issue-1995-10-18•Federal Register proposed rules — 1995-10-18
Federal Register proposed rules — 1995-10-18
issue-1995-10-18Federal Register proposed rules — 1995-10-18Proposed Regulation
Published Federal Register documents, not public-inspection drafts. The GPO XML/text rendition is a research aid; the linked complete official PDF retains the printed layout and all graphics. Graphics are retained in that PDF and are not independently reproduced in this text rendition. Publication does not establish that every provision remains legally in force.
FR Doc. 95-25837 Airworthiness Directives; McDonnell Douglas Model DC-9-80 Series Airplanes and Model MD-88 Airplanes
[Federal Register Volume 60, Number 201 (Wednesday, October 18, 1995)]
[Proposed Rules]
[Pages 53888-53890]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-25837]
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DEPARTMENT OF TRANSPORTATION
14 CFR Part 39
[Docket No. 95-NM-127-AD]
Airworthiness Directives; McDonnell Douglas Model DC-9-80 Series
Airplanes and Model MD-88 Airplanes
AGENCY: Federal Aviation Administration, DOT.
ACTION: Notice of proposed rulemaking (NPRM).
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SUMMARY: This document proposes the supersedure of an existing
airworthiness directive (AD), applicable to certain McDonnell Douglas
Model DC-9-80 series airplanes and Model MD-88 airplanes, that
currently requires a revision to the FAA-approved Airplane Flight
Manual (AFM) which specifies that autothrottles must be disconnected if
engine surge (stall) is detected during takeoff. That AD was prompted
by results of an accident investigation, which revealed that the
digital flight guidance computer (DFGC) on these airplanes can
incorrectly identify an engine surge or stall as being an engine
failure. This can cause the autothrottles to unclamp and automatically
advance the thrust levers during takeoff. The actions specified in that
AD are intended to prevent automatic advance of the thrust lever on a
surging engine during takeoff, which could cause engine failure. This
action would require the installation of a modified DFGC's which, when
accomplished, would terminate the requirement for the AFM revision.
DATES: Comments must be received by December 13, 1995.
ADDRESSES: Submit comments in triplicate to the Federal Aviation
Administration (FAA), Transport Airplane Directorate, ANM-103,
Attention: Rules Docket No. 95-NM-127-AD, 1601 Lind Avenue, SW.,
Renton, Washington 98055-4056. Comments may be inspected at this
location between 9:00 a.m. and 3:00 p.m., Monday through Friday, except
Federal holidays.
The service information referenced in the proposed rule may be
obtained from McDonnell Douglas Corporation, 3855 Lakewood Boulevard,
Long Beach, California 90846, Attention: Technical Publications
Business Administration, Department C1-L51 (2-60). This information may
be examined at the FAA, Transport Airplane Directorate, 1601 Lind
Avenue, SW., Renton, Washington; or at the FAA, Transport Airplane
Directorate, Los Angeles Aircraft Certification Office, 3960 Paramount
Boulevard, Lakewood, California.
FOR FURTHER INFORMATION CONTACT: Robert Baitoo, Aerospace Engineer,
Propulsion Branch, ANM-140L, FAA, Transport Airplane Directorate, Los
Angeles Aircraft Certification Office, 3960 Paramount Boulevard,
Lakewood, California; telephone (310) 627-5245; fax (310) 627-5210.
SUPPLEMENTARY INFORMATION:
Comments Invited
Interested persons are invited to participate in the making of the
proposed rule by submitting such written data, views, or arguments as
they may desire. Communications shall identify the Rules Docket number
and be submitted in triplicate to the address specified above. All
communications received on or before the closing date for comments,
specified above, will be considered before taking action on the
proposed rule. The proposals contained in this notice may be changed in
light of the comments received.
Comments are specifically invited on the overall regulatory,
economic, environmental, and energy aspects of the proposed rule. All
comments submitted will be available, both before and after the closing
date for comments, in the Rules Docket for examination by interested
persons. A report summarizing each FAA-public contact concerned with
the substance of this proposal will be filed in the Rules Docket.
Commenters wishing the FAA to acknowledge receipt of their comments
submitted in response to this notice must submit a self-addressed,
stamped postcard on which the following statement is made: ``Comments
to Docket Number 95-NM-127-AD.'' The postcard will be date stamped and
returned to the commenter.
Availability of NPRMs
Any person may obtain a copy of this NPRM by submitting a request
to the FAA, Transport Airplane Directorate, ANM-103, Attention: Rules
Docket No. 95-NM-127-AD, 1601 Lind Avenue, SW., Renton, Washington
98055-4056.
Discussion
On April 23, 1992, the FAA issued AD 92-10-13, amendment 39-8247
(57 FR 19249, May 5, 1992), applicable to all McDonnell Douglas Model
DC-9-80 series airplanes and Model MD-88 airplanes. That AD requires a
revision to the Limitations Section and the Procedures Section of the
FAA-approved Airplane Flight Manual (AFM), which specifies that
autothrottles must be disconnected if engine surge (stall) is detected
during takeoff. That action was prompted by an
[[Page 53889]]
ongoing investigation following an accident involving a Model DC-9-80
series airplane, which revealed that the digital flight guidance
computer (DFGC) apparently can incorrectly identify an engine surge or
stall as being an engine failure, and cause the autothrottles to
unclamp and subsequently advance the thrust levers during takeoff. The
requirements of that AD are intended to prevent automatic advance of
the thrust lever on a surging engine during takeoff, which could cause
engine failure.
In the preamble of that AD, the FAA indicated that the requirements
of that rule were considered interim action until final action is
identified, at which time the FAA may consider further rulemaking. As a
follow-on action from that determination, the FAA is now proposing to
mandate a terminating action for the requirements of that rule.
Explanation of Service Information
The FAA has reviewed and approved McDonnell Douglas Service
Bulletin MD80-22-111, dated May 23, 1995, which describes procedures
for modification of DFGC's having part number 4034241-971. The
modification entails incorporation of several improvements to the
flight software and corresponding hardware in the DFGC's. Once this
modification is accomplished, the DFGC's are re-identified as ``part
number 4034241-972.'' The subject DFGC's are located in the electrical/
electronics (E/E) compartment on the left and right radio racks. (The
McDonnell Douglas service bulletin references Honeywell Service
Bulletin 4034241-22-44, dated May 22, 1995, as an additional source of
service information.)
Additionally, for DFGC's having part numbers other than (lower
than) part number 4034241-971, the McDonnell Douglas service bulletin
references additional procedures that are necessary to be accomplished
prior to installing the subject modification. These additional
procedures are intended to bring those DFGC's to the level of
configuration of DFGC's having part number 4034241-971. Once that level
is reached, those DFGC's subsequently would be modified in accordance
with the service bulletin and re-identified as part number 4034241-972.
Modification of the DFGC's to the part number 4034241-972
configuration will positively address the unsafe condition presented by
a DFGC incorrectly identifying an engine surge or stall as being an
engine failure. This condition could cause the autothrottles to unclamp
and subsequently advance the thrust levers during takeoff, which could
cause engine failure.
Explanation of the Proposed Rule
Since an unsafe condition has been identified that is likely to
exist or develop on other products of this same type design, the
proposed AD would supersede AD 92-10-13, but would continue to require
a revision to the Limitations Section and Procedures Section of the
FAA-approved AFM, which specifies that autothrottles must be
disconnected if engine surge (stall) is detected during takeoff.
The proposed AD also would require installation of modified DFGC's
having part number 403241-972. Accomplishment of this installation
would constitute terminating action for the currently required AFM
revision. The installation would be required to be accomplished in
accordance with the McDonnell Douglas service bulletin described
previously.
Cost Impact
There are approximately 1,117 Model DC-9-80 series airplanes and
Model MD-88 airplanes of the affected design in the worldwide fleet.
The FAA estimates that 643 airplanes of U.S. registry would be affected
by this proposed AD.
The AFM revision that is currently required by AD 92-10-13 takes
approximately 1 work hour per airplane to accomplish, at an average
labor rate of $60 per work hour. Based on these figures, the total cost
impact on U.S. operators of this current requirement is estimated to be
$38,580, or $60 per airplane.
The FAA estimates that the removal of DFGC's having part number
4034241-971 and installation of DFGC's having part number 4034241-972
would take approximately 1 work hour per airplane to accomplish, at an
average labor rate of $60 per work hour. The required parts would cost
approximately $2,000 (that is, $1,000 per DFGC, and 2 DFGC's per
airplane). Based on these figures, the cost impact on U.S. operators of
this proposed installation is estimated to be $1,324,580, or $2,060 per
airplane.
The total cost impact figures discussed above are based on
assumptions that no operator has yet accomplished any of the current or
proposed requirements of this AD action, and that no operator would
accomplish those actions in the future if this AD were not adopted.
Should an operator have an airplane equipped with DFGC's having
part numbers other than (lower than) 4034241-971, additional actions
may be required prior to accomplishing the installation proposed in
this action. Those additional actions involve modification(s) of the
DFGC's to bring them to the level of configuration of DFGC's having
part number 4034241-971. Depending on the current configuration of the
DFGC's installed on the airplane, the highest costs associated with
modifying a DFGC to a part number 4034241-971 configuration (excluding
subsequent modification to the part number 4034241-972 configuration)
could be as much as $92,000 per airplane (that is $46,000 per DFGC, and
2 DFGC's per airplane).
The FAA recognizes that the obligation to maintain aircraft in an
airworthy condition is vital, but sometimes expensive. Because AD's
require specific actions to address specific unsafe conditions, they
appear to impose costs that would not otherwise be borne by operators.
However, because of the general obligation of operators to maintain
aircraft in an airworthy condition, this appearance is deceptive.
Attributing those costs solely to the issuance of this AD is
unrealistic because, in the interest of maintaining safe aircraft,
prudent operators would accomplish the required actions even if they
were not required to do so by the AD.
A full cost-benefit analysis has not been accomplished for this
proposed AD. As a matter of law, in order to be airworthy, an aircraft
must conform to its type design and be in a condition for safe
operation. The type design is approved only after the FAA makes a
determination that it complies with all applicable airworthiness
requirements. In adopting and maintaining those requirements, the FAA
has already made the determination that they establish a level of
safety that is cost-beneficial. When the FAA, as in this proposed AD,
makes a finding of an unsafe condition, this means that the original
cost-beneficial level of safety is no longer being achieved and that
the proposed actions are necessary to restore that level of safety.
Because this level of safety has already been determined to be cost-
beneficial, a full cost-benefit analysis for this proposed AD would be
redundant and unnecessary.
Regulatory Impact
The regulations proposed herein would 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. Therefore, in
accordance with Executive Order 12612, it is determined that this
proposal would not have sufficient
[[Page 53890]]
federalism implications to warrant the preparation of a Federalism
Assessment.
For the reasons discussed above, I certify that this proposed
regulation (1) is not a ``significant regulatory action'' under
Executive Order 12866; (2) is not a ``significant rule'' under the DOT
Regulatory Policies and Procedures (44 FR 11034, February 26, 1979);
and (3) if promulgated, will not have a significant economic impact,
positive or negative, on a substantial number of small entities under
the criteria of the Regulatory Flexibility Act. A copy of the draft
regulatory evaluation prepared for this action is contained in the
Rules Docket. A copy of it may be obtained by contacting the Rules
Docket at the location provided under the caption ADDRESSES.
List of Subjects in 14 CFR Part 39
Air transportation, Aircraft, Aviation safety, Safety.
The Proposed Amendment
Accordingly, pursuant to the authority delegated to me by the
Administrator, the Federal Aviation Administration proposes to amend
part 39 of the Federal Aviation Regulations (14 CFR part 39) as
follows:
PART 39--AIRWORTHINESS DIRECTIVES
1. The authority citation for part 39 continues to read as follows:
Authority: 49 USC 106(g), 40101, 40113, 44701.
Sec. 39.13 [Amended]
2. Section 39.13 is amended by removing amendment 39-8247 (57 FR
19249, May 5, 1992), and by adding a new airworthiness directive (AD),
to read as follows:
McDonnell Douglas: Docket 95-NM-127-AD. Supersedes AD 92-10-13,
Amendment 39-8247.
Applicability: Model DC-9-80 series airplanes and Model MD-88
airplanes equipped with digital flight guidance computers (DFGC)
having part numbers other than 4034241-972; certificated in any
category.
Note 1: This AD applies to each airplane identified in the
preceding applicability provision, regardless of whether it has been
otherwise modified, altered, or repaired in the area subject to the
requirements of this AD. For airplanes that have been modified,
altered, or repaired so that the performance of the requirements of
this AD is affected, the owner/operator must use the authority
provided in paragraph (d) of this AD to request approval from the
FAA. This approval may address either no action, if the current
configuration eliminates the unsafe condition; or different actions
necessary to address the unsafe condition described in this AD. Such
a request should include an assessment of the effect of the changed
configuration on the unsafe condition addressed by this AD. In no
case does the presence of any modification, alteration, or repair
remove any airplane from the applicability of this AD.
Compliance: Required as indicated, unless accomplished
previously.
To prevent automatic thrust lever advance on a surging engine
during takeoff, which could cause engine failure, accomplish the
following:
(a) Within 30 days after May 20, 1992 (the effective date of AD
92-10-13, amendment 39-8247), revise the Limitations Section of the
FAA-approved Airplane Flight Manual (AFM) to include the following
statement. This may be accomplished by inserting a copy of this AD
in the AFM.
``Limitations Section
Autothrottles must be disconnected if engine surge (stall) is
detected during takeoff.''
(b) Within 30 days after May 20, 1992 (the effective date of AD
92-10-13, amendment 39-8247), revise the Procedures Section of the
FAA-approved AFM to include the following statement. This may be
accomplished by inserting a copy of this AD in the AFM.
``Procedures Section
CAUTION
During takeoff, the Digital Flight Guidance Computer (DFGC)
engine failure logic is armed if (1) the flight director pitch axis
is in takeoff mode, (2) the aircraft is above 400 feet radio
altitude, and (3) both engine pressure ratios (EPR's) are below the
go-around EPR limit. If the DFGC detects an EPR drop greater than or
equal to 0.25 EPR and 7% N1 from the same engine, as compared to the
other engine, the engine failure logic is satisfied and the DFGC
will change the Thrust Rating Panel (or indicator) thrust limit to
Go-Around (GA). This will cause the autothrottle system to unclamp
and enter normal EPR limit (EPR LIM) mode where the throttles will
maintain the higher engine EPR at the selected go-around thrust
rating EPR LIM. Such an EPR and N1 drop may also result from an
engine surge (stall). Advancing thrust levers on a surging engine
will hinder surge recovery and may result in eventual engine
failure.
If an engine surge (stall) is detected during takeoff:
(1) Disconnect autothrottles.
(2) Reduce thrust on affected engine (idle if necessary).
(3) Shut down the affected engine if surging and popping
continues.
(4) If affected engine surging or popping stops, accomplish the
following:
A. Place ignition switch to GRD START & CONTIN.
B. Place ENG anti-ice switches to ON.
C. Place PNEU X-FEED VALVE lever OPEN on affected side.
D. Place AIR FOIL anti-ice switches ON.
E. Advance affected throttle slowly.
(5) If engine surging or popping returns, turn the ENG anti-ice
switch OFF.
(6) After normal operation has been established, the
autothrottles may be re-engaged.
Note: A NO MODE light may be annunciated due to abnormal bleed
configuration.''
(c) Within 60 months after the effective date of this AD, remove
any DFGC having a part number other than 4034241-972, and replace it
with a DFGC having part number 4034241-972, in accordance with
McDonnell Douglas Service Bulletin MD80-22-111, dated May 23, 1995.
Once these actions are accomplished, the AFM revisions required by
paragraphs (a) and (b) of this AD may be removed.
Note 2: McDonnell Douglas Service Bulletin MD80-22-111, dated
May 23, 1995, references Honeywell Service Bulletin 4034241-22-44,
dated May 22, 1995, as an additional source of service information.
Note 3: Paragraph 1.B of McDonnell Douglas Service Bulletin
MD80-22-111, dated May 23, 1995, specifies certain concurrent
actions that affect airplanes equipped with DFGC's having part
numbers other than 4034241-971.
(d) An alternative method of compliance or adjustment of the
compliance time that provides an acceptable level of safety may be
used if approved by the Manager, Los Angeles Aircraft Certification
Office (ACO), FAA, Transport Airplane Directorate. Operators shall
submit their requests through an appropriate FAA Principal
Maintenance Inspector, who may add comments and then send it to the
Manager, Los Angeles ACO.
Note 4: Information concerning the existence of approved
alternative methods of compliance with this AD, if any, may be
obtained from the Los Angeles ACO.
(e) Special flight permits may be issued in accordance with
sections 21.197 and 21.199 of the Federal Aviation Regulations (14
CFR 21.197 and 21.199) to operate the airplane to a location where
the requirements of this AD can be accomplished.
Issued in Renton, Washington, on October 12, 1995.
S.R. Miller,
Acting Manager, Transport Airplane Directorate, Aircraft Certification
Service.
[FR Doc. 95-25837 Filed 10-17-95; 8:45 am]
BILLING CODE 4910-13-U
Complete official Federal Register PDF
FR Doc. 95-25836 14 CFR Part 39
[Federal Register Volume 60, Number 201 (Wednesday, October 18, 1995)]
[Proposed Rules]
[Pages 53883-53888]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-25836]
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DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Part 39
[Docket No. 95-NM-146-AD]
Airworthiness Directives; Aerospatiale Model ATR-42 and ATR-72
Series Airplanes
AGENCY: Federal Aviation Administration, DOT.
ACTION: Notice of proposed rulemaking (NPRM).
SUMMARY: This document proposes the supersedure of an existing
airworthiness directive (AD), applicable to all Aerospatiale Model ATR-
42 and ATR-72 series airplanes. Unless modifications are accomplished
or alternative procedures and training are adopted, that AD currently
prohibits operation of the airplane in certain icing conditions, and
requires restrictions on the use of the autopilot in certain
conditions. That AD was prompted by an FAA determination that, during
flight in certain icing conditions, and with the airplane in a specific
flight configuration, a ridge of ice can form on the wing and cause an
interruption in the airflow over the ailerons, aileron deflection, and
resultant lateral control forces. The actions specified by that AD are
intended to prevent a roll upset from which the flight crew may be
unable to recover. This action would add requirements for modification
of the deicing boots on the leading edge of the wing and various
follow-on actions.
DATES: Comments must be received by November 28, 1995.
ADDRESSES: Submit comments in triplicate to the Federal Aviation
Administration (FAA), Transport Airplane Directorate, ANM-103,
Attention: Rules Docket No. 95-NM-146-AD, 1601 Lind Avenue, SW.,
Renton, Washington 98055-4056. Comments may be inspected at this
location between 9:00 a.m. and 3:00 p.m., Monday through Friday, except
Federal holidays.
The service information referenced in the proposed rule may be
obtained from Aerospatiale, 316 Route de Bayonne, 31060 Toulouse, Cedex
03, France. This information may be examined at the FAA, Transport
Airplane Directorate, 1601 Lind Avenue, SW., Renton, Washington.
FOR FURTHER INFORMATION CONTACT: Gary Lium, Aerospace Engineer,
Standardization Branch, ANM-113, FAA, Transport Airplane Directorate,
1601 Lind Avenue, SW., Renton, Washington 98055-4056; telephone (206)
227-1112; fax (206) 227-1149.
SUPPLEMENTARY INFORMATION:
Comments Invited
Interested persons are invited to participate in the making of the
proposed rule by submitting such written data, views, or arguments as
they may desire. Communications shall identify the Rules Docket number
and be submitted in triplicate to the address specified above. All
communications received on or before the closing date for comments,
specified above, will be considered before taking action on the
proposed rule. The proposals contained in this notice may be changed in
light of the comments received.
Comments are specifically invited on the overall regulatory,
economic, environmental, and energy aspects of the proposed rule. All
comments
[[Page 53884]]
submitted will be available, both before and after the closing date for
comments, in the Rules Docket for examination by interested persons. A
report summarizing each FAA-public contact concerned with the substance
of this proposal will be filed in the Rules Docket.
Commenters wishing the FAA to acknowledge receipt of their comments
submitted in response to this notice must submit a self-addressed,
stamped postcard on which the following statement is made: ``Comments
to Docket Number 95-NM-146-AD.'' The postcard will be date stamped and
returned to the commenter.
Availability of NPRMs
Any person may obtain a copy of this NPRM by submitting a request
to the FAA, Transport Airplane Directorate, ANM-103, Attention: Rules
Docket No. 95-NM-146-AD, 1601 Lind Avenue, SW., Renton, Washington
98055-4056.
Discussion
On December 9, 1994, the FAA issued telegraphic AD T94-25-51,
applicable to all Aerospatiale Model ATR-42 and ATR-72 series
airplanes, to address an unsafe condition related to potential hazards
associated with operation of those airplanes in icing conditions. That
AD required an operational limitation that prohibits operation of the
airplane when icing conditions [as defined in the Airplane Flight
Manual (AFM)] are forecast or reported. It also required restrictions
on the use of the autopilot in inadvertent icing encounters, when the
airplane is operated in moderate or greater turbulence, or whenever any
unusual lateral trim situation is observed.
That AD action was prompted by data obtained following an accident
involving a Model ATR-72 series airplane that occurred when the
airplane was enroute from Indianapolis to Chicago. The accident
occurred during the initial descent for approach to Chicago. The
airplane had been in a holding pattern for more than 30 minutes with
flaps at the 15-degree position; icing conditions and turbulence were
reported in the area.
The official cause of the accident has not been determined.
However, preliminary information from the accident investigation
indicates that, immediately after the autopilot disconnected, at an
indicated airspeed of approximately 185 knots, the ailerons abruptly
deflected in the right-wing-down direction, and the airplane entered an
abrupt roll to the right, which was not corrected before the airplane
impacted the ground.
Results of Flight Tests Conducted at Edwards Air Force Base,
California
Prior to the issuance of telegraphic AD T94-25-51, Aerospatiale
conducted wind tunnel and ground tests in Toulouse, France. Subsequent
to the issuance of that AD, Aerospatiale contracted with the United
States Air Force (USAF) to conduct a series of flight tests at Edwards
Air Force Base, California. The test program was developed in
conjunction with the National Transportation Safety Board (NTSB),
National Aeronautics and Space Administration (NASA), the USAF, the
FAA, and the Direction Generale de l'Aviation Civile (DGAC), which is
the airworthiness authority for France.
During these tests, a Model ATR-72 series airplane flew in close
formation behind an ``icing tanker,'' which is a specially modified
aerial refueling airplane designed to create icing conditions by
spraying supercooled water droplets on a test airplane during flight.
Appendix C of part 25 of the Federal Aviation Regulations (14 CFR part
25) defines droplet diameters, liquid water content, temperature, and
horizontal extent parameters for testing leading to approval of flight
in icing conditions. Water droplet diameters specified in part 25 of
the Federal Aviation Regulations (FAR) for certification of transport
category airplanes, and larger droplets well outside the diameters
specified in part 25 of the FAR (commonly referred to as ``freezing
rain or freezing drizzle''), were sprayed onto the leading edges of the
outer wing and on other airplane surfaces to determine ice accretion
characteristics of the various diameter droplets. Droplet diameters
larger than those specified in part 25 of the FAR were tested since
meteorological evidence exists indicating that the accident airplane
encountered such large droplets (freezing rain or freezing drizzle)
prior to the accident.
Results of data from the numerous flight tests conducted revealed
the following significant findings:
--Ice accretion characteristics of the normal diameter droplets, as
specified in the FAR, were entirely satisfactory. This confirmed that
Model ATR-42 and ATR-72 series airplanes comply fully with performance
requirements relating to the icing envelope specified in part 25 of the
FAR for certification of these airplanes.
--Results of additional testing that was conducted with large water
droplets (outside certification standards) revealed that it is possible
for ice to accrete aft of the wing boot surface during a 17-minute
exposure to the tanker spray when the aircraft operates with the flaps
set at 15 degrees. Results of flight tests conducted with the flaps set
at 15 degrees indicated that a spanwise ridge could disrupt the flow of
air over the aileron when the flaps are retracted to the zero-degree
position. This interruption of airflow caused an uncommanded aileron
deflection and resultant unusual lateral control forces. However,
during the tests conducted, the forces required to control the aircraft
were within limits specified by the FAR.
--Exposure to freezing rain or freezing drizzle on the forward side
windows of the cockpit produced ice on a substantial part of the
forward side windows. This ice accretion on the forward side windows
does not appear when the airplane is flying in the icing conditions
defined in part 25 of the FAR. This characteristic ice accretion begins
to form within 30 seconds of the beginning of the encounter with
freezing rain or freezing drizzle. Additionally, test data indicate
that the flight crew can observe the accumulation of ice on the forward
side windows at least several minutes before a significant amount of
ice accumulates on the wings.
The cause of the accident is still under investigation. However, in
light of the findings discussed previously, the FAA has determined that
if a Model ATR-42 or ATR-72 series airplane is in flight with the flaps
set at 15 degrees during freezing rain or freezing drizzle, an unusual
ridge of ice on the wing (aft of the ice protection boots) can accrete.
This ridge can interrupt the airflow over the ailerons when the flaps
are retracted to the zero-degree position. This interruption of airflow
can cause an aileron deflection and resultant unusual lateral control
forces. In actual operations, these unusual forces may result in a roll
upset from which the flight crew may be unable to recover.
Explanation of the Provisions of AD 95-02-51
In an effort to break the chain of events that may lead to an
aircraft roll upset, the manufacturer developed a set of procedures to
be followed if the airplane should inadvertently encounter freezing
rain or freezing drizzle conditions. These procedures were based on
results of the tests conducted at Edwards Air Force Base. These
procedures prohibit dispatch into or operation in known or forecast
freezing rain or freezing drizzle, provide the
[[Page 53885]]
flight crew with a means to identify inadvertent encounters with
freezing rain and freezing drizzle conditions, and describe appropriate
corrective actions. Accomplishment of these procedures will ensure safe
operation of the airplane while operating in all icing conditions,
including inadvertent encounters with freezing rain or freezing
drizzle.
These procedures were incorporated into several documents and
related actions, which formed the basis for the FAA to expand operation
of Model ATR-42 and ATR-72 series airplanes beyond that defined in
telegraphic AD T94-25-51. Subsequently, on February 13, 1995, the FAA
issued AD 95-02-51, amendment 39-9152 (60 FR 9616, February 21, 1995)
to mandate the procedures developed by the manufacturer and approved by
the FAA. Unless modifications are accomplished or alternative
procedures and training are adopted, that AD continues to require an
operational limitation that prohibits operation of the airplane when
icing conditions (as defined in the AFM) are forecast or reported; and
restrictions on the use of the autopilot in inadvertent icing
encounters, when the airplane is operated in moderate or greater
turbulence, or whenever any unusual lateral trim situation is observed.
That AD also permits, as an interim measure prior to installation of an
FAA-approved modification, operation of the airplane into icing
conditions, provided that certain actions have been accomplished, as
follows:
1. The FAA-approved AFM must be revised to incorporate ATR-42 AFM
Temporary Revision 18, dated January 10, 1995 (for Model ATR-42 series
airplanes); or ATR-72 AFM Temporary Revision 14, dated January 10, 1995
(for Model ATR-72 series airplanes).
2. All Model ATR-42 and ATR-72 flight crew members must attend an
FAA-approved training course prior to flight in known or forecast icing
conditions. This training course provides instruction in the
recognition of characteristic ice accretion on the cockpit forward side
windows. This course also defines the procedures designed to escape
freezing rain and freezing drizzle conditions and to minimize the
hazard posed by flight in freezing rain or freezing drizzle. Documents
used in this training course include the following: ATR Icing
Conditions Procedures Brochure, Version 1.0 or 2.0; ATR Technical
Background Paper, Version 1.0, dated January 6, 1995; Flight Crew
Operation Manual, Revision 20, dated January 11, 1995 (for Model ATR-42
series airplanes); and Flight Crew Operation Manual, Revision 12, dated
January 11, 1995 (for Model ATR-72 series airplanes).
3. Operators must establish an FAA-approved system to provide
forecasts and reports of freezing rain and freezing drizzle at enroute
altitudes along the route of flight and at all airports considered in
the flight planning process.
4. Operators of Model ATR-72 series airplanes must install ATR
Modification Number 4213 to eliminate the multi-function computer
inhibition against flap extension. The modification permits movement of
the flaps above limit speed to give crews more operational discretion
in an emergency.
That AD also provides for an optional terminating action, which, if
accomplished, would terminate the requirements of the AD. The optional
terminating action, which must be approved by the FAA, involves
installing a modification that precludes the formation of hazardous ice
accumulation during flight in freezing rain or freezing drizzle
conditions. The AD requires that, upon accomplishment of the optional
terminating action, ATR Modification Number 4213 must be removed from
Model ATR-72 series airplanes.
The expanded operation provided by AD 95-02-51 includes the
resumption of dispatch of the airplane into or operation in known or
forecast icing conditions. (However, as specified in the AFM revisions
cited in that AD, flight into known or forecast freezing drizzle or
freezing rain conditions continues to be prohibited.)
The procedures provided by AD 95-02-51 were permitted as an interim
measure to allow resumption of normal flight operations in icing
conditions until June 1, 1995, at which time an FAA-approved
modification was to have been developed, tested, approved, and
installed. The AD specifies that if such a modification was not
installed by June 1, 1995, operation of the airplane when icing
conditions are forecast or reported would again be prohibited and
restrictions on the use of the autopilot in certain conditions would
again be required.
