporting fuel cells containing flammable liquids, including methanol; formic acid; certain borohydride materials; or butane that meet certain performance and consumer use standards. PHMSA is issuing this final rule in cooperation with the Federal Aviation Administration (FAA). DATES: *Effective date:* The effective date of these amendments is October 1, 2008. *Voluntary Compliance Date:* Voluntary compliance is authorized as of May 30, 2008. *Incorporation by Reference Date:* The incorporation by reference of publications listed in this final rule is approved by the Director of the Federal Register as of October 1, 2008. FOR FURTHER INFORMATION CONTACT: Eileen Edmonson, Office of Hazardous Materials Standards,
(202)366-8553, Pipeline and Hazardous Materials Safety Administration (PHMSA), 1200 New Jersey Avenue, SE., Washington, DC 20590, facsimile telephone number
(202)366-7435, or by e-mail to *Eileen.Edmonson@dot.gov* . SUPPLEMENTARY INFORMATION: I. Background On September 20, 2007, PHMSA published a notice of proposed rulemaking (NPRM; 72 FR 53744) that proposed to amend the Hazardous Materials Regulations (HMR; 49 CFR Parts 171-180) to permit certain fuel cell cartridges and systems designed for use in portable electronic devices to be transported in carry-on baggage on board passenger-carrying aircraft. Consistent with the requirements adopted by the International Civil Aviation Organization
(ICAO)in section 8.1.1.2(r) of the 2007-2008 edition of the ICAO Technical Instructions for the Safe Transport of Dangerous Goods by Air (ICAO Technical Instructions), the NPRM proposed to permit fuel cell systems and cartridges that contain flammable liquids (including methanol), formic acid, and butane in carry-on baggage on board passenger-carrying aircraft provided the fuel cells conform to the industry technical specification governing the design and consumer use of fuel cell cartridges, power units, and power systems developed by the International Electrotechnical Commission (IEC)—IEC/PAS 62282-6-1:2006(E), First Edition 2006-02, with Corrigendum 1, First Edition 2007-04. We also proposed in the NPRM, in response to petitions for rulemaking, numbered P-1475 and P-1483, to permit fuel cell cartridges and systems that contain certain Class 8 (corrosive) borohydride materials to be transported in carry-on baggage on board passenger-carrying aircraft. We agreed with the petitioners that fuel cell cartridges and systems containing these materials pose similar safety risks and will operate in a similar manner as those containing formic acid. We also proposed to require that fuel cell cartridges and systems containing certain borohydride materials conform to the same IEC technical specification described earlier. The IEC specification contains detailed manufacturing, safety, and testing requirements to address conditions that may be encountered during use, misuse, and consumer transportation. One design requirement of the IEC specification is that the fuel cell systems' outputs do not exceed 60 volts and 240 watts. To ensure the capability of the fuel cell and cartridge to withstand normal conditions of consumer handling and transportation, the specification requires various design-type tests such as pressure differential, vibration, temperature cycling, high temperature exposure, drop, compressive loading, connection cycling, external short circuit, and long-term storage. Under the NPRM, we proposed to limit the amount of fuel per cartridge to a maximum quantity of 200 mL (6.76 ounces) for liquids, 200 mL (6.76 ounces) for metal fuel cell cartridges containing butane, 120 mL (4.0 ounces) for non-metallic fuel cell cartridges containing butane, and 200 g (7 ounces) for solids. Because the IEC specification states Class 8 borohydride fuels may be liquid or solid (see Figure E1.4 and Sections E1.3.5.1, E1.3.7.1, and E1.3.46), and establishes a 200 g limit for solid fuel per fuel cell cartridge (see Sections E1.4.12.1.3 and E2.4.12.1.3), we proposed this same limit for solid fuel in the NPRM. We also proposed to limit aircraft passengers to two spare fuel cell cartridges per person. We proposed in the NPRM to permit fuel cells containing the following types of materials to be transported in carry-on baggage on passenger aircraft:
(1)Gases meeting the criteria for classification as Division 2.1 (flammable gases),
(2)solids meeting the criteria for classification as Division 4.3 (dangerous when wet), and
(3)liquids meeting the criteria for classification as Class 3 (flammable) or Class 8 (corrosive) material. We unintentionally omitted from the NPRM's preamble text that the proposed rulemaking also considered solid fuels meeting the criteria for classification as Class 8 material. PHMSA worked closely with FAA to evaluate the transportation safety risks presented by these fuel cell cartridges and systems and determined that they may be transported safely in the cabin of a passenger-carrying aircraft. II. Comments on the NPRM PHMSA received comments from the Methanol Institute, MTI MicroFuel Cells, Inc., the U.S. Fuel Cell Council, and Lilliputian Systems. The commenters unanimously support adoption of the proposed rule. Several offered more specific comments on particular aspects of the proposal, as addressed in detail below. A. Limitation on Fuel Cells Used To Charge Batteries or Devices In the NPRM, we proposed to limit fuel cell cartridges and systems carried by passengers and crew members to a type and design that will not continue to charge batteries when the device being powered is not in use. This proposed limitation is consistent with restrictions adopted by ICAO. The Methanol Institute and MTI MicroFuel Cells, Inc., suggest that this restriction is inconsistent with HMR requirements applicable to other energy producing devices such as lithium metal or lithium ion batteries, which are not subject to operating limitations when carried in the passenger cabin of an aircraft. Although the function of fuel cell cartridges and devices may be similar to those of other energy producing devices permitted in transportation under the HMR, we disagree with the commenters that the risks posed by these devices are similar. We determined through our technical review that fuel cell cartridges and systems designed solely to energize devices or that energize devices that are not in use have the potential to overwhelm the safety systems contained in the device, posing a risk of overheating, electric shock, or fuel product release. We will continue to work with the industry and international agencies to evaluate the safety of these fuel cell cartridges and systems as the technology evolves and to consider whether additional rulemaking may be appropriate. B. Use of the Term “Fuel Cell Cartridge” The U.S. Fuel Cell Council objects to PHMSA's use of the wording “fuel cell cartridge.” It states one company, ReliOn, has used the term since the year 2000 to refer to its patented fuel cell system, composed of multiple “hot-swappable” fuel cell cartridges, and to refer to a cartridge that holds a fuel cell but not fuel. The commenter states the use of this wording will cause confusion in the marketplace and requests that we replace it with the wording “fuel cartridges for fuel cell devices.” We do not agree that our use of the term “fuel cell cartridge” will cause confusion in the regulated community. We note that the terms “fuel cell cartridge” and “fuel cell system” are used extensively in the IEC Specification No. IEC/PAS 62282-6-1 and the U.S. Fuel Council's Special Permit request, dated November 28, 2006, submitted by Dangerous Goods Transport Consulting, Inc., on its behalf. The term “fuel cell cartridge” has a well-established meaning in the industry and is not generally used as a specific reference to the system developed by the ReliOn Company. III. Provisions of This Final Rule In this final rule, PHMSA is amending the HMR to permit the transportation in carry-on baggage on passenger-carrying aircraft of fuel cell cartridges and systems containing Class 3 flammable liquids, including methanol; formic acid and borohydride materials meeting the definition for a Class 8 material; and butane, a Division 2.1 gas. PHMSA is also requiring fuel cells to conform to certain rigorous performance criteria, which are consistent with the passenger authorizations adopted for the 2007-2008 edition of the ICAO Technical Instructions. As stated earlier in this preamble, these criteria include compliance with the industry technical specification and addendum developed by the IEC governing the design and consumer use of fuel cell cartridges, power units, and power systems (IEC Specification No. IEC/PAS 62282-6-1:2006(E), First Edition 2006, with Corrigendum 1, First Edition 2007). PHMSA finds the IEC technical specification comprehensive in that it addresses design, manufacturing, testing, and transportation specific to micro-fuel cells, as well as requirements for valves, filling, packaging performance, failure mode analysis, consumer refilling, materials of construction, exterior and exhaust temperature limits, warnings, certification, markings, and manufacturers' instructions. PHMSA and FAA also strongly support the recent addendum to the IEC specification mandating a zero-leak standard as a basis for successfully passing the design-type tests, which we find is equivalent to the safety standard established for certain non-bulk gas packagings in the HMR. Fuel cell cartridges and systems carried by airline passengers and crew must be marked “APPROVED FOR CARRIAGE IN AIRCRAFT CABIN ONLY” by the manufacturer. This marking is the manufacturer's certification that the fuel cell cartridges and systems conform to the performance standard established in the revised IEC technical specification and all other applicable requirements prescribed in the HMR. In addition, consistent with the standard adopted for the ICAO Technical Instructions, in this final rule PHMSA is limiting the amount of hazardous material that may be contained in each individual fuel cell authorized for transportation in carry-on baggage on board passenger-carrying aircraft to 200 mL (6.76 ounces) of liquid fuel per cartridge, 200 mL (6.76 ounces) of liquefied gas fuel per metal cartridge, 120 mL (4 fluid ounces) of liquefied gas fuel per non-metallic fuel cartridge, and 200 g (7 ounces) of solid material fuel per cartridge. Also consistent with the ICAO Technical Instructions, each passenger or crew member will be permitted to carry up to two spare cartridges. To reduce possible releases, passengers and crew members are prohibited from refilling fuel cell cartridges and systems, except to install a spare cartridge. In addition, fuel cell cartridges and systems carried by passengers and crew members are limited to a type and design that will not solely charge batteries or continue to charge batteries when the device being powered is not in use. Again, these prohibitions are consistent with the passenger authorizations for fuel cells adopted under the ICAO Technical Instructions. PHMSA and FAA are confident that fuel cells containing flammable liquids, including methanol; formic acid; certain borohydride materials; or butane that are manufactured in accordance with the IEC specification may safely be transported in the passenger cabin of an aircraft under the conditions established in this final rule. However, as indicated above, fuel cells are an evolving technology. PHMSA will continue to work with the FAA's William J. Hughes Technical Center to evaluate the safety risks posed by various types of fuel cell cartridges and systems. We also intend to work closely with the ICAO and other international standards-setting organizations to identify and address safety issues associated with the transportation of fuel cells by all modes of transportation. VII. Transportation Security Administration The Department of Homeland Security's Transportation Security Administration
(TSA)is authorized to prescribe security standards for all modes of transportation, including aviation (49 U.S.C. 114(d)). Under this authority, TSA prohibits airline passengers from carrying weapons, explosives, or incendiary devices and has published several interpretative rules to provide guidance on the types of property TSA considers subject to the prohibition (68 FR 7444; 68 FR 9902; 70 FR 9877). PHMSA consulted with TSA during the development of this final rule concerning current security limitations applicable to the carriage of fuel cells by aircraft passengers and crewmembers and shared with TSA our technical analysis supporting this rulemaking. We understand that TSA is continuing to consider whether or not any additional security measures for fuel cells or fuel cell systems may be appropriate. This final rule does not limit TSA's authority to address security concerns related to the transportation of fuel cells or fuel cell systems. On September 26, 2006, TSA imposed a strict limit on liquids, gels, and aerosols an aircraft passenger is permitted to take through a security checkpoint in carry-on baggage. TSA limits these materials to 3-ounce (100 mL) or smaller containers placed in a clear quart-size, zip-top plastic bag. Fuel cell cartridges and systems will be subject to this limitation, notwithstanding the provisions adopted in this final rule. VIII. Rulemaking Analyses and Notices A. Statutory/Legal Authority for This Rulemaking This final rule is published under the following statutory authorities: 1. 49 U.S.C. 5103(b) authorizes the Secretary of Transportation to prescribe regulations for the safe transportation, including security, of hazardous material in intrastate, interstate, and foreign commerce. This final rule amends the HMR to promote the safe transportation of fuel cells carried by airline passengers and crew members. To this end, as detailed above, PHMSA is amending the HMR to limit the types and quantities of fuel cell cartridges and fuel cell systems permitted in carry-on baggage on passenger aircraft, prescribe specific performance-based design and packaging criteria for these articles, and limit the manner in which they may be used during air transportation. 2. Section 5120 of Federal hazardous materials transportation law (49 U.S.C. 5120), authorizes the Secretary of Transportation to participate in the development of international standards for the transportation of hazardous materials and grants the Secretary broad discretion to harmonize the HMR with international standards. Section 5120(c) permits the Secretary to establish more stringent standards for transportation in the United States as necessary in the public interest. The amendments in this final rule will harmonize the HMR with international requirements for fuel cell systems and cartridges to the extent these are consistent with PHMSA's safety objectives. B. Executive Order 12866 and DOT Regulatory Policies and Procedures This final rule is not a significant regulatory action under section 3(f) of Executive Order 12866 and was not reviewed by the Office of Management and Budget. This final rule is a non-significant rule under the Regulatory Policies and Procedures of the Department of Transportation [44 FR 11034]. Fuel cells are an emerging technology designed to meet the growing demand for alternative energy sources. Fuel cell technology has not yet achieved wide-spread commercialization, but is being developed for use in mobile phones, laptop computers, and, to a lesser extent, camcorders, digital cameras, and personal digital assistants (“PDAs”). In 2006, the U.S. Fuel Cell Council conducted an industry survey and received comments from 181 respondents. The respondents reported that sales from 2005 to 2006 of all fuel cell and fuel cell-based systems increased by 7 percent to $353 million, and research and development expenditures and industry employment over the same period increased by 11 and 12 percent to $796 million and 7,074 employees, respectively. Fuel cell cartridges and systems designed for portable electronic devices are a small part of these reported results. The industry projects fuel cells for portable electronic devices will achieve significant market penetration by 2009. By authorizing their carriage by airline passengers and crew, the regulatory changes addressed in this rulemaking will lift barriers to the commercialization and distribution of fuel cell cartridges for use in personal electronic equipment. The costs associated with this rulemaking proposal primarily relate to the costs for testing fuel cell designs in accordance with the IEC consensus specification. We expect most fuel cell manufacturers will voluntarily comply with the IEC specification as a positive marketing tool because it addresses broad consumer safety issues and provides independent assurance that fuel cells will meet a rigorous safety standard. Thus, the incremental costs imposed by this final rule are expected to be minimal. C. Executive Order 13132 This final rule has been analyzed in accordance with the principles and criteria set forth in Executive Order 13132 (“Federalism”). The requirements that result from this final rule will preempt State, local, and Indian tribe requirements but will not have substantial direct effects on the States, the relationship between the national government and the States, or the distribution of power and responsibilities among the various levels of government. Therefore, the consultation and funding requirements of Executive Order 13132 do not apply. Federal hazardous materials transportation law (49 U.S.C. 5125(b)) expressly preempts State, local, and Indian tribe requirements on certain covered subjects, as follows:
(1)The designation, description, and classification of hazardous materials;
(2)The packing, repacking, handling, labeling, marking, and placarding of hazardous materials;
(3)The preparation, execution, and use of shipping documents related to hazardous materials, and requirements related to the number, contents, and placement of those documents;
(4)The written notification, recording, and reporting of the unintentional release in transportation of hazardous materials; and
(5)The design, manufacture, fabrication, inspection, marking, maintenance, reconditioning, repair, or testing of a packaging or container represented, marked, certified, or sold as qualified for use in transporting hazardous material. This final rule addresses covered subject items (1), (2), (3), and
(5)above and will preempt State, local, and Indian tribe requirements not meeting the “substantively the same” standard. Pursuant to 49 U.S.C. 5125(b)(2), we will deem federal preemption effective upon the effective date of the final rule. We are making the final rule effective on October 1, 2008. D. Executive Order 13175 This final rule was analyzed in accordance with the principles and criteria set forth in Executive Order 13175 (“Consultation and Coordination with Indian Tribal Governments”). Because it does not have tribal implications and does not impose substantial direct compliance costs, the funding and consultation requirements of Executive Order 13175 do not apply to this final rule. E. Regulatory Flexibility Act The Regulatory Flexibility Act (5 U.S.C. 601 *et seq.* ) requires an agency to review regulations to assess their impact on small entities, unless the agency determines the final rule is not expected to have a significant impact on a substantial number of small entities. This final rule will relax regulatory barriers to the transportation of fuel cells used in personal electronic devices and, accordingly, is expected to have a positive impact on small businesses that manufacture, distribute, transport, or use such items. As indicated above, we expect the incremental costs imposed by this final rule to be minimal. Therefore, PHMSA certifies that the amendments prescribed in this final rule will not have a significant impact on a substantial number of small entities. This final rule has been developed in accordance with Executive Order 13272 (“Proper Consideration of Small Entities in Agency Rulemaking”) and DOT's procedures and policies to promote compliance with the Regulatory Flexibility Act to ensure that potential impacts of final rules on small entities are properly considered. F. Paperwork Reduction Act Section 1320.8(d), Title 5, Code of Federal Regulations, requires PHMSA to provide interested members of the public and affected agencies an opportunity to comment on information collection and recordkeeping requests. This final rule does not include new information collection or recordkeeping requirements. G. Regulation Identifier Number
(RIN)A regulation identifier number
(RIN)is assigned to each regulatory action listed in the Unified Agenda of Federal Regulations. The Regulatory Information Service Center publishes the Unified Agenda in April and October of each year. The RIN contained in the heading of this document can be used to cross-reference this action with the Unified Agenda. H. Unfunded Mandates Reform Act This final rule does not impose unfunded mandates under the Unfunded Mandates Reform Act of 1995. It does not result in costs of $120.7 million or more to either State, local or tribal governments, in the aggregate, or to the private sector, and is the least burdensome alternative that achieves the objective of the rule. I. Environmental Assessment The National Environmental Policy Act (NEPA), §§ 4321-4375, requires that federal agencies analyze regulatory actions to determine whether the action will have a significant impact on the human environment. The Council on Environmental Quality
(CEQ)regulations order federal agencies to conduct an environmental review considering
(1)the need for the action,
(2)alternatives to the action,
(3)environmental impacts of the action and alternatives, and
(4)the agencies and persons consulted during the consideration process. 40 CFR 1508.9(b). We have reviewed the risks associated with transporting fuel cell systems and cartridges. The amount of hazardous material contained within the fuel cells or cartridges to which this final rule applies is minimal, limited to 200 mL or 200 g. Even if a large number of these devices were compromised and their hazardous materials contents released, the environmental impact of the release will not be significant. We have determined there will be no significant environmental impacts associated with this final rule. Consultation and Public Comment As discussed above, PHMSA consulted with the IEC and many companies representing the fuel cell industry here and abroad to prepare for U.N. Dangerous Goods Council meetings on these devices. PHMSA also participated in the technical review of papers prepared by these companies explaining the potential risks and measures taken in the IEC specification to reduce risks for each fuel the IEC specification states may be present in a fuel cell. As discussed earlier, PHMSA also has consulted extensively with the U.S. Fuel Council, Medis Technologies, Ltd., and Millenium Cell, Inc., in response to their petitions for rulemaking, P-1475 and P-1483, respectively, to permit passengers and crew to transport in carry-on baggage on board passenger aircraft fuel cells containing flammable liquid, formic acid, butane, and Class 8 borohydride materials for use in portable electronic devices. PHMSA has also received one letter signed by approximately 18 companies and 4 letters from commenters that support amending the HMR to permit fuel cells to be transported in personal electronic devices in carry-on luggage on board passenger-carrying aircraft. List of Subjects 49 CFR Part 171 Exports, Hazardous materials transportation, Hazardous waste, Imports, Incorporation by reference, Reporting and recordkeeping requirements. 49 CFR Part 173 Hazardous materials transportation, Packaging and containers, Radioactive materials, Reporting and recordkeeping requirements, Uranium. 49 CFR Part 175 Air carriers, Hazardous materials transportation, Incorporation by reference, Radioactive materials, Reporting and recordkeeping requirements. In consideration of the foregoing, 49 CFR Chapter I is amended as follows: PART 171—GENERAL INFORMATION, REGULATIONS, AND DEFINITIONS 1. The authority citation for part 171 continues to read as follows: Authority: 49 U.S.C. 5101-5128, 44701; 49 CFR 1.45 and 1.53; Public Law 101-410 section 4 (28 U.S.C. 2461 Note); Public Law 104-134 section 31001. 2. In § 171.7, amend paragraph (a)(3), in the Table, by adding a new entry for the International Electrotechnical Commission in appropriate alphabetical order to read as follows: § 171.7 Reference material.