Explanation of a Letter to Affected Operators
While AD 95-02-51 was being developed, the manufacturer was
developing certain modifications to the deicing boots on the leading
edges of the wing. Subsequently, Aerospatiale issued Service Bulletins
ATR42-30-0059, Revision 1, dated April 10, 1995 (for Model ATR-42
series airplanes), and ATR72-30-1023, Revision 1, dated April 10, 1995
(for Model ATR-72 series airplanes). These service bulletins describe
procedures for modification of the deicing boots by extending the
coverage of the deicing boots on the leading edges of the outer wing.
Accomplishment of the modification will increase the deiced area of the
leading edges of the outer wing. [The Aerospatiale modification numbers
are: 4216 (retrofit) and 4222 (production line), for Model ATR-42
series airplanes; and 4215 (retrofit) and 4221 (production line), for
Model ATR-72 series airplanes. These modifications were approved by the
FAA on March 20, 1995, as type design changes to Model ATR-42 and ATR-
72 series airplanes.]
During development of those modifications and following issuance of
AD 95-02-51, it became clear to the FAA that installation of modified
deicing boots alone would not be sufficient to ensure an acceptable
level of safety. Consequently, the FAA determined that certain existing
flight crew procedures specified currently in AD 95-02-51 must remain
in place and must be used in conjunction with the modified deicing
boots. Further, the FAA recognized that a new AD to mandate
installation of the deicing boots and observation of flight crew
procedures could not be completed before the June 1, 1995, deadline
specified in AD 95-02-51, and that sufficient justification existed to
extend that deadline.
In light of this, the FAA approved an alternative method of
compliance for the requirements of AD 95-02-51 in accordance with the
provisions of paragraph (d) of that AD. This approval is contained in a
letter that was distributed to all operators of the affected airplanes
on May 26, 1995. The approval allowed continued operation of these
airplanes in icing conditions beyond June 1, 1995, provided that
certain additional procedures and restrictions were observed and
modification of the deicing boots, as described previously, was
accomplished.
The specific additional procedures and restrictions specified in
the letter to operators included the following:
1. For Model ATR-72 series airplanes only, Aerospatiale
Modification 4213, ``Flaps Extension Inhibition Above VFE 15 ,'' must
be installed (or remain installed, if already accomplished). Procedures
for accomplishment of the modification are contained in Aerospatiale
Service Bulletin ATR72-27-1039, dated January 12, 1995. The
modification removes the flap movement cutout at speeds greater than
[[Page 53886]]
185 knots to provide flight crews more operational discretion in an
emergency.
2. Flight crew training based on the revised ATR Icing Procedures
Brochure ``Freezing Drizzle: Towards a Better Knowledge and a Better
Protection,'' Issue 1, dated May 11, 1995, must be conducted prior to
flight in icing conditions, and at least annually thereafter, for all
ATR-42 and ATR-72 flight crews. (Training conducted previously in
compliance with AD 95-02-51 may serve as the initial training for
purposes of computing the training interval.)
3. ATR-42 AFM Temporary Revision 20, dated May 1995 (for Model ATR-
42 series airplanes), or ATR-72 AFM Temporary Revision 16, dated May
1995 (for Model ATR-72 series airplanes), must be inserted into the
Limitations Section of the respective AFM. These temporary revisions
specify that dispatch or operation into known freezing rain or freezing
drizzle conditions is prohibited. Once inserted, the AFM revision
required by AD 95-02-51 may be removed.
The FAA determined that observing the procedures and restrictions
outlined above, in addition to installing modified deicing boots, will
provide an additional margin of safety during flight in icing
conditions or during an inadvertent encounter with freezing rain or
freezing drizzle conditions. The FAA also determined that the
procedures identified in the letter to operators will provide the
flight crews with an acceptable means to identify and safely exit those
conditions.
It should be noted that the procedures specified in the letter to
operators are essentially the same as those mandated by AD 95-02-51
with the exception that the letter allows dispatch into forecast (but
not actual or reported) freezing rain or freezing drizzle conditions,
while the AD prohibits such dispatch. Based on its determination that
installing the modifications and observing the operational procedures
and restrictions discussed previously will provide an additional margin
of safety while flying in icing conditions, the FAA finds that the
restriction specified in AD 95-02-51 concerning dispatch into forecast
(but not actual or reported) freezing drizzle or freezing rain
conditions can be eliminated.
Explanation of the Provisions of the Proposed AD
Based on the information discussed previously, and since an unsafe
condition has been identified that is likely to exist or develop on
other airplanes of the same type design registered in the United
States, the FAA proposes to supersede AD 95-02-51 with a new AD with
the following requirements:
Unless modifications are accomplished or alternative procedures and
training are adopted, the proposed AD would continue to prohibit
operation of the airplane in certain icing conditions, and requires
restrictions on the use of the autopilot in certain conditions.
The proposed AD would require installation of the FAA-approved
modification of the deicing boots on the leading edges of the wing,
which must be used in conjunction with certain flight crew procedures.
Accomplishment of the modification and observation of the flight crew
procedures would terminate the requirements of AD 95-02-51, thereby
allowing operation of the airplane in certain icing conditions,
allowing use of the autopilot in certain conditions, and eliminating
the restriction specified in that AD concerning dispatch into forecast
(but not actual or reported) freezing drizzle or freezing rain
conditions.
In addition, the FAA finds that the requirement specified in AD 95-
02-51 for operators to establish an FAA-approved system to provide
forecasts and reports of freezing rain and freezing drizzle at enroute
altitudes along the route of flight and at all airports considered in
the flight planning process must be retained in this proposed AD.
The proposed actions would be required to be accomplished in
accordance with various documents described previously.
As a result of recent communications with the Air Transport
Association (ATA) of America, the FAA has learned that, in general,
some operators may misunderstand the legal effect of AD's on airplanes
that are identified in the applicability provision of the AD, but that
have been altered or repaired in the area addressed by the AD. The FAA
points out that all airplanes identified in the applicability provision
of an AD are legally subject to the AD. If an airplane has been altered
or repaired in the affected area in such a way as to affect compliance
with the AD, the owner or operator is required to obtain FAA approval
for an alternative method of compliance with the AD, in accordance with
the paragraph of each AD that provides for such approvals. A note has
been included in this notice to clarify this long-standing requirement.
Cost Estimate
The airplane models affected by this proposed AD action are
manufactured in France and are type certificated for operation in the
United States under the provisions of section 21.29 of the Federal
Aviation Regulations (14 CFR 21.29) and the applicable bilateral
airworthiness agreement.
There are approximately 158 Model ATR-42 and ATR-72 series
airplanes of U.S. registry that would be affected by this proposed AD.
The AFM revision that is currently required by AD 95-02-51 takes
approximately 1 work hour per airplane to accomplish, at an average
labor rate of $60 per work hour. Based on these figures, the total cost
impact on U.S. operators of the actions currently required is estimated
to be $9,480, or $60 per airplane.
The AFM revision that is proposed in this AD would take
approximately 1 work hour per airplane to accomplish, at an average
labor rate of $60 per work hour. Based on these figures, the total cost
impact on U.S. operators for the proposed AFM revision is estimated to
be $9,480, or $60 per airplane.
Accomplishment of training concerning the use of icing forecasts
and reports, as proposed in this AD, would be approximately $300,000
annually, or $1,900 per airplane. Accomplishment of flight crew
training based on the Icing Procedures Brochure discussed previously,
as proposed in this AD, would cost approximately $150,000 annually, or
$950 per airplane.
For Model ATR-42 series airplanes, Modification 4216 (or 4222), as
proposed in this AD, would take approximately 52 work hours per
airplane to accomplish, at an average labor rate of $60 per work hour.
Required parts would be supplied by the manufacturer at no cost to
operators. Based on these figures, the total cost impact on U.S.
operators for this proposed modification is estimated to be $492,960,
or $3,120 per airplane.
For Model ATR-72 series airplanes, Modification 4215 (or 4221), as
proposed in this AD, would take approximately 96 work hours per
airplane to accomplish. Required parts for this modification would be
supplied by the manufacturer at no cost to operators. Modification
4213, as proposed in this AD, would take approximately 4 work hours to
accomplish. Required parts would cost approximately $200 per airplane.
The average labor rate for accomplishment of both modifications is $60
per work hour. Based on these figures, the total cost impact on U.S.
operators for these proposed modifications is estimated to be $979,600,
or $6,200 per airplane.
The total cost impact figures discussed above are based on
[[Page 53887]]
assumptions that no operator has yet accomplished any of the current or
proposed requirements of this AD action, and that no operator would
accomplish those actions in the future if this AD were not adopted.
Regulatory Impact
The regulations proposed herein would 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. Therefore, in
accordance with Executive Order 12612, it is determined that this
proposal would not have sufficient federalism implications to warrant
the preparation of a Federalism Assessment.
For the reasons discussed above, I certify that this proposed
regulation (1) is not a ``significant regulatory action'' under
Executive Order 12866; (2) is not a ``significant rule'' under the DOT
Regulatory Policies and Procedures (44 FR 11034, February 26, 1979);
and (3) if promulgated, will not have a significant economic impact,
positive or negative, on a substantial number of small entities under
the criteria of the Regulatory Flexibility Act. A copy of the draft
regulatory evaluation prepared for this action is contained in the
Rules Docket. A copy of it may be obtained by contacting the Rules
Docket at the location provided under the caption ADDRESSES.
List of Subjects in 14 CFR Part 39
Air transportation, Aircraft, Aviation safety, Safety.
The Proposed Amendment
Accordingly, pursuant to the authority delegated to me by the
Administrator, the Federal Aviation Administration proposes to amend
part 39 of the Federal Aviation Regulations (14 CFR part 39) as
follows:
PART 39--AIRWORTHINESS DIRECTIVES
1. The authority citation for part 39 continues to read as follows:
Authority: 49 USC 106(g), 40101, 40113, 44701.
Sec. 39.13 [Amended]
2. Section 39.13 is amended by removing amendment 39-9152 (60 FR
9616, February 21, 1995), and by adding a new airworthiness directive
(AD), to read as follows:
Aerospatiale: Docket 95-NM-146-AD. Supersedes AD 95-02-51, Amendment
39-9152.
Applicability: All Model ATR-42 and ATR-72 series airplanes,
certificated in any category.
Note 1: This AD applies to each airplane identified in the
preceding applicability provision, regardless of whether it has been
modified, altered, or repaired in the area subject to the
requirements of this AD. For airplanes that have been modified,
altered, or repaired so that the performance of the requirements of
this AD is affected, the owner/operator must use the authority
provided in paragraph (d) of this AD to request approval from the
FAA. This approval may address either no action, if the current
configuration eliminates the unsafe condition; or different actions
necessary to address the unsafe condition described in this AD. Such
a request should include an assessment of the effect of the changed
configuration on the unsafe condition addressed by this AD. In no
case does the presence of any modification, alteration, or repair
remove any airplane from the applicability of this AD.
Compliance: Required as indicated, unless accomplished
previously.
To minimize the potential hazards associated with operating in
icing conditions, as defined in the Airplane Flight Manual (AFM),
accomplish the following:
(a) For all airplanes: Except as provided in paragraphs (b) and
(c) of this AD, within 24 hours after receipt of telegraphic AD T94-
25-51, incorporate the following information into the Limitations
Section of the FAA-approved AFM. This may be accomplished by
inserting a copy of this AD in the AFM.
``(1) Operation of the airplane into forecast or reported icing
conditions, as such conditions are defined in the AFM, is
prohibited.
``(2) Use of the autopilot is prohibited during inadvertent
flight in icing conditions, as defined in the AFM, or when the
airplane is operated in moderate or greater turbulence.
``(3) If any unusual lateral trim situations are observed, such
as excessive trim displacement; illumination of the message `RETRIM
ROLL R WING DN' or `RETRIM ROLL L WING DN' on the advisory display
unit (ADU); illumination of the message `AILERON MISTRIM' on the
ADU; or abnormal flight characteristics of the airplane: Disconnect
the autopilot and manually fly the airplane prior to adjusting the
lateral trim. The autopilot may be re-engaged following manual
adjustment of the lateral trim.''
(b) For Model ATR-42 series airplanes: Within 6 months after the
effective date of this AD, accomplish the requirements of paragraph
(b)(1), (b)(2), (b)(3), and (b)(4) of this AD. Accomplishment of the
requirements of this paragraph constitutes terminating action for
the requirements of paragraph (a) of this AD.
(1) Modify the deicing boots on the leading edges of the wing by
accomplishing Aerospatiale Modification 4216 (during retrofit) or
4222 (during production) in accordance with Aerospatiale Service
Bulletin ATR42-30-0059, Revision 1, dated April 10, 1995.
(2) Insert ATR-42 AFM Temporary Revision 20, dated May 1995,
into the Limitations Section of the FAA-approved AFM. Once inserted,
the AFM revision required by AD 95-02-51 may be removed from the
AFM.
Note 2: This may be accomplished by inserting copies of
Temporary Revision 20 in the AFM. When these temporary revisions
have been incorporated into general revisions of the AFM, the
general revisions may be inserted in the AFM, provided the
information contained in the general revisions is identical to that
specified in Temporary Revision 20.
(3) Establish an FAA-approved system to provide forecasts and
reports of freezing rain and freezing drizzle at enroute altitudes
along the route of flight and at all airports considered in the
flight planning process. Training concerning the use of these icing
forecasts and reports shall be accomplished at intervals not to
exceed one year in accordance with Flight Standards Information
Bulletin ``ATR-42 and ATR-72 Airworthiness Directive T95-02-51
Compliance Procedures,'' dated January 11, 1995.
Note 3: Training conducted previously in compliance with the
requirements of AD 95-02-51, amendment 39-9152, may serve as initial
training for purposes of computing the training interval.
(4) Prior to flight in known or forecast icing conditions, and
thereafter at intervals not to exceed one year, conduct flight crew
training based on the revised ATR Icing Procedures Brochure
``Freezing Drizzle: Towards a Better Knowledge and a Better
Protection,'' Issue 1, dated May 11, 1995.
Note 4: Training conducted previously in compliance with the
requirements of AD 95-02-51, amendment 39-9152, may serve as initial
training for purposes of computing the training interval.
(c) For Model ATR-72 series airplanes: Within 6 months after the
effective date of this AD, accomplish the requirements of paragraph
(c)(1), (c)(2), (c)(3), (c)(4), and (c)(5) of this AD.
Accomplishment of the requirements of this paragraph constitutes
terminating action for the requirements of paragraph (a) of this AD.
(1) Modify the deicing boots on the leading edges of the wing by
accomplishing Aerospatiale Modification 4215 (during retrofit) or
4221 (during production) in accordance with Aerospatiale Service
Bulletin ATR72-30-1023, Revision 1, dated April 10, 1995.
(2) Install Aerospatiale Modification 4213, ``Flaps Extension
Inhibition Above VFE 15 deg.,'' in accordance with Aerospatiale
Service Bulletin ATR72-27-1039, dated January 12, 1995.
(3) Insert ATR-72 AFM Temporary Revision 16, dated May 1995,
into the Limitations Section of the FAA-approved AFM. Once inserted,
the AFM revision required by AD 95-02-51 may be removed from the
AFM.
Note 5: This may be accomplished by inserting copies of
Temporary Revision 16 in the AFM. When these temporary revisions
have been incorporated into general revisions of the AFM, the
general revisions may be inserted in the AFM, provided the
[[Page 53888]]
information contained in the general revisions is identical to that
specified in Temporary Revision 16.
(4) Establish an FAA-approved system to provide forecasts and
reports of freezing rain and freezing drizzle at enroute altitudes
along the route of flight and at all airports considered in the
flight planning process. Training concerning the use of these icing
forecasts and reports shall be accomplished at intervals not to
exceed one year in accordance with Flight Standards Information
Bulletin ``ATR-42 and ATR-72 Airworthiness Directive T95-02-51
Compliance Procedures,'' dated January 11, 1995.
Note 6: Training conducted previously in compliance with the
requirements of AD 95-02-51, amendment 39-9152, may serve as initial
training for purposes of computing the training interval.
(5) Prior to flight in known or forecast icing conditions, and
thereafter at intervals not to exceed one year, conduct flight crew
training based on the revised ATR Icing Procedures Brochure
``Freezing Drizzle: Towards a Better Knowledge and a Better
Protection,'' Issue 1, dated May 11, 1995.
Note 7: Training conducted previously in compliance with the
requirements of AD 95-02-51, amendment 39-9152, may serve as initial
training for purposes of computing the training interval.
(d) An alternative method of compliance or adjustment of the
compliance time that provides an acceptable level of safety may be
used if approved by the Manager, Standardization Branch, ANM-113,
FAA, Transport Airplane Directorate. Operators shall submit their
requests through an appropriate FAA Principal Operations Inspector,
who may add comments and then send it to the Manager,
Standardization Branch, ANM-113.
Note 8: Information concerning the existence of approved
alternative methods of compliance with this AD, if any, may be
obtained from the Standardization Branch, ANM-113.
(e) Special flight permits may be issued in accordance with
sections 21.197 and 21.199 of the Federal Aviation Regulations (14
CFR 21.197 and 21.199) to operate the airplane to a location where
the requirements of this AD can be accomplished.
Issued in Renton, Washington, on October 12, 1995.
S. R. Miller,
Acting Manager, Transport Airplane Directorate, Aircraft Certification
Service.
[FR Doc. 95-25836 Filed 10-17-95; 8:45 am]
BILLING CODE 4910-13-U
Complete official Federal Register PDF
FR Doc. 95-25817 Redesignating the 27.5-29.5 GHz Frequency Band, to Reallocate the 29.5-30.0 GHz Frequency Band, to Establish Rules and Policies for Local Multipoint Distribution Service and for Fixed Satellite Services and Suite 12 Group Petition for Pioneer's Preference
[Federal Register Volume 60, Number 201 (Wednesday, October 18, 1995)]
[Proposed Rules]
[Pages 53891-53892]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-25817]
=======================================================================
-----------------------------------------------------------------------
FEDERAL COMMUNICATIONS COMMISSION
47 CFR Parts 21 and 25
[CC Docket No. 92-297; PP-22; DA 95-2033]
Redesignating the 27.5-29.5 GHz Frequency Band, to Reallocate the
29.5-30.0 GHz Frequency Band, to Establish Rules and Policies for Local
Multipoint Distribution Service and for Fixed Satellite Services and
Suite 12 Group Petition for Pioneer's Preference
agency: Federal Communications Commission.
action: Proposed Rule: Extension of Time for Filing Reply Comments.
-----------------------------------------------------------------------
summary: The Chief, International Bureau granted two motions to extend
the time for filing reply comments in the proceeding, relating to Local
Multipoint Distribution Service and Fixed Satellite Services in the 28
GHz frequency band, to October 10, 1995. The extension of time allows
all parties to respond meaningfully to the many views and technical
analyses presented in the dozens of comments file. This proceeding is
of importance to all segments of the satellite and terrestrial
communications industries that are seeking an allocation of spectrum in
the 28 GHz band and resolution of inter-service sharing issues would
serve the public interest.
[[Page 53892]]
dates: Reply comments are due by October 10, 1995.
ADDRESSES: Federal Communications Commission, Washington, D.C. 20554.
for further information contact: Jennifer Gilsenan, International
Bureau, Satellite and Radiocommunication Division, Satellite Policy
Branch, (202) 739-0736, or Kathleen Campbell, International Bureau,
Satellite and Radiocommunication Division, Satellite Policy Branch,
(202) 739-0729.
SUPPLEMENTARY INFORMATION:
Order
Adopted: September 22, 1995
Released: September 25, 1995
By the Chief, International Bureau:
1. By this Order, we grant an extension of time, until October 10,
1995, in which to file reply comments in response to the Third Notice
of Proposed Rulemaking and Supplemental Tentative Decision in CC Docket
No. 92-297 (60 FR 43740, August 23, 1995). This action is taken in
response to motions submitted by GE American Communications, Inc. (``GE
Americom'') and TRW Inc.
2. TRW indicates that an extension until October 10 would
facilitate discussion and resolution of the specific details on inter-
service sharing with other parties involved in this proceeding. GE
argues that grant of an extension would allow adequate time to consider
and respond to all issues and detailed technical exhibits submitted in
the comments, as well as alleviate time pressures on personnel who are
also preparing filings for Commission proceedings with contemporaneous
deadlines.
3. We believe that an extension of time until October 10, 1995, is
reasonable. This proceeding is of importance to all segments of the
satellite and terrestrial communications industries that are seeking
the allocation of spectrum in the 28 GHz band. Resolution of inter-
service sharing issues would serve the public interest.
4. Accordingly, pursuant to Section 0.261 of the Commission's rules
on delegation of authority, 47 CFR 0.261, GE American Communications,
Inc.'s and TRW Inc.'s motions for extension of time for filing reply
comments in the above-captioned proceeding are granted to the extent
indicated. The date for filing comments is extended until October 10,
1995, the Tuesday following the Columbus Day federal holiday.
Federal Communications Commission.
Scott Blake Harris,
Chief, International Bureau.
[FR Doc. 95-25817 Filed 10-17-95; 8:45 am]
BILLING CODE 6712-01-M
Complete official Federal Register PDF
FR Doc. 95-25816 Florida Keys National Marine Sanctuary
[Federal Register Volume 60, Number 201 (Wednesday, October 18, 1995)]
[Proposed Rules]
[Pages 53890-53891]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-25816]
=======================================================================
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DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration
15 CFR Parts 929 and 937
Florida Keys National Marine Sanctuary
AGENCY: Office of Ocean and Coastal Resource Management (OCRM),
National Ocean Service (NOS), National Oceanic and Atmospheric
Administration (NOAA), Commerce.
[[Page 53891]]
ACTION: Notice of public hearings on proposed rules.
-----------------------------------------------------------------------
SUMMARY: The OCRM is announcing the dates and places of public hearings
on a proposed rule published in the Federal Register of March 30, 1995
(60 FR 16399) concerning the Florida Keys National Marine Sanctuary.
DATES: For the dates of the hearings see the SUPPLEMENTARY INFORMATION
section.
ADDRESSES: For the locations of the hearing see the SUPPLEMENTARY
INFORMATION section.
FOR FURTHER INFORMATION CONTACT:
Ben Haskell at (305) 743-2437. Copies of the DEIS/MP and Proposed Rules
are available upon request to the Florida Keys National Marine
Sanctuary, P.O. Box 500368, Marathon, FL 33050.
SUPPLEMENTARY INFORMATION: The Florida Keys National Marine Sanctuary
was designated by Congress and the President (P.L. 101-605) on November
16, 1990 in order to protect the natural and historic resources in this
unique and significant area of our nation. The Draft Environmental
Impact Statement/Management Plan (DEIS/MP) and Proposed Rules for the
Florida Keys National Marine Sanctuary has been available for public
review since March 30, 1995. The purpose of these hearings is to
receive comments from the public on the DEIS/MP and Proposed Rules. The
comments expressed at these hearings, as well as written comments
received on the DEIS/MP and Proposed Rules, will be considered in the
preparation of the Final Environmental Impact Statement/Management Plan
(FEIS/MP) and Rules. Written comments may be submitted at these public
meetings or mailed to the Florida Keys National Marine Sanctuary, P.O.
Box 500368, Marathon, FL 33050. The comment period ends on December 31,
1995.
Date, Time and Place:
November 1, 7:00 pm: Radisson Center, Palm Room 1 & 2, 777 NW 72nd St.,
Miami, FL
November 3, 7:00 pm: Key Largo Sheraton, 97000 Overseas Highway, Key
Largo, FL
November 6, 6:00 pm: Marathon High School Cafeteria, 350 Sombrero Beach
Rd., Marathon, FL
November 7, 7:00 pm: Key West High School, 2100 Flagler Ave, Key West,
FL
November 9, 7:00 pm: Florida Marine Research Institute Auditorium, 100
Eighth Ave SE, St. Petersburg, FL
November 14, 1:00 pm: National Oceanic and Atmospheric Administration
Conference Room, 1st Floor, 1305 East West Highway, Silver Spring, MD
Public Participation: The hearings will be open to public
participation. Seats will be available on a first-come first-served
basis. Individual speakers will be given a 3 minute time limit and
organizations will be given a 5 minute time limit.
Federal Domestic Assistance Catalog Number 11.429 Marine Sanctuary
Program
Dated: October 12, 1995.
W. Stanley Wilson,
Assistant Administrator for Ocean Services and Coastal Zone Management.
[FR Doc. 95-25816 Filed 10-17-95; 8:45 am]
BILLING CODE 3510-08-M
Complete official Federal Register PDF
FR Doc. 95-25814 Advanced Television Systems
[Federal Register Volume 60, Number 201 (Wednesday, October 18, 1995)]
[Proposed Rules]
[Pages 53892-53893]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-25814]
-----------------------------------------------------------------------
FEDERAL COMMUNICATIONS COMMISSION
47 CFR Part 73
[MM Docket No. 87-268; DA 95-2137]
Advanced Television Systems
AGENCY: Federal Communications Commission.
ACTION: Proposed rule; extension of time for filing comments and reply
comments.
-----------------------------------------------------------------------
SUMMARY: The Commission, pursuant to delegated authority, grants
motions filed by the Advanced Television Committee of the Electronics
Industries Association, the Information Technology Industry Council,
and jointly by the Association of America's Public Television Stations
and the Public Broadcasting Service, and extends the time for filing
comments in response to the Fourth Further Notice of Proposed
Rulemaking and Third Notice of Inquiry issued in this proceeding. The
intended effect is to allow industry groups to form consensus opinions
for their comments.
[[Page 53893]]
DATES: Comments must be filed on or before November 15, 1995, and reply
comments must be filed on or before January 12, 1996.
ADDRESSES: Federal Communications Commission, Washington, DC 20554.
FOR FURTHER INFORMATION CONTACT: Roger Holberg, Mass Media Bureau,
Policy and Rules Division, Legal Branch, (202) 776-1653.
SUPPLEMENTARY INFORMATION:
1. On July 28, 1995, the Commission, as part of its ongoing
Advanced Television rulemaking proceeding, adopted a Fourth Further
Notice of Proposed Rulemaking and Third Notice of Inquiry (``Fourth
Further Notice``), FCC 95-315, released August 9, 1995, 60 FR 42130
(August 15, 1995). Comments on the Fourth Further Notice were due on
October 18, 1995, and reply comments on December 4, 1995.
2. On September 21, 1995, the Advanced Television Committee of the
Electronic Industries Association (``Committee'') filed a ``Motion of
the EIA/ATV Committee for Extension of Time.'' That Motion sought an
extension of the comment and reply comment deadlines until November 1,
1995, and December 18, 1995, respectively. In support of that request,
the Committee notes that, while it is sponsored by the Electronics
Industries Association (``EIA''), its membership is not limited to EIA
member companies. The current comment deadline, the Committee asserts,
coincides with the EIA's annual conference, at which the Committee is
next expected to meet. At this meeting, the Committee continues, it
will finalize its position with respect to the issues raised in the
Fourth Further Notice. The Committee does not believe that the brief
extension it requests will prejudice any party; to the contrary, it
believes that the Commission and the public will benefit ``if the
comments (it files) in this proceeding reflect the broad intra- and
inter industry consensus which the EIA/ATV Committee seeks to
develop.''
3. Subsequently, on October 4, 1995, the Information Technology
Industry Council (``ITI'') filed a request for an extension of the
comment deadline until November 29, 1995. In support, it asserts that
its membership is diverse, representing the computer, information
technology, and consumer electronics industries, and the additional
time will be necessary to determine whether a consensus exists among
ITI members on some or all of the many complex issues raised in the
Fourth Further Notice.
4. Also on October 4, 1995, the Association of America's Public
Television Stations and the Public Broadcasting Service (``Public
Television'') jointly filed a request for an extension of the comment
deadline until December 13, 1995. While it welcomes the Commission's
attention to the issue of whether to adopt special measures to
facilitate noncommercial broadcasters' conversion to ATV, Public
Television notes that this matter is also under consideration by
Congress. Public Television seeks an extended comment period to allow
its comments to reflect Congressional action, which it expects by the
middle of November.
5. We are mindful that Section 1.46 of the Commission's Rules, 47
CFR Sec. 1.46, articulates a Commission policy that extensions of time
for filing comments in rulemaking proceedings are not to be routinely
granted. Nevertheless, in the instant case, we find that good cause
exists for extending the comment and reply comment deadlines. Allowing
the various affected industry groups time to develop consensus opinions
that they would submit in comments could be most helpful to us as we
consider and resolve the many complicated issues raised in the Fourth
Further Notice. In addition, there are benefits to be derived from
affording other parties an adequate opportunity for reasoned replies to
those comments. However, we hesitate to extend the comment date until
December 13, 1995, as requested by Public Television, because we do not
want to unnecessarily delay the conclusion of this lengthy proceeding.
Parties can address any Congressional action that occurs after the
comment date we are establishing in reply comments. If necessary,
another Further Notice of Proposed Rule Making can be issued. We do not
anticipate that it will be necessary to allow a further extension of
the time to file comments or replies in response to the Fourth Further
Notice. Accordingly, we will extend both the comment and reply comment
deadlines for approximately one month.
6. Accordingly, it is ordered, that the Motion of the EIA/ATV
Committee for Extension of Time relative to the Fourth Further Notice
of Proposed Rulemaking and Third Notice of Inquiry in MM Docket No. 87-
268, is granted. It is further ordered, that the Motion of the
Information Technology Industry Council and the Request by the
Association of America's Public Television Stations and the Public
Broadcasting Service for an Extension of Time are granted to the extent
indicated herein and, in all other respects are denied.
7. It is further ordered, that the time for filing comments in the
above-captioned proceeding is extended to November 15, 1995, and the
time for filing reply comments is extended to January 12, 1996.
8. This action is taken pursuant to authority found in Sections
4(i) and 303(r) of the Communications Act of 1934, as amended, 47
U.S.C. Secs. 154(i) and 303(r), and Sections 0.204(b), 0.283 and 1.45
of the Commission's Rules, 47 CFR Secs. 0.204(b), 0.283 and 1.45.