(a)* * *
(3)* * * Source and name of material 49 CFR Reference * * * * * * * International Electrotechnical Commission
(IEC)3, rue de Varembé, P.O. Box 131, CH—1211, GENEVA 20, Switzerland: Fuel cell technologies—Part 6-1: Micro fuel cell power systems—Safety, IEC/PAS 62282-6-1:2006(E), First Edition 2006-02, with Corrigendum 1, First Edition 2007-04 § 175.10 * * * * * * * 3. § 171.8, three new definitions for “fuel cell,” “fuel cell cartridge,” and “fuel cell system” are added in alphabetical order to read as follows: § 171.8 Definitions and abbreviations. *Fuel cell* means an electrochemical device that converts the energy of the chemical reaction between a fuel, such as hydrogen or hydrogen rich gases, alcohols, or hydrocarbons, and an oxidant, such as air or oxygen, to direct current (d.c.) power, heat, and other reaction products. *Fuel cell cartridge* or *Fuel cartridge* means a removable article that contains and supplies fuel to the micro fuel cell power unit or internal reservoir, not to be refilled by the user. *Fuel cell system* means a fuel cell with an installed fuel cell cartridge together with wiring, valves, and other attachments that connect the fuel cell or cartridge to the device it powers. The fuel cell or cartridge may be so constructed that it forms an integral part of the device or may be removed and connected manually to the device. PART 173—SHIPPERS—GENERAL REQUIREMENTS FOR SHIPMENTS AND PACKAGINGS 4. The authority citation for part 173 continues to read as follows: Authority: 49 U.S.C. 5101-5128, 44701; 49 CFR 1.45, 1.53. 5. In § 173.230, paragraph
(a)is revised and new paragraph
(d)is added, to read as follows: § 173.230 Fuel cell cartridges containing flammable liquids.
(a)A fuel cell cartridge must be designed and constructed to prevent the fuel it contains from leaking during normal conditions of transportation and be free of electric charge generating components.
(d)Fuel cells intended for transportation in carry-on baggage on board passenger aircraft must also meet the applicable provisions prescribed in § 175.10 of this subchapter. PART 175—CARRIAGE BY AIRCRAFT 6. The authority citation for part 175 continues to read as follows: Authority: 49 U.S.C. 5101-5128, 44701; 49 CFR 1.45, 1.53. 7. In § 175.10, new paragraph (a)(18) is added to read as follows: § 175.10 Exceptions for passengers, crew members, and air operators.
(a)* * *
(18)Portable electronic devices (for example, cameras, cellular phones, laptop computers, and camcorders) powered by fuel cell systems, and not more than two spare fuel cell cartridges per passenger or crew member, when transported in carry-on baggage by aircraft under the following conditions:
(i)Fuel cell cartridges may contain only Class 3 flammable liquids (including methanol), Class 8 formic acid, Class 8 borohydride materials, or Division 2.1 butane;
(ii)The maximum quantity of fuel in any fuel cell cartridge may not exceed:
(A)200 mL (6.76 ounces) for liquids,
(B)120 mL (4 fluid ounces) for liquefied gases in non-metallic fuel cell cartridges, or 200 mL for liquefied gases in metal fuel cell cartridges;
(C)200 g (7 ounces) for solids;
(iii)No more than two spare fuel cell cartridges may be carried by a passenger;
(iv)Fuel cell systems containing fuel and fuel cell cartridges including spare cartridges are permitted in carry-on baggage only;
(v)Fuel cell cartridges may not be refillable by the user. Refueling of fuel cell systems is not permitted except that the installation of a spare cartridge is allowed. Fuel cell cartridges that are used to refill fuel cell systems but that are not designed or intended to remain installed (fuel cell refills) in a portable electronic device are not permitted;
(vi)Fuel cell systems and fuel cell cartridges must conform to IEC/PAS 62282-6-1 (IBR; see § 171.7 of this subchapter);
(vii)Interaction between fuel cells and integrated batteries in a device must conform to IEC/PAS 62282-6-1. Fuel cell systems for which the sole function is to charge a battery in the device are not permitted;
(viii)Fuel cell systems must be of a type that will not charge batteries when the portable electronic device is not in use; and
(ix)Each fuel cell cartridge and system that conforms to the requirements in this paragraph (a)(18) must be durably marked by the manufacturer with the wording: “APPROVED FOR CARRIAGE IN AIRCRAFT CABIN ONLY” to certify that the fuel cell cartridge or system meets the specifications in IEC/PAS 62282-6-1 and all other applicable requirements of this subchapter. Issued in Washington, DC, on April 22, 2008, under the authority delegated in 49 CFR part 1. Carl T. Johnson, Administrator. [FR Doc. E8-9203 Filed 4-29-08; 8:45 am] BILLING CODE 4910-60-P DEPARTMENT OF TRANSPORTATION National Highway Traffic Safety Administration 49 CFR Part 565 [Docket No. NHTSA 2008-0022] RIN 2127-AJ99 Vehicle Identification Number Requirements AGENCY: National Highway Traffic Safety Administration (NHTSA), DOT. ACTION: Final rule. SUMMARY: This document amends 49 CFR Part 565, Vehicle Identification Number Requirements, to make certain changes in the 17-character vehicle identification number
(VIN)system so that the system will remain viable for at least another 30 years. This rule was initiated by a petition from SAE International (formerly known as the Society of Automotive Engineers), which was concerned that the available supply of VINs, and particularly the manufacturer identifier part of the VIN, might run out. This final rule will ensure that there will be a sufficient number of unique manufacturer identifiers and VINs to use for at least another 30 years. DATES: *Effective Date:* October 27, 2008. *Compliance Dates:* Amendments made in this rule apply to motor vehicles manufactured on or after October 27, 2008 whose VINs have a letter “A” or “B” in the 10th position of the VIN, and to all motor vehicles manufactured on or after April 30, 2009. *Petitions for Reconsideration:* Petitions for reconsideration of this rule must be received by June 16, 2008. ADDRESSES: Petitions for reconsideration should refer to the docket and notice number above and be submitted to: Administrator, National Highway Traffic Safety Administration, 1200 New Jersey Avenue, SE., Washington, DC 20590. See the SUPPLEMENTARY INFORMATION portion of this document (Section IV, Rulemaking Analyses and Notices) for DOT's Privacy Act Statement regarding documents submitted to the agency's dockets. FOR FURTHER INFORMATION CONTACT: *For non-legal issues,* you may contact Mr. Kenneth O. Hardie, Office of Crash Avoidance Standards (NVS-120), NHTSA, 1200 New Jersey Avenue, SE., Washington, DC 20590 (Telephone: 202-366-6987) (FAX: 202-366-7002). *For legal issues,* you may contact Ms. Rebecca Schade, Office of the Chief Counsel, NHTSA, 1200 New Jersey Avenue, SE., Washington, DC 20590 (Telephone: 202-366-2992) (FAX: 202-366-3820). SUPPLEMENTARY INFORMATION: Table of Contents I. Executive Summary II. Background A. History and Overview of the VIN System B. Petition for Rulemaking C. Notice of Proposed Rulemaking III. The Final Rule and Response to Public Comments A. Summary of Public Comments B. Summary of Amendments Adopted in This Final Rule IV. Rulemaking Analyses and Notice I. Executive Summary In response to a petition for rulemaking, the National Highway Traffic Safety Administration (NHTSA) is amending 49 CFR Part 565, Vehicle Identification Number Requirements (Part 565), so that the supply of manufacturer identifiers and vehicle identification numbers available under this regulation will be sufficient for at least the next 30 years. To accomplish this, NHTSA is revising the requirements for where certain information must be communicated in a vehicle identification number
(VIN)as well as the characters that may be used in some of the 17 positions of the VIN for passenger cars and multipurpose passenger vehicles and trucks with a gross vehicle weight rating of 4536 kg (10,000 lb) or less. These changes will have two primary effects. First, the need to issue new manufacturer identifiers, particularly for large manufacturers, should be drastically reduced, thus preserving for a longer period of time the remaining combinations of characters that are available to be issued. Second, the changes will substantially increase the number of combinations of characters available in positions 4 through 8 of the VIN, as well as combinations of those characters with characters in the other VIN positions, so that the number of available VINs will significantly increase, enabling the current 17-character system to continue for another 30 years and possibly longer. The final rule published today differs very little from the notice of proposed rulemaking
(NPRM)published on October 2, 2007. 1 The differences are as follows. 1 72 FR 56027 (Oct. 2, 2007) (Docket No. NHTSA-2007-27830-0001). • The date and conditions under which this rule becomes effective have been changed in response to comments that indicated a need for prompt implementation of this rule. • While this rule now makes clear that Low Speed Vehicles
(LSVs)require a VIN, LSVs have been dropped from the list of vehicles that would require, and be limited to the use of an alphabetic character in position 7 of the VIN. This was done in response to comments noting that the need for only an alphabetic character in position 7 applies mainly to passenger cars and multipurpose passenger vehicles and trucks with a gross vehicle weight rating of 4536 kg (10,000 lb) or less, not all other vehicles covered by 49 Part 565, such as trailers and low speed vehicles. Comments received in response to the NPRM generally supported the proposed changes to Part 565. Two commenters sought clarification as to how the new rule would apply to trailers. A small number of the comments recommended changes to what was proposed. These comments, however, reflected a less than complete understanding of the proposed changes and, in one case, the purpose of our proposal in helping to sustain the current 17-character VIN system over the next 30 years. Many of the comments raised issues that were either not specifically addressed in the NPRM or involved suggested uses of the VIN system that are outside the scope of either NHTSA's authority or the purpose and scope of the VIN system. For these reasons, changes to Part 565 suggested by the comments have not been made. A common suggestion of this type was that NHTSA include (in the information that must be communicated in the VIN) whether or not a vehicle is certified to California emission standards. In summary, the new VIN requirements apply to vehicles that are manufactured on or after October 27, 2008 whose VINs have a letter “A” or “B” in the 10th position of the VIN, and to all vehicles manufactured on or after April 30, 2009. The principal changes to Part 565 issued today that impact the options vehicle manufacturers have in complying with Part 565 are as follows: • Vehicle “make” will no longer be required to be identified in the manufacturer identifier of the VIN. • Vehicle “make” will now need to be identified, along with other information items included in the previous version of Part 565, in the second section of the VIN, which consists of VIN positions 4-8. • In generating VINs for vehicles that comply with Part 565, manufacturers of passenger cars and multipurpose passenger vehicles and trucks with a gross vehicle weight rating of 4536 kg. (10,000 lbs.) or less will have an expanded number of characters available in positions 4, 5, and 6 of the VIN. All three of these positions may now be either numeric or alphabetic. These manufacturers will also be required to use an alphabetic character in position 7 of the VIN. II. Background A. History and Overview of the VIN System Since 1954, American automobile manufacturers have used a vehicle identification number
(VIN)to describe and identify each of the motor vehicles they manufacture. The early VINs came in a wide array of configurations and variations, depending on the individual manufacturer. A move to create a more systematic VIN scheme was made in 1968, with the enactment of Federal motor vehicle safety standard (FMVSS) No. 115, which took effect January 1, 1969. That standard required each passenger car to have a VIN that is permanently “sunk or embossed” on a part of the vehicle visible through the glazing by a person standing at the left windshield pillar. Manufacturers were required to avoid having a VIN be repeated within a 10-year period. In response to a petition from the Motor Vehicle Manufacturers Association and Volkswagen of America, Inc., the National Highway Traffic Safety Administration (NHTSA) in 1976 began considering an even more structured and standardized system of VINs as well as expanding the system to additional classes of vehicles. This process led to the current system of 17-character VINs. A final rule implementing the new system was published on August 17, 1978. 2 The rule stipulated that beginning with the 1981 model year, NHTSA would require that all over-the-road-vehicles sold must contain a 17-character VIN in a fixed format. The standard further required that the VINs of any two vehicles manufactured within a 30 year period not be identical. 2 43 FR 36448 (Aug. 17, 1978) (Docket No. 1-22; Notice 5). On June 7, 1996, NHTSA issued a final rule consolidating all VIN requirements into 49 CFR Part 565. 3 Federal motor vehicle safety standard (FMVSS) No. 115 was eliminated. Part 565 requires the manufacturer to assign a unique VIN to each passenger car, multipurpose passenger vehicle, truck, bus, trailer (including trailer kit), incomplete vehicle, and motorcycle that it produces. 3 61 FR 29031 (June 7, 1996) (Docket No. NHTSA-95-85; Notice 2). One of the original purposes of the VIN system was to enhance public safety by deterring vehicle theft based on the assumption that drivers of stolen vehicles are more likely to operate those vehicles unsafely and thus be involved in vehicle crashes. The current 17-character VIN system embodied in Part 565 continues to serve this purpose and, as stated in Part 565, also serves “to increase the accuracy and efficiency of vehicle recall campaigns.” Recalls are a critical tool for correcting safety defects in vehicles. The VIN has also become the key identifier in data systems that track such things as compliance with federal importation regulations, vehicle registrations, insurance coverage, and motor vehicle crashes. Entities that today utilize VINs in data systems include NHTSA, state motor vehicle departments, law enforcement agencies, insurance companies, organizations involved in motor vehicle research, and manufacturers. Characters in a VIN are used in one of three ways. Some specific VIN positions represent a single item of information related to a vehicle. Other groups of VIN positions may be used individually or in combination to represent information that must be deciphered from a key that the manufacturer provides to NHTSA as required by Part 565. Utilizing combinations of at least some VIN positions has been necessary for some vehicles because the amount of information about a vehicle required by Part 565 to be represented in the first (positions 1-3) and second (positions 4-8) sections of the VIN in some cases exceeds the number of positions available in those sections. Finally, the last digits of the VIN are used by manufacturers to sequentially number groups of similar vehicles that are manufactured. Small annual volume manufacturers use the last three digits to number vehicles. Large annual volume manufacturers use the last six digits. The VIN has four sections. The first consists of the first three VIN characters. For large manufacturers, these three positions represent a manufacturer identifier, which meets both the requirements of Part 565 and International Standard 3780: *Road vehicles “ World manufacturer identifier*
(WMI)*code* (Small manufacturers must use a six character manufacturer identifier consisting of the first three VIN positions and positions 12-14). In International Standard 3780, adopted by the International Organization for Standardization
(ISO)in 1980, the first three digits of the VIN are referred to as the World Manufacturer Identifier (WMI). Although it is common to refer to the first three digits of the VIN as the WMI, the first three digits will be referred to here as the “manufacturer identifier” because Part 565 does not use the term “WMI.” Also, Part 565's requirements for the first three digits of the VIN differ somewhat from those of International Standard 3780 and it is Part 565's requirements that are affected by the final rule. NHTSA currently contracts with the SAE International
(SAE)to coordinate and issue manufacturer identifiers that comply with Part 565 to U.S. manufacturers. In issuing these identifiers, SAE also ensures that the identifiers comply with the requirements of International Standard 3780 for WMIs. Part 565 currently requires that manufacturers identify manufacturer, make and type of motor vehicle in the first three digits of a VIN. To comply with International Standard 3780, this section of the VIN must also indicate the country in which the vehicle was manufactured. The proliferation of vehicle makes for passenger vehicles has resulted in large manufacturers with multiple makes of vehicles having to obtain multiple manufacturer identifiers. This, in combination with large manufacturer identifiers issued to large manufacturers of other types of vehicles, has resulted in a drain on the supply of manufacturer identifiers/WMIs available for large U.S. manufacturers. The five characters in the second section (positions 4 through 8) of a VIN must identify attributes of the specific type of vehicle involved. These attributes are indicated in Table I in Part 565.15 (formerly 565.6). The third VIN section consists of one character, called a check digit, in the ninth VIN position. It reflects a calculation specified in Part 565 that is based on the other VIN characters and that serves as a check against typographical errors in transcribing a VIN. The fourth section consists of positions 10-17. The first two, positions 10 and 11, are for the model year and plant of manufacture respectively. For large manufacturers, the last six characters are used to sequentially number vehicles in groups of similar vehicles that are manufactured by a given manufacturer. For manufacturers initially intending to produce fewer than 500 vehicles of a given type, VIN positions 12, 13, and 14 are additional characters used for the manufacturer's manufacturer identifier. Under the current version of Part 565, this means manufacturers that produce fewer than 500 vehicles of a given type have a six-digit manufacturer identifier consisting of the first three positions of the 17-character VIN, with the third position in practice always being a 9, and positions 12, 13, and 14. These small manufacturers use only the last three digits of the VIN to sequentially number similar vehicles they produce. When the current version of Part 565 went into effect beginning with the 1981 model year, it was anticipated that the permutations available under the 17-character system described in Part 565 would provide a sufficient number of unique VINs and manufacturer identifiers so that, as required by Part 565, “the VINs of any two vehicles manufactured within a 30-year period shall not be identical.” B. Petition for Rulemaking In a letter dated October 31, 2005, 4 the SAE Vehicle Identification Number/World Manufacturer Identifier Technical Committee 5 petitioned NHTSA to make certain changes to the current VIN system. The committee proposed “minor revisions” to Part 565 that it believed would both preserve the current 17-character VIN format while significantly expanding the universe of available unique manufacturer identifiers and VINs (At NHTSA's request, SAE submitted a subsequent letter dated February 23, 2006, 6 clarifying certain items in the original petition). The petition proposed changes that would keep the current 17-character VIN, but would add to the characters that may appear in some of the VIN positions for passenger cars and multipurpose passenger vehicles and trucks with a gross vehicle weight rating of 4536 kg (10,000 lb) or less, thus adding significantly to the number of available unique VINs for these vehicles. In addition to changes that would expand the number of available manufacturer identifiers and VINs, the petitioners asked NHTSA:
(1)To add to the Part 565 list of vehicle attributes those that must be communicated in, and decipherable from, the VIN of a low speed vehicle (LSV);
(2)to clarify the way the “check digit” as defined in Part 565 is determined;
(3)to expand the restraint system information that must be decipherable from a passenger car VIN; and
(4)to add language that further explains the typefaces permitted for a VIN. The petitioners further proposed that these changes take effect beginning with the 2010 model year due to concerns over the supply of manufacturer identifiers and the possibility of duplicate VINs being issued beginning with that model year. 4 Docket No. NHTSA-2007-27830-0030. 5 Organizations represented on the committee included: General Motors, International Truck and Engine Corporation, RL Polk & Company, The Hill Group, Freightliner Truck Division, American Association of Motor Vehicle Administrators, American Suzuki Motor Corporation, Harley Davidson Motor Company, Motorcycle Industry Council, Ford Motor Company, Transport Canada, National Insurance Crime Bureau (NICB), DaimlerChrysler Corporation, and NHTSA. Representatives from Clifford Thames IMS in the United Kingdom, the Highway Loss Data Institute, and Caterpillar, Inc. also participated. 6 Docket No. NHTSA-2007-27830-0031. C. Notice of Proposed Rulemaking NHTSA granted the petition by letter to the SAE dated March 7, 2006 and published a notice of proposed rulemaking
(NPRM)in the **Federal Register** on October 2, 2007 (72 FR 56027). That notice proposed to adopt most, but not all of the changes to Part 565 suggested by SAE. The changes that were proposed in the NPRM were to: • Expand to 60 years (the current 30 year period that is about to expire plus an additional 30 years) the period during which the VINs of any two vehicles subject to Part 565 may not be identical; • Eliminate vehicle “make” from what needs to be communicated in, and decipherable from, the manufacturer identifier; • Include “make” in what needs to be communicated in, and decipherable from, the second section of the VIN (positions 4-8) for all vehicles subject to Part 565; • Change Part 565 so that alphabetic or numeric characters may be used in positions 4, 5 and 6 for passenger cars and multipurpose passenger vehicles and trucks with a gross vehicle weight rating of 4536 kg. (10,000 lbs.) or less (Currently positions 4 and 5 must be alphabetic and position 6 must be numeric for these vehicles. Either alphabetic or numeric characters have always been allowed in these positions for other vehicles covered by the standard); • Require that VIN position 7 be alphabetic for passenger cars and multipurpose passenger vehicles and trucks with a gross vehicle weight rating of 4536 kg. (10,000 lbs.) or less (This position currently must be numeric for these vehicles. Either an alphabetic or numeric character can be used in this position for other vehicles covered by the standard); • Make clear that Part 565 applies to Low Speed Vehicles (LSVs); • Include in Part 565 specific attributes for LSVs that must be communicated in, and decipherable from, a VIN; • Require that the VIN plate for LSVs be placed in the same location as passenger cars and multipurpose passenger vehicles and trucks with a gross vehicle weight rating of 4536 kg (10,000 lb) or less; • Expand from “passenger cars” to “passenger cars, multipurpose passenger vehicles, low speed vehicles, and trucks” the vehicles that would be covered by the requirements of current Part 565.5—Motor vehicles imported into the United States; • Add regulatory language to call attention to the fact that the number “9” in the third VIN position means that the vehicle is produced in sufficiently low quantities that a small manufacturer identifier is appropriate and positions 12-14 are therefore part of the manufacturer identifier; • Change restraint system information that must be communicated in the VIN of a passenger car from “restraint system type” to “all restraint devices and their location” and require this same information for LSVs; • Add to Part 565 a table with an explanatory note that indicates the digit that should appear in the ninth position of the VIN (This was requested to address the fact that the formula that is used in determining what appears in the ninth position is often calculated electronically and therefore does not produce the fractional remainders that are currently used in Part 565 to determine the digit that goes in position 9); • Revise the “Year Codes for VIN” table in Part 565 to include character designations for years up to, and including, the year 2039, to account for the expanded period of time during which the current VIN system will remain in existence under the changes proposed; • Change the contact details for the SAE in Part 565. The changes that were requested by SAE that were not included in the NPRM or that were included in modified form were to: • Specify in Part 565 that a positive identification style font face is a typeface permitted under the regulation's broad requirement for a san serif font typeface for a VIN. • Set the dividing line between manufacturers requiring a large manufacturer identifier and those requiring a small manufacturer identifier at 900 vehicles produced annually. The NPRM proposed 1,000 vehicles as the level at which a manufacturer must begin using a large manufacturer identifier. III. The Final Rule and Response to Public Comments A. Summary of Public Comments The agency received comments from the following: the Wisconsin Department of Transportation (WisDOT), the Oregon Department of Motor Vehicles (ODMV), Oregon Department of Environmental Quality (ODEQ), Daimler A.G. (Daimler), the Alliance of Automobile Manufacturers (Alliance), Advocates for Highway and Auto Safety (Advocates), the Recreation Vehicle Industry Association (RVIA), the National Insurance Crime Bureau (NICB), the New York State Department of Motor Vehicles (NYDMV), the New York State Department of Environmental Conservation (NYDEC), the Washington State Department of Ecology (WDE), General Motors (GM), Ford, Harley-Davidson Motor Company, BMW of North America, The Northeast States for Coordinated Air Use Management (NESCAUM), the Association of International Automobile Manufacturers (AIAM), the Truck Manufacturers Association (TMA), the National Association of Clean Air Agencies (NACAA), Ferrari, Prevost (a division of Volvo Group Canada, Inc.), the National Association of Trailer Manufacturers (NATM), and several individuals. 1. General and Issue Specific Support All commenters supported revising the VIN regulation in one way or another, in some instances suggesting ways the VIN could be further expanded. Amendments Aimed at Extending Life of Current System The Alliance stated that it “fully supports both proposed amendments that are directly related to extending the utility of the VIN system beyond 2010.” AIAM and TMA also expressed support for the proposed changes, as did Ferrari and NATM with some exceptions and concerns. NYDEC offered its general support for the efforts “to ensure that there will be a sufficient number of unique manufacturer identifiers and VINs for the current 17-character VIN system for at least another 30 years.” Harley-Davidson also offered its “general support,” noting, “The regulatory proposal as written will provide a solution to the issue for the next few decades.” BMW supported NHTSA's efforts to revise Part 565, but had concerns, as did Daimler A.G., about the proposed changes for position 7 of the VIN. NICB offered its support, but expressed concern that the effective date should be November 1, 2008. NESCAUM, which is an association of state air pollution control agencies in Connecticut, Maine, Massachusetts, New Hampshire, New Jersey, New York, Rhode Island, and Vermont, offered general support for the rulemaking and made suggestions concerning information that the VIN should communicate. Specific suggestions, exceptions, and concerns expressed by those offering general support for the proposed changes to Part 565 are discussed below under the relevant heading. Large Manufacturer Threshold The Alliance and Prevost commented directly on this subject. The Alliance specifically supported the proposed change that would require a manufacturer to make 1,000 vehicles a year rather than the current 500 before a manufacturer will be considered a large manufacturer and be required to be issued and use a large manufacturer identifier. Prevost expressed a concern about manufacturers of buses with a GVWR greater than 4,536 kg (10,000 lb), stating that production of these manufacturers may vary significantly so the threshold between small and large manufacturer should be smaller than 500 with the possibility to use either a 3 or a 6 character WMI up to 1,000. Alphabetic and Numeric Characters in Second Section of VIN The Alliance specifically supported the proposal to allow the VINs of passenger cars and multipurpose passenger vehicles and trucks with a gross vehicle weight rating of 4536 kg (10,000 lb) or less to use either alphabetic or numeric characters in positions 4, 5 and 6, as opposed to only alphabetic characters in positions 4 and 5 and numeric characters in position 6. As noted above, some manufacturers did not agree with the proposed changes for position 7 of the VIN. AIAM objected to a requirement that “all restraint devices and their location” be decipherable from the VIN. Moving “Make” From First to Second Section The Alliance and AIAM supported moving vehicle “make” from the manufacturer identifier to the second section (positions 4-8) of the VIN. On the other hand, NATM believed that there is no need to assign or designate the “make” of a trailer. Vehicle Characteristics for VINs of Low Speed Vehicles
(LSVs)Advocates supported the proposal to include in Part 565 a list of vehicle attributes that must be communicated in, and decipherable from, the VINs of LSVs. Costs Resulting From Software Modifications NICB said its software can be modified to accommodate the proposed changes “without undue burden or expense.” 2. Suggested Changes to the Information To Be Communicated by the VIN *Comments:* Several commenters suggested adding various kinds of information to what is currently required in 49 CFR Part 565 to be communicated in, and decipherable from, a VIN. ODMV, ODEQ, WDE, NESCAUM, and NACAA all urged NHTSA to incorporate into the VIN a means by which States could determine whether or not a vehicle is certified to meet California emission standards. NYDEC urged a more detailed approach, asking for not only an indication of the emission standard to which a vehicle is certified, but also the level of certification. NYDEC and NYDMV also suggested that a vehicle's fuel type or type of hybrid technology be communicated through the VIN to help support State inspection and maintenance programs. In some cases, information that is already included in the VIN and that relates to the administration of State inspection and maintenance programs, is not treated consistently by manufacturers and is, therefore, hard to access, according to NYDEC. Advocates said “the VIN requirements should also include a means for encoding the type of power source that the engine can utilize.” Yuli Chew, an individual submitting comments, suggested that the seventh digit in the VIN be used to designate emission certification and offered a detailed chart of proposed characters to designate various emission certifications. He also proposed that the eighth digit be used to indicate engine type and similarly offered a detailed chart of engine types and characters to represent them. WisDOT asked that the VIN include some method for determining the maximum speed capability of low-speed motor-driven cycles, such as mopeds. Whether or not a cycle can travel at speeds greater than 30 mph impacts driver training requirements in Wisconsin and whether passengers may be carried on the cycle. WisDOT provided a list of 28 other States in which speed of the cycle determines its classification and related requirements. WisDOT also noted that the Uniform Vehicle Code contains a similar distinction. NESCAUM and NACAA recommended that the information communicated by the VIN include motor vehicle test group and engine family, as defined by the U.S. Environmental Protection Agency in 40 CFR Part 86. The information that would be available to States as a result of this, NESCAUM said, “could be used to support air quality monitoring efforts.” NESCAUM and NACAA also asked for several additional changes to the information a VIN must communicate. They asked NHTSA to change the definition of “engine type” that now appears in 49 CFR 565(d). They maintained that the effect of the definition's second sentence, which specifically calls for a VIN to represent “the specific make and manufacturer” of an engine if it powers a “passenger car or multipurpose passenger vehicle, or truck with a gross vehicle weight rating of 4536 kg. (10,000 lbs.) or less” is to exclude Class 3 through 8 heavy-duty trucks from the requirement to report engine manufacturer and make. The commenters said this information would make it easier for States to determine the emissions and fuel economy characteristics of their heavy-duty truck fleets. NESCAUM also asked that the VIN identify the GVWR rating class for any vehicle in Class G-2 or above, saying this information would greatly simplify States' efforts to identify whether a particular vehicle is subject to its emissions inspection program and the type of test required under that program. Finally, NESCAUM urged that the VIN requirements for Class 3 through 8 heavy-duty vehicles incorporate the exact gross vehicle weight, a change it said would enable States to better characterize their heavy duty fleets. *Agency Analysis and Response:* The primary purpose of the VIN system is to assure a unique identifier for each vehicle sold in the United States and, in so doing, to deter theft and facilitate vehicle recall campaigns. Deterring theft reduces the number of drivers on the road who are more likely to operate motor vehicles in an unsafe manner. Recall campaigns are conducted to remedy defects related to motor vehicle safety and incidents of noncompliance with Federal motor vehicle safety standards that are determined to exist in a vehicle. The current VIN system has for nearly 30 years fulfilled the need for unique vehicle identifiers and with today's final rule should continue to do so for at least the next 30 years. The agency is not adopting at this time amendments to address any of the recommendations for the VIN to include additional information elements, not because those recommendations lack merit, but instead because there is a pressing need for today's rule to be in place to assure the uninterrupted continuation of the VIN system. The agency acknowledges that the additional information requirements recommended in the comments, such as those relating to California emission certification, reflect the fact that there has been little change over the decades in the information that must be conveyed by a VIN despite the development of new circumstances that may lend themselves to the inclusion of new or different information. As such, the agency plans to initiate a separate comprehensive review focused on the information requirements of the VIN system. This will address whether those requirements should be changed, and, if so, how those changes should be made. 3. All Restraint Devices and Their Location *Comments:* Several comments were received concerning the proposal to change language in Table 1 of 49 CFR 565.6(b) relating to the restraint system information required to be communicated in the VIN of passenger cars. The relevant language currently reads, “Passenger car: Line, series, body type, engine type and restraint system type.” The replacement language proposed by the petitioner and included in the NPRM reads, “Passenger car: Make, line, series, body type, engine type, and all restraint devices and their location.” The agency also requested “comments on whether this information should be required for all passenger vehicles, not just passenger cars.” The Alliance opposed this proposed change and suggested that the original language be retained. It said the proposed language would create an “unnecessary and unjustified burden on manufacturers” because each running change relating to a vehicle's restraint system could require a new VIN. The AIAM also opposed the proposed change, on the basis that evolving combinations of restraint devices could “require development of a complex coding scheme which may ultimately prove impractical due to the number of possible combinations of these elements.” Ferrari also opposed the proposed language change citing the same argument as that offered by AIAM. Advocates supported both the proposed language change and extending the information requirement beyond passenger cars to include “all passenger and non-passenger light vehicles with a gross vehicle weight rating