Federal Communications Commission.
Roy J. Stewart,
Chief, Mass Media Bureau.
[FR Doc. 95-25814 Filed 10-17-95; 8:45 am]
BILLING CODE 6712-01-F
Complete official Federal Register PDF
FR Doc. 95-25805 Standard Design Certification for the U.S. Advanced Boiling Water Reactor and the System 80+ Standard Designs; Meeting
[Federal Register Volume 60, Number 201 (Wednesday, October 18, 1995)]
[Proposed Rules]
[Page 53883]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-25805]
========================================================================
Proposed Rules
Federal Register
________________________________________________________________________
This section of the FEDERAL REGISTER contains notices to the public of
the proposed issuance of rules and regulations. The purpose of these
notices is to give interested persons an opportunity to participate in
the rule making prior to the adoption of the final rules.
========================================================================
Federal Register / Vol. 60, No. 201 / Wednesday, October 18, 1995 /
Proposed Rules
[[Page 53883]]
NUCLEAR REGULATORY COMMISSION
10 CFR Part 52
Standard Design Certification for the U.S. Advanced Boiling Water
Reactor and the System 80+ Standard Designs; Meeting
AGENCY: Nuclear Regulatory Commission.
ACTION: Notice of meeting.
-----------------------------------------------------------------------
SUMMARY: The U.S. Nuclear Regulatory Commission (NRC) will conduct a
public meeting to discuss comments submitted on the proposed design
certification rules (DCRs) for the U.S. Advanced Boiling Water Reactor
(ABWR) and System 80+ Standard Designs. The applicant for certification
of the U.S. ABWR design is GE Nuclear Energy and the applicant for
certification of the System 80+ design is Combustion Engineering, Inc.
The purpose of the public meeting is to provide an opportunity to
clarify or elaborate on comments already submitted on the proposed
DCRs.
DATES: Monday, December 4, 1995, 1:00 p.m.
ADDRESSES: 11545 Rockville Pike, Rockville, Maryland 20852.
The meeting will be held in the NRC Auditorium. The NRC Auditorium
is located on an underground level between the One White Flint North
Building and the Two White Flint North Building. The NRC buildings are
located across the street from the White Flint Metro Station. The
entrance to the auditorium is located underneath the glass pyramid,
near the Two White Flint North Building.
Comments on the proposed design certification rules were received
from the Department of Energy, the Nuclear Energy Institute, Ohio
Citizens for Responsible Energy, 2 Architect-engineers, 3 reactor
vendors, and 13 utilities. These comments are available for examination
and copying at the NRC Public Document Room, 2120 L Street, NW (Lower
Level), Washington, DC, between the hours of 7:45 a.m. and 5:15 p.m. on
Federal workdays.
FOR FURTHER INFORMATION CONTACT: Jerry N. Wilson or Dino C. Scaletti,
Office of Nuclear Reactor Regulation, Mail Stop 0-11 H3, U.S. NRC,
Washington, DC 20555-0001, telephone (301) 415-3145 or (301) 415-1104,
respectively.
SUPPLEMENTARY INFORMATION: The NRC has issued two proposed DCRs
pursuant to Subpart B of 10 CFR Part 52, for comment (60 FR 17901). The
comment period for these rules ended on August 7, 1995. The NRC is
providing an opportunity to clarify and elaborate on the comments
received to date. In order to facilitate the discussion of the written
comments received on the DCRs, the NRC is holding a public meeting on
this topic. The meeting will begin at 1:00 p.m. with registration
beginning at 12:30 p.m.
Dated at Rockville, Maryland, this 11th day of October 1995.
For the Nuclear Regulatory Commission.
Theodore R. Quay,
Director, Standardization Project Directorate, Division of Reactor
Program Management, Office of Nuclear Reactor Regulation.
[FR Doc. 95-25805 Filed 10-17-95; 8:45 am]
BILLING CODE 7590-01-P
Complete official Federal Register PDF
FR Doc. 95-25778 Atlantic Striped Bass Fisheries; Public Hearings
[Federal Register Volume 60, Number 201 (Wednesday, October 18, 1995)]
[Proposed Rules]
[Pages 53906-53907]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-25778]
=======================================================================
-----------------------------------------------------------------------
[[Page 53907]]
DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration
50 CFR Part 656
[I.D. 092595C]
Atlantic Striped Bass Fisheries; Public Hearings
AGENCY: National Marine Fisheries Service (NMFS), National Oceanic and
Atmospheric Administration (NOAA), Commerce.
ACTION: Notice of additional public hearing; extension of comment
period.
-----------------------------------------------------------------------
SUMMARY: On September 29, 1995 and October 16, 1995, NMFS announced
three public hearings to receive comments from fishery participants and
other members of the public regarding proposed regulations on the
harvest and possession of striped bass in the exclusive economic zone
of the Atlantic Ocean from Maine through North Carolina.
Due to requests from the public, NMFS now announces one additional
public hearing and extends the comment deadline.
To accommodate people unable to attend a hearing or wishing to
provide additional comments, NMFS also solicits written comments on the
proposed rule.
DATES: Written comments on the proposed rule must be received on or
before November 15, 1995. The hearings are scheduled as follows:
1. October 12, 1995, 7 to 9 p.m., Manteo, NC
2. October 16, 1995, 7 to 9 p.m., Toms River, NJ
3. October 25, 1995, 7 to 9 p.m., Plymouth, MA
4. November 9, 1995, 7 to 9 p.m., Norfolk, VA
ADDRESSES: Written comments should be sent to William Hogarth, Office
of Fisheries Conservation and Management (F/CM), NMFS, 1315 East-West
Highway, Silver Spring, MD 20910. Clearly mark the outside of the
envelope ``Atlantic Striped Bass Comments.''
The hearings will be held at the following locations:
1. Manteo--North Carolina Aquarium, Roanoke Island, Manteo, NC
27954
2. Toms River--Ocean County Administration Building, 101 Hooper
Ave., Room 119, Toms River, NJ 08754
3. Plymouth--Plymouth N. High School, Obery Street, Plymouth, MA
02360
4. Norfolk--Quality Inn Lake Wright Convention Center, 6280
Northampton Blvd., Norfolk, VA 23502
FOR FURTHER INFORMATION CONTACT: William Hogarth at 301-713-2339.
SUPPLEMENTARY INFORMATION: The hearing announcements were published on
September 29, 1995 (60 FR 50540) and October 16, 1995.
A complete description of the measures, and the purpose and need
for the proposed action, is contained in the proposed rule published
September 27, 1995 (60 FR 49821), and is not repeated here. A copy of
the proposed rule may be obtained by writing (see ADDRESSES) or calling
the contact person (see FOR FURTHER INFORMATION CONTACT).
The hearings are physically accessible to people with disabilities.
Requests for sign language interpretation or other auxiliary aids for
the Norfolk, VA hearing should be directed to William Hogarth by
October 20, 1995 (see ADDRESSES).
Authority: 16 U.S.C. 1851 note.
Dated: October 12, 1995.
Richard W. Surdi,
Acting Director, Office of Fisheries Conservation and Management,
National Marine Fisheries Service.
[FR Doc. 95-25778 Filed 10-13-95; 9:16 am]
BILLING CODE 3510-22-F
Complete official Federal Register PDF
FR Doc. 95-25775 Guidelines Establishing Test Procedures for the Analysis of Pollutants: New Methods
[Federal Register Volume 60, Number 201 (Wednesday, October 18, 1995)]
[Proposed Rules]
[Pages 53988-54006]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-25775]
[[Page 53987]]
_______________________________________________________________________
Part III
Environmental Protection Agency
_______________________________________________________________________
40 CFR Part 136
Guidelines Establishing Test Procedures for the Analysis of Pollutants:
New Methods; Proposed Rule
Federal Register / Vol. 60, No. 201 / Wednesday, October 18, 1995 /
Proposed Rules
[[Page 53988]]
ENVIRONMENTAL PROTECTION AGENCY
40 CFR Part 136
[FRL-5308-4]
Guidelines Establishing Test Procedures for the Analysis of
Pollutants: New Methods
AGENCY: Environmental Protection Agency (EPA).
ACTION: Proposed rule and request for comment.
-----------------------------------------------------------------------
SUMMARY: Under the Clean Water Act, Section 304(h), EPA proposes to
amend its list of approved analytical techniques by adding new or
revised test procedures for certain metal and inorganic chemical
pollutants, by adding method citations to Table IB and by amending the
incorporation by reference section of the regulation accordingly.
EPA is also proposing to substitute reagents that are more
environmentally friendly for certain hazardous and toxic chemical
reagents currently used in certain approved methods.
In addition, EPA is proposing to withdraw approval of certain
outdated or little used analytical methods, as well as, certain methods
that require the use of hazardous or toxic reagents. For each method
that is proposed for withdrawal, one or more commonly used methods have
been previously approved.
Comments are requested on this proposed rulemaking. After
considering comments received in response to this proposal, EPA will
promulgate a final rule.
This action amends guidelines establishing test procedures for the
analysis of pollutants by adding clarifying notes to lists of approved
test procedures, by adding and updating certain method citations in
Tables IB and IC, and by amending the incorporation by reference
section of the regulation accordingly.
DATES: Comments on the proposed amendments will be accepted until
December 18, 1995.
ADDRESSES: Send written comments to the 304(h) Docket Clerk (Ben
Honaker), Water Docket (MC-4101), U.S. Environmental Protection Agency,
401 M Street, SW., Washington, DC 20460. Please submit any references
cited in your comments. EPA would appreciate an original and three
copies of your comments and enclosures (including references).
Commenters who want EPA to acknowledge receipt of their comments should
enclose a self-addressed, stamped envelope. No facsimiles (faxes) will
be accepted because EPA cannot assure that they will be submitted to
the Water Docket.
The supporting materials are available for review at the Water
Docket at the address above. For access to Docket Materials, call (202)
260-3027 between 9 am and 3:30 pm for an appointment.
FOR FURTHER INFORMATION CONTACT: Mr. James E. Longbottom, Aquatic
Research Division, National Exposure Research Laboratory, Office of
Research and Development, U.S. Environmental Protection Agency,
Cincinnati, Ohio 45268. Telephone number: (513) 569-7308.
SUPPLEMENTARY INFORMATION:
Materials in the public docket include:
``Methods for the Determination of Metals in Environmental
Samples'' Supplement I, EPA-600/R-94/111, May 1994.
``Methods for the Determination of Inorganic Substances in
Environmental Samples'', EPA-600/R-93/100, August 1993.
``Determination of Trace Elements in Water by Inductively
Coupled Plasma-Mass Spectrometry: Collaborative Study'', Journal of
AOAC-International, 77, pp. 1004-1023, 1994.
``Determination of Inorganic Anions in Water by Ion
Chromatography: Collaborative Study'', Journal of AOAC-International,
77, pp. 1253-1263, 1994.
``Ion Chromatographic Method for Dissolved Hexavalent
Chromium in Drinking Water, Ground Water, and Industrial Wastewater
Effluents: Collaborative Study'', Journal of AOAC-International, 77,
pp. 994-1004, 1994.
``Low-level Chlorine Analysis by Amperometric Titration'',
Journal of the Water Pollution Control Federation, 51, pp. 2636-2640,
1979.
A copy of the first two items can also be obtained from EPA through
a facsimile request to the Chemistry Research Branch, Aquatic Research
Division, Cincinnati, Ohio, on (513) 569-7757.
I. Authority
This regulation is proposed under authority of sections 301, 304(h)
and 501(a) of the Clean Water Act, 33 U.S.C. 1251 et seq. (the Federal
Water Pollution Control Act Amendments of 1972 as amended) (the
``Act''). Section 301 prohibits the discharge of any pollutant into
navigable waters unless the discharge complies with a NPDES permit,
issued under Section 402 of the Act. Section 304(h) of the Act requires
the Administrator of the EPA to ``promulgate guidelines establishing
test procedures for the analysis of pollutants that shall include the
factors which must be provided in any certification pursuant to section
401 of this Act or permit application pursuant to section 402 of this
Act''. Section 501(a) of the Act authorizes the Administrator to
``prescribe such regulations as are necessary to carry out his
functions under this Act''.
The use of approved test procedures or approved alternate
procedures is required whenever the waste constituent specified is
required to be measured for: an NPDES permit application; discharge
monitoring reports; state certification; and other requests from the
permitting authority for quantitative or qualitative effluent data. Use
of approved test procedures is also required for the expression of
pollutant amounts, characteristics, or properties in effluent
limitations guidelines and standards of performance and pretreatment
standards, unless otherwise specifically noted or defined.
II. Regulatory Background
The CWA establishes two principal bases for effluent limitations.
First, existing discharges are required to meet technology-based
effluent limitations. New source discharges must meet new source
performance standards based on the best demonstrated technology-based
controls. Second, where necessary, additional requirements are imposed
to assure attainment and maintenance of water quality standards
established by the States under Section 303 of the CWA. In establishing
or reviewing NPDES permit limits, EPA must ensure that permitted
discharges will not cause or contribute to a violation of water quality
standards, including designated water uses.
For use in permit applications, discharge monitoring reports, and
state certification and to ensure compliance with effluent limitations,
standards of performance, and pretreatment standards, EPA has
promulgated regulations providing nationally-approved testing
procedures at 40 CFR Part 136. Test procedures have previously been
approved for 262 different parameters. Those procedures apply to the
analysis of inorganic (metal, non-metal, mineral) and organic chemical
(including pesticides), radiological, biological, nutrient, demand,
residue, and physical parameters.
Additionally, some particular industries may discharge pollutants
for which test procedures have not been proposed and approved under 40
CFR Part 136. Under 40 CFR 122.41 permit writers may impose monitoring
[[Page 53989]]
requirements and establish test methods for pollutants for which no
approved Part 136 method exists. 40 CFR 122.41(j) (4). EPA may also
approve additional test procedures when establishing industry-wide
technology-based effluent limitations guidelines and standards as
described at 40 CFR 401.13.
The procedures for approval of alternate test procedures (ATPs) are
described at 40 CFR 136.4 and 136.5. Under these procedures the
Administrator may approve alternate test procedures for nationwide use
which are developed and proposed by any person. 40 CFR 136.4 (a).
Persons wishing to use such alternate procedures, must apply to the
State or Regional EPA permitting office [for limited approval under
136.4 (b)], and to the Director of the Environmental Monitoring Systems
Laboratory in Cincinnati [for nationwide approval under 136.4 (d)]. As
specified below, today's proposed rule would approve additional
nationwide test procedures for certain metals, anions, Cr(VI) and VOCs
in wastewater and related samples.
III. Summary of Proposed Methods
The proposed methods have been reviewed by appropriate members of
and written in the EPA Environmental Monitoring Management Council
Format.
The methods proposed for addition include new methods for:
preparation of samples for metals analysis, inductively coupled plasma/
mass spectrometry (ICP/MS), a stabilized temperature graphite furnace
atomic absorption (STGFAA) method for metals, and ion chromatography
(IC) methods for anions and for hexavalent chromium [Cr(VI)]. A revised
EPA inductively coupled plasma atomic emission spectrometry (ICP-AES)
method for metals to replace the currently approved method, and a low-
level extension of the approved method for the determination of low
level total residual chlorine are also being proposed.
Methods 200.7, 200.8, and 200.9 were approved for use in EPA's
drinking water programs at 40 CFR Part 141.23(k)(1) on December 5, 1994
(59 FR 62466). When the methods proposed today are promulgated at 40
CFR Part 136 for use in EPA's wastewater programs, these three methods
will be conformed for the two programs.
Although not part of today's proposal, the Agency's Environmental
Monitoring Management Council (EMMC) will soon propose integrated
methods for citation in several regulations, including those at Part
136. The methods include a graphite furnace atomic absorption
spectrometry method for certain metals and an inductively coupled
plasma atomic emissions spectrometry method for metals. These methods
may be included in the final rule for today's proposal.
In the interest of pollution prevention, EPA is proposing to
replace mercuric sulfate with copper sulfate in the total Kjeldahl
nitrogen methods and to permit the substitution of the AMCO-AEPA-1
Standard for the formazin standard in the turbidity method. Replacement
of these two reagents would remove hazardous or potentially
carcinogenic chemicals from use in EPA approved methods.
A. Sample Preparation for Total Recoverable Elements
EPA is proposing a new broad-purpose digestion procedure for total
recoverable elements. It has the advantage of being compatable with
several of the approved measurement techniques, which will allow
laboratories to achieve some cost savings by reducing preparations and
increasing flexibility in choosing approved analytical techniques after
digestion. This preparation procedure is a variation of the procedures
given in the previously approved EPA 200 Series Methods for ``total
recoverable'' metals published in ``Methods for Chemical Analysis of
Water and Wastes''. It utilizes the same acid combination (nitric +
hydrochloric) as the previous ``total recoverable'' procedures, but the
acid concentration has been modified by lowering the amount of
hydrochloric acid.
This sample preparation procedure has been incorporated into three
EPA Methods proposed today, including, a May 1994 revision of the
approved ICP/AES Method 200.7, a new measurement technology ICP/MS
Method 200.8, and a stabilized temperature graphite furnace automatic
absorption (GFAA) method (Method 200.9). In addition, EPA has prepared
a stand-alone version of the digestion procedure: Method 200.2 ``Sample
Preparation Procedure for Spectrochemical Determination of Total
Recoverable Elements''. EPA proposes to permit the substitution of
Method 200.2 for the digestion procedure in certain non-EPA approved
direct aspiration flame atomic absorption procedures. The digestion
procedure has been tested on various matrices using determinative
methods 200.7, 200.8 and 200.9 and has been found comparable to
previously approved NPDES preparation procedures. Method 200.2 was also
validated through interlaboratory testing in the joint EPA/AOAC
International study of Method 200.8. Each of the new EPA procedures
includes: a list of elements to which it applies, sample preservation
practices, and preparation conditions.
EPA proposes to withdraw the EPA AA direct aspiration and AA
furnace methods contained in ``Methods for Chemical Analysis of Water
and Wastes''. The methods are out of date and lack many of the
necessary instructions included in more recently produced EPA methods.
The remaining approved non-EPA methods for AA direct aspiration are
sufficiently identical to the withdrawn methods as to result in no
impact on the regulated community. The EPA furnace methods are being
replaced by EPA Method 200.9. Appendix D to this regulation, which
contains the interlaboratory measures of precision and accuracy for the
EPA methods that are being withdrawn, would also be removed by this
proposal.
B. Elemental Analysis by ICP/AES
The EPA proposes to approve the May 1994 revision of Method 200.7,
``Determination of Metals and Trace Elements in Water and Wastes by
Inductively Coupled Plasma-Atomic Emission Spectrometry'' and to cite
the revised method by reference. Accordingly, Appendix C to 40 CFR Part
136 would be deleted. The May 1994 edition of the method has been
demonstrated to produce precision and recovery for the applicable
elements that is equal to or better than that achieved by the currently
approved edition and published in Table 4 of Appendix C. The procedure
includes: A list of elements to which it applies, sample collection
practices, preparation conditions, and quality control practices. The
EMMC inductively coupled plasma-atomic emission spectrometry method
being proposed elsewhere is proposed to be interchangeable with Method
200.7 for the purposes of this regulation.
C. Elemental Analysis by ICP/MS
The Agency is proposing a new multielement test procedure, ICP/MS,
Method 200.8 ``Determination of Trace Elements in Waters and Wastes by
Inductively Coupled Plasma-Mass Spectrometry'' for the detection and
quantification of 20 metals in aqueous samples. Sample material in
solution is introduced by pneumatic nebulization into a radio-frequency
plasma where energy transfer processes cause desolvation, atomization
and ionization. The ions are extracted from the plasma through a
differentially pumped vacuum interface and separated on the basis of
their mass-to-charge ratio by a
[[Page 53990]]
quadrupole mass spectrometer having a minimum resolution capability of
1 amu peak width at 5% peak height. The ions transmitted through the
quadrupole are registered by an electron multiplier or Faraday detector
and the ion information processed by a data handling system.
Interferences relating to the technique must be identified and results
must be corrected accordingly. Such corrections must include
compensation for isobaric elemental interferences and interferences
from polyatomic ions derived from the plasma gas, reagents or sample
matrix. Instrumental drift, as well as suppressions or enhancements of
instrument response caused by the sample matrix, must be corrected by
the use of internal standardization.
The Agency developed ICP/MS Method 200.8 under a contract and in
cooperation with AOAC International jointly conducted an
interlaboratory validation study of the method. This method (May 1994)
represents the current state-of-the-art for the determination of metals
in wastewater and water related media. The method description includes
a list of the elements to which the method applies, sample collection
practices, recommended analytical conditions, quality control
practices, instrumental and method detection limits, and performance
criteria based on the interlaboratory study data.
AOAC-International has approved and published this ICP/MS method
along with the study results as AOAC-International Method 993.14. The
same method is in the final stages of the ASTM consensus process. EPA
proposes to approve the AOAC-International method, as well as, consider
approval of the ASTM ICP/MS Method if full ASTM Society acceptance is
achieved prior to final EPA rulemaking.
D. Elemental Analysis by Stabilized Temperature Platform GFAA
The May 1994 Revision of Method 200.9 ``Determination of Trace
Metals by Stabilized Temperature Graphite Furnace Atomic Absorption''
is being proposed as a replacement for the currently approved EPA
furnace methods. Method 200.9 determines elements by stabilized
temperature graphite furnace atomic absorption (STGFAA). In STGFAA, the
sample and required matrix modifier are first pipetted onto the
platform or a device which provides delayed atomization. The sample is
then dried at a relatively low temperature (120 deg.C) to
avoid spattering. Once dried, the sample is normally pretreated in a
char or ashing step which is designed to minimize the interference
effects caused by the concomitant sample matrix. After the char step,
the furnace is allowed to cool prior to atomization. The atomization
cycle is characterized by rapid heating of the furnace to a temperature
where the metal (analyte) is atomized from the pyrolytic graphite
surface. The resulting atomic cloud absorbs the element specific atomic
emission produced by a hollow cathode lamp or a electrodeless discharge
lamp.
Because the resulting absorbance usually has a nonspecific
component associated with the actual analyte absorbance, an
instrumental background correction device is necessary to subtract from
the total signal the component which is nonspecific to the analyte. In
the absence of interferences, the background corrected absorbance is
directly related to the concentration of the analyte. Interferences
relating to suppression or enhancement of instrument response caused by
the sample matrix, must be corrected by the method of standard
addition.
The method description includes a list of elements to which the
method applies, sample collection practices, recommended analytical
conditions, quality control practices, method detection limits and
performance criteria based on single laboratory study data. The EMMC
furnace atomic absorption method being proposed elsewhere is proposed
to be interchangeable with Method 200.9 for the purposes of this
regulation.
E. Anions by Ion Chromatography
EPA developed IC Method 300.0 for the following anions: Bromide,
chloride, fluoride, nitrate-N, nitrite-N, ortho-phosphate, and sulfate.
Using IC, a water sample is injected into a stream of carbonate-
bicarbonate eluent and passed through a series of ion exchangers. The
anions of interest are separated on the basis of their relative
affinities for a low capacity, strongly basic anion exchanger (guard
and separator columns). The separated anions are directed through a
hollow fiber cation exchanger membrane (fiber suppressor) or
micromembrane suppressor bathed in continuously flowing strongly acid
solution (regenerant solution). In the suppressor the separated anions
are converted to their highly conductive acid forms and the carbonate-
bicarbonate eluent is converted to weakly conductive carbonic acid. The
separated anions in their acid forms are measured by conductivity. They
are identified on the basis of retention time as compared to reference
standards. Quantitation is by measurement of peak area or peak height.
EPA, in cooperation with ASTM Committee D-19 on Water, has
conducted an interlaboratory validation study of EPA method 300.0 ``The
Determination of Inorganic Anions in Water by Ion Chromatography'',
August 1993. The method represents current state-of-the-art for
determination of the anions listed above. The method description
includes: Sample collection practices, recommended analytical
conditions, quality control practices and estimated detection limits
for the applicable analytes and performance criteria based on the
interlaboratory study data. ASTM, Standard Methods, and AOAC-
International have approved the method under their consensus systems
and have published the method in their Books of Standards. EPA also
proposes to approve the ASTM Method D-4327, as well as, Method 4110 B
published in the 18th edition of ``Standard Methods for the Examination
of Water and Wastewater'' (SMEWW) and AOAC-International Method 993.30
all of which were derived from EPA Method 300.0.
F. Cr (VI) by Ion Chromatography
Using the IC Cr(VI) Method (Method 218.6), an aqueous sample is
filtered through a 0.45 m filter and the filtrate is adjusted
to a pH of 9 to 9.5 with a buffer solution. A measured volume of sample
(50-250 l) is introduced into the ion chromatograph. A guard
column is employed to remove organics from the sample prior to
separation of Cr(VI) as CrO4-2 on an anion exchange separator
column. Cr(VI) is determined by post column derivatization with
diphenylcarbazide and passing through a low-volume flow-through cell
and detection of the colored complex with a visible lamp detector at
530 nm.
EPA, in cooperation with ASTM Committee D-19 on Water, has
conducted an interlaboratory validation study of EPA Method 218.6
``Determination of Dissolved Hexavalent Chromium in Drinking Water,
Ground Water, and Industrial Wastewater Effluents by Ion
Chromatography''. The method description includes: Sample collection
practices, recommended analytical conditions, quality control practices
and method detection limits for Cr(VI), as well as performance criteria
based on the interlaboratory study data.
ASTM, Standard Methods, and AOAC-International have approved this
method as a standard test method under their consensus systems and have
published it in their manuals of methods. EPA also proposes to approve
the ASTM Method D-5257, Standard Methods Method 3500-Cr E, and
[[Page 53991]]
Method 993.23 from the AOAC-International Official Methods of Analysis,
16th Edition. All three of these methods were derived from EPA Method
218.6.
G. Method for Determination of Low Level Residual Chlorine
EPA is proposing to additionally approve SMEWW, Method 4500-Cl E
for the detection and quantification of low levels of chlorine in
water. This method is a minor modification of the approved amperometric
Method 4500-Cl D and is capable of measuring down to 10 g/L
chlorine. Federal and State permitting authorities have requested such
a method in order to assess compliance with effluent limits based on
EPA and State water quality criteria for chlorine. Supporting
performance data for the method can be found at Journal of the Water
Pollution Control Federation, Vol. 51, pages 2636-2640 (1979), a copy
of which is included in the docket for this proposal.
H. Replacement of Mercury Catalyst in Total Kjeldahl Nitrogen Methods
Due to demonstrated toxic hazards of mercuric sulfate, and
difficulty of disposal of laboratory wastes, EPA is proposing to
replace this chemical with copper sulfate in the total Kjeldahl
Nitrogen Methods. Copper sulfate exhibits significantly less toxicity
than mercuric sulfate. The European community has already eliminated
mercuric chloride from their total nitrogen methods in favor of less
toxic catalysts.
I. EPA is proposing to amend EPA Method 180.1--Turbidity by
accepting the use of styrene divinylbenzene beads (AMCO-AEPA-1
Standard) as a substitute for the presently used formazine standard,
which is prepared from hydrazine sulfate. The AEPA-1 Standard is an
alternate to formazine in the previously approved Standard Methods,
Method 2130 B. This substitution will eliminate the need to use
hydrazine sulfate, a known carcinogen.
J. EPA is proposing to delete liquid-liquid extraction (LLE)
methods, including EPA Methods 611 and 625 and Standard Methods Method
6410 B, as approved procedures for 1,2-dichlorobenzene, 1,3-
dichlorobenzene, and 1,4-dichlorobenzene. While these compounds can be
determined by these LLE methods, due to their volatility, significant
losses can occur when using the prescribed sample collection procedures
in the LLE methods resulting in low recovery of these compounds. These
compounds are more properly analyzed by EPA Method 624 or Method 1625
(an isotope-dilution method that compensates for any evaporation
losses).
K. EPA proposes to delete extraneous method citations, including
those EPA methods that reference another source for method details and
certain older EPA methods that are readily available from another
source. Some measurement technologies are proposed for removal because
they are no longer supported by the group that authored them or they
use toxic reagents. EPA plans to provide an 18-month transition period
after final rule to permit continued use of these methods following the
practice of the drinking water program (see 59 FR 62456). These
deletions include: colorimetric methods for cadmium, lead and zinc
(dithizone), copper (neocuprione), nickel (heptoxime), nitrate-nitrite
(automated hydrazine), potassium (cobaltinitrite), vanadium (gallic
acid); AA furnace methods for gold, iridium, platinum, rhodium,
ruthenium, titanium, and zinc; flame phometric methods for potassium
and sodium; voltametry for cadmium and lead; titration (mercuric
nitrate) for chloride; and the AA chelation-extraction for total
chromium. Table IB of Part 136(a) would be further revised to reorder
and clarify footnotes and method citations.
IV. Request for Comments
The Agency requests general comments on its policy to remove or
reject methods from this regulation on the basis of pollution
prevention when comparable approved methods are available. Comments on
the specific methods removed today are also solicited, as well as,
comments on other pollution prevention changes that should be
considered by the Agency. EPA considered the elimination of the Nessler
method for Total Kjeldahl because the Nessler reagent contains 10%
mercuric iodide. However, an assessment of the data submitted by
participants in recent Water Pollution (WP) performance evaluation
studies indicated that the Nessler method is broadly used and produces
above-average data compared to the other approved methods. Further, the
Nessler method may be necessary to this regulation because it is more
sensitive than the other methods. The Agency requests comments on
whether the Nessler methods should be removed from Part 136.
V. Regulatory Requirements
A. Executive Order 12866
Under Executive Order 12866, EPA must determine whether a
regulation is ``significant'' and, therefore subject to OMB review and
the requirements of the Executive Order. EPA has determined that this
regulation is not a ``significant regulatory action'' under the terms
of Executive Order 12866 and is therefore not subject to OMB review.