(GVWR)of 4,536 kilograms (10,000 pounds) or less,” on the basis that this information would be valuable for safety research and data analysis. *Agency Analysis and Response:* The current language in Part 565 was sufficient when the range of restraint equipment that was either required or was available in the marketplace consisted primarily of seat belts and front seat airbags. Today, in addition to seat belts, front seat air bags are mandatory and restraint equipment technology has advanced to the point where there are many variations both in required equipment and in equipment, such as side air bags, that is offered in the marketplace. The new language is intended to capture and make available, through a vehicle's VIN, more complete and accurate information regarding occupant restraint in each vehicle manufactured for sale in the U.S. The agency does not agree with the Alliance and the AIAM that this change is overly burdensome. The agency is aware that some major manufacturers represented by these two organizations are already submitting comprehensive restraint related VIN deciphering information to NHTSA under 49 Part 565.7(c) that would comply with the amended requirements. This suggests to the agency that if a manufacturer knows well in advance of restraint system changes that will occur during a vehicle's production run, creating a VIN to account for those changes would be no more difficult than accounting for the different engines that can be installed in a particular vehicle model. In those cases where an unanticipated running change in a vehicle's restraint system occurs, a company could retain the VINs of the vehicles involved and provide NHTSA with revised VIN deciphering information as provided in 49 Part 565.7(c). In such a case, vehicles numbered sequentially above a certain number in the last digits of the fourth section of the VIN would have the revised restraints devices and locations, which could be indicated in the company's amended deciphering information. The agency agrees with Advocates that there is value in having the VINs of certain vehicles in addition to passenger cars communicate the type and location of the restraint devices with which those vehicles are equipped . The agency is requiring the VINs of passenger cars, multipurpose vehicles, and trucks with a gross vehicle weight rating of 4,536 kilograms (10,000 pounds) or less to communicate that information. 4. VIN Position 7 *Comments:* The NPRM proposed that for passenger cars and multipurpose passenger vehicles and trucks with a gross vehicle weight rating of 4536 kg (10,000 lb) or less the seventh position of the VIN be changed from a numeric character to an alphabetic character. Daimler and BMW asked that the seventh position be either numeric or alphabetic, with BMW indicating this would “minimize the cost impact” and achieve the same goal. Ferrari called the proposed change for position 7 “acceptable,” but asked why position 7 could not be either numeric or alphabetic. Daimler also asked that the manufacturer be allowed to choose “one of the five positions to be changed from alphabetic to numeric or vice versa.” (Daimler did not specify the five characters to which it was referring. The agency assumes the company was referring to VIN positions 4 through 8, the positions referred to in Part 565 as the second section, which includes position 7.) The Alliance and GM both specifically supported the proposed change from numeric to alphabetic characters in position 7. In addition, the Alliance asked that a footnote be included in Table VII— *Year Codes for VIN* in 49 CFR Part 565. That footnote would read, “If position 7 is numeric, the Model Year (in position 10) is 1980-2009; if alphabetic, the Model Year (in Position 10) is 2010-2039.” AIAM and Ferrari supported this proposal. Prevost suggested the addition of a footnote to Table VII as well. It asked that the footnote communicate the fact that since position 7 may be alphabetic or numeric for vehicles over 10,000 pounds and certain other types of vehicles covered by Part 565, such as trailers, that character does not indicate the 30-year period in which the vehicle was manufactured. *Agency Analysis and Response:* The reason for the proposed change in position 7 of the VIN was not only to create additional permutations to increase the number of available VINs, but also to enable VIN users to determine in which 30-year period a vehicle was manufactured. The suggestion by Daimler and BMW that manufacturers have the option of using either an alphabetic or numeric character in position 7 would eliminate a VIN user's ability to make this determination and would create considerable confusion for VIN system users. (Daimler's suggestion that the manufacturer have the option of choosing which character in the second section of the VIN to change from alphabetic to numeric or vice versa, would be even more confusing to VIN users). Under the approach suggested by Daimler and BMW, VIN users would be unable to use the seventh VIN character to determine the model year of makes and models of vehicles manufactured in both the 30 year span of the current VIN system and in the 30 year span contemplated for the VIN system established by today's final rule. While having the option of either an alphabetic or numeric character in position 7 might “minimize the cost impact” on manufacturers as BMW suggests, it would also very likely add costs to other users of the VIN system and not be as efficient as having position 7 clearly indicate the 30 year period in which a vehicle was manufactured. The agency is therefore adopting the proposal in the NPRM to require that only an alphabetic character be allowed in VIN position 7 for passenger cars and multipurpose passenger vehicles and trucks with a gross vehicle weight rating of 4536 kg. (10,000 lbs.) or less under the revised Part 565. The agency agrees with the Alliance, GM and Prevost that a footnote to Table VII will further clarify the purpose of position 7 being an alphabetic character. The agency is therefore adding a footnote to Table VII, but is adopting language different from that proposed by the Alliance and GM to both further clarify the role of VIN position 7 and to make clear, as suggested by Prevost, that the requirement for an alphabetic character in position 7 applies only to passenger cars and multipurpose passenger vehicles and trucks with a gross vehicle weight rating of 4536 kg (10,000 lb) or less. The footnote will now read, “For passenger cars, and for multipurpose passenger vehicles and trucks with a gross vehicle weight rating of 4536 kg (10,000 lb) or less, if position 7 is numeric, the Model Year in position 10 of the VIN refers to a year in the range 1980-2009. If position 7 is alphabetic, the Model Year in Position 10 of the VIN refers to a year in the range 2010-2039.” 5. Off Road Vehicles *Comment:* NACAA said the VIN system should be extended to “nonroad vehicles (primarily those for recreational use).” Referring to a numbering system for off-road vehicles named, “ *PIN: Product Identification Number System for Off-Road Recreation Vehicles* ,” NYDMV noted that identifiers under this system will always differ from VINs in the ninth position. A VIN will contain either a number or an X. A PIN will contain a letter and never an X. NYDMV suggested language for Part 565 that would prohibit VINs from duplicating PINs for off-road vehicles. *Agency Analysis and Response:* NHTSA has authority to regulate only vehicles that are manufactured primarily for use on public streets, roads, and highways. Jurisdiction to regulate vehicles of the type discussed by NACAA rests with the U.S. Consumer Product Safety Commission, which at this time does not have a system in place to provide identifiers for off-road vehicles. As indicated by the NYDMV, a voluntary system has been created and is operating to address the need for identifiers for off-road vehicles. That system is administered by SAE International, the same organization that administers the VIN system. NHTSA does not have the authority to extend the VIN system to off-road vehicles. It therefore did not address the issue in the NPRM and is not making this suggested change in this final rule. NHTSA is also not including language in Part 565 to prohibit a VIN from duplicating a PIN as suggested by NYDMV. We do not regulate PINs. Additionally, the agency believes that if, as the NYDMV indicates, a PIN has an alphabetic character and never an X in its ninth position, a VIN should never duplicate a PIN. This is because a VIN is required to have either a numeric character or an X in that position. 6. Trailers NATM, which represents companies that manufacture trailers with gross vehicle weight ratings
(GVWR)of 26,000 lb or less, submitted detailed comments addressing issues unique to trailer manufacturers. RVIA submitted brief comments on behalf of its trailer manufacturer members concurring with the NATM comments. NATM generally supported the proposed changes to Part 565, but raised the following two concerns. Character Prescriptions as They Relate to Trailers First, NATM noted that Section 565.6(b) currently applies to “passenger cars and * * * multipurpose passenger vehicles and trucks with a gross vehicle weight rating of 4536 kg (10,000 lbs.) or less'' insofar as it identifies the characters that must be used in specific positions of the second section of the VIN (positions 4-8). NATM further noted, “There is, however, no mention of what characters, alphabetic or numeric, manufacturers of other types of vehicles—larger trucks, buses, trailers, and motorcycles—are required or permitted to use in those same positions. By its silence, we assume Section 565.6(b) allows manufacturers of those other types of vehicles to use either an alphabetic or a numeric character, at their election, in all four of the first four positions in Section 2 of the VIN, positions 4, 5, 6, and 7. The current regulation goes on to state: ‘The fifth character [position] may be either alphabetic or numeric.’ It is not clear whether this statement is intended to govern VIN use only in the three vehicle types specified in the preceding sentence, namely automobiles, multipurpose passenger vehicles, and light-duty trucks, or whether it is intended to apply to all motor vehicle types to which Part 565 applies.” *Agency Analysis and Response:* The characters that may be used in a vehicle's VIN are identified in § 565.4(g). These are the characters that may be used in a VIN unless there are specifications elsewhere in Part 565 as to the characters that may be used in a particular VIN position. The NATM's interpretation of the current version of Part 565.6(b) is correct. The specifications in the current version of this section as to the type of characters that must appear in specific positions of the second section of the VIN apply only to the vehicles cited—passenger cars and multipurpose passenger vehicles and trucks with a gross vehicle weight rating of 4536 kg (10,000 lb) or less—not larger trucks, buses, trailers, and motorcycles. Therefore, the current regulation allows manufacturers of larger trucks, buses, trailers, and motorcycles to use either an alphabetic or a numeric character in all four of the first four positions in the second section of the VIN, positions 4, 5, 6, and 7. Position 8 under the current regulation may be either an alphabetic or numeric character for any type of vehicle. Nothing will change for these vehicles under this final rule. In this final rule, only position 7 will be limited to an alphabetic character for passenger cars, multipurpose passenger vehicles and trucks with a gross vehicle weight rating of 4536 kg (10,000 lb) or less. All other positions in the second section of the VIN will be allowed to have either alphabetic or numeric characters no matter what type of vehicle is involved and position 7 may be alphabetic or numeric for larger trucks, buses, trailers, and motorcycles. Trailer “Make” NATM's second concern was over NHTSA's intention to move vehicle “make” from being a characteristic that needs to be communicated in the manufacturer identifier to a characteristic that needs to be communicated in the second section of the VIN. “Unlike automobiles, multipurpose passenger vehicles, and light-duty trucks, light-duty and medium-duty trailers generally do not have separately assigned or designated ‘makes,’ much less undergo frequent changes in ‘makes,’ ” NATM said. The NATM further stated that under the current regulation, the company name in the manufacturer identifier is, in essence, the make of the trailer. In addition to commenting that “make” is not a concept used in the trailer industry, NATM expressed concern that requiring “make” in the second section of the VIN would require trailer manufacturers to give up what it characterized as an “undesignated” position in the second section of the VIN to communicate the “make.” That position, NATM said, is currently generally used in the trailer industry to indicate the GVWR of trailers, which is not an information item that Part 565 requires for trailers in the second section of the VIN. *Agency Analysis and Response:* The agency's experience with VINs for trailers generally reflects the NATM comments. That is, for most trailer manufacturers, the manufacturer's name has been the equivalent of the “make” of the trailer, although there are surely instances in which information that is arguably a “make” has been communicated. In most cases, only the manufacturer's name has been communicated in the manufacturer identifier of trailer manufacturers under the current Part 565. There has been a tacit recognition of what NATM observed, that the manufacturer's name is the equivalent of the “make.” The manufacturer's name has simultaneously fulfilled the requirement that the manufacturer identifier communicate the manufacturer and the “make.” The agency has decided not to make an exception for trailers and to include “make” in the information that must be communicated in, and decipherable from, the second section of the VIN for trailers. It seems clear from the NATM comments that generating VINs for trailers is relatively straightforward in comparison to doing so for other types of vehicles subject to Part 565. By referring to one of the positions in the second section of the VIN as an “undesignated” position, NATM suggests that trailer manufacturers use each of the positions in the second section of the VIN to represent one of the four information items currently listed in Part 565 as having to be communicated in, and decipherable from, the second section of the VIN. This approach leaves one position of the VIN's second section unused or “undesignated” as the NATM's comments state. According to NATM, this unused position is widely used in the trailer manufacturing industry to designate GVWR. The NATM comments suggest that trailer manufacturers fear that if they are required to communicate a vehicle's make in the second section of the VIN, even though the manufacturer name is the make for most trailer manufacturers, they will have to use the position now widely used for GVWR to indicate the manufacturer's name for a second time (the manufacturer's name will continue to be required in the manufacturer identifier). The agency notes that one option available to trailer manufacturers whose manufacturer name is the same as the make is to continue to use a character in the position that is now, by practice, used for GVWR. In the information for deciphering the VIN submitted to NHTSA under § 565.7(c) trailer manufacturers can simply indicate that if any character appears in that position, then the make name is the same as the manufacturer name. It should be noted that if a trailer manufacturer produces 33 or fewer variations of trailers ( *i.e.* combinations of make, type of trailer, body type, length and axle configuration—the information items required for trailers in the second section of the VIN as revised), this information could be communicated by a single character in one position of the second section of the VIN. What that single character refers to would simply have to be indicated in the information provided to NHTSA by the manufacturer under § 565.7(c). In fact, a trailer manufacturer could communicate up to 132 different variations in the trailers it manufactures and use only four of the five positions in the VIN's second section by taking full advantage of the 33 characters available for each of those positions and submitting to NHTSA a full and complete description of what a given character means if it appears in a given position. A “B” in the first position of the second section, for example, could stand for the make, type of trailer, body type, length and axle configuration of one variation of trailer made by a given manufacturer while a “C” could stand for that same information relating to a different trailer. The NATM comments made the agency aware of the fact that there is no current need to include low speed vehicles
(LSVs)in the vehicles that must use an alphabetic character in position number 7 of the VIN as required by today's final rule. These vehicles will now be treated the same as larger trucks, buses, trailers, and motorcycles. 7. Modification in Gross Vehicle Weight Rating Classes *Comment:* NESCAUM asked for a cha nge in “Table II—Gross Vehicle Weight Rating Classes” of 49 CFR Part 565.6(b) by adding a break point at 8,500 pounds in one of the classes listed to distinguish whether or not a truck is light or heavy duty. *Agency Analysis and Response:* The classification system in Table II of Part 565 has been in existence for nearly 30 years and a great deal of data has accumulated in various places based on this system. The agency's experience with this classification system suggests that the change advocated by NESCAUM could have a significant effect on the various data systems that are built on this system. Any change to this system would require a complete and thorough analysis of the possible impact of that change on these data systems. This was not an issue addressed in the petition that initiated this rulemaking or in the NPRM. The agency is not acting on this recommendation at this time, not because the recommendation is deemed to lack merit, but instead because of the need to publish this final rule promptly. This issue will be part of the comprehensive review of the VIN information requirements discussed in “2. Suggested Changes to the Information to be Communicated by the VIN.” 8. Supply of Manufacturer Identifiers In the NPRM, NHTSA specifically asked for comments “on the likelihood and implications of manufacturers releasing previously-issued identifiers that are no longer in use.” *Comments:* On this issue the Alliance expressed the understanding that, “this proposal would require no change to currently assigned and used WMIs, and would only affect WMIs assigned in the future. Manufacturers will be able to continue to use the WMIs they are currently using in production or that have been assigned to them.” The Alliance also observed that “a general review of assigned and reserved WMI's that the Society of Automotive Engineers
(SAE)has requested the International Organization for Standardization
(ISO)to undertake should ensure adequate availability for future needs.” GM said, it “does not anticipate manufacturers releasing previously assigned WMIs; however, the proposed modification will reduce the need for additional WMIs allocation to manufacturers.” Ford said it anticipates many manufacturer identifiers that are “assigned to countries with little or no current vehicle manufacturing will be reassigned to other countries, thus resolving the potential shortage” of manufacturer identifiers. Ford further indicated that “many organizations, including law enforcement, rely on consistency” in manufacturer identifiers to identify vehicle manufacturers. Ford said it does not plan to relinquish manufacturer identifiers that are assigned to that company “at this time.” Ferrari stated, “Regarding the possibility to distribute old manufacturer identifiers no longer in use, we believe that they should be retained by the same manufacturer to avoid possible confusion in case they are given to other manufacturers.” *Agency Analysis and Response:* The agency does not see a need to take any action at this time beyond adopting the changes discussed in this final rule. As previously noted, vehicle make has been moved from the manufacturer identifier to the second section of the VIN. This should substantially reduce the need to issue new large manufacturer WMIs, thus extending the remaining supply of 400-450 of these manufacturer identifiers. In addition, the agency, through its contract with SAE for the issuance of manufacturer identifiers, has begun the process of identifying companies with large manufacturer identifiers that are no longer in business so that those identifiers may be returned to the system. The agency is also identifying companies that were issued large manufacturer identifiers that, through publicly available data, the agency knows do not produce more than 500 vehicles a year, the current threshold for being considered a large manufacturer, or 1,000 vehicles a year, the threshold in this final rule, under Part 565. The agency anticipates that a number of large manufacturer identifiers will be returned to the system as a result of this process as well. 9. Posident Typeface *Comments:* While NHTSA did not propose any specific action relating to the “positive identification style”/“posident” typeface, the subject was addressed in the NPRM and two commenters specifically commented on it. Citing the interpretation noted in the NPRM, which specifically states that the “positive identification style”/“posident” typeface is permitted under Part 565, GM indicated that it plans to continue its use of the typeface in its VIN marking. Harley-Davidson suggested that language in the NPRM regarding the “positive identification style”/“posident” typeface “could be interpreted to mean that NHTSA was not inclined to encourage use of the posident font.” Additionally, Harley-Davidson said the terms “positive identification style font” and “posident” refer to the same thing and noted that it uses the typeface on some frame stampings, although not in its VIN markings. *Agency Analysis and Response:* In 1978, NHTSA issued an interpretation stating that there is no bar to using the “posident” typeface in a VIN under Part 565. That interpretation may be found at *http://isearch.nhtsa.gov/gm/78/nht78-2.2.html* . The agency is neither encouraging nor discouraging the use of this typeface. The agency has not changed its position with regards to this interpretation. The “posident” typeface is therefore still permitted under the amendments to 49 CFR Part 565 issued today. 10. Location Change for Vehicle Make: Possible Impact on State Regulatory Programs *Comment:* NYDEC said it is unclear if vehicle make would become more difficult to obtain if the agency's proposal is finalized as written. It added, “Vehicle make must be readily available to State regulatory programs from the VIN.” *Agency Analysis and Response:* The American Association of Motor Vehicle Administrators (AAMVA) was a member of the SAE committee that petitioned NHTSA to commence this rulemaking. If moving the vehicle make from the first to the second section of the VIN has an impact on State regulatory programs, the AAMVA would presumably have discussed that matter with the committee. The agency does not believe that moving vehicle make from the first to the second section of the VIN will have any impact on the availability of this information to state programs. The agency is therefore taking no action today in response to this comment. 11. Alternative Characters *Comment:* Harold R. Brink, a private individual, submitted comments recommending that symbols, such as “!@‸%&,” be used in the VIN to expand the number of unique VINs available. *Agency Response* We do not believe that it is necessary to adopt the use of symbols at this time. The changes proposed in the petition and those adopted in this final rule provide a sufficient number of unique VINs to assure the continued existence of the current VIN system, with the use of only numeric and alphabetic characters, for at least 30 additional years. 12. Direction VIN Plate Should Face *Comment:* NYDMV asked that Part 565.4(f) be amended to require that the characters of the VIN plate face the front of the vehicle because it has encountered grey market vehicles with the VIN facing the driver, which, in some cases, makes the VIN difficult to read. *Agency Analysis and Response:* Section 565.4(f) specifies the approximate location of the VIN, the minimum size for the type, and the requirement that the VIN must be “readable.” The section does not prescribe the direction in which the VIN plate must face. The agency is not aware of driver facing VIN plates creating unworkable difficulties in any broad category of other situations. NYDMV acknowledged in its comments that even in cases of grey market vehicles with driver facing VIN plates it has encountered, the VIN remains readable, although with some difficulty. As such, the agency is not specifying the direction in which the VIN plate must face in this rule. 13. Companies That Vacillate Between High-Volume and Low-Volume Production *Comment: * Prevost described a situation that it indicated may be unique to bus/motor coach manufacturers. Because there are so few manufacturers in this category and the market is relatively small, a manufacturer, at least under the current Part 565 with its 500 vehicle dividing line between small and large manufacturers, may one year be a small manufacturer and the next a large manufacturer. As a small manufacturer under current Part 565, it is required to use a six character manufacturer identifier. As a large manufacturer, it is required to use a three character manufacturer identifier. Prevost recently became a large manufacturer under the current Part 565 and is concerned that it might have to return to using a small manufacturer identifier and change its whole VIN structure. It urged that the dividing line between low-volume manufacturers and high-volume manufacturers be set at a threshold lower than the current 500 vehicles for manufacturers of vehicles greater than 4536kg GVWR. *Agency Analysis and Response:* Prevost is principally concerned that it have one consistent approach to VINs and not have to switch between low-volume manufacturer VINs and high-volume manufacturer VINs. The agency believes that raising the threshold between low-volume manufacturer and high-volume manufacturer to 1,000 vehicles will address the situation described by Prevost, at least for some bus/motor coach manufacturers. However, the agency believes that if we lower the threshold between low-volume manufacturers and high-volume manufacturers, such an action would jeopardize the limited supply of manufacturer identifiers for high-volume manufacturers, which was one of the driving concerns for the petition that initiated this rulemaking and for the agency's proceeding with this rulemaking. If, after the implementation of this final rule, there continue to be manufacturers that vacillate between low-volume and high-volume status, the best place to address this will be in the administration of the VIN system. In this way, NHTSA can better monitor the supply of large manufacturer identifiers and be sure that they are issued only in situations where it is appropriate to do so. 14. Effective Date of the Rule *Comments: * There were numerous comments concerning the effective date of the final rule, particularly the need for the final rule to be implemented quickly with a clear indication that it applies to all model year 2010 vehicles. One commenter said the revised Part 565 should apply to model year 2010 vehicles regardless of when they are manufactured. The Alliance, AIAM, and Ferrari said the rule should begin with 2010 model year. The Alliance noted, “Some manufacturers are already approaching the deadline to implement changes to VIN structure for model year 2010.” It suggested that there be a period, applicable to the 2009 model year, during which a manufacturer would be allowed to comply with either the old or new system. TMA also urged quick adoption. NICB provided detailed comments that focused entirely on the issue of effective date. It said the changes to the VIN system are needed “urgently” and that a failure to implement the new structure within the next year would lead to “serious consequences.” NICB said NHTSA's VIN regulation “will soon allow more than one vehicle to have the same Vehicle Identification Number (VIN). If the agency allows the VIN to become anything other than a truly unique identifier, it will cripple enforcement of the Anti-Car Theft Act, the Motor Vehicle Safety Act, the Imported Vehicle Safety Compliance Act and a host of other Congressional mandates to protect Americans from car theft, salvage fraud and death or injury on the nation's highways. It would also jeopardize counter-terrorism efforts, especially the investigation of car bombings.” NICB urged the immediate adoption of a final rule with an effective date of November 1, 2008. NICB said, “NHTSA's proposed effective date for MY 2010 cars—September 1, 2009—is far too late because VINs for any new model year get assigned months before new cars arrive in dealers' showrooms. NICB's Shipping and Assembly File, which includes nearly all motor vehicles produced for sale in the United States, typically receives from manufacturers some pre-production VIN assignments before the end of the calendar year that is two years before the model year. In other words, NICB will begin to receive assignments for MY 2010 cars in November 2008. In any case, manufacturers assign VINs toward the beginning of the production process, not on their date of sale, so NICB will receive large numbers of MY 2010 VINs by April, 2009, in anticipation of consumer sales in September, 2009.” Failure to have a new regulation in effect by November 2008 “will cause unneeded confusion, expense, time to obtain and add decoding for two MY 2010 formats and possible computer conflicts with VIN decoding for MY 2010 vehicles,” NICB said. Ford cautioned that delay of publication of the final rule will cause the company to incur costs and/or cause delays in the manufacturing of vehicles assigned VINs under the current Part 565. The company noted that under a U.S. Environmental Protection Agency regulation, 40 CFR 86.082-2, 2010 model year vehicles may be introduced as early as January 1, 2009 and production may begin even earlier. Ford also noted that adequate lead time is needed so that Transport Canada can modify CMVSS 115, which specifies the current Part 565 VIN structure and content. *Agency Analysis and Response:* The effective date of this final rule is two-fold. It becomes mandatory in one year. That is, all vehicles manufactured on or after the date one year from today must have VINs that meet the requirements of this final rule. However, it also applies to vehicles manufactured 180 days after the date of publication of this rule that have the letter code “A” or “B” in the 10th position of the VIN. Its application to any particular vehicle based on a manufacturer using the letter “A” or “B” in the 10th position of the VIN under Part 565 allows for implementation of the new VIN requirements earlier than 1 year. The effective date will be different for different manufacturers and different vehicles manufactured by the same manufacturer because of the different times those vehicles are manufactured within the same model year. In 1 year VINs will have to conform to the new VIN requirements of this final rule. Before the 1 year date, a VIN will have to conform to the new requirements if there is a letter “A” or “B” in the 10th position. Under the current Part 565, a chart indicates the numbers and letters that are required in the 10th position for particular model year vehicles. The 2010 model year is the first time a character in this chart, in this case an “A”, would be repeated in the 10th position, which under the current Part 565 allows for both the possibility of duplicate VINs and a situation in which a VIN user would not be able to tell whether a vehicle was manufactured as a 2010 model year vehicle or a model year 30 years earlier when “A” was last used in the 10th position. Under the amended Part 565, however, an “A” or a “B” in the 10th position must be newly accompanied by an alphabetic character in the 7th position, which ensures that the VIN will not be duplicative of a VIN issued for model year vehicle 30 years ago. The agency has therefore adopted the use of “A” or “B” in the 10th position as the trigger by which a manufacturer must apply the new requirements of today's rule. These new requirements will both avoid duplicate VINs and enable a VIN user to distinguish the 30 year period in which a vehicle was manufactured. NHTSA very much appreciates the concerns expressed over the need for the timely publication of this final rule. We believe the effective date of the rule gives regulated parties ample time to make the changes necessary to comply with the revised requirements of Part 565. The current VIN requirements need to be retained for an interim period during the changeover to the new VIN requirements, for the benefit of any manufacturer that might be using the current Part 565 VIN regulation. The agency is moving the current VIN requirements to a subpart in part 565, and applying that regulation to vehicles manufactured between today and a date 1 year from today's date that do not have an “A” or “B” in the 10th position of the VIN. B. Summary of Amendments Adopted in This Final Rule • The current 30 year period during which the VINs of any two vehicles subject to Part 565 may not be identical has been extended to 60 years. • A vehicle's “make” must now be communicated in, and decipherable from, the second section of the VIN (positions 4-8), rather than being included in the manufacturer identifier. • For passenger cars and multipurpose passenger vehicles and trucks with a gross vehicle weight rating of 4536 kg. (10,000 lbs) or less, positions 4, 5, and 6 may now be either alphabetic or numeric. • For passenger cars and multipurpose passenger vehicles and trucks with a gross vehicle weight rating of 4536 kg (10,000 lbs.) or less, VIN position 7 must now be alphabetic. Numeric or alphabetic characters continue to be permitted in position 7 for all other vehicles. • The “Year Codes for VIN” table in Part 565 has been revised to include character designations for years up to, and including, 2039 to account for the expanded period of time during which the current VIN system will remain in existence under this final rule. • Vehicle attributes to be communicated in, and decipherable from VINs of LSVs are included in Part 565, which now clearly covers LSVs. • Restraint information is added to multipurpose passenger vehicle VINs. • The VINs of LSVs must be in the same location as VINs for passenger cars, multipurpose passenger vehicles and trucks with a gross vehicle weight rating of 4536 kg (10,000 lb) or less. • The vehicles to which Part 565.5—Motor vehicles imported into the United States applies have been expanded from “passenger cars” to “passenger cars, multipurpose passenger vehicles, low speed vehicles and trucks of 4536 kg or less GVWR.” • Language has been added to Part 565 to indicate that the number “9” in the third VIN position means that the vehicle is produced in sufficiently small quantities that a low-volume manufacturer identifier applies and that positions 12-14 are therefore part of the manufacturer identifier. • A table and an explanatory note have been added to Part 565 that specifically indicates the digit that should appear in the ninth position of the VIN. • New definitions have been added for “low-volume manufacturer,” “high-volume manufacturer,” and “manufacturer identifier.” • The dividing line between high-volume and low-volume manufacturers, which determines whether a three character or six character manufacturer identifier is required, has been set at 1,000 vehicles, with those manufacturers manufacturing 1,000 or more vehicles considered to be high-volume manufacturers. • The contact details for the SAE in Part 565 have been revised. IV. Rulemaking Analyses and Notice Executive Order 12866 and DOT Regulatory Policies and Procedures This rulemaking document was not reviewed by the Office of Management and Budget under E.O. 12866. It is not considered to be significant under E.O. 12866 or the Department's Regulatory Policies and Procedures (44 FR 11034; February 26, 1979). This document changes the VIN requirements that for the most part provide manufacturers greater flexibility in meeting VIN requirements: • The rule helps to sustain the supply of unique available manufacturer identifiers for large manufacturers, because they will no longer need to request additional manufacturer identifiers for new vehicle makes that they produce. • The rule permits the use of either alphabetic or numeric characters in many positions of the VIN. • The rule permits low-volume manufacturers to manufacture 999 vehicles (increased from 499) before a new high-volume manufacturer identifier is required. • The rule reduces or eliminates the waiting period before the time a manufacturer identifier or VIN can be used. • The rule adds low-speed vehicles to the list of vehicles to which Part 565 applies, and adds attributes of LSVs that should be identified by an LSV's VIN. Vehicle manufacturers, including those of low-speed vehicles, are already required to label their vehicles with a VIN and report to NHTSA information relating to deciphering the characters in the VIN. This rule does not substantially change those requirements. The minimal impacts of today's amendments do not warrant preparation of a regulatory evaluation. NHTSA cannot quantify direct safety impacts of this rule. However, NHTSA believes that this rule will have a beneficial effect on safety in that it ensures the continued integrity of the VIN system (ensuring that vehicles will continue to be uniquely identified). There may be some cost impacts in changing data systems to account for features of the VIN that are different than those of current VINs (e.g., the use of alphabetic and numeric characters in certain VIN positions). However, NHTSA does not believe that the costs will be significant. In fact, manufacturers of most vehicles less than 10,000 lb GVWR will need to do nothing more initially than change their systems so that an alphabetic character appears in position 7 of the VIN to comply with today's rule. For all other VIN positions, these manufacturers may continue to use current systems to generate VIN characters using the old character limitations. Because of the change from a numeric character to an alphabetic character in position 7, unique VINs will be assured. These manufacturers