This rule will not result in an effect on the economy of $100 million
or more, a significant increase in cost or prices, or any of the
effects described in the Executive Order. This proposed rule simply
specifies analytical techniques which may be used by laboratories in
measuring concentrations of certain metals and, therefore, has no
adverse economic impacts.
B. Regulatory Flexibility Act
This proposed amendment is consistent with the objectives of the
Regulatory Flexibility Act (5 U.S.C. 601 et seq.) because it will not
have a significant economic impact on a substantial number of small
entities. The procedures proposed in this rule give all laboratories
the flexibility to use the new proposed procedures or already approved
alternate procedures.
C. Paperwork Reduction Act
This proposed rule contains no requests for information activities
and, therefore, no information collection request (ICR) was submitted
to the Office of Management and Budget (OMB) for review in compliance
with the Paperwork Reduction Act, 44 U.S.C. 3501 et seq.
D. Unfunded Mandates
Under Section 202 of the Unfunded Mandates Reform Act of 1995,
signed into law on March 22, 1995, EPA must prepare a written statement
to accompany rules where the estimated costs to State, local, or tribal
governments, or to the private sector will be $100 million or more in
any one year. Under Section 205, EPA must select the most cost-
effective and least burdensome alternative that achieves the objective
of such a rule and that is consistent with statutory requirements.
Section 203 requires EPA to establish a plan for informing and advising
any small governments that may be significantly and uniquely affected
by the rule.
EPA estimates that the costs to State, local or tribal governments,
or the private sector, from this proposed rule will be far less than
$100 million. This proposed rule should have minimal impact, if any, on
the existing regulatory burden imposed on NPDES permittees required to
monitor for regulated pollutants because the proposed rule would merely
make additional options
[[Page 53992]]
available to the laboratory analyst conducting an existing approved
test method. EPA has determined that an unfunded mandates statement
therefore is unnecessary. Similarly, the methods proposed today do not
establish any regulatory requirements that might significantly or
uniquely affect small governments.
List of Subjects in 40 CFR Part 136
Environmental protection, Incorporation by reference, Water
pollution control.
Dated: October 10, 1995.
Carol M. Browner,
Administrator.
In consideration of the preceding, EPA proposes to amend part 136
of title 40 of the Code of Federal Regulations as follows:
PART 136--[AMENDED]
1. The authority citation for part 136 continues to read as
follows:
Authority: Secs. 301, 304(h), 307, and 501(a) Public Law 95-217,
Stat. 1566, et seq. (33 U.S.C. 1251 et seq. (the Federal Water
Pollution Control Act Amendments of 1972 as amended by the Clean
Water Act of 1977).
2. Section 136.3(a) is proposed to be amended by revising Table IB
to read as follows:
Sec. 136.3 Identification of test procedures.
* * * * *
[[Page 53993]]
Table IB.--List of Approved Inorganic Test Procedures
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Reference (Method No. or Page)
--------------------------------------------------------------------------------------------------------------------------------------
Parameter, Units and Method EPA\1\ AOAC-international\3\ and
Std. Methods 18th Ed. ASTM USGS\2\ others
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
1. Acidity, as CaCO3, mg/L:
Electrometric or .................... 2310 B(4a) D1067-92 ........................................ .........................
phenolphthalein endpoint.
2. Alkalinity, as CaCo3, mg/L:
Electrometric or colorimetric .................... 2320 B D1067-92 I-1030-85 973.43
titration to pH 4.5, Manual,
or.
Automated...................... \15\310.215 ............................... ............................... I-2030-85 .........................
3. Aluminum--Total\4\, mg/L:
Digestion 5,6 followed by:
AA direct aspiration....... .................... 3111 D ............................... I-3051-85 .........................
AA graphite furnace........ 200.9 3113 B ............................... ........................................ .........................
Inductively Coupled Plasma/ 200.7 3120 B ............................... ........................................ .........................
Atomic Emission
Spectrometry (ICP/AES).
Inductively Coupled Plasma/ 200.8 ............................... ............................... ........................................ 993.14
Mass Spectrometry (ICP/MS).
Direct Current Plasma .................... ............................... D4190-82(88) ........................................ Note 16
(DCP), or.
Colorimetric (Eriochrome .................... 3500-Al D ............................... ........................................ .........................
cyanine R).
4. Ammonia (as N), mg/L:
Manual, distillation (at pH 350.1 4500-NH3 B ............................... ........................................ 973.49
9.5)\7\, followed by:.
Nesslerization............. .................... 4500-NH3 C D1426-93(A) I-3520-85............................... 973.49
Titration.................. .................... 4500-NH3 E ............................... ........................................ .........................
Electrode.................. .................... 4500-NH3 F or G D1426-93(B).................... ........................................ .........................
Automated phenate, or...... 350.1 4500-NH3 H ............................... I-4523-85 .........................
Automated electrode........ .................... ............................... ............................... ........................................ Note 17
5. Antimony-Total\4\, mg/L:
Digestion5 6 followed by:
AA direct aspiration....... .................... 3111 B ............................... ........................................ .........................
AA graphite furnace........ 200.9 3113 B ............................... ........................................ .........................
ICP/AES, or................ 200.7 3120 B ............................... ........................................ .........................
ICP/MS..................... 200.8 ............................... ............................... ........................................ 993.14
6. Arsenic-Total\4\, mg/L:
Digestion5 6 followed by:
AA gaseous hydride......... .................... 3114 B 4.d D2972-93(B) I-3062-85 .........................
AA graphite furnace........ 200.9 3113 B D2972-93(C) ........................................ .........................
ICP/AES.................... 200.7 3120 B ............................... ........................................ .........................
ICP/MS, or................. 200.8 ............................... ............................... ........................................ 993.14
Colorimetric (SDDC)........ .................... ............................... D2972-93(A) I-3060-85 .........................
7. Barium--Total\4\ mg/L:
Digestion5 6 followed by:
AA direct aspiration....... .................... 3111 D ............................... I-3084-85 .........................
AA graphite furnace........ .................... 3113 B D4382-91 ........................................ .........................
ICP/AES.................... 200.7 3120 B ............................... ........................................ .........................
ICP/MS, or................. 200.8 ............................... ............................... ........................................ 993.14
DCP........................ .................... ............................... ............................... ........................................ Note 16
8. Beryllium--Total\4\, mg/L:
Digestion\5\ followed by:
AA direct aspiration....... .................... 3111 D D3645-93(A) I-3095-85 .........................
AA graphite furnace........ 200.9 3113 B D3645-93(B) ........................................ .........................
ICP/AES.................... 200.7 3120 B ............................... ........................................ .........................
ICP/MS..................... 200.8 ............................... ............................... ........................................ 993.14
DCP, or.................... .................... ............................... D4190-82(88) ........................................ Note 16
Colorimetric (aluminon).... .................... 3500-Be D ............................... ........................................ .........................
9. Biochemical oxygen demand
(BOD5), mg/L:
Dissolved Oxygen Depletion..... .................... 5210 B ............................... ........................................ 973.44, p.17\18\
[[Page 53994]]
10. Boron\8\--Total, mg/L:
Colorimetric (curcumin)........ .................... 4500-B B ............................... I-3112-85............................... .........................
ICP/AES, or.................... 200.7 3120 B ............................... ........................................ .........................
DCP............................ .................... ............................... D4190-82(88) ........................................ Note 16
11. Bromide, mg/L;
Titrimetric, or................ .................... ............................... D1246-82(88)(C) I-1125-85 p. S44\19\
Ion Chromatography............. 300.0 4110 B D4327-91....................... ........................................ 993.30
12. Cadmium--Total\4\, mg/L:
Digestion\5\,\6\ followed by:
AA direct aspiration....... .................... 3111 B or C D3557-90(A or B) I-3135-85 or I-3136-85 974.2 p. 37\18\
AA graphite furnace........ 200.9 3113 B D3557-90(D) ........................................ .........................
ICP/AES.................... 200.7 3120 B ............................... ........................................ .........................
ICP/MS, or................. 200.8 ............................... ............................... ........................................ 993.14
DCP........................ .................... ............................... D4190-82(88) ........................................ Note 16
13. Calcium--Total\4\, mg/L:
Digestion\5\ followed by:
AA direct aspiration....... .................... 3111 B D511-93(B) I-3152-85 .........................
ICP/AES.................... 200.7 3120 B ............................... ........................................ .........................
DCP, or.................... .................... ............................... ............................... ........................................ Note 16
Titrimetric (EDTA)......... .................... 3500-Ca D D511-93(A) ........................................ .........................
14. Carbonaceous biochemical oxygen .................... 5210 B ............................... ........................................ .........................
demand (CBOD\5\), mg/L\9\.
Dissolved Oxygen Depletion with
nitrification inhibitor
15. Chemical oxygen demand (COD),
mg/L:
Titrimetric, or................ 410.3\15\ 5220 B D1252-88(A) I-3560-85, I-3562-85 973.46, p. 17\18\
Spectrophotometric, manual or 410.4 5220 D D1252-88(B) I-3561-85 Notes 20, 21
automated.
16. Chloride, mg/L:
Titrimetric (silver nitrate)... 4500-Cl B D512-89(B) I-1183-85 .........................
Colorimetric, Manual, or....... .................... ............................... ............................... I-1187-85............................... .........................
Automated (Ferricyanide), .................... 4500-Cl-E ............................... I-2187-85............................... .........................
or.
Ion Chromatography............. 300.0 4110 B D4327-91 ........................................ 993.30
17. Chlorine--Total residual, mg/L:
Titrimetric: Amperometric .................... 4500-Cl D or E D1253-86(92) ........................................ .........................
direct.
Iodometric direct.......... .................... 4500-Cl B ............................... ........................................ .........................
Back titration either end- 4500-Cl C ............................... ........................................ .........................
point\10\.
DPD-FAS.................... .................... 4500-Cl F ............................... ........................................ .........................
Spectrophotometric (DPD), or... .................... 4500-Cl G ............................... ........................................ .........................
Electrode...................... .................... ............................... ............................... ........................................ Note 22
18. Chromium VI dissolved, mg/L:
0.45 micron filtration followed
by:
AA chelation-extraction.... .................... 3111 C ............................... I-1232-85 .........................
Ion Chromatography, or..... 218.6 3500-Cr E\23\ D5257-93 ........................................ 993.23
Colorimetric .................... 3500-Cr D D1687-92(A) I-1230-85 .........................
(Diphenylcarbazide).
19. Chromium--Total\4\, mg/L:
Digestion\5\,\66\ followed by:
AA direct aspiration....... .................... D1687-92(B) I-3236-85 974.27
AA graphite furnace........ 200.9 3113 B D1687-92(C) ........................................ .........................
ICP/AES.................... 200.7 3120 B......................... ............................... ........................................ .........................
ICP/MS, or................. 200.8 ............................... ............................... ........................................ 993.14
DCP........................ .................... ............................... D4190-82(88) ........................................ Note 16
Colorimetric .................... 3500-Cr D ............................... ........................................ .........................
(Diphenylcarbazide).
20. Cobalt--Total\4\, mg/L:
[[Page 53995]]
Digestion\5\ followed by:
AA direct aspiration....... .................... 3111 B or C D3558-90(A or B) I-3239-85 p.37\18\
AA graphite furnace........ 200.9 3113 B D3558-90(C) ........................................ .........................
ICP/AES.................... 200.7 3120 B ............................... ........................................ .........................
ICP/MS, or................. 200.8 ............................... ............................... ........................................ 993.14
DCP........................ .................... ............................... D4190-82(88) ........................................ Note 16
21. Color, platinum cobalt units or
dominant wavelength, hue,
luminance purity:
Colorimetric (ADMI)............ .................... 2120 E ............................... ........................................ Note 24
Colorimetric (Platinum cobalt), .................... 2120B ............................... I-1250-85............................... .........................
or.
Spectrophotometric............. .................... 2120 C ............................... ........................................ .........................
22. Copper--Total\4\, mg/L:
Digestion5,6 followed by:
AA direct aspiration....... .................... 3111 B or C D1688-90(A or B) I-3270-85 or I-3271-85 974.27p.37\18\
AA graphite furnace........ 200.9 3113 B D1688-90(C)
ICP/AES.................... 200.7 3120 B ............................... ........................................ .........................
ICP/MS..................... 200.8 ............................... ............................... ........................................ 993.14
DCP, or.................... .................... ............................... D4190-82(88) ........................................ Note 16
Colorimetric .................... ............................... ............................... ........................................ Note 25
(Bicinchoninate).
23. Cyanide--Total, mg/L:
Manual distillation\11\ with 335.4 4500-CN C D2036-91(A) ........................................ .........................
MgCl2 followed by:
Titrimetric................ .................... 4500-CN D ............................... ........................................ p.22\19\
Spectrophotometric, manual .................... 4500-CN E D2036-91(A) I-3300-85 .........................
or.
Spectrophotometric, 335.4 ............................... ............................... ........................................ .........................
automated.
24. Cyanide amenable to
chlorination, mg/L:
Manual distillation with MgCl2, .................... 4500-CN G D2036-91(B).................... ........................................ .........................
followed by titrimetric or
spectrophotometric.
25. Fluoride--Total, mg/L:
Manual distillation\7\, .................... 4500-F B ............................... ........................................ .........................
followed by:
Electrode, Manual.......... .................... 4500-F C D1179-93(B).................... ........................................ .........................
Electrode, Automated....... .................... ............................... ............................... I-4327-85 .........................
Colorimetric (SPADNS)...... .................... 4500-F D D1179-93(A) ........................................ .........................
Colorimetric (Auto .................... 4500-F-E ............................... ........................................ .........................
complexone), or.
Ion Chromatography......... 300.0 4110 B D4327-91 ........................................ 993.30
26. Gold--Total\4\, mg/L:
Digestion\5\ followed by:
AA direct aspiration, or... .................... 3111 B ............................... ........................................ .........................
DCP........................ .................... ............................... ............................... ........................................ Note 16
27. Hardness--Total, as CaCO\3\, mg/
L:
Automated colorimetric......... 130.1\15\ ............................... ............................... ........................................ .........................
Titrimetric (EDTA), or......... .................... 2340 B or C D1126-86(92) I-1338-85 973.52B
Ca plus Mg as their carbonates,
by ICP/AES, AA direct
aspiration, or DCP.
(Parameters 13 and 33).
28. Hydrogen ion (pH), pH units:
Electrometric measurement, or.. .................... 4500-H+ B D1293-84(90) (A or B) I-1586-85 973.41
Automated electrode............ 150.2\15\ ............................... ............................... ........................................ Note 26
29. Iridium--Total\4\, mg/L:
Digestion\5\ followed by:
AA direct aspiration....... .................... 3111 B ............................... ........................................ .........................
30. Iron--Total\4\, mg/L:
Digestion5,6 followed by:
AA direct aspiration....... .................... 3111 B D D1068-90(A or B) I-3381-85 974.27
AA graphite furnace........ 200.9 3113 B D1068-90(C) ........................................ .........................
ICP/AES.................... 200.7 3120 B ............................... ........................................ .........................
DCP, or.................... .................... ............................... D4190-82(88) ........................................ Note 16
Colorimetric .................... ............................... ............................... ........................................ Note 27
(Phenanthroline).
31. Kjeldahl nitrogen--Total, (as
N), mg/L:
Digestion\12\ and distillation.
[[Page 53996]]
followed by: .................... 4500-Norg B or C............... D3590-89(A) ........................................ .........................
Titration.................. .................... 4500-NH3 E D3590-89(A) ........................................ 973.48
Nesslerization, or......... .................... 4500-NH3 C D3590-89(A) ........................................ .........................
Electrode.................. .................... 4500-NH3 F or G ............................... ........................................
Colorimetric (Automated l351.1\15\ ............................... ............................... ........................................ .........................
phenate)\12\.
Semi-automated block 351.2 ............................... D3590-89(B) ........................................ .........................
digestor\12\ colorimetric, or.
Manual or block digestor\12\ .................... ............................... D3590-89(A) ........................................ .........................
potentiometric.
Block digestor, followed by: .................... ............................... ............................... ........................................ Note 28
Auto distillation and
Titration, or
Nesslerization or.............. .................... ............................... ............................... ........................................ Note 29
Flow injection gas diffusion... .................... ............................... ............................... ........................................ Note 30
32. Lead--Total\4\, mg/L:
Digestion\5\ \6\ followed by:
AA direct aspiration....... .................... 3111 B or C D3559-90(A or B) I-3399-85 974.27
AA graphite furnace........ 200.9 3113 B D3559-90(D) ........................................ .........................
ICP/AES.................... 200.7 3120 B ............................... ........................................ .........................
ICP/MS, or................. 200.8 ............................... ............................... ........................................ 993.14
DCP........................ .................... ............................... D4190-82(88) ........................................ Note 16
33. Magnesium--Total\4\, mg/L:
Digestion\5\ followed by:
AA direct aspiration....... .................... 3111 B D511-93(B) I-3447-85 974.27
ICP/AES.................... 200.7 3120 B ..........................
FR Doc. 95-25775 Guidelines Establishing Test Procedures for the Analysis of Pollutants: New Methods
..... ........................................ .........................
DCP........................ .................... ............................... ............................... ........................................ Note 16
Gravimetric................ .................... 3500-Mg D ............................... ........................................ .........................
34. Manganese--Total\4\, mg/L:
Digestion5,6 followed by:
AA direct aspiration....... .................... 3111 B D858-90(A or B) I-3454-85 974.27
AA graphite furnace........ 200.9 3113 B D858-90(C) ........................................ .........................
ICP/AES.................... 200.7 3120 B ............................... ........................................ .........................
ICP/MS..................... 200.8 ............................... ............................... ........................................ 993.14
DCP........................ .................... ............................... D4190-82(88) ........................................ Note 16
Colorimetric (Persulfate), .................... ............................... ............................... ........................................ 920.203
or.
Colorimetric (Periodate)... .................... ............................... ............................... ........................................ Note 31
35. Mercury--Total\4\, mg/L
Cold vapor, manual, or......... 245.1 3112 B D3223-91 I-3462-85 977.22
Cold vapor, automated.......... 245.2 ............................... ............................... ........................................ .........................
36. Molybdenum--Total\4\, mg/L:
Digestion\5\ followed by:
AA direct aspiration....... .................... 3111 D ............................... I-3490-85 .........................
AA graphite furnace........ .................... 3113 B ............................... ........................................ .........................
ICP/AES.................... 200.7 3120B ............................... ........................................ .........................
ICP/MS, OR................. 200.8 ............................... ............................... ........................................ 993.14
DCP........................ .................... ............................... ............................... ........................................ Note 16
37. Nickel--Total \4\, mg/L:
Digestion\5\ \6\ followed by:
AA direct aspiration....... .................... 3111 B or C D1886-90(A or B) I-3499-85 .........................
AA graphite furnace........ 200.9 3113 B D1886-90(C) ........................................ .........................
ICP/AES.................... 200.7 3120 B ............................... ........................................ .........................
ICP/MS, or................. 200.8 ............................... ............................... ........................................ 993.14
DCP........................ .................... ............................... D4190-82(88) ........................................ Note 16
38. Nitrate (as N), mg/L:
Colorimetric (Brucine sulfate). \15\352.1 ............................... ............................... ........................................ 973.50, p.28\18\
[[Page 53997]]
Ion Chromatography, or......... 300.0 4110 B D4327-91 ........................................ 993.30
Nitrate-nitrite N minus Nitrite
N (See parameters 39 and 40)
39. Nitrate-nitrite (sum as N), mg/
L:
Cadmium reduction, Manual...... .................... 4500-NO3 E D3867-90(B) ........................................ .........................
Cadmium reduction, Automated, 353.2 4500-NO3 F D3867-90(A) I-4545-85 .........................
or.
Ion Chromatography............. 300.0 4110 B D4327-91 ........................................ 993.30
40. Nitrite (as N), mg/L:
Spectrophotometric, Manual, or. .................... 4500-NO2 B ............................... ........................................ Note 32
Automated (Diazotization).. .................... ............................... ............................... I-4540-85 .........................
Cadmium reduction, Manual...... .................... 4500-NO3 E..................... D3867-90(B) ........................................ .........................
Cadmium reduction, Automated, 353.2 4500-NO3 F D3867-90(A) I-4545-85 .........................
or.
Ion Chromatography............. 300.0 4110 B D4327-91 ........................................ 993.30
41. Oil and grease--Total
recoverable, mg/L:
Gravimetric (extraction)....... 413.1 5520-B\33\ ............................... ........................................ .........................
42. Organic carbon--Total (TOC), mg/
L:
Combustion or oxidation........ .................... 5310-B,C or D D2579-93(A or B) ........................................ 973.47, p.14\35\
43. Organic nitrogen (as N), mg/L:
Total Kjeldahl N (Parameter 31)
minus ammonia N (Parameter 4)
44. Orthophosphate (as P), mg/L:
Ascorbic acid method:
Automated, or.............. 365.1 4500-P F ............................... I-4601-85 973.56
Manual single reagent...... .................... 4500-P E D515-88(A) ........................................ 973.55
Manual two reagent, or..... 365.3\15\ ............................... ............................... ........................................ .........................
Ion Chromatography............. 300.0 4110 B D4327-91 ........................................ 993.30
45. Osmium--Total,\4\ mg/L:
Digestion\5\ followed by:
AA direct aspiration, or... .................... 3111 D ............................... ........................................ .........................
AA graphite furnace........ .................... ............................... ............................... ........................................ .........................
46. Oxygen dissolved, mg/L:
Winkler (Azide modification), .................... 4500-O C D888-92(A) ........................................ 973.45B
or.
Electrode...................... .................... 4500-O G D888-92(B) ........................................ .........................
47. Palladium--Total,\4\ mg/L:
Digestion\5\ followed by:
AA direct aspiration, .................... 3111 B ............................... ........................................ p.S27\19\
AA graphite furnace, or.... .................... ............................... ............................... p.S28\19\...............................
DCP........................ .................... ............................... ............................... ........................................ Note 16
48. (Reserved)
49. Phenols, mg/L:
Manual distillation,\13\
followed by
Colorimetric (4AAP) manual, \15\420.1 ............................... ............................... ........................................ Note 35
or.
Colorimetric (4AAP) 420.4 ............................... ............................... ........................................ .........................
Automated.
50. Phosphorus (elemental), mg/L .................... ............................... ............................... ........................................ Note 36
Gas-liquid chromatography.
51. Phosphorus--Total, mg/L:
Persulfate digestion followed .................... 4500-P B,5 ............................... ........................................ 973.55
by:.
Ascorbic acid reduction, 365.3\15\ 4500-P E D515-88(A) ........................................ .........................
Manual, or.
Automated.................. 365.1 4500-P F ............................... I-4600-85............................... 973.56
Semi-automated block digestor.. .................... ............................... D515-88(B) ........................................ .........................
52. Platinum--Total\4\, mg/L;
Digestion\5\ followed by:
AA direct aspiration, or... .................... 3111 B ............................... ........................................ .........................
DCP........................ .................... ............................... ............................... ........................................ Note 16
53. Potassium--Total\4\, mg/L;
Digestion\5\ followed by:
AA direct aspiration, or... .................... 3111 B ............................... I-3630-85 973.53
ICP/AES.................... 200.7 3120 B ............................... ........................................ .........................
54. Residue--Total, mg/L:
Gravimetric, 103-105 deg....... .................... 2540 B ............................... I-3750-85 .........................
55. Residue--filterable, mg/L;
Gravimetric, 180 deg........... .................... 2540 C ............................... I-1750-85 .........................
[[Page 53998]]
56. Residue--nonfilterable (TSS),
mg/L:
Gravimetric, 103-105 deg. post .................... 2540 D ............................... I-3765-85 .........................
washing of residue.
57. Residue--settleable, mg/L:
Volumetric (Imhoff cone), or .................... 2540 F ............................... ........................................ .........................
Gravimetric.
58. Residue--Volatile, mg/L:
Gravimetric, 550 deg. C........ 160.4\15\ ............................... ............................... I-3753-85 .........................
59. Rhodium--Total\4\, mg/L:
Digestion\5\ followed by:
AA direct aspiration....... .................... 3111 B ............................... ........................................ .........................
60. Ruthenium--Total\4\, mg/L:
Digestion\5\ followed by:
AA direct aspiration....... .................... 3111 B ............................... ........................................ .........................
61. Selenium--Total\4\, mg/L:
Digestion5,6 followed by:
AA graphite furnace........ 200.9 3113 B D3859-93(B) ........................................ .........................
AA gaseous hydride......... .................... 3114 B 3859-93(A) I-3667-85 .........................
ICP/AES, or................ 200.7 3120 B ............................... ........................................ .........................
ICP/MS..................... 200.8 ............................... ............................... ........................................ 993.14
62. Silica\8\ Dissolved, mg/L:
0.45 micron filtration followed
by:
Colorimetric , Manual, or.. .................... 4500-Si D D859-88 I-1700-85 .........................
Automated .................... ............................... ............................... I-2700-85 .........................
(Molybdosilicate), or.
ICP........................ 200.7 3120 B ............................... ........................................ .........................
63. Silver--Total\4\, mg/L:
Digestion5,14 followed by:
AA direct aspiration....... .................... 3111 B or C ............................... ........................................ 974.27, p.37\18\
AA graphite furnace........ 200.9 3113 B ............................... ........................................ .........................
ICP/AES.................... 200.7 3120 B ............................... ........................................ .........................
ICP/MS, or................. 200.8 ............................... ............................... ........................................ 993.14
DCP........................ .................... ............................... ............................... ........................................ Note 16
64. Sodium--Total\4\, mg/L:
Digestion\5\ followed by:
AA direct aspiration....... .................... 3111 B ............................... I-3735-85 973.54
ICP/AES, or................ 200.7 3120 B ............................... ........................................ .........................
DCP........................ .................... ............................... ............................... ........................................ Note 16
65. Specific conductance, micromhos/
cm at 25 deg.C:
Wheatstone bridge.............. .................... 2510 B D1125-91(A) I-1780-85 973.40
66. Sulfate (as SO4), mg/L:
Colorimetric, Automated (Barium 375.1\15\ ............................... ............................... ........................................ .........................
chloranilate).
Gravimetric.................... .................... 4500-SO4-2 C or D ............................... ........................................ 925.54
Turbidimetric, or.............. .................... 4500-SO4-2 E D516-90........................ ........................................ .........................
Ion Chromatography............. 300.0 4110 B D4327-91 ........................................ 993.30
67. Sulfide (as S), mg/L:
Titrimetric (iodine), or....... .................... 4500-S-2 E ............................... I-3840-85 .........................
Colorimetric (methylene blue).. .................... 4500-S-2 D ............................... ........................................ .........................
68. Sulfite (as SO3), mg/L:
Titrimetric (iodine-iodate).... .................... 4500-SO3-2 B ............................... ........................................ .........................
69. Surfactants, mg/L:
Colorimetric (methylene blue).. .................... 5540 C D2330-88....................... ........................................ .........................
70. Temperature, deg.C:
[[Page 53999]]
Thermometric................... .................... 2550 B ............................... ........................................ Note 37
71. Thallium--Total\4\, mg/L:
Digestion\5\ followed by:
AA direct aspiration....... .................... 3111 B ............................... ........................................ .........................
AA graphite furnace........ 200.9 ............................... ............................... ........................................ .........................
ICP/AES, or................ 200.7 3120 B ............................... ........................................ .........................
ICP/MS..................... 200.8 ............................... ............................... ........................................ 993.14
72. Tin--Total\4\, mg/L:
Digestion\5\ followed by:
AA direct aspiration,...... .................... 3111 B
AA graphite furnace, or.... 200.9 3113 B.........................
ICP/AES.................... 200.7 ...............................
73. Titanium--Total\4\, mg/L:
Digestion\5\ followed by:
AA direct aspiration....... .................... 3111 D
ICP/AES, or................ 200.7
DCP........................ .................... ............................... ............................... ........................................ Note 16
74. Turbidity, NTU:
Nephelometric.................. 180.1 2130 B D1889-88(A) I-3860-85
75. Vanadium--Total\4\, mg/L:
Digestion\5\ followed by:
AA direct aspiration....... .................... 3111 D
AA graphite furnace........ .................... ............................... D3373-93
ICP/AES.................... 200.7 3120 B
ICP/MS, or................. 200.8 ............................... ............................... ........................................ 993.14
DCP........................ .................... ............................... ............................... D4190-82(88)............................ Note 16
76. Zinc--Total\4\, mg/L:
Digestion\5\,\6\ followed by:
AA direct aspiration....... .................... 3111 (B or C) D1691-90 (A or B) I-3900-85 974.27, p. 37\18\
ICP/AES.................... 200.7 3120 B
ICP/MS..................... 200.8 ............................... ............................... ........................................ 993.14
DCP, or.................... .................... ............................... D4190-82(88)................... ........................................ Note 16
Colorimetric (zincon)...... .................... 3500-Zn F ............................... ........................................ Note 38
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Table IB--Notes
\1\``Methods for the Determination of Metals in Environmental Samples'', Supplement I, EMSL-CI, EPA/600/R-94/111, May 1994; and ``Methods for the Determination of Inorganic Substances in
Environmental Samples'', EMSL-CI, EPA/600/R-93/100, August, 1993.
\2\Fishman, M. J., et al., ``Methods for Analysis of Inorganic Substances in Water and Fluvial Sediments'', U.S. Department of the Interior, Techniques of Water--Resource Investigations of the
U.S. Geological Survey (USGS), Denver, CO, Revised 1989.
\3\``Official Methods of Analysis of the Association of Official Analytical Chemists'', methods manual, 16th ed (1995).
\4\For the determination of total metals the sample is not filtered before processing and a digestion procedure is required a) to solubilize analytes in the suspended material and b) to render
the analyte available for analysis when colorimetric methods are used.
\5\For non-platform graphite furnace atomic absorption determinations a digestion using nitric acid is reguired prior to analysis. The procedure used should subject the sample to gentle, acid
refluxing and at no time should the sample be taken to dryness. For direct aspiration flame atomic absorption determinations (FLAA) a combination acid (nitric and hydrochloric acids)
digestion is preferred prior to analysis. Such a digestion is described as Method 200.2 in Supplement I of ``Methods for the Determination of Metals in Environmental Samples'' EPA-600/R-94/
111 May, 1994. However, when using the gaseous hydride technique or for the determination of certain elements such as antimony, arsenic, selenium, silver, and tin by non-EPA graphite furnace
atomic absorption methods, mercury by cold vapor atomic absorption, the noble metals and titanium by FLAA, a specific or modified sample digestion procedure may be required and in all cases
the referenced method write-up should be consulted for specific instruction and/or cautions. For analyses using inductively coupled plasma-atomic emission spectrometry (ICP-AES), the direct
current plasma (DCP) technique or the EPA spectrochemical techniques (platform furnace AA, ICP-AES, and ICP-MS) the appropriate sample digestion procedure to be used is included in the
referenced Standard Methods, ASTM, Fisons, or EPA methods, respectively.
\6\The digestion procedure ``Closed Vessel Microwave Digestion of Wastewater Samples for Determination of Metals'', CEM Corporation, P.O. Box 200, Matthews, NC 28106-0200, April 16, 1992, is
acceptable for use with any AA direct aspiration, ICP/AES, or DCP measurement system listed for this parameter. Available from the CEM Corporation.
\7\Manual distillation is not required if comparability data on representative effluent samples are on company file to show that this preliminary distillation step is not necessary; however,
manual distillation will be required to resolve any controversies.
\8\When determining boron and silica, only plastic, PFTE, or quartz labware may be used from start until completion of the analysis.
\9\Carbonaceous biochemical oxygen demand (CBOD5) must not be confused with the traditional BOD5 test which measures ``total BOD''. The addition of the nitrification inhibitor is not a
procedural option, but must be included to report the CBOD5 parameter. A discharger whose permit requires reporting the traditional BOD5 may not use a nitrification inhibitor in the
procedure for reporting the results. Only when a discharger's permit specifically states CBOD5 is required can the permittee report data using the nitrification inhibitor.
\10\The back titration method will be used to resolve controversy.
\11\When using EPA digestion procedure, must use EPA determinative procedure. When using Standard Methods digestion procedure, must use Standard Methods determinative procedure.
\12\Copper sulfate or other mercury-free catalyst shown to be effective must be used in place of mercuric sulfate in the digestion step.
[[Page 54000]]
\13\Just prior to distillation, adjust the sulfuric-acid-preserved sample to pH 4 with 1 + 9 NaOH.
\14\The digestion procedures in the approved Standard Methods direct aspiration flame atomic absorption and inductively coupled plasma-atomic emission spectrometry methods are useful for the
analysis of silver up to concentrations of 1 mg/l. However, where silver concentrations > 1 mg/L exist as an inorganic halide the referenced methods sample preparation procedures are
inadequate. For sample preparation in these situations a well-mixed representative 20 ml sample aliquot should be diluted to 100 mL by adding 40 mL each of 2 M Na2S2O3 and NaOH prior to
analysis by direct aspiration flame atomic absorption. Calibration standards should be prepared in the same manner. The approved EPA methods are useful for the analysis of silver up to
concentrations of 0.1 mg/L.
\15\``Methods for Chemical Analysis of Water and Wastes'', U.S. Environmental Protection Agency, Environmental Monitoring Systems Laboratory-Cincinnati (EMSL-CI), Cincinnati, OH, EPA-600/4-79-
020, Revised March 1983 and 1979 where applicable.
\16\``Direct Current Plasma (DCP) Optical Emission Spectrometric Method for Trace Elemental Analysis of Water and Wastes, Method AE50029'', 1986--Revised 1991, Fison Instruments, Inc., 32
Commerce Center, Cherry Hill Drive, Danvers, MA 01923.
\17\Ammonia, Automated Electrode Method, Industrial Method Number 379-75 WE, dated February 19, 1976, Bran & Luebbe (Technicon) Auto Analyzer II, Bran & Luebbe Analyzing Technologies, Inc.,
Elmsford, NY 10523.
\18\American National Standard on Photographic Processing Effluents, Apr. 2, 1975. Available from ANSI, 1430 Broadway, New York, NY 10018.
\19\``Selected Analytical Methods Approved and Cited by the United States Environmental Protection Agency'', Supplement to the Fifteenth Edition of Standard Methods for the Examination of
Water and Wastewater (1981).
\20\OIC Chemical Oxygen Demand Method Oceanography International Corporation, 512 West Loop, P.O. Box 2980, College Station, TX 77840.
\21\Chemical Oxygen Demand, Method 8000, Hach Handbook of Water Analysis, 1979, Hach Chemical Company, P.O. Box 389, Loveland, CO 80537.
\22\Orion Research Instruction Manual, Residual Chlorine Electrode Model 97-70, 1977, Orion Research Incorporated, 840 Memorial Drive, Cambridge, MA 02138.
\23\``Standard Method for the Examination of Water and Wastewater--Supplement to the 18th Edition'', 1994.
\24\National Council of the Paper Industry for Air and Stream Improvement (Inc.), Technical Bulletin 253, December 1971.
\25\Copper, Biocinchoninate Method, Method 8506, Hach Handbook of Water Analysis, 1979, Hach Chemical Company, P.O. Box 389, Loveland, CO 80537.
\26\Hydrogen ion (pH) Automated Electrode Method, Industrial Method Number 378-75WA, October 1976, Technicon AutoAnalyzer II, Technicon Industrial Systems, Tarrytown, NY 10591.
\27\Iron, 1,10-Phenanthroline Method, Method 8008, 1980, Hach Chemical Company, P.O.Box 389, Loveland, CO 80537.
\28\Nitrogen, Total Kjeldahl, Method PAI-DK01 (Block Digestion, Steam Distillation, Titrimetric Detection), revised 12/22/94, Perstop Analytical.
\29\Nitrogen, Total Kjeldahl, Method PAI-DK02 (Block Digestion, Steam Distillation, Colorimetric Detection), revised 12/22/94, Perstop Analytical.
\30\Nitrogen, Total Kjeldahl, Method PAI-DK03 (Block Digestion, Automated FIA Gas Diffusion), revised 12/22/94, Perstop Analytical.
\31\Manganese, Periodate Oxidation Method, Method 8034, Hach Handbook of Wastewater Analysis, 1979, pages 2-113 and 2-117, Hach Chemical Company, Loveland, CO 80537.
\32\Nitrogen, Nitrite, Method 8507, Hach Chemical Company, P.O. Box 389, Loveland, CO 80537.
\33\Only the trichlorotrifluoroethane extraction solvent option is approved.
\34\Wershaw, R.L., et al, ``Methods for Analysis of Organic Substances in Water'', Techniques of Water-Resources Investigation of the U.S. Geological Survey, Book 5, Chapter A3 (1972 Revised
1987), p.14.
\35\The approved method is cited in Standard Methods for the Examination of Water and Wastewater, 14th Edition. The colorimetric reaction is conducted at a pH of 10.00.2. The
approved methods are given on pp 576-81 of the 14th Edition: Method 510A for distillation, Method 510B for the manual colorimetric procedure, or Method 510C for the manual spectrophotometric
procedure.
\36\R. F. Addison and R. G. Ackman, ``Direct Determination of Elemental Phosphorus by Gas-Liquid Chromatography'', Journal of Chromatography, vol. 47, No. 3, pp. 421-426, 1970.
\37\Stevens, H. H., Ficke, J. F., and Smoot, G. F., ``Water Temperature--Influential Factors, Field Measurement and Data Presentation'', U.S. Geological Survey, Techniques of Water Resources
Investigations, Book 1, Chapter D1, 1975.
\38\Zinc, Zincon Method, Method 8009, Hach Handbook of Water Analysis, 1979, pages 2-231 and 2-333, Hach Chemical Company, Loveland, CO 80537.
[[Page 54001]]
3. Section 136.3(a) is proposed to be amended by revising entries
35-37 of Table IC to read:
136.3 Identification of Test Procedures.
* * * * *
Table 1C.--List of Approved Test Procedures For Non-Pesticide Organic Compounds
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
EPA Method Number2,7
Parameter\1\ ------------------------------------------------------------------- Standard methods 18th Ed. ASTM Other
GC GC/MS HPLC
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
* * * * * * *
35. 1,2-Dichlorobenzene............ 601,602 624, 1625................. --........................ 6220 B, 6230 B..................
36. 1,3-Dichlorobenzene............ 601,602 624, 1625................. --........................ 6220 B, 6230 B..................
37. 1,4-Dichlorobenzene............ 601,602 624, 1625................. --........................ 6220 B, 6230 B..................
* * * * * * *
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Table 1C Notes
\1\All parameters are expressed in micrograms per liter (g/L).
\2\The full text of Methods 601-613, 624, 625, 1624, and 1625, are given at Appendix A, ``Test Procedures for Analysis of Organic Pollutants,'' of this Part 136. The standardized test
procedure to be used to determine the method detection limit (MDL) for these test procedures is given at Appendix B, ``Definition and Procedure for the Determination of the Method Detection
Limit'' of this Part 136.
* * * * * * *
\7\Each Analyst must make an initial, one-time demonstration of their ability to generate acceptable precision and accuracy with Methods 601-603, 624, 625, 1624, and 1625 (See Appendix A of
this Part 136) in accordance with procedures in section 8.2 of each of these Methods. Additionally, each laboratory, on an on-going basis must spike and analyze 10% (5% for Methods 624 and
625 and 100% for Methods 1624 and 1625) of all samples to monitor and evaluate laboratory data quality in accordance with sections 8.3 and 8.4 of these Methods. When the recovery of any
parameter falls outside the warning limits, the analytical results for that parameter in the unspiked sample are suspect and cannot be reported to demonstrate regulatory compliance. Note:
These warning limits are promulgated as an ``interim final action with a request for comments.''
* * * * * * *
4. Section 136.3(b) is proposed to be amended by revising
references 1 through 38 and adding references 39 and 40 to read as
follows:
Sec. 136.3 Identification of test procedures.
* * * * *
(b) * * *
References, Sources, Costs, and Table Citations
(1) The full text of Methods 601-613, 624, 625, 1624, and 1625 are
printed in appendix A of this part 136. The full text for determining
the method detection limit when using the test procedures is given in
appendix B of this part 136. Table IC, Note 7; and Table ID, Note 2.
(2) ``Microbiological Methods for Monitoring the Environment, Water
and Wastes,'' U.S. Environmental Protection Agency, EPA-600/8-78-017,
1978. Available from: ORD Publications, CERI, U.S. Environmental
Protection Agency, Cincinnati, Ohio 45268. Table IA. Note 2.
(3) ``Methods for Chemical Analysis of Water and Wastes,'' U.S.
Environmental Protection Agency, EPA 600/4-79-020, March 1979, or
``Methods for Chemical Analysis of Water and Wastes, U.S. Environmental
Protection Agency, EPA-600/4-79-020, Revised March 1983. Available
from: ORD Publications, CERI, U.S. Environmental Protection Agency,
Cincinnati, Ohio 45268. Table IB, Note 15.
(4) ``Methods for Benzidine, Chlorinated Organic Compounds,
Pentachlorophenol and Pesticides in Water and Wastewater,'' U.S.
Environmental Protection Agency, 1978. Available from: ORD
Publications, CERI, U.S. Environmental Protection Agency, Cincinnati,
Ohio 45268, Table IC, Note 3; Table D, Note 3.
(5) ``Prescribed Procedures for Measurement of Radioactivity in
Drinking Water,'' U.S. Environmental Protection Agency, EPA-600/4-80-
032, 1980. Available from: ORD Publications, CERI, U.S. Environmental
Protection Agency, Cincinnati, Ohio 45268, Table IE, Note 1.
(6) ``Standard Methods for the Examination of Water and
Wastewater'', Joint Editorial Board, American Public Health
Association, American Water Works Association, and Water Environment
Federation, 18th Edition, 1992. Available from: American Public Health
Association, 1015 Fifteenth Street, NW., Washington, DC 20005, Cost
$160.00. Table IA, IB, IC, ID and IE.
(7) (Reserved)
(8) Ibid, 14th Edition, 1975. Table IB, Note 35.
(9) ``Selected Analytical Methods Approved and Cited by the United
States Environmental Protection Agency Supplement to the 15th Edition
of Standard Methods for the Examination of Water and Wastewater, 1981.
Available from: American Public Health Association, 1015 Fifteenth
Street NW., Washington, DC 20036. Cost available from publisher. Table
IB, Note 19; Table IC, Note 6; Table ID, Note 6.
(10) ``Annual Book of Standards--Water and Environmental
Technology'', Section 11, Parts 11.01 Water (I) and 11.02 Water (II),
American Society for Testing and Materials, 1994. 1916 Race Street,
Philadelphia, PA 19103. Cost available from publisher. Tables IB, IC,
ID, and IE.
(11) ``Methods for Collection and Analysis of Aquatic Biological
and Microbiological Samples,'' edited by Britton, L.J. and P.E.
Greason, Techniques of Water Resources Investigations, of the U.S.
Geological Survey, Book 5, Chapter A4 (1989). Available from: U.S.
Geological Survey, Denver Federal Center, Box 25425, Denver, CO 80225.
Cost: $9.25 (subject to change). Table IA.
(12) ``Methods for Determination of Inorganic Substances in Water
and Fluvial Sediments,'' by M.J. Fishman and Linda C. Friedman,
Techniques of Water-Resources Investigations of the U.S. Geological
Survey, Book 5 Chapter A1 (1989). Available from: U.S. Geological
Survey, Denver Federal Center, Box 25425, Denver, CO 80225. Cost
$108.75 (subject to change). Table IB, Note 2.
(13) (Reserved)
(14) ``Methods for the Determination of Organic Substances in Water
and Fluvial Sediments, Wershaw, R.L., et al., Techniques of Water-
Resources
[[Page 54002]]
Investigations of the U.S. Geological Survey, Book 5, Chapter A3
(1987). Available from: U.S. Geological Survey, Denver Federal Center,
Box 25425. Cost: $0.90 (subject to change). Table IB, Note 34, Table
ID, Note 4.
(15) ``Water Temperature-Influential Factors, Field Measurement and
Data Presentation,'' by H.H. Stevens, Jr., J. Ficke, and G.F. Smoot,
Techniques of Water Resources Investigations of the U.S. Geological
Survey, Book 1, Chapter D1, 1975. Available from: U.S. Geological
Survey, Denver Federal Center, Box 25425, Denver, CO 80225, Cost: $1.60
(subject to change). Table IB, Note 37.
(16) ``Selected Methods of the U.S. Geological Survey of Analysis
of Wastewaters, by M.J. Fishman and Eugene Brown; U.S. Geological
Survey Open File Report 76-77 (1976). Available from: U.S. Geological
Survey, Branch of Distribution, 1200 South Eads Street, Arlington, VA
22202. Cost: $13.50 (subject to change). Table IE, Note 2.
(17) ``Official Methods of Analysis of AOAC-International'', 16th
Edition (1995). Price: $359.00. Available from: AOAC-International,
1970 Chain Bridge Rd., Dept. 0742, McLean, VA 22109-0742. Table IB,
Note 3.
(18) ``American National Standard on Photographic Processing
Effluents,'' April 2, 1975. Available from: American National Standards
Institute, 1430 Broadway, New York, New York 10018. Table IB, Note 18.
(19) ``An Investigation of Improved Procedures for Measurement of
Mill Effluent and Receiving Water Color, NCASI Technical Bulletin No.
253, December 1971. Available from: National Council of the Paper
Industry for Air and Stream Improvements, Inc., 260 Madison Avenue, New
York, NY 10016. Cost available from publisher. Table IB, Note 24.
(20) Ammonia, Automated Electrode Method, Industrial Method Number
379-75WE, dated February 19, 1976. Technicon Auto Analyzer II. Method
and price available from Technicon Industrial Systems, Tarrytown, New
York 10591. Table IB, Note 17.
(21) Chemical Oxygen Demand, Method 8000, Hach Handbook of Water
Analysis, 1979. Method price available from Hach Chemical Company, P.O.
Box 389, Loveland, Colorado 80537. Table IB, Note 21.
(22) OIC Chemical Oxygen Demand Method, 1978. Method and price
available from Oceanography International Corporation, 512 West Loop,
P.O. Box 2980, College Station, Texas 77840. Table IB, Note 20.
(23) ORION Research Instruction Manual, Residual Chlorine Electrode
Model 97-70, 1977. Method and price available from ORION Research
Incorporation, 840 Memorial Drive, Cambridge, Massachusetts 02138.
Table IB, Note 22.
(24) Bicinchoninate Method for Copper. Method 8506, Hach Handbook
of Water Analysis, 1979. Method and price available from Hach Chemical
Company, P.O. Box 300, Loveland, Colorado 80537. Table IB, Note 25.
(25) Hydrogen Ion (pH) Automated Electrode Method, Industrial
Method Number 378-75WA. October 1976. Bran & Luebbe (Technicon) Auto
Analyzer II. Method and price available from Bran & Luebbe Analyzing
Technologies, Inc. Elmsford, N.Y. 10523. Table IB, Note 26.
(26) 1,10-Phenanthroline Method using FerroVer Iron Reagent for
Water, Hach Method 8008, 1980. Method and price available from Hach
Chemical Company, P.O. Box 389, Loveland, Colorado 80537. Table IB,
Note 27.
(27) Periodate Oxidation Method for Manganese, Method 8034, Hach
Handbook for Water Analysis, 1979. Method and price available from Hach
Chemical Company, P.O. Box 389, Loveland, Colorado 80537. Table IB,
Note 31.
(28) Nitrogen, Nitrite-Low Range, Diazotization Method for Water
and Wastewater, Hach Method 8507, 1979. Method and price available from
Hach Chemical Company, P.O. Box 389, Loveland, Colorado 80537. Table
IB, Note 32.
(29) Zincon Method for Zinc, Method 8009, Hach Handbook for Water
Analysis, 1979. Method and price available from Hach Chemical Company,
P.O. Box 389, Loveland, Colorado 80537. Table IB, Note 38.
(30) ``Direct Determination of Elemental Phosphorus by Gas-Liquid
Chromatography,'' by R.F. Addison and R.G. Ackman, Journal of
Chromatography, Volume 47, No. 3, pp. 421-426, 1970. Available in most
public libraries. Back volumes of the Journal of Chromatography are
available from Elsevier/North-Holland,Inc., Journal Information Center,
52 Vanderbilt Avenue, New York, NY 10164. Cost available from
publisher, Table IB, Note 36.
(31) ``Direct Current Plasma (DCP) Optical Emission Spectrometric
Method for Trace Elemental Analysis of Water and Wastes'', Method AES
0029, 1986-Revised 1991. Fison Instruments, Inc., 32 Commerce Center,
Cherry Hill Drive, Danvers, MA 01923. Table IB, Note 16.
(32) ``Closed Vessel Microwave Digestion of Wastewater Samples for
Determination of Metals, CEM Corporation, P.O. Box 200, Matthews, North
Carolina 28106-0200, April 16, 1992. Available from the CEM
Corporation. Table IB, Note 6.
(33) Reserved.
(34) ``Organochlorine Pesticides and PCB's in Wastewater Using
EmporeTM Disk'', Test Method 3M 0222, Revised 10/28/94. 3M
Corporation, 3M Center Building 220-9E-10, St. Paul, MN 55144-1000.
Method available from 3M Corporation. Tables IC and ID, Note 9.
(35) ``Nitrogen, Total Kjeldahl, Method PAI-DK01 (Block Digestion,
Steam Distillation, Titrimetric Detection)'', revised 12/22/94, Perstop
Analytical. Method available from Perstorp Analytical Corporation, P.O.
Box 648, Wilsonville, OR 97070. Table IB, Note 28.
(36) ``Nitrogen, Total Kjeldahl, Method PAI-DK02 (Block Digestion,
Steam Distillation, Colorimetric Detection)'', revised 12/22/94,
Perstop Analytical. Method available from Perstorp Analytical
Corporation, P.O. Box 648, Wilsonville, OR 97070. Table IB, Note 29.
(37) ``Nitrogen, Total Kjeldahl, Method PAI-DK03 (Block Digestion,
Automated FIA Gas Diffusion)'', revised 12/22/94, Perstop Analytical.
Method available from Perstorp Analytical Corporation, P.O. Box 648,
Wilsonville, OR 97070. Table IB, Note 30.
(38) Methods for the Determination of Metals in Environmental
Samples, Environmental Monitoring Systems Laboratory, Office of
Research and Development, U.S. Environmental Protection Agency,
Cincinnati, OH 45268, EPA 600 R-94/111, May 1994. Table IB, Notes 1 and
5.
(39) ``Methods for the Determination of Inorganic Substances in
Environmental Samples'', Environmental Monitoring Systems Laboratory,
Office of Research and Development, U.S. Environmental Protection
Agency, Cincinnati, OH 45268, Revised EPA 600 R-93/100 August 1993.
Table IB, Note 1.
(40) ``Standard Methods for the Examination of Water and
Wastewater'', American Public Health Association, American Water Works
Association, Water Environment Federation, 18th Edition Supplement,
1994. Table IB, Note 23.
5. Section 136.3 (e) is proposed to be amended by revising Table II
to read as follows:
136.3 Identification of test procedures.
* * * * *
(e) * * *
[[Page 54003]]
Table II.--Required Containers, Preservation Techniques, and Holding Times
----------------------------------------------------------------------------------------------------------------
Test procedure table parameter Maximum holding
number/name Container\1\ Preservation procedure\2\-\4\ time\5\
----------------------------------------------------------------------------------------------------------------
Table IA--Biological Tests
----------------------------------------------------------------------------------------------------------------
1. Coliform (fecal)............. P,G a,b\6\ 6 hours.
2. Coliform (fecal), Pres. of P,G a,b\6\ 6 hours.
chlorine.
3. Coliform (total)............. P,G a,b\6\ 6 hours.
4. Coliform (total), Pres. of P,G a,b\6\ 6 hours.
chlorine.
5. Fecal streptococci........... P,G a,b\6\ 6 hours.
----------------------------------------------------------------------------------------------------------------
Table IB--Inorganic Tests
----------------------------------------------------------------------------------------------------------------
1. Acidity...................... P,G a 14 days.
2. Alkalinity................... P,G a 14 days.
3. Aluminum\7\.................. P,G c 6 months.
4. Ammonia...................... P,G a,d 28 days.
5. Antimony\7\.................. P,G c 6 months.
6. Arsenic\7\................... P,G c 6 months.
7. Barium\7\.................... P,G c 6 months.
8. Beryllium\7\................. P,G c 6 months.
9. Biochemical oxygen demand P,G a 48 hours.
(BOD).
10. Boron\7\.................... P,G c 6 months.
11. Bromide..................... P,G e 28 days.
12. Cadmium\7\.................. P,G c 6 months.
13. Calcium\7\.................. P,G c 6 months.
14. Carbonaceous biochemical P,G a 48 hours.
oxygen demand (CBOD).
15. Chemical oxygen demand (COD) P,G a,d 28 days.
16. Chloride.................... P,G e 28 days.
17. Chlorine.................... P,G e Immediate.
18. Chromium VI (dissolved)..... P,G a 24 hours.
19. Chromium\7\................. P,G c 6 months.
20. Cobalt\7\................... P,G c 6 months.
21. Color....................... P,G a 48 hours.
22. Copper\7\................... P,G c 6 months.
23. Cyanide..................... P,G a,f\6\,g 14 days.\8\
24. Cyanide amenable............ P,G a,f\6\,g 14 days.\8\
25. Fluoride.................... P e 28 days.
26. Gold\7\..................... P,G c 6 months.
27. Hardness.................... P,G c or d 6 months.
28. Hydrogen ion (pH)........... P,G e Immediate.
29. Iridium\7\.................. P,G c 6 months.
30. Iron\7\..................... P,G c 6 months.
31. Kjeldahl nitrogen........... P,G a,d 28 days.
32. Lead\7\..................... P,G c 6 months.
33. Magnesium\7\................ P,G c 6 months.
34. Manganese\7\................ P,G c 6 months.
35. Mercury..................... P,G c 28 days.
36. Molybdenum\7\............... P,G c 6 months.
37. Nickel\7\................... P,G c 6 months.
38. Nitrate..................... P,G a 48 hours.
39. Nitrate-nitrite............. P,G a,d 28 days.
40. Nitrite..................... P,G a 48 hours.
41. Oil and grease.............. G a; d or h 28 days.
42. Organic carbon..............
FR Doc. 95-25775 Guidelines Establishing Test Procedures for the Analysis of Pollutants: New Methods
P,G a; d or h or i 28 days.
43. Organic nitrogen............ P,G a,d 28 days.
44. Orthophosphate.............. P,G a,j 48 hours.
45. Osmium\7\................... P,G c 6 months.
46. Oxygen, dissolved:
By probe.................... G e Immediate.
By winkler.................. G bottle and top k 8 hours. 4
47. Palladium\7\................ P,G c 6 months.
48. (Reserved).................. ........................ .............................. ....................
49. Phenols..................... G a,d 28 days.
50. Phosphorus (elemental)...... G a 48 hours.
51. Phosphorus.................. P,G a,d 28 days.
52. Platinum\7\................. P,G c 6 months.
53. Potassium\7\................ P,G c 6 months.
54. Residue, total.............. P,G a 7 days.
55. Residue, filterable......... P,G a 7 days.
56. Residue, nonfilterable (TSS) P,G a 7 days.
57. Residue, settleable......... P,G a 48 hours.
58. Residue, Volatile........... P,G a 7 days.
[[Page 54004]]
59. Rhodium\7\.................. P,G c 6 months.
60. Ruthenium\7\................ P,G c 6 months.
61. Selenium\7\................. P,G c 6 months.
62. Silica\7\................... P a 28 days.
63. Silver\7\................... P,G c 6 months.
64. Sodium\7\................... P,G c 6 months.
65. Specific conductance........ P,G a 28 days.
66. Sulfate..................... P,G a 28 days.
67. Sulfide..................... P,G a,l,m 7 days.
68. Sulfite..................... P,G e Immediate.
69. Surfactants................. P,G a 48 hours.
70. Temperature................. P,G e Immediate.
71. Thallium\7\................. P,G c 6 months.
72. Tin\7\...................... P,G c 6 months.
73. Titanium\7\................. P,G c 6 months.
74. Turbidity................... P,G a 48 hours.
75. Vanadium\7\................. P,G c 6 months.
76. Zinc\7\..................... P,G c 6 months.
----------------------------------------------------------------------------------------------------------------
Table IC--Non-Pesticide Organic Compounds\9\,\10\
----------------------------------------------------------------------------------------------------------------
1. Acenaphthene................. G,T a,b\6\,n 7 days.\11\
2. Acenaphthylene............... G,T a,b\6\,n 7 days.\11\
3. Acrolein..................... G,T a,o\6\,p 14 days.\12\
4. Acrylonitrile................ G,T a,o\6\ 14 days.
5. Anthracene................... G,T a,b\6\,n 7 days.\11\
6. Benzene...................... G,T a,h,o\6\ 14 days.
7. Benzidine.................... G,T a,b\6\,\13\ 7 days.\14\
8. Benzo(a)anthracene........... G,T a,b\6\,n 7 days.\11\
9. Benzo(a)pyrene............... G,T a,b\6\,n 7 days.\11\
10. Benzo(b)fluoranthene........ G,T a,b\6\,n 7 days.\11\
11. Benzo(g,h,i)perylene........ G,T a,b\6\,n 7 days.\11\
12. Benzo(k)fluoranthene........ G,T a,b\6\,n 7 days.\11\
13. Benzyl chloride............. G,T a,o\6\ 14 days.
14. Benzyl butyl phthalate...... G,T a 7 days.\11\
15. Bis(2-chloroethoxy) methane. G,T a,b\6\ 7 days.\11\
16. Bis(2-chloroethyl) ether.... G,T a,b\6\ 7 days.\11\
17. Bis(2-ethylhexyl) phthalate. G,T a 7 days.\11\
18. Bromodichloromethane........ G,T a,o\6\ 14 days.
19. Bromoform................... G,T a,o\6\ 14 days.
20. Bromomethane................ G,T a,o\6\ 14 days.
21. 4-Bromophenylphenyl ether... G,T a,b\6\ 7 days.\11\
22. Carbon tetrachloride........ G,T a,o\6\ 14 days.
23. 4-Chloro-3-methylphenol..... G,T a,b\6\ 7 days.\11\
24. Chlorobenzene............... G,T a,o\6\ 14 days.
25. Chloroethane................ G,T a,o\6\ 14 days.
26. 2-Chloroethylvinyl ether.... G,T a,o\6\ 14 days.
27. Chloroform.................. G,T a,o\6\ 14 days.
28. Chloromethane............... G,T a,o\6\ 14 days.
29. 2-Chloronaphthalene......... G,T a 7 days.\11\
30. 2-Chlorophenol.............. G,T a,b\6\ 7 days.\11\
31. 4-Chlorophenylphenyl ether.. G,T a,b\6\ 7 days.\11\
32. Chrysene.................... G,T a,b\6\,n 7 days.\11\
33. Dibenzo(a,h)anthracene...... G,T a,b\6\,n 7 days.\11\
34. Dibromochloromethane........ G,T a,o\6\ 14 days.
35. 1,2-Dichlorobenzene......... G,T a,o\6\ 14 days.
36. 1,3-Dichlorobenzene......... G,T a,o\6\ 14 days.
37. 1,4-Dichlorobenzene......... G,T a,h,o\6\ 14 days.