will be able to adjust their systems as needed over time to be able to generate VIN characters under the expanded options for characters contained in the final rule. This ability to adapt slowly to the final rule will further ameliorate the cost impact of the final rule. The members of the committee representing operators of data systems that utilize the 17-character VIN system indicated that there would be some costs involved in making software and other modifications to data systems, but that those costs would be extremely small compared to what would be required to deal with an expanded number of VIN characters. The petition noted that “any increase in the quantity of characters beyond the current seventeen would require massive software changes to all programs that use a motor vehicle VIN, and would affect not only automotive OEM's, but also state DMV's, local governments, insurance companies, law enforcement agencies, research companies, NHTSA's National Center for Statistics and Analysis, as well as others.” Regulatory Flexibility Act Pursuant to the Regulatory Flexibility Act (5 U.S.C. 601 *et seq.,* as amended by the Small Business Regulatory Enforcement Fairness Act (SBREFA) of 1996), whenever an agency is required to publish a notice of proposed rulemaking or final rule, it must prepare and make available for public comment a regulatory flexibility analysis that describes the effect of the rule on small entities ( *i.e.,* small businesses, small organizations, and small governmental jurisdictions). The Small Business Administration's regulations at 13 CFR part 121 define a small business, in part, as a business entity “which operates primarily within the United States.” (13 CFR 121.105(a)). No regulatory flexibility analysis is required if the head of an agency certifies the rule will not have a significant economic impact on a substantial number of small entities. SBREFA amended the Regulatory Flexibility Act to require Federal agencies to provide a statement of the factual basis for certifying that a rule will not have a significant economic impact on a substantial number of small entities. NHTSA has considered the effects of this rule under the Regulatory Flexibility Act. I certify that this rule will not have a significant economic impact on a substantial number of small entities. Any small vehicle manufacturers that stand to be affected by this rule are already required to provide a VIN and provide information to NHTSA that enables the VIN to be deciphered. Manufacturers of low-speed vehicles will have to make sure that the VIN reflects the LSV features newly added to Table 1 of Part 565, but the burden associated with that responsibility should be negligible and will not result in a significant economic impact. Executive Order 13132 (Federalism) NHTSA has examined this rule pursuant to Executive Order 13132 (64 FR 43255, August 10, 1999) and concluded that no additional consultation with States, local governments or their representatives is mandated beyond the rulemaking process. The agency has concluded that the rule does not have federalism implications because the rule does not have “substantial direct effects on the States, on the relationship between the national government and the States, or on the distribution of power and responsibilities among the various levels of government.” We note that the American Association of Motor Vehicle Administrators (AAMVA) was a member of the SAE committee that submitted the petition prompting this rulemaking. Further, no consultation is needed to discuss the preemptive effect of today's rule. NHTSA rules can have preemptive effect in at least two ways. First, the National Traffic and Motor Vehicle Safety Act contains an express preemption provision: “When a motor vehicle safety standard is in effect under this chapter, a State or a political subdivision of a State may prescribe or continue in effect a standard applicable to the same aspect of performance of a motor vehicle or motor vehicle equipment only if the standard is identical to the standard prescribed under this chapter.” 49 U.S.C. 30103(b)(1). In addition to the express preemption noted above, the Supreme Court has also recognized that State requirements imposed on motor vehicle manufacturers, including sanctions imposed by State tort law, can stand as an obstacle to the accomplishment and execution of a NHTSA safety standard. When such a conflict is discerned, the Supremacy Clause of the Constitution makes the State requirements unenforceable. See *Geier* v. *American Honda Motor Co.* , 529 U.S. 861 (2000). NHTSA has not outlined such potential State requirements in today's rulemaking, however, in part because such conflicts can arise in varied contexts, but it is conceivable that such a conflict may become clear through subsequent experience with today's rule. NHTSA may opine on such conflicts in the future, if warranted. See id. at 883-86. National Technology Transfer and Advancement Act Under the National Technology Transfer and Advancement Act of 1995 (NTTAA) (Pub. L. 104-113), “all Federal agencies and departments shall use technical standards that are developed or adopted by voluntary consensus standards bodies, using such technical standards as a means to carry out policy objectives or activities determined by the agencies and departments.” Voluntary consensus standards are technical standards ( *e.g.,* materials specifications, test methods, sampling procedures, and business practices) that are developed or adopted by voluntary consensus standards bodies, such as SAE. The NTTAA directs us to provide Congress, through OMB, explanations when we decide not to use available and applicable voluntary consensus standards. This rule will make Part 565's requirements for manufacturer identifiers and for identifying attributes of the specific vehicle type more consistent with SAE and ISO standards for vehicle identification. The rule will permit the use of alphabetic and numeric characters in certain VIN positions, which is likely to substantially increase harmonization of Part 565 with the ISO identification standard. Unfunded Mandates Reform Act The Unfunded Mandates Reform Act of 1995 (Pub. L. 104-4) requires agencies to prepare a written assessment of the costs, benefits, and other effects of proposed or final rules that include a Federal mandate likely to result in the expenditures by State, local or tribal governments, in the aggregate, or by the private sector, of more than $100 million annually (adjusted annually for inflation with base year of 1995). Adjusting this amount by the implicit gross domestic product price deflator for the year 2007 results in $130 million annually (119.682 / 92.106 = 1.30). This final rule will not result in expenditures by State, local or tribal governments, in the aggregate, or by the private sector in excess of $130 million annually. National Environmental Policy Act NHTSA has analyzed this rulemaking action for the purposes of the National Environmental Policy Act. The agency has determined that implementation of this action will not have any significant impact on the quality of the human environment. Executive Order 12988 (Civil Justice Reform) When promulgating a regulation, *Executive Order 12988* specifically requires that the agency must make every reasonable effort to ensure that the regulation, as appropriate:
(1)Specifies in clear language the preemptive effect;
(2)specifies in clear language the effect on existing Federal law or regulation, including all provisions repealed, circumscribed, displaced, impaired, or modified;
(3)provides a clear legal standard for affected conduct rather than a general standard, while promoting simplification and burden reduction;
(4)specifies in clear language the retroactive effect;
(5)specifies whether administrative proceedings are to be required before parties may file suit in court;
(6)explicitly or implicitly defines key terms; and
(7)addresses other important issues affecting clarity and general draftsmanship of regulations. NHTSA has reviewed this rule according to the general requirements and the specific requirements for regulations set forth in *Executive Order 12988* . This rule does not result in any preemptive effect and does not have a retroactive effect. A petition for reconsideration or other administrative proceeding is not required before parties may file suit in court. Paperwork Reduction Act Under the Paperwork Reduction Act of 1995 (PRA), a person is not required to respond to a collection of information by a Federal agency unless the collection displays a valid OMB control number. The Consolidated VIN Requirements have an OMB control number of 2127-0510. Although the agency may require information to be provided in a slightly different way as a result of this final rule ( *e.g.,* vehicle make being transferred from the first to the second section of the VIN), the scope of the overall reporting requirements of Part 565 will not change. We emphasize that there will be no increase or decrease in the collection of information because of this rulemaking. Plain Language Executive Order 12866 and the President's memorandum of June 1, 1998, require each agency to write all rules in plain language. Application of the principles of plain language includes consideration of the following questions: • Have we organized the material to suit the public's needs? • Are the requirements in the rule clearly stated? • Does the rule contain technical language or jargon that isn't clear? • Would a different format (grouping and order of sections, use of headings, paragraphing) make the rule easier to understand? • Would more (but shorter) sections be better? • Could we improve clarity by adding tables, lists, or diagrams? • What else could we do to make the rule easier to understand? If you have any responses to these questions, please send them to the address provided at the beginning of this document. Regulation Identifier Number
(RIN)The Department of Transportation assigns a regulation identifier number
(RIN)to each regulatory action listed in the Unified Agenda of Federal Regulations. The Regulatory Information Service Center publishes the Unified Agenda in April and October of each year. You may use the RIN contained in the heading at the beginning of this document to find this action in the Unified Agenda. Privacy Act Please note that anyone is able to search the electronic form of all comments received into any of our dockets by the name of the individual submitting the comment (or signing the comment, if submitted on behalf of an association, business, labor union, etc.). You may review DOT's complete Privacy Act Statement in the **Federal Register** published on April 11, 2000 (Volume 65, Number 70; Pages 19477-78). List of Subjects in 49 CFR Part 565 Motor vehicle safety, Reporting and recordkeeping requirements; incorporation by reference. In consideration of the foregoing, NHTSA revises 49 CFR part 565 to read as follows: PART 565—VEHICLE IDENTIFICATION NUMBER
(VIN)REQUIREMENTS Subpart A—General Applicability of Subparts Sec. 565.1 Purpose and scope. 565.2 Application. Subpart B—VIN Requirements Sec. 565.10 Purpose and scope. 565.11 Applicability. 565.12 Definitions. 565.13 General requirements. 565.14 Motor vehicles imported into the United States. 565.15 Content requirements. 565.16 Reporting requirements. Subpart C—Alternative VIN Requirements In Effect for Limited Period 565.20 Purpose and scope. 565.21 Applicability. 565.22 Definitions. 565.23 General requirements. 565.24 Motor vehicles imported into the United States. 565.25 Content requirements. 565.26 Reporting requirements. Authority: 49 U.S.C. 322, 30111, 30115, 30117, 30141, 30146, 30166, and 30168; delegation of authority at 49 CFR 1.50. Subpart A—General Applicability of Subparts § 565.1 Purpose and scope. This part specifies the format, content and physical requirements for a vehicle identification number
(VIN)system and its installation to simplify vehicle identification information retrieval and to increase the accuracy and efficiency of vehicle recall campaigns. § 565.2 Application.
(a)Subpart B of this part 565 applies to passenger cars, multipurpose passenger vehicles, trucks, buses, trailers (including trailer kits), incomplete vehicles, low speed vehicles, and motorcycles manufactured on or after October 27, 2008 whose VINs have a letter “A” or “B” in the 10th position, and to passenger cars, multipurpose passenger vehicles, trucks, buses, trailers (including trailer kits), incomplete vehicles, low speed vehicles, and motorcycles manufactured on or after April 30, 2009. Vehicles imported into the United States under 49 CFR 591.14(f), other than by the corporation responsible for the assembly of that vehicle or a subsidiary of such a corporation, are excluded from requirements of § 565.13(b), § 565.13(c), § 565.13(g), § 565.13(h), § 565.14 and § 565.15.
(b)Subpart C of this part 565 sets forth alternative VIN requirements for certain vehicles manufactured on or after April 30, 2008 and before April 30, 2009. For those vehicles, a manufacturer may, at its option, comply with the requirements of Subpart C instead of the requirements of Subpart B of this part, provided that the vehicle identification number
(VIN)does not have a letter “A” or “B” in the 10th position of the VIN. Subpart B—VIN Requirements § 565.10 Purpose and scope. This part specifies the format, content and physical requirements for a vehicle identification number
(VIN)system and its installation to simplify vehicle identification information retrieval and to increase the accuracy and efficiency of vehicle recall campaigns. § 565.11 Applicability. See Subpart A of this part 572 regarding the general applicability of this subpart. This part applies to passenger cars, multipurpose passenger vehicles, trucks, buses, trailers (including trailer kits), incomplete vehicles, low speed vehicles, and motorcycles manufactured on or after October 27, 2008 whose VINs have a letter “A” or “B” in the 10th position, and to passenger cars, multipurpose passenger vehicles, trucks, buses, trailers (including trailer kits), incomplete vehicles, low speed vehicles, and motorcycles manufactured on or after April 30 2009. Vehicles imported into the United States under 49 CFR 591.14(f), other than by the corporation responsible for the assembly of that vehicle or a subsidiary of such a corporation, are excluded from requirements of § 565.13(b), § 565.13(c), § 565.13(g), § 565.13(h), § 565.14 and § 565.15. § 565.12 Definitions.
(a)*Federal Motor Vehicle Safety Standards Definitions.* Unless otherwise indicated, all terms used in this part that are defined in 49 CFR 571.3 are used as defined in 49 CFR 571.3.
(b)*Body type* means the general configuration or shape of a vehicle distinguished by such characteristics as the number of doors or windows, cargo-carrying features and the roofline (e.g., sedan, fastback, hatchback).
(c)*Check digit* means a single number or the letter X used to verify the accuracy of the transcription of the vehicle identification number.
(d)*Engine type* means a power source with defined characteristics such as fuel utilized, number of cylinders, displacement, and net brake horsepower. The specific manufacturer and make shall be represented if the engine powers a passenger car or a multipurpose passenger vehicle, or truck with a gross vehicle weight rating of 4536 kg (10,000 lb) or less.
(e)*High-volume manufacturer* , for purposes of this part, means a manufacturer of 1,000 or more vehicles of a given type each year.
(f)*Incomplete vehicle* means an assemblage consisting, as a minimum, of frame and chassis structure, power train, steering system, suspension system and braking system, to the extent that those systems are to be part of the completed vehicle, that requires further manufacturing operations, other than the addition of readily attachable components, such as mirrors or tire and rim assemblies, or minor finishing operations such as painting, to become a completed vehicle.
(g)*Line* means a name that a manufacturer applies to a family of vehicles within a make which have a degree of commonality in construction, such as body, chassis or cab type.
(h)*Low-volume manufacturer* , for purposes of this part, means a manufacturer of fewer than 1,000 vehicles of a given type each year.
(i)*Make* means a name that a manufacturer applies to a group of vehicles or engines.
(j)*Manufacturer* means a person—
(1)Manufacturing or assembling motor vehicles or motor vehicle equipment; or
(2)Importing motor vehicles or motor vehicle equipment for resale.
(k)*Manufacturer identifier* means the first three digits of a VIN of a vehicle manufactured by a high-volume manufacturer, and the first three digits of a VIN and the twelfth through fourteenth digits of a VIN of a vehicle manufactured by a low-volume manufacturer.
(l)*Model* means a name that a manufacturer applies to a family of vehicles of the same type, make, line, series and body type.
(m)*Model year* means the year used to designate a discrete vehicle model, irrespective of the calendar year in which the vehicle was actually produced, provided that the production period does not exceed 24 months.
(n)*Plant of manufacture* means the plant where the manufacturer affixes the VIN.
(o)*Series* means a name that a manufacturer applies to a subdivision of a “line” denoting price, size or weight identification and that is used by the manufacturer for marketing purposes.
(p)*Trailer kit* means a trailer that is fabricated and delivered in complete but unassembled form and that is designed to be assembled without special machinery or tools.
(q)*Type* means a class of vehicle distinguished by common traits, including design and purpose. Passenger cars, multipurpose passenger vehicles, trucks, buses, trailers, incomplete vehicles, low speed vehicles, and motorcycles are separate types.
(r)*VIN* means a series of Arabic numbers and Roman letters that is assigned to a motor vehicle for identification purposes. § 565.13 General requirements.
(a)Each vehicle manufactured in one stage shall have a VIN that is assigned by the manufacturer. Each vehicle manufactured in more than one stage shall have a VIN assigned by the incomplete vehicle manufacturer. Vehicle alterers, as specified in 49 CFR 567.16, shall utilize the VIN assigned by the original manufacturer of the vehicle.
(b)Each VIN shall consist of seventeen
(17)characters.
(c)A check digit shall be part of each VIN. The check digit shall appear in position nine
(9)of the VIN, on the vehicle and on any transfer documents containing the VIN prepared by the manufacturer to be given to the first owner for purposes other than resale.
(d)The VINs of any two vehicles subject to the Federal motor vehicle safety standards and manufactured within a 60-year period beginning with the 1980 model year shall not be identical.
(e)The VIN of each vehicle shall appear clearly and indelibly upon either a part of the vehicle, other than the glazing, that is not designed to be removed except for repair or upon a separate plate or label that is permanently affixed to such a part.
(f)The VIN for passenger cars, multipurpose passenger vehicles, low speed vehicles, and trucks of 4536 kg or less GVWR shall be located inside the passenger compartment. It shall be readable, without moving any part of the vehicle, through the vehicle glazing under daylight lighting conditions by an observer having 20/20 vision (Snellen) whose eye-point is located outside the vehicle adjacent to the left windshield pillar. Each character in the VIN subject to this paragraph shall have a minimum height of 4 mm.
(g)Each character in each VIN shall be one of the letters in the set: [ABCDEFGHJKLMNPRSTUVWXYZ] or a numeral in the set: [0123456789] assigned according to the method given in § 565.14.
(h)All spaces provided for in the VIN must be occupied by a character specified in paragraph
(g)of this section.
(i)The type face utilized for each VIN shall consist of capital, sanserif characters. § 565.14 Motor vehicles imported into the United States.
(a)Importers shall utilize the VIN assigned by the original manufacturer of the motor vehicle.
(b)All passenger cars, multipurpose passenger vehicles, low speed vehicles and trucks of 4536 kg or less GVWR certified by a Registered Importer under 49 CFR part 592 whose VINs do not comply with Part 565.13 and 565.14 shall have a plate or label that contains the following statement, in characters that have a minimum height of 4 mm and the identification number assigned by the vehicle's original manufacturer inserted in the blank: SUBSTITUTE FOR U.S. VIN: _____ SEE 49 CFR PART 565. The plate or label shall conform to § 565.13
(h)and (i). The plate or label shall be permanently affixed inside the passenger compartment. The plate or label shall be readable, without moving any part of the vehicle, through the vehicle glazing under daylight conditions by an observer having 20/20 vision (Snellen) whose eye-point is located outside the vehicle adjacent to the left windshield pillar. It shall be located in such a manner as not to cover, obscure, or overlay any part of any identification number affixed by the original manufacturer. Motor vehicles conforming to Canada Motor Vehicle Safety Standard 115 are exempt from this paragraph. § 565.15 Content requirements.
(a)The first section shall consist of three characters that occupy positions one through three (1-3) in the VIN. This section shall uniquely identify the manufacturer and type of the motor vehicle if the manufacturer is a high-volume manufacturer. If the manufacturer is a low-volume manufacturer, positions one through three (1-3) along with positions twelve through fourteen (12-14) in the VIN shall uniquely identify the manufacturer and type of the motor vehicle. These characters are assigned in accordance with § 565.16(a). A “9” shall be placed in the third position of the VIN if the manufacturer identifier is six characters. A “9” in the third position always indicates the presence of a six-character manufacturer identifier. The National Highway Traffic Safety Administration offers access to manufacturer identifier assignments via its search engine at the following Internet Web site: *http://www.nhtsa.dot.gov/cars/rules/manufacture.*
(b)The second section shall consist of five characters, which occupy positions four through eight (4-8) in the VIN. This section shall uniquely identify the attributes of the vehicle as specified in Table I. For passenger cars, and for multipurpose passenger vehicles and trucks with a gross vehicle weight rating of 4536 kg (10,000 lb) or less, the fourth character (position 7) of this section shall be alphabetic. The characters utilized and their placement within the section may be determined by the manufacturer, but the specified attributes must be decipherable with information supplied by the manufacturer in accordance with § 565.16(c). In submitting the required information to NHTSA relating gross vehicle weight rating, the designations in Table II shall be used. The use of these designations within the VIN itself is not required. Tables I and II follow: Table I.—Type of Vehicle and Information Decipherable *Passenger car:* Make, line, series, body type, engine type, and all restraint devices and their location. *Multipurpose passenger vehicle:* Make, line, series, body type, engine type, gross vehicle weight rating, and for multipurpose passenger vehicles with a gross vehicle weight rating
(GVWR)of 4536kg (10,000 lb) or less all restraint devices and their location. *Truck:* Make, model or line, series, chassis, cab type, engine type, brake system, gross vehicle weight rating, and for trucks with a gross vehicle weight rating
(GVWR)of 4536 kg (10,000 lb) or less all restraint devices and their location. *Bus:* Make, model or line, series, body type, engine type, and brake system. *Trailer, including trailer kits and incomplete trailer:* Make, type of trailer, body type, length and axle configuration. *Motorcycle:* Make, type of motorcycle, line, engine type, and net brake horsepower. *Incomplete vehicle other than a trailer:* Make, model or line, series, cab type, engine type, and brake system. *Low speed vehicle:* Make, engine type, brake system, restraint system type, body type, and gross vehicle weight rating. *Note to Table I:* Engine net brake horsepower when encoded in the VIN shall differ by no more than 10 percent from the actual net brake horsepower; shall in the case of motorcycle with an actual net brake horsepower of 2 or less, be not more than 2; and shall be greater than 2 in the case of a motorcycle with an actual brake horsepower greater than 2. Table II.—Gross Vehicle Weight Rating Classes Class A—Not greater than 1360 kg. (3,000 lbs.) Class B—Greater than 1360 kg. to 1814 kg. (3,001-4,000 lbs.) Class C—Greater than 1814 kg. to 2268 kg. (4,001-5,000 lbs.) Class D—Greater than 2268 kg. to 2722 kg. (5,001-6,000 lbs.) Class E—Greater than 2722 kg. to 3175 kg. (6,001-7,000 lbs.) Class F—Greater than 3175 kg. to 3629 kg. (7,001-8,000 lbs.) Class G—Greater than 3629 kg. to 4082 kg. (8,001-9,000 lbs.) Class H—Greater than 4082 kg. to 4536 kg. (9,001-10,000 lbs.) Class 3—Greater than 4536 kg. to 6350 kg. (10,001-14,000 lbs.) Class 4—Greater than 6350 kg. to 7257 kg. (14,001-16,000 lbs.) Class 5—Greater than 7257 kg. to 8845 kg. (16,001-19,500 lbs.) Class 6—Greater than 8845 kg. to 11793 kg. (19,501-26,000 lbs.) Class 7—Greater than 11793 kg. to 14968 kg.(26,001-33,000 lbs.) Class 8—Greater than 14968 kg. (33,001 lbs. and over)
(c)The third section shall consist of one character, which occupies position nine
(9)in the VIN. This section shall be the check digit whose purpose is to provide a means for verifying the accuracy of any VIN transcription. After all other characters in VIN have been determined by the manufacturer, the check digit shall be calculated by carrying out the mathematical computation specified in paragraphs
(1)through
(4)of this section.
(1)Assign to each number in the VIN its actual mathematical value and assign to each letter the value specified for it in Table III, as follows: Table III.—Assigned Values A = 1 B = 2 C = 3 D = 4 E = 5 F = 6 G = 7 H = 8 J = 1 K = 2 L = 3 M = 4 N = 5 P = 7 R = 9 S = 2 T = 3 U = 4 V = 5 W = 6 X = 7 Y = 8 Z = 9
(2)Multiply the assigned value for each character in the VIN by the position weight factor specified in Table IV, as follows: Table IV.—VIN Position and Weight Factor 1st 8 2d 7 3d 6 4th 5 5th 4 6th 3 7th 2 8th 10 9th (check digit) 10th 9 11th 8 12th 7 13th 6 14th 5 15th 4 16th 3 17th 2
(3)Add the resulting products and divide the total by 11.
(4)The check digit is based on either the Fractional Remainder or the Decimal Equivalent Remainder as reflected in Table V. All Decimal Equivalent Remainders in Table V are rounded to the nearest thousandth. The check digit, zero through nine (0-9) or the letter “X” shall appear in VIN position nine (9). Table V.—Ninth Position Check Digit Values [Rounded to the nearest thousandth] Fractional Remainder 0 1/11 2/11 3/11 4/11 5/11 6/11 7/11 8/11 9/11 10/11 Decimal Equivalent Remainder 0 0.091 0.182 0.273 0.364 0.455 0.545 0.634 0.727 0.818 0.909 Check Digit 0 1 2 3 4 5 6 7 8 9 X
(5)A sample check digit calculation is shown in Table VI as follows: Table VI.—Calculation of a Check Digit Vin Position 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 Sample VIN 1 G 4 A H 5 9 H 5 G 1 1 8 3 4 1 Assigned Value 1 7 4 1 8 5 9 8 5 7 1 1 8 3 4 1 Weight Factor 8 7 6 5 4 3 2 10 0 9 8 7 6 5 4 3 2 Multiply Assigned value times weight factor 8 49 24 5 32 15 18 80 0 45 56 7 6 40 12 12 2 Add products: 8+49+24+5+32+15+18+80+0+45+56+7+6+40+12+12+2 = 411. Divide by 11: 411/11 = 37 4/11 or 37.3636. If the fourth digit is 5 or greater, round up. If the fourth digit is 4 or smaller, round down. In the example above, the remainder is 4/11 or 0.364 when rounded up. Looking up the remainder in Table V—Ninth Position Check Digit Values indicates that “4” is the check digit to be inserted in position nine
(9)of the VIN for this sample digit calculation.
(d)The fourth section shall consist of eight characters, which occupy positions ten through seventeen (10-17) of the VIN. The last five
(5)characters of this section shall be numeric for passenger cars and for multipurpose passenger vehicles and trucks with a gross vehicle weight rating of 4536 kg. (10,000 lbs.) or less, and the last four
(4)characters shall be numeric for all other vehicles.
(1)The first character of the fourth section shall represent the vehicle model year. The year shall be designated as indicated in Table VII as follows: Table VII.—Year Codes for VIN Year Code 2005 5 2006 6 2007 7 2008 8 2009 9 2010 A 2011 B 2012 C 2013 D 2014 E 2015 F 2016 G 2017 H 2018 J 2019 K 2020 L 2021 M 2022 N 2023 P 2024 R 2025 S 2026 T 2027 V 2028 W 2029 X 2030 Y 2031 1 2032 2 2033 3 2034 4 2035 5 2036 6 2037 7 2038 8 2039 9 Note to Table VII: For passenger cars, and for multipurpose passenger vehicles and trucks with a gross vehicle weight rating of 4536 kg (10,000 lb) or less, if position 7 is numeric, the Model Year in position 10 of the VIN refers to a year in the range 1980-2009. If position 7 is alphabetic, the Model Year in Position 10 of the VIN refers to a year in the range 2010-2039.
(2)The second character of the fourth section shall represent the plant of manufacture.
(3)The third through the eighth characters of the fourth section (positions 12 through 17) shall represent the number sequentially assigned by the manufacturer in the production process if the manufacturer is a high-volume manufacturer. If a manufacturer is a low-volume manufacturer, the third, fourth, and fifth characters of the fourth section (positions 12, 13, and 14), combined with the three characters of the first section (positions 1, 2, and 3), shall uniquely identify the manufacturer and type of the motor vehicle and the sixth, seventh, and eighth characters of the fourth section (positions 15, 16, and 17) shall represent the number sequentially assigned by the manufacturer in the production process. § 565.16 Reporting requirements. The information collection requirements contained in this part have been approved by the Office of Management and Budget under the provisions of the Paperwork Reduction Act (44 U.S.C. 3501 *et seq.* ) and have been assigned OMB Control Number 2127-0510.
(a)The National Highway Traffic Safety Administration (NHTSA) has contracted with the SAE International to coordinate the assignment of manufacturer identifiers to manufacturers in the United States. Manufacturer identifiers will be supplied by SAE at no charge. All requests for assignments of manufacturer identifiers should be forwarded directly to: SAE International, 400 Commonwealth Drive, Warrendale, Pennsylvania, 15096, Attention: WMI Coordinator (telephone: 724-776-4841). Any requests for identifiers submitted to NHTSA will be forwarded to SAE. Manufacturers may request a specific identifier or may request only assignment of an identifier(s). SAE will review requests for specific identifiers to determine that they do not conflict with an identifier already assigned or block of identifiers already reserved. SAE will confirm the assignments in writing to the requester. Once confirmed by SAE, the identifier need not be resubmitted to NHTSA.
(b)Manufacturers of vehicles subject to this part shall submit, either directly or through an agent, the unique identifier for each make and type of vehicle it manufactures at least 60 days before affixing the first VIN using the identifier. Manufacturers whose unique identifier appears in the fourth section of the VIN shall also submit the three characters of the first section that constitutes a part of their identifier.
(c)Manufacturers of vehicles subject to the requirements of this part shall submit to NHTSA the information necessary to decipher the characters contained in its VINs. Amendments to this information shall be submitted to the agency for VINs containing an amended coding. The agency will not routinely provide written approvals of these submissions, but will contact the manufacturer should any corrections to these submissions be necessary.
(d)The information required under paragraph
(c)of this section shall be submitted at least 60 days prior to offering for sale the first vehicle identified by a VIN containing that information, or if information concerning vehicle characteristics sufficient to specify the VIN code is unavailable to the manufacturer by that date, then within one week after that information first becomes available. The information shall be addressed to: Administrator, National Highway Traffic Safety Administration, 1200 New Jersey Avenue, SE, Washington, DC 20590, Attention: VIN Coordinator. Subpart C—Alternative VIN Requirements In Effect for Limited Period § 565.20 Purpose and scope. This part specifies the format, content and physical requirements for a vehicle identification number
(VIN)system and its installation to simplify vehicle identification information retrieval and to increase the accuracy and efficiency of vehicle recall campaigns. § 565.21 Applicability. See Subpart A of this part 572 regarding the applicability of this subpart. This part applies to passenger cars, multipurpose passenger vehicles, trucks, buses, trailers (including trailer kits), incomplete vehicles, and motorcycles. Vehicles imported into the United States under 49 CFR 591.24(f), other than by the corporation responsible for the assembly of that vehicle or a subsidiary of such a corporation, are excluded from requirements of § 565.23(b), § 565.23(c), § 565.23(g), § 565.23(h), § 565.24 and § 565.25. § 565.22 Definitions.
(a)*Federal Motor Vehicle Safety Standards Definitions.* Unless otherwise indicated, all terms used in this part that are defined in 49 CFR 571.3 are used as defined in 49 CFR 571.3.
(b)*Body type* means the general configuration or shape of a vehicle distinguished by such characteristics as the number of doors or windows, cargo-carrying features and the roofline ( *e.g.* , sedan, fastback, hatchback).
(c)*Check digit* means a single number or the letter X used to verify the accuracy of the transcription of the vehicle identification number.
(d)*Engine type* means a power source with defined characteristics such as fuel utilized, number of cylinders, displacement, and net brake horsepower. The specific manufacturer and make shall be represented if the engine powers a passenger car or a multipurpose passenger vehicle, or truck with a gross vehicle weight rating of 4536 kg. (10,000 lbs.) or less.
(e)*Incomplete vehicle* means an assemblage consisting, as a minimum, of frame and chassis structure, power train, steering system, suspension system and braking system, to the extent that those systems are to be part of the completed vehicle, that requires further manufacturing operations, other than the addition of readily attachable components, such as mirrors or tire and rim assemblies, or minor finishing operations such as painting, to become a completed vehicle.
(f)*Line* means a name that a manufacturer applies to a family of vehicles within a make which have a degree of commonality in construction, such as body, chassis or cab type.
(g)*Make* means a name that a manufacturer applies to a group of vehicles or engines.
(h)*Manufacturer* means a person—
(1)Manufacturing or assembling motor vehicles or motor vehicle equipment; or
(2)Importing motor vehicles or motor vehicle equipment for resale.
(i)*Model* means a name that a manufacturer applies to a family of vehicles of the same type, make, line, series and body type.
(j)*Model Year* means the year used to designate a discrete vehicle model, irrespective of the calendar year in which the vehicle was actually produced, provided that the production period does not exceed 24 months.
(k)*Plant of manufacture* means the plant where the manufacturer affixes the VIN.
(l)*Series* means a name that a manufacturer applies to a subdivision of a “line” denoting price, size or weight identification and that is used by the manufacturer for marketing purposes.
(m)*Trailer kit* means a trailer that is fabricated and delivered in complete but unassembled form and that is designed to be assembled without special machinery or tools.
(n)*Type* means a class of vehicle distinguished by common traits, including design and purpose. Passenger cars, multipurpose passenger vehicles, trucks, buses, trailers, incomplete vehicles and motorcycles are separate types.
(o)*VIN* means a series of Arabic numbers and Roman letters that is assigned to a motor vehicle for identification purposes. § 565.23 General requirements.
(a)Each vehicle manufactured in one stage shall have a VIN that is assigned by the manufacturer. Each vehicle manufactured in more than one stage shall have a VIN assigned by the incomplete vehicle manufacturer. Vehicle alterers, as specified in 49 CFR 567.26, shall utilize the VIN assigned by the original manufacturer of the vehicle.