38. 3,3-Dichlorobenzidine....... G,T a,b\6\ 7 days.\13\
39. Dichlorodifluoromethane..... G,T a,o\6\ 14 days.
40. 1,1-Dichloroethane.......... G,T a,o\6\ 14 days.
41. 1,2-Dichloroethane.......... G,T a,o\6\ 14 days.
42. 1,1-Dichloroethene.......... G,T a,o\6\ 14 days.
43. trans-1,2-Dichloroethene.... G,T a,o\6\ 14 days.
44. 2,4-Dichlorophenol.......... G,T a,b\6\ 7 days.\11\
45. 1,2-Dichloropropane......... G,T a,o\6\ 14 days.
46. cis-1,3-Dichloropropene..... G,T a,o\6\ 14 days.
47. trans-1,3-Dichloropropene... G,T a,o\6\ 14 days.
48. Diethyl phthalate........... G,T a 7 days.\11\
49. 2,4-Dimethylphenol.......... G,T a,b\6\ 7 days.\11\
50. Dimethyl phthalate.......... G,T a 7 days.\11\
[[Page 54005]]
51. Di-n-butyl phthalate........ G,T a 7 days.\11\
52. Di-n-octyl phthalate........ G,T a 7 days.\11\
53. 2,4-Dinitrophenol........... G,T a,b\6\ 7 days.\11\
54. 2,4-Dinitrotoluene.......... G,T a,b\6\,n 7 days.\11\
55. 2,6-Dinitrotoluene.......... G,T a,b\6\,n 7 days.\11\
56. Epichlorohydrin............. G,T a,o\6\ 14 days.
57. Ethylbenzene................ G,T a,h,o\6\ 14 days.
58. Fluoranthene................ G,T a,b\6\,n 7 days.\11\
59. Fluorene.................... G,T a,b\6\,n 7 days.\11\
60. Hexachlorobenzene........... G,T a 7 days.\11\
61. Hexachlorobutadiene......... G,T a 7 days.\11\
62. Hexachlorocyclopentadiene... G,T a,b\6\ 7 days.\11\
63. Hexachloroethane............ G,T a,b\6\ 7 days.\11\
64. Ideno(1,2,3-cd)pyrene....... G,T a,b\6\,n 7 days.\11\
65. Isophorone.................. G,T a,b\6\,n 7 days.\11\
66. Methylene chloride.......... G,T a,o\6\ 14 days.
67. 2-Methyl-4,6-dinitrophenol.. G,T a,b\6\ 7 days,\11\
68. Naphthalene................. G,T a,b\6\,n 7 days.\11\
69. Nitrobenzene................ G,T a,b\6\,n 7 days.\11\
70. 2-Nitrophenol............... G,T a,b\6\ 7 days.\11\
71. 4-Nitrophenol............... G,T a,b\6\ 7 days.\11\
72. N-Nitrosodimethylamine...... G,T a,b\6\,n 7 days.\11\
73. N-Nitrosodi-n-propylamine... G,T a,b\6\,n 7 days.\11\
74. N-Nitrosodiphenylamine...... G,T a,b\6\,n\15\ 7 days.\11\
75. 2,2-Oxybis(1-chloropropane). G,T a,b\6\ 7 days.\11\
76. PCB-1016.................... G,T a,b\6\ 7 days.\11\
77. PCB-1221.................... G,T a,b\6\ 7 days.\11\
78. PCB-1232.................... G,T a,b\6\ 7 days.\11\
79. PCB-1242.................... G,T a,b\6\ 7 days.\11\
80. PCB-1248.................... G,T a,b\6\ 7 days.\11\
81. PCB-1254.................... G,T a,b\6\ 7 days.\11\
82. PCB-1260.................... G,T a,b\6\ 7 days.\11\
83. Pentachlorophenol........... G,T a,b\6\ 7 days.\11\
84. Phenanthrene................ G,T a,b\6\,n 7 days.\11\
85. Phenol...................... G,T a,b\6\ 7 days.\11\
86. Pyrene...................... G,T a,b\6\,n 7 days.\11\
87. 2,3,7,8-Tetrachlorodibenzo-p- G,T a,b\6\ 7 days.\11\
dioxin.
88. 1,1,2,2-Tetrachloroethane... G,T a,o\6\ 14 days.
89. Tetrachloroethene........... G,T a,o\6\ 14 days.
90. Toluene..................... G,T a,h,o\6\ 14 days.
91. 1,2,4-Trichlorobenzene...... G,T a,o\6\ 14 days.
92. 1,1,1-Trichloroethane....... G,T a,o\6\ 14 days.
93. 1,1,2-Trichloroethane....... G,T a,o\6\ 14 days.
94. Trichloroethene............. G,T a,o\6\ 14 days.
95. Trichlorofluoromethane...... G,T a,o\6\ 14 days.
96. 2,4,6-Trichlorophenol....... G,T a,b\6\ 7 days.\11\
97. Vinyl chloride.............. G,T a,o\6\ 14 days.
----------------------------------------------------------------------------------------------------------------
Table ID--Pesticides\9\,\10\
----------------------------------------------------------------------------------------------------------------
1-70. Pesticides................ G,T a,q\16\ 7 days.\11\
----------------------------------------------------------------------------------------------------------------
Table IE--Radiologic Tests
----------------------------------------------------------------------------------------------------------------
1-5. Alpha, beta and radium..... P,G c 6 months.
----------------------------------------------------------------------------------------------------------------
Table II Notes
\1\Container abbreviations: P = Polyethylene, G = Glass and T = PTFE-lined cap or septum.
\2\Sample preservation should be performed immediately upon sample collection. For composite chemical samples
each aliquot should be preserved at the time of collection. When use of an automated sampler makes it
impossible to preserve each aliquot, then chemical samples may be preserved by maintaining at 4 deg.C until
compositing and sample splitting is completed.
\3\Procedure abbreviations:
a: Cool 4 deg.C
b: 0.008% Na2S2O3\6\
c: HNO3 to pH<2
d: H2SO4 to pH<2
e: None required
f: 0.6 g ascorbic acid\6\
g: NaOH to pH>12
h: HCl to pH<2
i: H3PO4 to pH <2
j: Filter immediately
[[Page 54006]]
k: Fix on site and store in dark
l: Add zinc acetate
m: NaOH to pH>9
n: Store in dark
o: 0.025 g ascorbic acid\6\
p: Adjust pH to 4-5\10\
q: Adjust pH to 5-9
\4\When any sample is to be shipped by common carrier or sent through the United States Mails, it must comply
with the Department of Transportation Hazardous Materials Regulations (49 CFR part 172). The person offering
such material for transportation is responsible for ensuring such compliance. For the preservation
requirements of Table II, the Office of Hazardous Materials, Materials Transportation Bureau, Department of
Transportation has determined that the Hazardous Materials Regulations do not apply to the following
materials: Hydrochloric acid (HCl) in water solutions at concentrations of 0.04% by weight or less (pH about
1.96 or greater); Nitric acid (HNO3) in water solutions at concentrations of 0.15% by weight or less (pH about
1.62 or greater); Sulfuric acid (H2SO4) in water solutions at concentrations of 0.35% by weight or less (pH
about 1.15 or greater); and Sodium hydroxide (NaOH) in water solutions at concentrations of 0.080% by weight
or less (pH about 12.30 or less).
\5\Samples should be analyzed as soon as possible after collection. The times listed are the maximum times that
samples may be held before analysis and still be considered valid. Samples may be held for longer periods only
if the permittee, or monitoring laboratory, has data on file to show that for the specific types of samples
under study, the analytes are stable for the longer time, and has received a variance from the Regional
Administrator under Sec. 136.3(e). Some samples may not be stable for the maximum time period given in the
table. A permittee, or monitoring laboratory, is obligated to hold the sample for a shorter time if knowledge
exists to show that this is necessary to maintain sample stability. See Sec. 136.3(e) for details. The term
``analyze immediately'' usually means within 15 minutes or less of sample collection.
\6\Should only be used in the presence of residual chlorine.
\7\Samples should be filtered immediately on-site before adding preservative for dissolved metals.
\8\Maximum holding time is 24 hours when sulfide is present. Optionally all samples may be tested with lead
acetate paper before pH adjustments in order to determine if sulfide is present. If sulfide is present, it can
be removed by the addition of cadmium nitrate powder until a negative spot test is obtained. The sample is
filtered and then NaOH is added to pH 12.
\9\Guidance applies to samples to be analyzed by GC, LC, or GC/MS for specific compounds.
\10\When samples are to be extracted and analyzed for multiple analytes, the most stringent preservation
procedures and shortest maximum holding times should be observed for optimum safeguard of sample integrity.
Samples extracted for a wide range of analytes may be preserved by cooling to 4 deg.C, reducing residual
chlorine with 0.008% sodium thiosulfate, storing in the dark, and adjusting the pH to 6-9; samples preserved
in this manner may be held for seven days before extraction and for forty days after extraction. Exceptions to
this optional preservation and holding time procedure are noted in footnotes 6,13, and 14.
\11\Samples must be extracted within seven days of collection. The extract must be analyzed within 40 days of
extraction.
\12\Samples for acrolein receiving no pH adjustment must be analyzed within 3 days of sampling.
\13\If 1,2-diphenylhydrazine is likely to be present, adjust the pH of the sample to 4.0 0.2 to
prevent rearrangement to benzidine.
\14\Extracts may be stored up to 7 days before analysis if storage is conducted under an inert (oxidant-free)
atmosphere.
\15\Adjust pH to 7-10 with NaOH within 24 hours of sampling.
\16\The pH adjustment may be performed upon receipt at the laboratory and may be omitted if the samples are
extracted within 72 hours of collection. For the analysis of aldrin, add 0.008% N2S2O3.
Appendices C and D--[Removed]
6. In Part 136, Appendices C and D are proposed to be removed.
[FR Doc. 95-25775 Filed 10-17-95; 8:45 am]
BILLING CODE 6560-50-P
Complete official Federal Register PDF
FR Doc. 95-25773 Freight Operations by Mexican Motor CarriersImplementation of North American Free Trade Agreement
[Federal Register Volume 60, Number 201 (Wednesday, October 18, 1995)]
[Proposed Rules]
[Pages 53894-53906]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-25773]
=======================================================================
-----------------------------------------------------------------------
INTERSTATE COMMERCE COMMISSION
49 CFR Parts 1043 and 1160
[Ex Parte No. 55 (Sub-No. 96)]
Freight Operations by Mexican Motor Carriers--Implementation of
North American Free Trade Agreement
AGENCY: Interstate Commerce Commission.
ACTION: Proposed rules.
-----------------------------------------------------------------------
SUMMARY: The purpose of this Notice is to announce implementation of
the provisions of the second phase of the North American Free Trade
Agreement (NAFTA) relating to land transportation, and to promulgate
rules and develop an application form required to carry out the
provisions. Under existing law, effective December 18, 1995, the
Commission will process applications filed by Mexican motor carriers of
property for operating authority to provide service across the United
States-Mexico international boundary line to and from points in
California, Arizona, New Mexico, and Texas, and by persons of Mexico
who establish enterprises in the United States seeking to distribute
international cargo in the United States.
DATES: Comments must be filed by November 7, 1995.
ADDRESSES: An original and 10 copies of comments referring to Ex Parte
No. 55 (Sub-No. 96) must be sent to: Interstate Commerce Commission,
Office of the Secretary, Case Control Branch, 1201 Constitution Avenue,
N.W., Washington, DC 20423.
FOR FURTHER INFORMATION CONTACT: Bernard Gaillard, (202) 927-5500 or
Stanley M. Braverman, (202) 927-6316. [TDD for the hearing impaired:
(202) 927-5721.]
SUPPLEMENTARY INFORMATION: Section 6 of the Bus Regulatory Reform Act
of 1982 (codified at 49 U.S.C. 10922(m)) imposed a 2-year moratorium
(subject to renewal) on the Commission's issuance of new grants of
operating authority to motor carriers domiciled in or owned or
controlled by persons of Mexico or Canada. Under this statute, the
President has the authority to remove or modify the moratorium if he
determines it to be in the national interest, i.e., if overriding
economic or foreign policy considerations make such an action
advisable, or if a negotiated settlement with one country or the other
can be reached. Under the moratorium, the President must notify
Congress in writing 60 days before the date on which the removal or
modification is to take effect.
Shortly after the moratorium went into effect, the President
exercised his authority and removed the moratorium with respect to
Canada. The President indicated in a memorandum to the United States
Trade Representative that the United States and Canada had reached a
bilateral understanding that would ensure fair and equitable treatment
for both U.S. and Canadian motor carriers on both sides of the
international boundary line. 47 FR 54053 (1982).
The moratorium remained in place for Mexican motor carriers because
the Mexican Government continued to restrict U.S. motor carriers'
access to Mexico. The moratorium prohibits Mexicans from seeking
operating authority that carriers of other nations can obtain.1
\1\The moratorium does not entirely bar Mexican carriers from
operating in the United States. Pursuant to the provisions of 49
U.S.C. 10922(m) and 10530, Mexican carriers may operate in the
United States, but only in United States border commercial zones,
and only pursuant to certificates of registration known as ``MX
certificates.''
---------------------------------------------------------------------------
NAFTA was signed on December 17, 1992. It ``entered into force''
(i.e., it took effect) on January 1, 1994. NAFTA contemplates that the
moratorium on Mexican motor carriers will be lifted in phases, and that
restrictions imposed by the Mexican government on U.S. carriers
operating in Mexico will be similarly relaxed.2 The phases are as
follows:
\2\The NAFTA schedule of liberalization does not remove all
limitations on Mexican motor carrier operations in the United
States. The moratorium will remain in place for Mexican carriers in
the one area that was not liberalized, namely, point-to-point
carriage of domestic cargo in the United States. This means that
Mexican property carriers will be able to operate only in
international commerce (between points in the United States and
points in Mexico), but they will not be able to engage in
transportation between points in the United States.
---------------------------------------------------------------------------
1. The first phase of NAFTA granted access to Mexican charter
and tour bus operators to provide international transportation
service between Mexico and all points in the United States;3
\3\In Passenger Operations By Mexican Carriers--NAFTA, 9
I.C.C.2d 1258 (1993), we crafted a special authorization for
international charter and tour bus service.
---------------------------------------------------------------------------
2. Three years after signature (December 17, 1995), NAFTA
provides for access by Mexican motor property carriers into United
States border States, and establishment of
[[Page 53895]]
companies to distribute international cargo within the United
States;4
\4\Because December 17, 1995 falls on a Sunday, we will begin
processing applications on Monday, December 18, 1995.
---------------------------------------------------------------------------
3. Three years after entry into force (January 1, 1997), NAFTA
provides for access by Mexican regular-route passenger carriers to
perform international service to all points in the United States;
4. Six years after entry into force, NAFTA provides for access
for cross-border operations by Mexican motor property carriers to
all points in the United States; and
5. Seven years after entry into force, NAFTA provides for bus
services by Mexican carriers between points in the United States.
Pursuant to 49 U.S.C. 10922(m)(2)(A), the President notified
Congress, on November 4, 1993, in a Statement of Administrative Action
to Implement NAFTA, of his intention to modify the moratorium in
conformity with the entry phases of NAFTA. We are thus instituting a
rulemaking proceeding, in anticipation of the President's specific
modification of the moratorium, to implement phase 2 of NAFTA, which
governs international cargo transportation between the U.S.-Mexico
international boundary and points in the four U.S. border States, as
well as the distribution and transportation of international cargo by a
Mexican-owned or controlled company based in the United States.
We will require operating certificates for private as well as for
for-hire Mexican carriers of property (including exempt
commodities),5 because the current moratorium on grants of
authority to Mexican carriers clearly includes Mexican private carriers
and carriers of exempt commodities. Indeed, the phase 2 NAFTA entry
provisions, which contemplate a partial lifting of the moratorium,
define ``truck services'' as including for-hire, private, or exempt
services. North American Free Trade Agreement, January 1, 1994, Annex
I--United States (1-U-19); see also North American Free Trade Agreement
Implementation Act (Dec. 8, 1993), Pub. L. No. 103-182, 107 Stat. 2057,
190 U.S.C.S. 3301 (1993).
\5\These certificates may be obtained through the filing of an
``OP-1MX Application form'' for Mexican carriers.
---------------------------------------------------------------------------
Because NAFTA is designed to provide simultaneous access to each
country's border States for international shipments and to allow the
establishment of carriers to carry international cargo, reciprocal
treatment in practice must be achieved. Accordingly, to guard against a
failure to adhere to the NAFTA principles of reciprocal access for U.S.
carriers in Mexico, the Commission will issue conditional grants of
authority to Mexican applicants (common carriers, contract carriers,
private carriers, household goods carriers, and companies established
to distribute international cargo within the United States). The
certificates that we issue to Mexican motor carriers will usually be
framed to authorize service:
Over irregular routes, in foreign commerce, transporting general
and exempt commodities (with the usual exceptions), between ports of
entry on the international boundary between the U.S. and Mexico, on
the one hand, and on the other, points in California, Arizona, New
Mexico, and Texas.
Condition: The duration of this grant is subject to the
condition that U.S. carriers obtain reciprocal access in Mexico.
This certificate will terminate 30 days after service of a
Commission decision finding that reciprocal access has not been
granted by Mexico.
The Commission, on its own motion or on petition by interested
persons, may initiate a proceeding to determine whether Mexico has
failed to grant reciprocal access. The U.S. Department of
Transportation (DOT) will be invited to participate in any such
proceeding. Upon a determination by the Commission that reciprocal
access in Mexico has been denied, the conditional grants of authority
to Mexican carriers would be terminated.6
\6\ Reciprocal treatment does not require the establishment of
identical entry procedures in both countries. Rather, NAFTA simply
mandates reciprocal access in the territories of both countries.
---------------------------------------------------------------------------
Petitions to invoke the termination of these grants of authority
will not be entertained in the absence of allegations of comprehensive
efforts by Mexico to deny or discourage entry into or establishment of
transportation operations within that country. All terminated grants
would be reinstated upon a finding in a subsequent proceeding that
reciprocity has been achieved.
In general, the application procedures and regulations that apply
to United States for-hire carriers will also apply to Mexican
carriers.7 For example, to be issued operating certificates in
accordance with current law, carriers must abide by all DOT safety
regulations, comply with the Commission's insurance requirements (49
U.S.C. 10927, 49 CFR Part 1043), publish and file with the Commission
applicable tariffs (49 U.S.C. 10761, 10762), and file with the
Commission agents for service of process (49 U.S.C. 10330). After
initiating service, carriers must maintain compliance with DOT's safety
fitness standards. Failure to do so will result in the revocation of
the authority.
\7\See 49 CFR Part 1160, along with the proposed amendments
required to implement phase 2 of NAFTA.
---------------------------------------------------------------------------
Attached as Appendix A is the proposed OP-1MX Application and the
instructions on how it should be completed. The application is designed
to collect information from Mexican applicants seeking operating
authority to conduct private and for-hire motor carrier cross border
operations (including the carriage of exempt commodities) into and from
the four United States border States, and for Mexican-owned or
controlled enterprises established in the United States to transport
international cargo in foreign commerce.
We believe that a separate application form designed to authorize
this phase of NAFTA service will help to avoid confusion and errors,
thereby improving the speed and efficiency of the application
processing. At the request of the Federal Highway Administration, our
application forms will alert applicants to the safety fitness
conditions imposed on all certificates by the Commission in Safety
Fitness Policy, 8 I.C.C.2d 123 (1991), and will require a certification
that the applicant can produce records demonstrating compliance with
the Federal Motor Carrier Safety Regulations and the Hazardous
Materials Transportation Regulations. Because certain Mexican carriers
may want to file ``OP-2'' Forms seeking authority to operate only in
U.S. border commercial zones under the more limited MX certificates,
rather than operating under the broader conditional licenses
contemplated here, we will continue to process requests for MX
certificates, unless Congress amends or repeals section 10530.
We will provide a short comment period to enable interested persons
to submit written views, arguments, or representations. Comments filed
with the Commission must be identified as such and must comply with the
requirements for filing pleadings specified at 49 CFR 1104.1-1104.3.
Pursuant to 5 CFR 1320.5(a)(iv)(A)(6), comments may also be filed with
the Office of Management and Budget, Office of Information and
Regulatory Affairs, Washington, D.C. 20403.
Regulatory Flexibility Act
Under the Regulatory Flexibility Act, 5 U.S.C. 601, et seq., we
have examined the impact of this proposed action on small businesses
and small organizations. We expect that the new application form
designated for Mexican applicants (Form OP-1MX), and the corresponding
regulations, will simplify and clarify the application process. Use of
the existing Form OP-1 for these new
[[Page 53896]]
applications, by contrast, would cause confusion and would require more
work on the part of Mexican carrier applicants. Therefore, the proposed
action should reduce paperwork burdens on small businesses.
Paperwork Burden Analysis
We have submitted notice of this rulemaking and the new application
Form OP-1MX, entitled Application for Operating Authority by Mexican
Carriers Provided by the North American Free Trade Agreement, to the
Office of Management and Budget (OMB) for review under Section 3504(h)
of the Paperwork Reduction Act of 1980 [44 U.S.C. Chapter 35]. The form
is designed to collect information from Mexican carriers to allow the
Commission to evaluate whether an operating authority proposal meets
the Commission's standards for granting certificates of authority.
We estimate that an average of 1.5 burden hours will be required to
complete the proposed form. The Commission estimates it will receive
approximately 18,800 applications each year for a total of 28,200
burden hours. The estimated burden hours include time for reviewing
instructions, gathering and maintaining the needed data, and completing
and reviewing the collection of information.
Environmental and Energy Considerations
We conclude that the rules proposed here will not significantly
affect either the quality of the human environment or the conservation
of energy resources.
List of Subjects
49 CFR Part 1043
Insurance, Motor Carriers, Surety Bonds.
49 CFR Part 1160
Administrative practice and procedure, Brokers, Buses, Freight
forwarders, Maritime carriers, Motor carriers, Moving of household
goods.
Decided: October 12, 1995.
By the Commission, Chairman Morgan, Vice Chairman Owen,
Commissioners Simmons and McDonald.
Vernon A. Williams,
Secretary
For the reasons set forth in the preamble, title 49, chapter X,
parts 1043 and 1160 are proposed to be amended as set forth below:
PART 1043--SURETY BONDS AND POLICIES OF INSURANCE
1. The authority citation for part 1043 continues to read as
follows:
Authority: 49 U.S.C. 10101, 10321, 11701, 10927; 5 U.S.C. 553.
Sec. 1043.1 [Amended]
2. Section 1043.1 paragraphs (a)(1) and (b) are amended as follows:
a. In paragraph (a)(1) add the words ``or foreign (Mexican) motor
private carrier or foreign motor carrier transporting exempt
commodities'' after the words ``No common or contract carrier''.
b. In paragraph (b) add the words ``nor any foreign (Mexican)
common carrier of exempt commodities'' after the words ``title 49 of
the U.S. Code''.
PART 1160--RULES GOVERNING APPLICATIONS FOR OPERATING AUTHORITY
3. The authority citation for part 1160 continues to read as
follows:
Authority: 5 U.S.C 553 and 559; 16 U.S.C. 1456; 49 U.S.C. 10101,
10305, 10321, 10921, 10922, 10923, 10924, 10928 and 11102.
4. In Sec. 1160.1 a new paragraph (h) is added to read as follows:
Sec. 1160.1 Applications governed by these rules.
* * * * *
(h) Applications for Mexican carriers to operate in foreign
commerce as common, contract or private motor carriers of property
(including exempt items) between the U.S./Mexico border, and points in
California, Arizona, New Mexico and Texas.
Sec. 1160.3 [Amended]
5. In Sec. 1160.3, paragraph (a), remove the word ``and'' after the
words ``of household goods;''; add the words ``and Form OP-1MX for
Mexican motor property carriers'' after the words ``for water
carriers''.
Sec. 1160.4 [Amended]
6. Section 1160.4, paragraphs (a)(1) and (d) are amended as
follows:
a. In paragraph (a)(1) add the words ``, Mexican motor property
carriers that perform private carriage and transport exempt items,''
after the words ``(except household goods)''.
b. In paragraph (d) introductory text add the words ``, including
Mexican carrier applicants'' after the words ``household goods
applications''.
c. In the Note at the end of Sec. 1160.4 add the words ``Form OP-
1MX for Mexican property carriers,'' after the words ``OP-1 for motor
property carriers,''.
7. In Sec. 1160.5 a new paragraph (a)(8) is added to read as
follows:
Sec. 1160.5 Commission review of the applications.
(a) * * *
(8) All applications must be completed in English.
* * * * *
Note: The following appendix will not appear in the Code of
Federal Regulations.
BILLING CODE 7035-01-P
[[Page 53897]]
Appendix A--OP-1 MX Application
[GRAPHIC][TIFF OMITTED]TP18OC95.001
[[Page 53898]]
[GRAPHIC][TIFF OMITTED]TP18OC95.002
[[Page 53899]]
[GRAPHIC][TIFF OMITTED]TP18OC95.003
[[Page 53900]]
[GRAPHIC][TIFF OMITTED]TP18OC95.004
[[Page 53901]]
[GRAPHIC][TIFF OMITTED]TP18OC95.005
[[Page 53902]]
[GRAPHIC][TIFF OMITTED]TP18OC95.006
[[Page 53903]]
[GRAPHIC][TIFF OMITTED]TP18OC95.007
[[Page 53904]]
[GRAPHIC][TIFF OMITTED]TP18OC95.008
[[Page 53905]]
[GRAPHIC][TIFF OMITTED]TP18OC95.009
[[Page 53906]]
[GRAPHIC][TIFF OMITTED]TP18OC95.010
[FR Doc. 95-25773 Filed 10-17-95; 8:45 am]
BILLING CODE 7035-01-C
Complete official Federal Register PDF
FR Doc. 95-25762 Examination of Exclusivity and Frequency Assignment Policies
[Federal Register Volume 60, Number 201 (Wednesday, October 18, 1995)]
[Proposed Rules]
[Pages 53893-53894]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-25762]
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FEDERAL COMMUNICATIONS COMMISSION
47 CFR Part 90
[PR Docket No. 92-235, DA 95-2090]
Examination of Exclusivity and Frequency Assignment Policies
AGENCY: Federal Communications Commission.
ACTION: Proposed rule; extension of comment period.
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SUMMARY: On June 15, 1995, the Commission adopted a Further Notice of
Proposed Rule Making that seeks to introduce market forces into the
private land mobile radio (PLMR) bands below 800 MHz (60 FR 37148, July
19, 1995). On September 12, 1995, the Commission granted a request from
the American Public Transit Association and granted in part and denied
in part a request from the Land Mobile Communications Council (LMCC) to
extend the comment period in the above captioned proceeding. On
September 20, 1995, LMCC Filed a petition for reconsideration of that
extension order to extend the comment period to November 20, 1995 and
the reply comment period to January 5, 1996. LMCC stated that the
additional time is necessary to develop an organized and effective
spectrum allocation plan. This order grants the requested extension of
time in which commenters have to file comments and reply comments.
DATES: Comments are to be filed on or before November 20, 1995, and
reply comments are to be filed on or before January 5, 1996.
FOR FURTHER INFORMATION CONTACT: Ira Keltz of the Wireless
Telecommunications Bureau at (202) 418-0616.
SUPPLEMENTARY INFORMATION:
Adopted: October 2, 1995.
Released: October 3, 1995.
Order Extending Comment and Reply Comment Period
By the Chief, Private Wireless Division:
[[Page 53894]]
1. On September 12, 1995, the Commission extended the comment and
reply comment period in the above-captioned proceeding in response to
motions filed by the American Public Transit Association (APTA) and the
Land Mobile Communications Council (LMCC).\1\ In that Order, the
comment date was extended from September 15, 1995, to October 16, 1995,
and the reply comment date was extended from October 16, 1995, to
November 20, 1995. This extension was consistent with the request filed
by APTA, but shorter than the LMCC request. LMCC has filed a petition
for reconsideration requesting a further extension of the comment
period to November 20, 1995, and the reply comment period to January 5,
1996.
\1\DA 95-1967, 60 Fed Reg 48490 (September 19, 1995).
---------------------------------------------------------------------------
2. LMCC states that a further extension of time is warranted in
order that the period for filing comments in this proceeding coincides
with the due date of the industry's report on radio service
consolidation.\2\ LMCC states that in order to develop an organized and
effective spectrum allocation plan, consolidation decisions must be
made in conjunction with the decisions in this proceeding.
\2\The Private Land Mobile Industry was given three months from
the effective date of the rules adopted in the Report and Order, PR
Docket No. 92-235, 60 Fed. Reg. 37152, (July 19, 1995), in which to
develop and submit a consensus plan for consolidating the twenty
private land mobile radio services.
---------------------------------------------------------------------------
3. Although we previously extended the comment period in this
proceeding by thirty days, LMCC correctly points out that additional
time is necessary because many of the issues regarding future frequency
assignment policies for the private land mobile radio services are
closely related to the issues concerning the consolidation of these
radio services. We therefore grant LMCC's request for reconsideration
to extend the time period for filing comments to and including November
20, 1995, and for filing reply comments to and including January 5,
1996. The new comment date coincides with the due date for the
industry's report on radio service consolidation.
4. Accordingly, it is hereby ordered that LMCC's request for
reconsideration to extend the deadline for filing comments in this
proceeding is granted.
5. This action is taken pursuant to the authority provided in
Section 1.46 of the Commission Rules 47 C.F.R. Sec. 1.46.
Federal Communications Commission.
Herbert W. Zeiler,
Deputy Chief, Private Wireless Division, Wireless Telecommunications
Bureau.