(b)Each VIN shall consist of seventeen
(17)characters.
(c)A check digit shall be part of each VIN. The check digit shall appear in position nine
(9)of the VIN, on the vehicle and on any transfer documents containing the VIN prepared by the manufacturer to be given to the first owner for purposes other than resale.
(d)The VINs of any two vehicles manufactured within a 30-year period shall not be identical.
(e)The VIN of each vehicle shall appear clearly and indelibly upon either a part of the vehicle, other than the glazing, that is not designed to be removed except for repair or upon a separate plate or label that is permanently affixed to such a part.
(f)The VIN for passenger cars, multipurpose passenger vehicles and trucks of 4536 kg or less GVWR shall be located inside the passenger compartment. It shall be readable, without moving any part of the vehicle, through the vehicle glazing under daylight lighting conditions by an observer having 20/20 vision (Snellen) whose eye-point is located outside the vehicle adjacent to the left windshield pillar. Each character in the VIN subject to this paragraph shall have a minimum height of 4 mm.
(g)Each character in each VIN shall be one of the letters in the set: [ABCDEFGHJKLMNPRSTUVWXYZ] or a numeral in the set: [0123456789] assigned according to the method given in § 565.24.
(h)All spaces provided for in the VIN must be occupied by a character specified in paragraph
(g)of this section.
(i)The type face utilized for each VIN shall consist of capital, sanserif characters. § 565.24 Motor vehicles imported into the United States.
(a)Importers shall utilize the VIN assigned by the original manufacturer of the motor vehicle.
(b)A passenger car certified by a Registered Importer under 49 CFR part 592 shall have a plate or label that contains the following statement, in characters with a minimum height of 4 mm, with the identification number assigned by the original manufacturer provided in the blank: SUBSTITUTE FOR U.S. VIN:___SEE PART 565. The plate or label shall conform to § 565.23
(h)and (i). The plate or label shall be permanently affixed inside the passenger compartment. The plate or label shall be readable, without moving any part of the vehicle, through the vehicle glazing under daylight lighting conditions by an observer having 20/20 vision (Snellen) whose eye-point is located outside the vehicle adjacent to the left windshield pillar. It shall be located in such a manner as not to cover, obscure, or overlay any part of any identification number affixed by the original manufacturer. Passenger cars conforming to Canadian Motor Vehicle Safety Standard 115 are exempt from this paragraph. § 565.25 Content requirements. The VIN shall consist of four sections of characters which shall be grouped accordingly:
(a)The first section shall consist of three characters that occupy positions one through three (1-3) in the VIN. This section shall uniquely identify the manufacturer, make and type of the motor vehicle if its manufacturer produces 500 or more motor vehicles of its type annually. If the manufacturer produces less than 500 motor vehicles of its type annually, these characters along with the third, fourth and fifth characters of the fourth section shall uniquely identify the manufacturer, make and type of the motor vehicle. These characters are assigned in accordance with § 565.26(a).
(b)The second section shall consist of five characters, which occupy positions four through eight (4-8) in the VIN. This section shall uniquely identify the attributes of the vehicle as specified in Table VIII. For passenger cars, and for multipurpose passenger vehicles and trucks with a gross vehicle weight rating of 4536 kg (10,000 lb) or less, the first and second characters shall be alphabetic and the third and fourth characters shall be numeric. The fifth character may be either alphabetic or numeric. The characters utilized and their placement within the section may be determined by the manufacturer, but the specified attributes must be decipherable with information supplied by the manufacturer in accordance with § 565.26(c). In submitting the required information to NHTSA relating to gross vehicle weight rating, the designations in Table IX shall be used. The use of these designations within the VIN itself is not required. Tables VIII and IX follow: Table VIII.—Type of Vehicle and Information Decipherable *Passenger car:* Line, series, body type, engine type and restraint system type. *Multipurpose passenger vehicle:* Line, series, body type, engine type, gross vehicle weight rating. *Truck:* Model or line, series, chassis, cab type, engine type, brake system and gross vehicle weight rating. *Bus:* Model or line, series, body type, engine type, and brake system. *Trailer, including trailer kits and incomplete trailer:* Type of trailer, body type, length and axle configuration. *Motorcycle:* Type of motorcycle, line, engine type, and net brake horsepower. *Incomplete Vehicle other than a trailer:* Model or line, series, cab type, engine type and brake system. Note to Table VIII: Engine net brake horsepower when encoded in the VIN shall differ by no more than 10 percent from the actual net brake horsepower; shall in the case of motorcycle with an actual net brake horsepower of 2 or less, be not more than 2; and shall be greater than 2 in the case of a motorcycle with an actual brake horsepower greater than 2. Table IX.—Gross Vehicle Weight Rating Classes Class A—Not greater than 1360 kg. (3,000 lbs.) Class B—Greater than 1360 kg. to 1814 kg. (3,001-4,000 lbs.) Class C—Greater than 1814 kg. to 2268 kg. (4,001-5,000 lbs.) Class D—Greater than 2268 kg. to 2722 kg. (5,001-6,000 lbs.) Class E—Greater than 2722 kg. to 3175 kg. (6,001-7,000 lbs.) Class F—Greater than 3175 kg. to 3629 kg. (7,001-8,000 lbs.) Class G—Greater than 3629 kg. to 4082 kg. (8,001-9,000 lbs.) Class H—Greater than 4082 kg. to 4536 kg. (9,001-10,000 lbs.) Class 3—Greater than 4536 kg. to 6350 kg. (10,001-14,000 lbs.) Class 4—Greater than 6350 kg. to 7257 kg. (14,001-16,000 lbs.) Class 5—Greater than 7257 kg. to 8845 kg. (16,001-19,500 lbs.) Class 6—Greater than 8845 kg. to 11793 kg. (19,501-26,000 lbs.) Class 7—Greater than 11793 kg. to 14968 kg.(26,001-33,000 lbs.) Class 8—Greater than 14968 kg. (33,001 lbs. and over).
(c)The third section shall consist of one character, which occupies position nine
(9)in the VIN. This section shall be the check digit whose purpose is to provide a means for verifying the accuracy of any VIN transcription. After all other characters in VIN have been determined by the manufacturer, the check digit shall be calculated by carrying out the mathematical computation specified in paragraphs
(1)through
(4)of this section.
(1)Assign to each number in the VIN its actual mathematical value and assign to each letter the value specified for it in Table X, as follows: Table X.—Assigned Values A = 1 B = 2 C = 3 D = 4 E = 5 F = 6 G = 7 H = 8 J = 1 K = 2 L = 3 M = 4 N = 5 P = 7 R = 9 S = 2 T = 3 U = 4 V = 5 W = 6 X = 7 Y = 8 Z = 9
(2)Multiply the assigned value for each character in the VIN by the position weight factor specified in Table XI, as follows: Table XI.—VIN Position and Weight Factor 1st 8 2d 7 3d 6 4th 5 5th 4 6th 3 7th 2 8th 10 9th (check digit) 10th 9 11th 8 12th 7 13th 6 14th 5 15th 4 16th 3 17th 2
(3)Add the resulting products and divide the total by 11.
(4)The numerical remainder is the check digit. If the remainder is 10 the letter “X” shall be used to designate the check digit. The correct numeric remainder, zero through nine (0-9) or the letter “X,” shall appear in VIN position nine (9).
(5)A sample check digit calculation is shown in Table XII as follows: Table XII.—Calculation of a Check Digit VIN Position 12 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 Sample VIN 1 G 4 A H 5 9 H ... 5 G 1 1 8 3 4 1 Assigned Value 1 7 4 1 8 5 9 8 ... 5 7 1 1 8 3 4 1 Weight Factor 8 7 6 5 4 3 2 10 0 9 8 7 6 5 4 3 2 Multiply Assigned value times 8 49 24 5 32 15 18 80 0 45 56 7 6 40 12 12 2 Add products: 8+49+24+5+32+15+18+80+0+45+56+7+6+40+12+12+2 = 411. Divide by 11: 411/11 = 37 4/11. The remainder is 4; this is the check digit to be inserted in position nine
(9)of the VIN.
(d)The fourth section shall consist of eight characters, which occupy positions ten through seventeen (10-17) of the VIN. The last five
(5)characters of this section shall be numeric for passenger cars and for multipurpose passenger vehicles and trucks with a gross vehicle weight rating of 4536 kg. (10,000 lbs.) or less, and the last four
(4)characters shall be numeric for all other vehicles.
(1)The first character of the fourth section shall represent the vehicle model year. The year shall be designated as indicated in Table XIII as follows: Table XIII.—Year Codes for VIN Year Code 1980 A 1981 B 1982 C 1983 D 1984 E 1985 F 1986 G 1987 H 1988 J 1989 K 1990 L 1991 M 1992 N 1993 P 1994 R 1995 S 1996 T 1997 V 1998 W 1999 X 2000 Y 2001 1 2002 2 2003 3 2004 4 2005 5 2006 6 2007 7 2008 8 2009 9 2010 A 2011 B 2012 C 2013 D
(2)The second character of the fourth section shall represent the plant of manufacture.
(3)The third through the eighth characters of the fourth section shall represent the number sequentially assigned by the manufacturer in the production process if the manufacturer produces 500 or more vehicles of its type annually. If the manufacturer produces less than 500 motor vehicles of its type annually, the third, fourth and fifth characters of the fourth section, combined with the three characters of the first section, shall uniquely identify the manufacturer, make and type of the motor vehicle and the sixth, seventh, and eighth characters of the fourth section shall represent the number sequentially assigned by the manufacturer in the production process. § 565.26 Reporting requirements. The information collection requirements contained in this part have been approved by the Office of Management and Budget under the provisions of the Paperwork Reduction Act (44 U.S.C. 3501 *et seq.* ) and have been assigned OMB Control Number 2127-0510.
(a)The National Highway Traffic Safety Administration (NHTSA) has contracted with the SAE International
(SAE)to coordinate the assignment of manufacturer identifiers. Manufacturer identifiers will be supplied by SAE at no charge. All requests for assignments of manufacturer identifiers should be forwarded directly to: SAE International, 400 Commonwealth Drive, Warrendale, Pennsylvania 15096, Attention: WMI Coordinator. Any requests for identifiers submitted to NHTSA will be forwarded to SAE. Manufacturers may request a specific identifier or may request only assignment of an identifier(s). SAE will review requests for specific identifiers to determine that they do not conflict with an identifier already assigned or block of identifiers already reserved. SAE will confirm the assignments in writing to the requester. Once confirmed by SAE, the identifier need not be resubmitted to NHTSA.
(b)Manufacturers of vehicles subject to this part shall submit, either directly or through an agent, the unique identifier for each make and type of vehicle it manufactures at least 60 days before affixing the first VIN using the identifier. Manufacturers whose unique identifier appears in the fourth section of the VIN shall also submit the three characters of the first section that constitutes a part of their identifier.
(c)Manufacturers of vehicles subject to the requirements of this part shall submit to NHTSA the information necessary to decipher the characters contained in its VINs. Amendments to this information shall be submitted to the agency for VINs containing an amended coding. The agency will not routinely provide written approvals of these submissions, but will contact the manufacturer should any corrections to these submissions be necessary.
(d)The information required under paragraph
(c)of this section shall be submitted at least 60 days prior to offering for sale the first vehicle identified by a VIN containing that information, or if information concerning vehicle characteristics sufficient to specify the VIN code is unavailable to the manufacturer by that date, then within one week after that information first becomes available. The information shall be addressed to: Administrator, National Highway Traffic Safety Administration, 1200 New Jersey Avenue, SE., Washington, DC 20590, Attention: VIN Coordinator. Issued: April 24, 2008. Nicole R. Nason, Administrator. [FR Doc. 08-1197 Filed 4-25-08; 10:50 am]
Connectionstraces to 77
Traces to 77 documents
CFR
- Applicability.§ 71.1
- Form N-CSR, certified shareholder report.§ 249.331
- Form N-CSR, certified shareholder report.§ 274.128
- Form N-CEN, annual report of registered investment companies.§ 249.330
- Form N-CEN, annual report of registered investment companies.§ 274.101
- Small entities under the Investment Company Act for purposes of the Regulatory Flexibility Act.§ 270.0-10
- Definitions.§ 12.104
- Customs revenue function regulations issued under the authority of the Departments of the Treasury and Homeland Security.§ 0.1
- Delegation of rulemaking authority.§ 1.05-1
- Department of Veterans Affairs assistance in developing claims.§ 3.159
- Definitions.§ 3.1
- Rule 200. Notification by agency of original jurisdiction of right to appeal.§ 20.200
- Rule 201. What constitutes an appeal.§ 20.201
- Dependency and indemnity compensation.§ 3.5
- Introduction.§ 52.02
- How does SBA define "business concern or concern"?§ 121.105
register
U.S. Code
- Federal Aviation Administration§ 106
- Public information; agency rules, opinions, orders, records, and proceedings§ 552
- Short title§ 78a
- Findings and declaration of policy§ 80a–1
- Changes in investment policy§ 80a–13
- Rule making§ 553
- Public information collection activities; submission to Director; approval and delegation§ 3507
- Purposes§ 3501
- Rules, regulations, and orders; annual reports§ 78w
- Definitions; applicability; rulemaking considerations§ 80a–2
- Definitions; promotion of efficiency, competition, and capital formation§ 77b
- Definitions and application§ 78c
- Definitions§ 601
- Manipulative and deceptive devices§ 78j
- Registration of investment companies§ 80a–8
- Failure of corporate officers to certify financial reports§ 1350
- Registration of securities§ 77f
- Definitions§ 2601
- Emergency implementation of import restrictions§ 2603
- Import restrictions§ 2606
- Departmental regulations§ 301
- Rules and forms prescribed by Secretary§ 66
- Regulations§ 2612
- Rules and regulations§ 7805
- Regulations§ 1135
- Coverage§ 1101
- Fiduciary duties§ 1104
- Limitation with respect to acquisition and holding of employer securities and employer real property by certain plans§ 1107
- Exemptions from prohibited transactions§ 1108
- Bonding§ 1112
- DEFINITIONS.§ 331
- Competitive procedures§ 3012
- Avoidance of duplicative or unnecessary analyses§ 605
- Establishment, functions, and activities§ 272
- Transferred§ 1226
- Transferred§ 191
- Notice to claimants of required information and evidence§ 5103
- Filing of appeal§ 7105
- Deaths entitling survivors to dependency and indemnity compensation§ 1310
- Statements to accompany significant regulatory actions§ 1532
- Rules and regulations§ 501
- State implementation plans for national primary and secondary ambient air quality standards§ 7410
- SHORT TITLE.§ 801
- EXPEDITED PROCESSING OF REQUESTS FOR JAPANESE IMPERIAL GOVERNMENT RECORDS.§ 804
- Congressional findings and declaration of purpose§ 7401
- Transportation Security Administration§ 114
- General regulatory authority§ 5103
- International uniformity of standards and requirements§ 5120
- Preemption§ 5125
- Mode of recovery§ 2461
- Relationship to other laws§ 30103
- General powers§ 322
86 references not yet in our index
- 14 CFR 60
- 14 CFR 71
- 14 CFR 97
- 1 CFR 51
- 17 CFR 294.331
- 17 CFR 294.330
- Pub. L. 110-174
- 121 Stat. 2516
- 5 CFR 1320.11
- 17 CFR 249
- 17 CFR 274
- 19 CFR 12
- Pub. L. 97-446
- Pub. L. 108-429
- 118 Stat. 2600
- 26 CFR 301
- T.D. 9395
- Pub. L. 105-206
- Pub. L. 100-647
- 102 Stat. 3343
- Pub. L. 99-514
- 100 Stat. 2085
- Pub. L. 101-508
- 104 Stat. 1388
- 31 CFR 10
- 29 CFR 2550
- Pub. L. 109-280
- Pub. L. 107-16
- 115 Stat. 38
- 32 CFR 501
- 32 CFR 502
- 33 CFR 165
- 5 USC 601-612
- Pub. L. 104-121
- 44 USC 3501-3520
- 2 USC 1531-1538
- 42 USC 4321-4370f
- Pub. L. 107-295
- 38 CFR 3
- Pub. L. 106-475
+ 46 more
Citation graph
cites case law
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Notice of issuance and availability of final rule
F. App'x444 F.3d 1328
F. App'x345 F.3d 1334
SCOTUS421 U.S. 60
Cites 163 · showing 12Cited by 0 across 0 sources