[FR Doc. 95-25762 Filed 10-17-95; 8:45 am]
BILLING CODE 6712-01-F
Complete official Federal Register PDF
FR Doc. 95-25761 Radio Broadcasting Services; Shelton, WA
[Federal Register Volume 60, Number 201 (Wednesday, October 18, 1995)]
[Proposed Rules]
[Page 53892]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-25761]
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FEDERAL COMMUNICATIONS COMMISSION
47 CFR Part 73
[MM Docket No. 95-156; RM-8701]
Radio Broadcasting Services; Shelton, WA
AGENCY: Federal Communications Commission.
ACTION: Proposed rule.
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SUMMARY: The Commission requests comments on a petition filed by Sound
Broadcasting, Inc., proposing the allotment of Channel 233A at Shelton,
Washington, as the community's first local FM transmission service.
Channel 233A can be allotted to Shelton in compliance with the
Commission's minimum distance separation requirements with a site
restriction of 6.6 kilometers (4.1 miles) northwest to avoid short-
spacings to the licensed sites of Station KMPS-FM, Channel 231C,
Seattle, Washington, and Station KUKN(FM), Channel 233A, Kelso,
Washington. The coordinates for Channel 233A at Shelton are North
Latitude 47-14-43 and West Longitude123-10-25. Recognizing that the
allotment of Channel 233A would be short-spaced to the proposed
allotment of Channel 233C at Vancouver, British Columbia, we have
determined that no potential interference would result from this
allotment. Therefore, since the community is located within 320
kilometers (200 miles) of the U.S.-Canadian border, concurrence of the
Canadian government has been requested for the allotment of Channel
233A at Shelton, Washington, as a specially-negotiated allotment.
DATES: Comments must be filed on or before December 4, 1995 and reply
comments on or before December 19, 1995.
ADDRESSES: Federal Communications Commission, Washington, DC 20554. In
addition to filing comments with the FCC, interested parties should
serve the petitioner, or its counsel or consultant, as follows: Mark N.
Lipp, Esq., Mullin, Rhyne, Emmons and Topel, P.C., 1000 Connecticut
Ave., NW., Suite 500, Washington, DC 20036 (Counsel for Petitioner).
FOR FURTHER INFORMATION CONTACT: Sharon P. McDonald, Mass Media Bureau,
(202) 418-2180.
SUPPLEMENTARY INFORMATION: This is a synopsis of the Commission's
Notice of Proposed Rule Making, MM Docket No. 95-156, adopted October
3, 1995, and released October 12, 1995. The full text of this
Commission decision is available for inspection and copying during
normal business hours in the FCC Reference Center (Room 239), 1919 M
Street, NW., Washington, DC. The complete text of this decision may
also be purchased from the Commission's copy contractor, International
Transcription Service, Inc., (202) 857-3800, 2100 M Street, NW., Suite
140, Washington, DC 20037.
Provisions of the Regulatory Flexibility Act of 1980 do not apply
to this proceeding.
Members of the public should note that from the time a Notice of
Proposed Rule Making is issued until the matter is no longer subject to
Commission consideration or court review, all ex parte contacts are
prohibited in Commission proceedings, such as this one, which involve
channel allotments. See 47 CFR 1.1204(b) for rules governing
permissible ex parte contacts.
For information regarding proper filing procedures for comments,
see 47 CFR 1.415 and 1.420.
List of Subjects in 47 CFR Part 73
Radio broadcasting.
Federal Communications Commission.
John A. Karousos,
Chief, Allocations Branch, Policy and Rules Division, Mass Media
Bureau.
[FR Doc. 95-25761 Filed 10-17-95; 8:45 am]
BILLING CODE 6712-01-F
Complete official Federal Register PDF
FR Doc. 95-25757 High-Voltage Longwall Equipment Standards for Underground Coal Mines
[Federal Register Volume 60, Number 201 (Wednesday, October 18, 1995)]
[Proposed Rules]
[Page 53891]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-25757]
=======================================================================
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DEPARTMENT OF LABOR
Mine Safety and Health Administration
30 CFR Parts 18 and 75
RIN 1219-AA75
High-Voltage Longwall Equipment Standards for Underground Coal
Mines
AGENCY: Mine Safety and Health Administration (MSHA), Labor.
ACTION: Proposed rule; reopening of the record; request for public
comment.
-----------------------------------------------------------------------
SUMMARY: The Mine Safety and Health Administration (MSHA) is reopening
the rulemaking record on a proposed standard that allows the use of
high-voltage longwall equipment in production areas of underground coal
mines and sets out electrical safety standards for the use of this
equipment. Because it has been some time since the record closed, MSHA
is reopening the record, to provide all interested parties an
opportunity to submit additional comments.
DATES: Written comments must be submitted on or before November 17,
1995.
ADDRESSES: Send written comments to MSHA, Office of Standards,
Regulations and Variances, 4015 Wilson Boulevard, Room 631, Arlington,
VA 22203. Commenters are encouraged to submit comments on a computer
disk along with a hard copy.
FOR FURTHER INFORMATION CONTACT: Patricia W. Silvey, Director, Office
of Standards, Regulations and Variances, 703-235-1910.
SUPPLEMENTARY INFORMATION: On December 4, 1989 (54 FR 50062), MSHA
published a proposed rule to revise the electrical safety standards for
underground coal mines. That proposal addressed all of the Agency's
electrical standards for underground coal mines and would have allowed
the use of high-voltage longwall equipment in production areas;
however, it did not specifically focus on the safety issues related to
the use of high-voltage longwall equipment. The Agency published a new
proposed rule on August 27, 1992 (57 FR 39036) relating specifically to
the use of high-voltage longwall equipment in underground coal mines.
This proposed rule would eliminate the need for operators to submit
petitions for modification when they wish to use high-voltage longwall
equipment. The comment period closed on November 13, 1992. Because it
has been some time since the record closed, MSHA is reopening the
record for comments.
Dated: October 12, 1995.
J. Davitt McAteer,
Assistant Secretary for Mine Safety and Health.
[FR Doc. 95-25757 Filed 10-17-95; 8:45 am]
BILLING CODE 4510-43-P
Complete official Federal Register PDF
FR Doc. 95-25584 Periodic Inspection and Testing of Cylinders
[Federal Register Volume 60, Number 201 (Wednesday, October 18, 1995)]
[Proposed Rules]
[Pages 54008-54019]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-25584]
[[Page 54007]]
_______________________________________________________________________
Part IV
Department of Transportation
_______________________________________________________________________
Research and Special Programs Administration
_______________________________________________________________________
49 CFR Parts 171 and 173
Periodic Inspection and Testing of Cylinders; Proposed Rule
Federal Register / Vol. 60, No. 201 / Wednesday, October 18, 1995 /
Proposed Rules
[[Page 54008]]
DEPARTMENT OF TRANSPORTATION
Research and Special Programs Administration
49 CFR Parts 171 and 173
[Docket No. HM-220A, Notice No. 95-13]
RIN 2137-AC59
Periodic Inspection and Testing of Cylinders
AGENCY: Research and Special Programs Administration (RSPA), DOT.
ACTION: Notice of Proposed Rulemaking (NPRM).
-----------------------------------------------------------------------
SUMMARY: RSPA proposes to amend the requirements contained in the
Hazardous Materials Regulations pertaining to the maintenance and
requalification of DOT specification and exemption cylinders used for
transportation of compressed gases in commerce. The proposed changes
would clarify current inspection and retest requirements, incorporate
certain regulatory interpretations and add new provisions. The intent
of the changes is to enhance public safety by providing greater
guidance to persons who perform periodic inspection and testing of
cylinders.
DATES: Comments must be received by December 15, 1995.
ADDRESSES: Address comments to Dockets Unit (DHM-30), Office of
Hazardous Materials Safety, Research and Special Programs
Administration, U.S. Department of Transportation, Washington, DC
20590-0001. Comments should identify the docket and notice number and
be submitted, when possible, in five copies. Persons wishing to receive
confirmation of receipt of their comments should include a self-
addressed, stamped postcard. The Dockets Unit is located in Room 8421
of the Nassif Building, 400 Seventh Street SW, Washington DC 20590-
0001. Office hours are 8:30 a.m. to 5:00 p.m., Monday through Friday,
except on public holidays when the office is closed.
FOR FURTHER INFORMATION CONTACT: Theresa Gwynn or Hattie L. Mitchell,
telephone (202) 366-4488, Office of Hazardous Materials Standards,
Research and Special Programs Administration, Department of
Transportation, 400 Seventh Street SW, Washington DC 20590-0001.
SUPPLEMENTARY INFORMATION:
I. Background
The Federal hazardous material transportation law (Federal hazmat
law), 49 U.S.C. 5101-5127, authorizes the Secretary of Transportation
to regulate the manufacture and continuing qualification of packagings
(1) used to transport hazardous materials in commerce, or (2) certified
under Federal hazmat law for the transportation of hazardous materials
in commerce, whether or not actually used for that purpose. The
Hazardous Materials Regulations (HMR), 49 CFR parts 171-180, contain
requirements for periodic inspection and testing of cylinders subject
to the Federal hazmat law, including the frequency and manner of
inspection and testing, standards for cylinder rejection and
condemnation, and cylinder marking and recordkeeping.
Federal authority to regulate the transportation of compressed
gases originated in a 1921 amendment to the Transportation of
Explosives Act, 35 Stat. 1135, Sec. 233 (March 4, 1909). The amendment,
at 41 Stat. 1445, Sec. 233, authorized the Interstate Commerce
Commission (ICC) to regulate the packing, marking, loading, handling
and transportation of compressed gases by common carriers. Under this
authority, in 1930 the ICC implemented regulations for periodic
inspection and testing of cylinders; the regulations, as amended, were
first published in the Federal Register on December 12, 1940 (5 FR
4908).
Ten years later, the regulations were codified into the Code of
Federal Regulations (15 FR 8261; Dec. 2, 1950). In 1967, pursuant to
the Department of Transportation Act, Pub. L. 89-670, 80 Stat. 931,
regulatory jurisdiction over the packaging of dangerous articles for
transportation was transferred from the ICC to the Department of
Transportation; those sections governing cylinder inspection and
testing were moved to their present location in 49 CFR 173.34 (32 FR
5606; April 5, 1967). The cited authority for the hazardous materials
regulations is no longer the Transportation of Explosives Act but
rather the Federal hazmat law. Federal hazmat jurisdiction extends
beyond common carriers, to all transportation in commerce by highway,
rail, air or water. Through rulemaking and the issuance of exemptions
from the regulations under 49 CFR part 107, subpart B, aluminum and
composite cylinders now are authorized for use in addition to steel.
Nevertheless, apart from substitution of the ``DOT'' identifier for the
``ICC'' identifier, the present basic inspection and testing
requirements, at Sec. 173.34(e) (1)-(6) and related sections, largely
are unchanged from the initial 1940 publication.
The regulations have been refined by interpretation in the process
of enforcement and in response to public inquiries. Thus, certain
periodic inspection and testing requirements, such as those pertaining
to standards for visual inspection, calibration of the retest
apparatus, retest performance and recordkeeping, are not explicit in
the HMR. RSPA has worked closely with the cylinder manufacturing and
maintenance industries in developing interpretations consistent with
sound industry practice and in communicating these interpretations to
the regulated community. Nevertheless, RSPA inspections and inquiries
have shown that the regulatory requirements are not sufficiently clear
to some cylinder retesters. This raises concerns both about visual
inspection and testing being conducted fully consistent with safe
practices and, in enforcement, about fair notice of what the
requirements are. Accordingly, RSPA proposes to revise the existing
language to incorporate the RSPA interpretations and certain industry
consensus standards and practices into the regulations.
Under Executive Order 12866 and the Regulatory Policies and
Procedures of the Department of Transportation, 44 FR 11034, a
regulatory evaluation comparing the public costs and benefits of
alternative rulemaking actions must be prepared unless the rule has a
minimal cost impact. Because the proposed changes would clarify the
regulations as presently enforced, or incorporate new requirements that
are consistent with industry practice, the cost impact of the rule is
expected to be minimal. Therefore, RSPA has prepared no regulatory
evaluation. RSPA invites comments on potential cost impacts it may not
have considered. If comments indicate that costs of the rule would not
be minimal, RSPA will prepare a regulatory evaluation.
II. Proposal
Section 173.34
Revision of Sec. 173.34(e) Heading. The proposed rule would revise
the heading of paragraph (e) from ``Periodic retesting, reinspection
and marking of cylinders'' to ``Periodic qualification and marking of
cylinders.'' RSPA believes this heading more clearly indicates the
subject matter of the paragraph, and avoids redundancy. Further, it has
been argued in at least one enforcement case involving the charging of
foreign cylinders for export under Sec. 173.301(j) that paragraph
(j)(1), requiring ``retesting'' in compliance with Sec. 173.34(e), is
unenforceable when there is no evidence that the foreign cylinder
previously has been ``tested.''
[[Page 54009]]
Revising the heading of paragraph (e) and amending Sec. 173.301(j)(1)
as proposed in this notice would eliminate misunderstandings of the
testing requirement. This revision is for clarification, and would not
change the scope of Sec. 173.34(e).
Revision of Retest Table. Currently, requirements applicable to
foreign cylinders are contained in two separate table entries. Under
the proposed rule, the table entry prescribing the minimum retest
pressure and a five-year retest period for ``[a]ny cylinder with marked
test pressure'' would be removed and the entry for ``[f]oreign cylinder
charged for export'' would be revised to specify a retest period of
five-years. Comment is invited as to whether table entries are needed
to specify retest pressure or frequency for any specification,
exemption or special permit cylinder authorized for the transportation
of hazardous material in commerce.
General Requirements and Retester Authorization. Current paragraph
(e) of Sec. 173.34 would be substantially revised. Proposed paragraph
(e)(1) would set forth the general requirement that each DOT
specification or exemption cylinder must be periodically inspected,
tested and marked in accordance with Sec. 173.34 by or under the
supervision of a RSPA-authorized retester. It would prohibit use of a
DOT specification or exemption cylinder that is required to be
periodically inspected or tested for transportation of a hazardous
material in commerce unless the cylinder is marked with an inspection
or test date indicating that it is qualified for use. The procedure to
obtain retester authorization, in the form of the retester
identification number (RIN), and to renew the authorization would be
specified in paragraph (e)(2).
Proposed paragraph (e)(2) would contain three new requirements.
First, a retester's authority to mark a cylinder with a RIN and an
inspection or test date would be contingent on the retester operating
in compliance with the terms of the RIN issuance letter. Second, a
retester would be required to inform RSPA in writing of any change in
cylinder qualification personnel or testing equipment within 20 days.
Presently, RSPA imposes these two requirements under the terms of the
RIN issuance letter. Third, a retester would be required to maintain,
at the facility, the relevant parts of 49 CFR, the current exemptions
for all exemption cylinders inspected, retested or marked, and all
Compressed Gas Association (CGA) pamphlets incorporated by reference in
Sec. 171.7 that apply to the retester's activities. It is RSPA's
experience that retest facilities operating in accordance with sound
business practice maintain current copies of these materials.
As a hazmat employer, a retester is responsible for properly
training any employee who performs cylinder requalification functions.
This also applies to an employee of an independent inspection agency.
Independent inspection agencies are not RSPA agents or representatives.
Nothing in the regulations relieves either party from its obligation
for ensuring compliance with the HMR.
Visual Inspection. Current paragraph (e) requires visual internal
and external inspection in accordance with CGA Pamphlet C-6,
``Standards for Visual Inspection of Compressed Gas Cylinders,'' which
contains inspection standards for steel cylinders. This provision was
enacted before DOT's approval of aluminum and composite cylinders for
transportation of compressed gases and before CGA publication of
inspection standards for aluminum and composite cylinders. RSPA
proposes, in new paragraph (e)(3), to require inspection of aluminum
and composite cylinders in accordance with CGA Pamphlet C-6.1
(``Standards for Visual Inspection of High Pressure Aluminum Compressed
Gas Cylinders'' (1995)), CGA Pamphlet C-6.3 (``Guidelines for Visual
Inspection and Requalification of Low Pressure Aluminum Compressed Gas
Cylinders'' (1991)), and CGA Pamphlet C-6.2 (``Guidelines for Visual
Inspection and Requalification of Fiber Reinforced High Pressure
Cylinders'' (1988)). These documents would be incorporated by reference
in Sec. 171.7. Proposed paragraph (e)(3) explicitly would require a
retester to comply with cylinder approval, rejection and condemnation
criteria set forth in CGA Pamphlet C-6, C-6.1, C-6.2 or C-6.3, as
applicable. No new inspection requirements would be imposed.
Retesting. Proposed paragraph (e)(4) would prescribe procedures for
cylinder volumetric pressure retesting, confirming system calibration,
and standards for the accuracy and resolution of pressure/expansion
test systems. The existing requirements would be clarified and several
new provisions would be added.
Proposed paragraph (e)(4)(i) would establish that retest, unless
otherwise provided in Sec. 173.34(e), means testing by a method that
measures a cylinder's total and permanent expansions at prescribed test
pressure. While it is expected that nearly all retesting will be by
internal pressurization of a cylinder suspended in a water jacket
(i.e., hydrostatic retesting), a retester would be permitted to use
other methods meeting resolution and accuracy standards.
A strict reading of current paragraph (e)(3) can lead to
misinterpretations of two key concepts: device accuracy (i.e., how
truthfully the system displays, or records, the actual pressure or
expansion being measured); and device resolution (i.e., the smallest
incremental unit that a measuring instrument or system must be capable
of being read to, or recorded from, so as to meet or exceed the
measurement accuracy requirement). Pressure and expansion indicating
devices are compared against a calibrated standard daily to check their
accuracy. However, if the scale of the indicating device does not show
the proper resolution, the accuracy of the reading is not assured.
Currently, (e)(3) addresses expansion gauge accuracy, but not
resolution, and pressure gauge resolution, but not accuracy. Proposed
paragraph (e)(4)(ii) would set clear resolution standards for both
pressure and expansion indicating devices, while paragraph (e)(4)(iii)
would set clear accuracy standards for both.
First, proposed paragraph (e)(4)(ii) would require the pressure
indicating device to have sufficient resolution to indicate the
pressure to within 1% of the minimum prescribed test pressure of any
cylinder retested (see example below). Second, the device for measuring
cylinder expansion must have sufficient resolution to indicate
expansion to within 1% of the total expansion of any cylinder retested.
An exception would be retained for cylinders of less than 10 cubic
centimeters total expansion, for which resolution to 0.1 cubic
centimeter would be permitted. Finally, the paragraph would codify
industry practice of midpoint interpolation to achieve the required
degree of resolution.
For instance (in a system using pressure gauges), if a pressure
gauge reads only in increments of 50 psi, and the minimum prescribed
test pressure for a cylinder to be tested is 1000 psi, the gauge would
show insufficient resolution to determine accuracy. A gauge of finer
scale is needed. To achieve the required resolution, the gauge
divisions should permit reading of pressures to within 1% of the
cylinder's minimum prescribed test pressure (1% of 1000 psi = 10 psi).
Since mid-point interpolation is permissible, a gauge of no greater
than 20 psi increments can be used for this example (half of 20psi is
10psi, the required resolution).
Presently, paragraph (e)(3) specifies no calibration frequency to
establish retest apparatus pressure and cylinder expansion accurately
to plus or minus
[[Page 54010]]
one percent of true pressure and expansion values. CGA Pamphlet C-1
recommends that calibration be confirmed each day before retesting.
RSPA's experience is that most retesters confirm calibration daily as a
matter of sound operating practice. Proposed paragraph (e)(4)(iii),
consistent with industry practice, would require daily confirmation of
calibration before retesting to assure both expansion and pressure
gauge accuracy. Comments are solicited on whether calibration is
required more or less frequently, and whether, for example, it is
appropriate to require a calibration check at the beginning of each
shift (for those facilities operating more than one shift per day), for
each change in retest operator, or at some other frequency.
A strict reading of current paragraph (e)(4) requires that system
calibration has been demonstrated at each pressure at which a cylinder
is retested. The retester's ability to control test pressure, however,
is limited by pump characteristics, system idiosyncrasies, and residual
cylinder expansion. Further, a calibrated cylinder may not be certified
at each pressure at which a retester wishes to perform a hydrostatic
test. For these reasons, RSPA is proposing, in paragraph (e)(4)(iii),
to allow two means of demonstrating calibration. First, as at present,
a retester may show calibration at test pressure. Alternatively, a
retester, on a given day, simply may perform calibrated cylinder runs
at pressures above and below test pressures for that day. A retester is
not authorized to perform a hydrostatic test at a pressure above the
highest pressure or below the lowest pressure at which the calibrated
cylinder has demonstrated calibration on that day.
The calibration certificate for a calibrated cylinder establishes
true total expansions at a range of pressures, generally at each 1000
pounds per square inch (psi). During system calibration, the operator
must compare the system pressure or the total expansion reading with
the actual reading on the calibration certificate for that pressure or
total expansion. Proposed paragraph (e)(4)(iv) would require retesters
to maintain calibrated cylinder certificates, as is current industry
practice.
Proposed new paragraph (e)(4)(v) would restate existing
requirements for cylinder retesting, including the requirement to hold
minimum test pressure for at least 30 seconds and as long as necessary
for full cylinder expansion and the prohibition on pressurizing a
cylinder above 90 percent of test pressure before a retest. As under
current regulations, when the system apparatus fails to hold pressure
after test pressure has been reached, retest is authorized at a
pressure increased by 10 percent or 100 psi, whichever is less.
Language would be added to emphasize that a second retest is authorized
only if the apparatus has failed to hold test pressure, and not if a
cylinder has exhibited excessive expansion. RSPA also is considering:
(1) Specifying the period of time a retester must wait before retest,
after applying more than 90 percent of test pressure; (2) limiting the
number of permissible retests after apparatus failure; and (3)
specifying a standard for condemnation in the event of
overpressurization. Comments are specifically invited on these issues.
Cylinder Rejection/Condemnation. Proposed paragraphs (e)(5) and
(e)(6) would contain requirements for rejection and condemnation of
cylinders.
A ``rejected cylinder'' is one that is determined by visual
examination to be not in proper condition to be presented or used as a
specification packaging for the transportation of hazardous material,
but that is authorized to be repaired or rebuilt. The current
regulations incorporate rejection and repair standards of CGA Pamphlet
C-6 through paragraph (e)(1), which requires inspection in accordance
with that pamphlet. The proposed rule would create a separate paragraph
defining ``rejection'' and explicitly incorporating the rejection
criteria of CGA Pamphlets C-6, C-6.1, C-6.2, and C-6.3 for steel,
aluminum and composite cylinders, as applicable. A provision, contained
in current paragraph (e)(4), stating that a cylinder condemned for
excessive permanent expansion on retest may be requalified by reheat
treatment would be removed. Requalifying cylinders by reheat treatment
is often not practical or consistent with common industry practice.
A condemned cylinder is one that may not be presented or used as a
specification packaging for transportation of hazardous materials, and
for which requalification is not authorized. Under the current
regulations, a cylinder must be condemned if: (1) It meets a CGA
Pamphlet C-6 criterion for condemnation on visual inspection; (2) it
exceeds permissible permanent expansion on retest and is not authorized
for reheat treatment; (3) it leaks or evidences damage indicating that
it is likely to be weakened appreciably and is not authorized for
repair or rebuilding; (4) for an exemption cylinder, it meets another
condemnation criterion specified in the exemption; or (5) for a DOT 3HT
cylinder governed by paragraph (e)(13), elastic expansion exceeds the
marked rejection elastic expansion.
For both rejected and condemned cylinders, proposed paragraphs
(e)(5)(ii) and (e)(6)(ii) would require the retester to notify the
cylinder owner in writing of the cylinder's status, prescribed remedial
actions that can be taken (in the case of a rejected cylinder), and
that the cylinder may not be used as a specification packaging for the
movement of hazardous materials. Requiring written notification would
offer greater assurance that cylinder owners are made aware of
potentially unsafe cylinders.
The proposed rule would not change the present condemnation
standards, except for explicitly adding evidence of cracking as a basis
to condemn a cylinder. To add assurance that a condemned cylinder will
not be returned to service, the retester would stamp a series of X's
over the DOT specification number and service pressure or the word
``CONDEMNED'' on the shoulder, top head, or neck of the cylinder using
a steel stamp. The retester would not be required to stamp the cylinder
if, on the direction of the owner, the retester rendered the cylinder
incapable of holding pressure in some fashion (e.g., by damaging the
cylinder threads or drilling through the cylinder wall).
Comments are particularly invited on the proposed requirements to
stamp condemned cylinders. RSPA wishes to gain additional information
on present retester practices of handling rejected and condemned
cylinders, the costs and benefits of the requirements, the need for the
requirements, their effect on retester operating practices, and
alternatives to ensure that rejected and condemned cylinders are
removed from hazardous material service where use of a specification
packaging is required.
Recordkeeping. Current paragraph (e)(5) states that ``[r]ecords
showing the result of reinspection and retest must be kept.'' RSPA has
applied this regulation to require that the retester, for each cylinder
inspected or tested, record the information necessary to confirm that
the retest was conducted under the required conditions (i.e., at
correct test pressure), indicate the results of inspection and retest,
and enable the results to be traced to the cylinder inspected or
tested. Specifically, the records must identify the cylinder, date,
results of visual examination, test pressure, test results (including
expansion data) and cylinder disposition. To identify the cylinder,
RSPA has required, consistent with CGA Pamphlet C-1, that retesters
record
[[Page 54011]]
the cylinder specification or exemption number, the service pressure,
the serial number and the cylinder owner. To RSPA's knowledge, most
retesters use retest sheets containing these entries and record this
information as standard operating practice. Nevertheless, prescribing
explicitly the information required to be in test records should
benefit retesters and improve recordkeeping practices.
RSPA proposes to require the retest record to contain those entries
presently required, as well as the cylinder manufacturer's name or
symbol, cylinder dimensions and identification of the retest operator.
For cylinders qualified for overfill by a plus (+) marking, the retest
record must indicate the method by which wall stress computations
pursuant to Sec. 173.302(c) were made. This notation may be entered in
the ``Remarks'' column of the retest sheet. The rule explicitly would
require recordation of tests not completed due to failure of the
apparatus to hold test pressure. The record for a subsequent test would
be required to include the date of the earlier test. This information
also could be entered in the ``Remarks'' column on the retest sheet.
CGA Pamphlet C-1 recommends that retesters record calibrated
cylinder expansions used to confirm retest apparatus calibration. In
RSPA's experience, most retesters record these expansions, even though
not required by the current regulations. If calibration checks are not
recorded, a retester, particularly if it employs more than one retest
operator during a shift or an operating day, has no means of ensuring
apparatus calibration before testing or confirming that the apparatus
was accurate on any given day. The proposed rule would require that
calibration runs be recorded, in chronological order, with retest
records for that day.
A retester who marks a cylinder for overfill under the conditions
of Sec. 173.302(c) would be required to retain records of wall stress
computations. Wall stress may be determined through a method that does
not require computation, such as the use of an elastic expansion limit
provided by the cylinder manufacturer. This provision would not limit
the retester in its choice of method, but simply require that the
method be noted and computations, if required by the method used, be
retained.
Finally, proposed paragraph (e)(8) would require each retester to
maintain at its facility its RIN issuance letter from RSPA; a copy of
the renewal application, if renewal is pending; copies of notifications
to RSPA since issuance of the most recent RIN letter of changes in
equipment or personnel; and most recent certificates of calibration for
all calibrated cylinders. Currently, the RIN issuance letter contains a
requirement that the letter be posted at the retest facility. RSPA
believes that maintenance of the other documents is standard retester
operating practice and that, in any event, the cost of doing so is
insignificant. RSPA invites comments on these conclusions.
Section 173.301
Foreign Cylinders for Export. Under the present regulations, a
foreign cylinder not manufactured, inspected, tested and marked in
accordance with part 178 may be filled in the United States only for
export. Further, the cylinder may be filled for export only if it is
marked as having been, and has been, inspected and retested in
compliance with Sec. 173.34(e), and it meets maximum filling density
and service pressure requirements. This marking would not contain the
RIN, only the month and year of the test. Section 173.301(j) would be
revised in minor respects to clarify these requirements.
Section 173.302
Computing Wall Stress for Overfill Authorization. Currently,
Sec. 173.302(c) permits filling of DOT 3A, 3AX, 3AA, 3AAX and 3T
cylinders to 110 percent of marked service pressure under prescribed
conditions. One condition for overfill, at paragraph (c)(3), is that
neither the average nor the maximum wall stress in the cylinder, at
test pressure, exceeds the applicable value stated in that paragraph.
The proposed rule would amend paragraph (c)(3) in three respects.
First, it would clarify the existing requirement that neither average
nor maximum wall stress may exceed the specified value. Second, it
would amend Note 1 to paragraph (c)(3) to explicitly authorize the
existing industry practice of using the experimental K factor obtained
from CGA Pamphlet C-5 to compute average wall stress. Third, it would
add a Note 3 to explicitly authorize the industry practice of ensuring
compliance with the wall stress limitations of paragraph (c)(3) by
computing an elastic expansion rejection limit and comparing elastic
expansion derived during retest. Comments are invited on whether other
methods that may not presently be authorized by paragraph (c)(3) may be
used to compute accurately the average or maximum wall stress.
Section 173.309
Retest requirements for fire extinguishers. Paragraph (b) provides
for DOT specification cylinders used as fire extinguishers. Cylinders
containing certain fire extinguishing agents such as ammonium
phosphate, sodium bicarbonate, potassium bicarbonate, potassium imido
dicarboxamide and bromochlorodifluromethane or bromotrifluoromethane,
which are commercially free from corroding components and meeting
certain conditions, are authorized to meet a longer retest interval in
accordance with current Sec. 173.34(e)(18). The Fire Equipment
Manufacturers' Association, Inc. (FEMAI) petitioned (P-1216) RSPA to
move the conditions for extending the retest interval from Sec. 173.309
to Sec. 173.34(e)(18). FEMAI stated that this change would clarify that
carbon dioxide fire extinguishers do not qualify for the special retest
provisions in Sec. 173.34(e)(18). RSPA agrees with FEMAI that these
changes should be made. In this proposed rule, the retest criteria for
these cylinders are revised and moved to proposed Sec. 173.34(e)(21).
Revised Sec. 173.309(b) would prescribe specification cylinders
authorized for transportation under the proper shipping name ``fire
extinguishers.'' In a different petition (P-1217), FEMAI stated that
DOT 3E cylinders are used as fire extinguishers and requested that this
specification be added. RSPA agrees and proposes to include the DOT 3E
specification in Sec. 173.309(b). Also in this paragraph, RSPA proposes
to remove a limitation on the dew point for the expellant gas, which is
not a requirement under Sec. 173.309(a) for gases in non-specification
cylinders used as fire extinguishers.
Parts 171 and 173
Miscellaneous Technical Revisions. The proposed rule would amend
several other regulations for update and for purposes of clarity only.
In Sec. 171.7, several CGA standards incorporated by reference would be
updated: CGA Pamphlet C-6, ``Standards for Visual Inspection of Steel
Compressed Gas Cylinders'' would be updated from the 1984 to the 1993
edition; CGA Pamphlet C-12, ``Qualification Procedure for Acetylene
Cylinder Design'' would be updated from the 1979 to the 1994 edition;
CGA Pamphlet C-13, ``Guidelines for Periodic Visual Inspection and
Requalification of Acetylene Cylinders'' would be updated from the 1985
to the 1992 edition (responds to P-1241); and CGA Pamphlet S-1.1.1,
Pressure Relief Device Standards--Part 1--Cylinders for
[[Page 54012]]
Compressed Gases,'' would be updated from the 1989 to the 1994 edition
(responds to P-1247). With regard to the 1994 edition of CGA Pamphlet
S-1.1.1, new paragraph 9.1.1.1 of the pamphlet, which specifies the
replacement or requalification of pressure relief valves, on affected
DOT cylinders every 10 years, would not be made mandatory. The National
Propane Gas Association submitted comments on petition P-1247 stating
that the propane industry has experienced no problems with these
pressure relief valves on cylinders and that adoption of the provision
is unwarranted. Although replacement of pressure relief valves on a
periodic basis would not be required under Sec. 173.34(d) of this
proposed rulemaking, RSPA encourages this practice by industry.
In Sec. 173.23, paragraphs (c), (d) and (e) would be revised to
clarify that the requirement to remark as ``3AL'' certain aluminum
cylinders manufactured under exemption before the existence of the DOT
3AL specification applies to cylinders manufactured under both the
listed exemptions and the ``special permits'' that preceded those
exemptions.
In Sec. 173.34, paragraphs (e) (2), (8), (10), (13) and (15) would
be revised for clarity only. A number of other revisions would be made
throughout paragraph (e) for minor editorial clarification, to correct
cross-references within the section as amended, and to include
references to the newly incorporated CGA Pamphlets C-5, C-6, C-6.1, C-
6.2 and C-6.3. Subparagraph numbering within paragraph (e) would change
generally as a result of the restructuring of the paragraph under this
rule.
Future rulemaking action. RSPA plans to clarify certain other
requirements applicable to cylinders in a separate rulemaking action in
the near future. In that notice, RSPA will propose the revision and
reorganization of the cylinder specifications in Part 178. In addition,
all requirements applicable to the inspection, retest, repair and
continuing requalification of cylinders would be relocated from
Sec. 173.34 to subpart C of part 180.
III. Rulemaking Analyses and Notices
1. Executive Order 12866 and DOT Regulatory Policies and Procedures
This proposed rule is not considered a significant regulatory
action under section 3(f) of Executive Order 12866 and was not reviewed
by the Office of Management and Budget. The rule is not considered
significant under the Regulatory Policies and Procedures of the
Department of Transportation (44 FR 11034). The economic impact of this
proposed rule is minimal to the extent that preparation of a regulatory
evaluation is not warranted.
2. Executive Order 12612
This proposed rule has been analyzed in accordance with the
principles and criteria contained in Executive Order 12612
(``Federalism''). Federal law expressly preempts State, local, and
Indian tribe requirements applicable to the transportation of hazardous
material that cover certain subjects and are not ``substantively the
same'' as the Federal requirements. 49 U.S.C. 5125(b)(1). These covered
subjects are:
(A) The designation, description, and classification of hazardous
material;
(B) The packing, repacking, handling, labeling, marking, and
placarding of hazardous material;
(C) The preparation, execution, and use of shipping documents
related to hazardous material and requirements respecting the number,
contents, and placement of those documents;
(D) The written notification, recording, and reporting of the
unintentional release in transportation of hazardous material; and
(E) The design, manufacturing, fabricating, marking, maintenance,
reconditioning, repairing, or testing of a packaging or a container
which is represented, marked, certified, or sold as qualified for use
in transporting hazardous material.
This notice of proposed rulemaking addresses the maintenance and
testing of a package represented as qualified for use in the
transportation of hazardous material. Therefore, the rule would preempt
State, local and Indian tribe requirements that are not ``substantively
the same'' as Federal requirements on these subjects. Section
5125(b)(2) of Title 49 U.S.C. provides that when DOT issues a
regulation concerning any of the covered subjects after November 16,
1990, DOT must determine and publish in the Federal Register the
effective date of Federal preemption. The effective date may not be
earlier that the 90th day following the date of issuance of the final
rule and no later than two years after the date of issuance. RSPA has
determined that the effective date of Federal preemption of this final
rule will be 90 days after publication in the Federal Register. Because
RSPA lacks discretion in this area, preparation of a federalism
assessment is not warranted.
3. Regulatory Flexibility Act
I certify that this proposed rule will not have a significant
economic impact on a substantial number of small entities. This rule
applies to persons who inspect, retest and certify cylinders used to
transport hazardous materials. These persons include a number of small
businesses; however, the economic impact on any small business affected
by the rule is expected to be minimal. There are no direct or indirect
adverse economic impacts for small units of government or other
organizations.
4. Paperwork Reduction Act
Information collection and recordkeeping requirements in current
Sec. 173.34 pertaining to cylinder retesters have been approved by the
Office of Management and Budget (OMB) under the provisions of 44 U.S.C.
chapter 35 and assigned control number 2137-0022. Because this proposed
rule requires no substantive change from the current burden hours
required, RSPA has not resubmitted the proposed information collection
requirements to OMB for approval under the Paperwork Reduction Act.
RSPA invites comments on any incremental paperwork burdens that it may
not have considered. If deemed necessary, the burden hours will be
revised to reflect the new requirements of this proposed rule and the
information collection will be submitted to OMB for approval under the
Paperwork Reduction Act.
5. Regulation Identifier Number
A regulation identifier number 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 regulation identifier number
contained in the heading of this document can be used to cross-
reference this action with the Unified Agenda.
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.
In consideration of the foregoing, 49 CFR parts 171 and 173 would
be amended as follows:
PART 171--GENERAL INFORMATION, REGULATIONS, AND DEFINITIONS
1. The authority citation for Part 171 would continue to read as
follows:
[[Page 54013]]
Authority: 49 U.S.C. 5101-5127; 49 CFR 1.53.
2. In Sec. 171.7, in the Table in paragraph (a)(3), under the entry
Compressed Gas Association, Inc., the entries for CGA Pamphlets C-6, C-
12, C-13, and S-1.1 would be revised and four new entries would be
added in numerical order, to read as follows:
Sec. 171.7 Reference material.
(a) * * *
(3) Table of material incorporated by reference.* * *
------------------------------------------------------------------------
49 CFR
Source and name of material reference
------------------------------------------------------------------------
* * * *
* * *
Compressed Gas Association, Inc.,
* * * *
* * *
CGA Pamphlet C-5, Cylinder Service Life--Seamless Steel
High Pressure Cylinders, 1991............................ 173.302
CGA Pamphlet C-6, Standards for Visual Inspection of Steel
Compressed Gas Cylinders, 1993........................... 173.34
CGA Pamphlet C-6.1, Standards for Visual Inspection of
High Pressure Aluminum Compressed Gas Cylinders, 1995.... 173.34
CGA Pamphlet C-6.2, Guidelines for Visual Inspection and
Requalification of Fiber Reinforced High Pressure
Cylinders, 1988.......................................... 173.34
CGA Pamphlet C-6.3, Guidelines for Visual Inspection and
Requalification of Low Pressure Aluminum Compressed Gas
Cylinders, 1991.......................................... 173.34
* * * *
* * *
CGA Pamphlet C-12, Qualification Procedure for Acetylene
Cylinder Design, 1994.................................... 173.303
CGA Pamphlet C-13, Guidelines for Periodic Visual
Inspection and Requalification of Acetylene Cylinders,
1992..................................................... 173.34
* * * *
* * *
CGA Pamphlet S-1.1., Pressure Relief Device Standards--
Part 1--Cylinders for Compressed Gases, 1994............. 173.34
* * * *
* * *
------------------------------------------------------------------------
* * * * *
PART 173--SHIPPERS--GENERAL REQUIREMENTS FOR SHIPMENTS AND PACKAGINGS
3. The authority citation for Part 173 would continue to read as
follows:
Authority: 49 U.S.C. 5101-5127; 49 CFR 1.53.
4. In Sec. 173.23, paragraphs (c), (d), and (e) would be revised to
read as follows:
Sec. 173.23 Previously authorized packaging.
* * * * *
(c) After July 2, 1982, a seamless aluminum cylinder manufactured
in conformance with and for use under DOT special permit (SP) or
exemption (E) 6498, 7042, 8107, 8364 or 8422 may be continued in use if
marked before or at the time of the next retest with either the
specification identification ``3AL'' immediately above the special
permit or exemption number, or the DOT mark (e.g., DOT 3AL 1800) added
in proximity to the special permit or exemption marking.
(d) Cylinders (spheres) manufactured and marked under DOT special
permit (SP) or exemption (E) 6616 prior to January 1, 1983, may be
continued in use if marked before or at the time of the next retest
with the specification identification ``4BA'' near the special permit
or exemption marking.
(e) After October 1, 1984, cylinders manufactured for use under
special permit (SP) or exemption (E) 6668 or 8404 may be continued in
use, and must be marked ``DOT-4LXXXYY'' (XXX to be replaced by the
service pressure, YY to be replaced by the letters ``AL'', if
applicable) in compliance with Specification 4L (Sec. 178.57 of this
subchapter) on or before January 1, 1986. The ``DOT-4LXXXYY'' must
appear in proximity to other required special permit or exemption
markings.
* * * * *
5. In Sec. 173.34, a parenthetical would be added immediately
following the first sentence of the introductory text of paragraph (d),
the first sentence of paragraph (d) would be republished, and paragraph
(e) would be revised to read as follows:
Sec. 173.34 Qualification, maintenance and use of cylinders.
* * * * *
(d) Pressure relief device systems. No person may offer a cylinder
charged with a compressed gas for transportation unless the cylinder is
equipped with one or more pressure relief devices sized and selected as
to type, location, and quantity and tested in accordance with CGA
Pamphlet S-1.1. (Compliance with paragraph 9.1.1.1 of CGA Pamphlet S-
1.1 is permissive).* * *
* * * * *
(e) Periodic qualification and marking of cylinders. Each cylinder
that becomes due for periodic retest as specified in the following
table must be retested and marked in conformance with the requirements
of this paragraph:
Retest and Inspection of Cylinders
------------------------------------------------------------------------
Specification under which Minimum retest Retest period
cylinder was made pressure (p.s.i.) (years)
------------------------------------------------------------------------
DOT-3........................... 3,000 p.s.i....... 5.
DOT-3A, 3AA..................... 5/3 times service 5 or 10 (see Sec.
pressure, except 173.34(e)(11),
noncorrosive (e)(14), (e)(15)
service (see Sec. and (e)(18)).
173.34(e)(10)).
DOT-3AL......................... 5/3 times service 5.
pressure.
DOT-3AX, 3AAX................... 5/3 times service 5.
pressure.
3B, 3BN......................... 2 times service 5 or 10 (see Sec.
pressure (see 173.34(e)(14)).
Sec. 173.34(e)(10
)).
3C.............................. Retest not ..................
required.
3D.............................. 5/3 times service 5.
pressure.
3E.............................. Retest not ..................
required.
3HT............................. 5/3 times service 3 (see Sec.
pressure. 173.34(e)(13)).
[[Page 54014]]
3T.............................. 5/3 times service 5.
pressure.
4............................... 700 p.s.i......... 10.
4A.............................. 5/3 times service 5 or 10 (see Sec.
pressure (see 173.34(e)(14)).
Sec. 173.34(e)(10
)).
4AA480.......................... 2 times service 5 or 10 (see Sec.
pressure (see 173.34(e)(11)).
Sec. 173.34(e)(10
)).
4B, 4BA, 4BW, 4B-240ET.......... 2 times service 5 or 10 (see Sec.
pressure, except 173.34(e)(9),
non-corrosive (e)(14) and
service (see Sec. (e)(18)).
173.34(e)(10)).
4C.............................. Retest not ..................
required.
4D, 4DA, 4DS.................... 2 times service 5.
pressure.
DOT-4E.......................... 2 times service 5.
pressure, except
non-corrosive
service (see Sec.
173.34(e)(10)).
4L.............................. Retest not ..................
required.
8, 8AL.......................... .................. 10 or 20 (See Sec.
173.34(e)(17)).
DOT-9........................... 400 p.s.i. 5.
(maximum 600
p.s.i.).
25.............................. 500 p.s.i......... 5.
26 for filling at over 450 5/3 times service 5.
p.s.i.. pressure.
26 for filling at 450 p.s.i. and 2 times service 5 or 10 (see Sec.
below. pressure, except 173.34(e)(9)).
non-corrosive
service (see Sec.
173.34(e)(10)).
33.............................. 800 p.s.i......... 5.
38.............................. 500 p.s.i......... 5.
Foreign cylinder (see Sec. As marked on the 5.
173.301(j) for restrictions on cylinder, but not
use). less than 5/3 of
any service or
working pressure
marking.
------------------------------------------------------------------------
Note 1: For cylinders not marked with a service pressure, see Sec.
173.301(e)(1).
(1) General requirements. (i) Each cylinder bearing a DOT
specification marking (including a cylinder remarked in conformance
with Sec. 173.23) must be inspected, retested and marked in conformance
with this section, at the frequency specified in the Retest and
Inspection of Cylinders Table in this paragraph (e). Each cylinder
bearing a DOT exemption number must be inspected, retested and marked
in conformance with this section and the terms of the applicable
exemption, at the frequency specified in the exemption.
(ii) No cylinder required by paragraph (e)(1)(i) of this section to
be retested may be used for the transportation of a hazardous material
in commerce unless that cylinder has been inspected and retested in
accordance with this section and the retester has marked the cylinder
by stamping the date of retest, the cylinder retester identification
number (RIN) unless excepted under this section, and any other marking
required by this section. No person may mark a test date or RIN on a
DOT specification or exemption cylinder unless all applicable
requirements of this section have been met.
(2) Retester authorization. (i) No person may mark a cylinder with
a test date or RIN, or otherwise represent that a DOT specification or
exemption cylinder has been retested under this section, unless that
person holds a current RIN issued by RSPA and operates in compliance
with the terms of the RIN issuance letter. All functions under this
section shall be performed or supervised by an individual named as
qualified in the RIN application or a notification pursuant to
paragraph (e)(2)(iv) of this section.
(ii) Any person seeking approval as a cylinder retester shall apply
to an independent inspection agency, approved by RSPA pursuant to
Sec. 173.300a, for inspection of its retest facility. The applicant
shall bear the cost of the inspection. Independent inspection agencies
are not RSPA agents or representatives. A list of approved independent
inspection agencies is available from the Associate Administrator for
Hazardous Materials Safety, Office of Hazardous Materials Exemptions
and Approvals (DHM-32), Research and Special Programs Administration,
U.S. Department of Transportation, Washington, DC 20590-0001.
(A) After the inspection, the person seeking approval must submit a
letter of recommendation and inspection report from the independent
inspection agency and a completed approval application to the Associate
Administrator.
(B) The Associate Administrator reviews the application, the
inspection report and recommendation submitted by the independent
inspection agency, and other available information. The Associate
Administrator issues a RIN if it finds that the applicant's facility
and qualifications are adequate to properly inspect, test and mark
cylinders under this section. Unless otherwise provided in the RIN
issuance letter, a RIN expires five years from the date of issuance.
(iii) The retester shall apply for RIN renewal in a timely manner.
An inspection report and a recommendation of an independent inspection
agency are required for renewal. If the Associate Administrator
receives a renewal application at least 50 days before expiration of
the RIN, the RIN will remain in effect until the Associate
Administrator issues the renewal or notifies the retester that the RIN
will not be reissued. The Associate Administrator renews a RIN in
accordance with the standard in paragraph (e)(2)(ii)(B) of this
section.
(iv) A current RIN remains valid provided the retester's facility
and qualifications are maintained at or above the level observed at the
time of inspection by the independent inspection agency. The RIN holder
shall report in writing any change in name, address, ownership or
management of the holder; personnel performing any function under this
section; or testing equipment to the Associate Administrator for
Hazardous Materials Safety (DHM-32) within 20 days of the change.
(v) A retester shall maintain, at each location at which it
inspects, retests or marks cylinders under this section, current copies
of:
(A) Those portions of Parts 171-180 of this subchapter that apply
to its cylinder inspection, retesting and marking activities at that
location.
(B) All exemptions governing exemption cylinders inspected,
retested or marked by the retester at that location.
[[Page 54015]]
(C) Each CGA publication incorporated by reference in Sec. 171.7 of
this subchapter that applies to the retester's cylinder inspection,
retesting and marking activities at that location. The publication
maintained shall be the edition incorporated by reference in Sec. 171.7
of this subchapter.
(3) Visual inspection. Except as otherwise provided in this
section, a cylinder must be visually inspected, internally and
externally, in accordance with the terms of CGA Pamphlets C-6, C-6.1,
C-6.2, or C-6.3, as applicable. The cylinder must be approved, rejected
or condemned according to the criteria set forth in the applicable CGA
pamphlet. Internal inspection may be omitted for cylinders of the type
and in the service described under paragraphs (e) (12) and (13) of this
section. DOT 3BN cylinders must be inspected in accordance with CGA
Pamphlet C-6.
(4) Pressure retest. (i) Each cylinder required to be retested
under this section, unless otherwise provided, must be retested by
means suitable for measuring the expansion of the cylinder under
pressure. Bands and other removable attachments must be loosened or
removed before testing so that the cylinder is free to expand in all
directions.
(ii) The pressure indicating device of the testing apparatus must
permit reading of pressures to within 1% of the minimum prescribed test
pressure of each cylinder tested, except that for analog devices,
interpolation to \1/2\ of the marked gauge divisions is acceptable. The
expansion indicating device of the testing apparatus must also permit
incremental reading of the cylinder expansion to 1% of the total
expansion of each cylinder tested or 0.1 cubic centimeter, whichever is
larger. Midpoint visual interpolation is permitted.
(iii) Each day before retesting, the retester shall confirm, by
using a calibrated cylinder or other method authorized in writing by
the Associate Administrator for Hazardous Materials Safety (DHM-32),
that:
(A) The pressure indicating device, as part of the retest
apparatus, is accurate within 1.0% of the prescribed test
pressure of any cylinder tested that day. The pressure indicating
device, itself, must be certified as having an accuracy of
0.5%, or better, of its full range, and must permit
readings of pressure from 90%-120% of the minimum prescribed test
pressure of the cylinder to be tested. The accuracy of the pressure
indicating device within the test system can be demonstrated at any
point within 500 psi of the actual test pressure for test pressures at
or above 3000 psi, or 10% of the actual test pressure for test
pressures below 3000 psi; and
(B) The expansion indicating device, as part of the retest
apparatus, gives a stable reading of expansion and is accurate to
1.0% of the total expansion of any cylinder tested or 0.1
cubic centimeter, whichever is larger. The expansion indicating device,
itself, must have an accuracy of 0.5%, or better, of its
full scale.
(iv) The test equipment used must be calibrated to within
1.0% of the calibrated cylinder's pressure and
corresponding expansion values. This can be accomplished by bringing
the pressure to a value shown on the calibration certificate for the
calibrated cylinder used and verifying that the resulting total
expansion is within 1.0% of the total expansion shown on
the calibration certificate. Alternatively, calibration may be
demonstrated by bringing the total expansion to a known value on the
calibration certificate for the calibrated cylinder used and verifying
that the resulting pressure is within 1.0% of the pressure
shown on the calibration certificate. The calibrated cylinder must show
no permanent expansion. The retester shall be able to demonstrate
calibration in conformance with this paragraph (e)(4) to an authorized
RSPA inspector on any day that it retests cylinders. A retester shall
maintain calibrated cylinder certificates in conformance with paragraph
(e)(8)(iii) of this section.
(v) Minimum test pressure must be maintained for at least 30
seconds, and as long as necessary for complete expansion of the
cylinder. A system check may be performed at or below 90% of test
pressure prior to the retest. In the case of a malfunction of the test
equipment, the test may be repeated at a pressure increased by 10
percent or 100 psi, whichever is less. This paragraph (e)(4) does not
authorize retest of a cylinder otherwise required to be condemned under
paragraph (e)(6) of this section.
(5) Cylinder rejection. (i) A retester shall reject a cylinder when
on visual inspection, it meets a rejection standard set forth in CGA
Pamphlets C-6, C-6.1, C-6.2, or C-6.3, as applicable.
(ii) A cylinder that is rejected may not be marked as meeting the
requirements of this section. The retester shall notify the cylinder
owner, in writing, that the cylinder, unless requalified, reinspected
and retested in conformance with CGA Pamphlets C-6, C-6.1, C-6.2, or C-
6.3, as applicable, Part 173 of this subchapter, and any applicable
exemption, is rejected and may not be filled with hazardous material
for transportation in commerce where use of a specification packaging
is required.
(6) Cylinder condemnation. (i) A cylinder must be condemned when:
(A) On inspection, it meets a condition for condemnation set forth
in CGA Pamphlets C-6, C-6.1, C-6.2, or C-6.3, as applicable;
(B) The cylinder leaks through its wall;
(C) Evidence of cracking exists to the extent that the cylinder is
likely to be weakened appreciably;
(D) For a DOT specification cylinder other than a DOT 4E aluminum
cylinder, permanent expansion exceeds 10 percent of total expansion;
(E) For a DOT 4E aluminum cylinder, permanent expansion exceeds 12
percent of total expansion;
(F) For a DOT exemption cylinder, permanent expansion exceeds the
limit set forth in the applicable exemption, or the cylinder meets
another criterion for condemnation in the applicable exemption; or
(G) For a DOT specification 3HT cylinder, elastic expansion exceeds
the marked rejection elastic expansion.
(ii) A cylinder that is condemned may not be filled with hazardous
material for transportation in commerce where use of a specification
packaging is required and may not be marked as meeting the requirements
of this section or any DOT exemption. When a cylinder is required to be
condemned, the retester must stamp a series of X's over the DOT
specification number and marked service pressure, must stamp
``CONDEMNED'' on the shoulder, top head, or neck using a steel stamp
and must notify the cylinder owner, in writing, that the cylinder is
condemned and may not be filled with hazardous material for
transportation in commerce where use of a specification packaging is
required. Alternatively, at the direction of the owner, the retester
may render the cylinder incapable of holding pressure. No person may
remove or obliterate the ``CONDEMNED'' marking.
(7) Retester markings. (i) Each cylinder passing retest must be
marked with the retester's RIN set in a square pattern, between the
month and year of the retest date, in characters not less than 1/8-inch
high. The first character of the RIN must occupy the upper left corner
of the square pattern; the second in the upper right; the third in the
lower right, and the fourth in the lower left. Example: A cylinder
retested in May 1984, and approved by a retester who has been issued
identification number A123, would be marked plainly and permanently
into the metal of the cylinder in accordance with location requirements
of the cylinder
[[Page 54016]]
specification or on a metal plate permanently secured to the cylinder
in accordance with paragraph (c) of this section:
[GRAPHIC][TIFF OMITTED]TP18OC95.000
(ii) Markings of previous tests may not be obliterated. Cylinders
that are subject to the requirements of paragraphs (e)(11), (12)
(modified hydrostatic test only), (13) or (14) of this section, or the
requirements of Sec. 173.301(j) are not required to be marked with a
RIN. Variation from the marking requirement may be approved on written
request to the Associate Administrator for Hazardous Materials Safety
(DHM-32).
(8) Recordkeeping. A retester shall maintain the following records
at the retesting location, on paper or in a form from which a paper
copy can be produced on request.
(i) Records of authority to inspect, retest and mark must be
maintained, as follows:
(A) Current RIN issuance letter;
(B) If the RIN has expired and renewal is pending, a copy of the
renewal application; and
(C) Copies of notifications to RSPA required under paragraph
(e)(2)(iv) of this section.
(ii) Daily records of visual inspection and hydrostatic retest must
be maintained in chronological order for five years. A single date may
be used for each retest sheet, provided each retest on the sheet was
conducted on that date. Ditto marks or a solid vertical line may be
used to indicate repetition of the preceding entry for the following
entries: date, dimensions, manufacturer, owner, and retest operator.
Blank spaces may not be used to indicate repetition. Records must
include:
(A) For each test to demonstrate calibration, the date; serial
number of the calibrated cylinder; calibration test pressure; total,
elastic and permanent expansions; and legible identification of retest
operator. Calibrations must be recorded on the same sheets as, and in
chronological order with, retest records for that date;
(B) For each cylinder retested or visually inspected, records
containing the date; serial number; ICC/DOT specification or exemption
number; service pressure; dimensions; manufacturer (name or symbol);
owner; result of visual inspection; test pressure; total, elastic and
permanent expansions; percent permanent expansion; disposition, with
reason for retest, rejection or condemnation; and legible
identification of test operator. For each cylinder marked pursuant to
Sec. 173.302(c)(5), the retest sheet must indicate the method by which
average and maximum wall stresses were computed. Records must be kept
for all completed retests, as well as unsuccessful retests under
paragraph (e)(4)(v) of this section. The entry for a later retest under
paragraph (e)(4)(v) of this section after a failure to hold test
pressure, or retest of a cylinder requalified after rejection, must
indicate the date of the earlier inspection or retest; and
(C) Calculations of average and maximum wall stress pursuant to
Sec. 173.302(c)(3), if performed.
(iii) The most recent certificate of calibration must be maintained
for each calibrated cylinder used by the retester.
(9) A cylinder in chlorine or sulfur dioxide service made before
April 20, 1915, must be retested at 500 psi.
(10) A DOT 4-series cylinder that at any time shows evidence of a
leak or of internal or external corrosion, denting, bulging or rough
usage to the extent that it is likely to be weakened appreciably; or
that has lost five percent or more of its official tare weight; must be
retested before being recharged and shipped. (Refer to CGA Pamphlet C-6
or C-6.1, as applicable, regarding cylinder weakening). After retest,
the actual tare weight must be recorded as the new tare weight.
(11) A cylinder of 12 pounds or less water capacity authorized for
service pressure of 300 psi or less may be hydrostatically retested
without a water jacket and without determining total and permanent
expansions. The retest is successful if the cylinder, when examined
under test pressure, does not display a defect described in paragraph
(e)(6)(i)(B) or (C) of this section.
(12) A cylinder made in compliance with specification DOT 4B, DOT
4BA, DOT 4BW, DOT 4E or ICC-26-300\1\ (Secs. 178.50, 178.51, 178.61,
178.68 of this subchapter) that is used exclusively for anhydrous
dimethylamine; anhydrous methylamine; anhydrous trimethylamine; methyl
chloride; liquefied petroleum gas; methylacetylene-propadiene
stabilized; or dichlorodifluoromethane, difluoroethane,
difluorochloroethane, chlorodifluoromethane, chlorotetrafluoroethane,
trifluorochloroethylene, or mixture thereof, or mixtures of one or more
with trichlorofluoromethane; and that is commercially free from
corroding components and protected externally by a suitable corrosion
resistant coating (such as galvanizing or painting) may be retested
every 10 years (see Note 2) instead of every five years. Alternatively,
the cylinder may be subjected to internal hydrostatic pressure of at
least two times the marked service pressure without determination of
expansions (see Note 1), but this latter type of test must be repeated
every five years after expiration of the first 10-year period (see Note
2). When subjected to the latter test, the cylinder must be carefully
examined under test pressure and removed from service if a leak or
other harmful defect exists.
\1\Use of existing cylinders authorized; new construction not
authorized.
Note 1: A cylinder requalified by the modified hydrostatic test
method or external inspection must be marked after a retest or an
inspection by stamping the date of retest or reinspection on the
cylinder followed by the symbol ``E'' (external inspection) or ``S''
(modified hydrostatic test method) as appropriate.
Note 2: Until further order of the Department, the 10-year
retest period may be extended to 12 years, and the five-year retest
period may be extended to seven years after expiration of the first
12-year period.
(13) A cylinder made in conformance with a specification listed in
the table in this paragraph (e)(13) and used exclusively in the service
indicated may, instead of a periodic hydrostatic retest, be given a
complete external visual inspection at the time periodic retest becomes
due. External visual inspection in accordance with CGA Pamphlets C-6 or
C-6.1, as applicable, in addition to the other requirements of this
section, meets the requirement for visual inspection. When this
inspection is used instead of hydrostatic retesting, subsequent
inspections are required at five-year intervals after the first
inspection. Inspections shall be made only by competent persons and the
results recorded and maintained in accordance with paragraph (e)(8) of
this section. Records shall include: Date of inspection (month and
year); DOT specification number; cylinder identification (registered
symbol and serial number, date of manufacture, and owner); type of
cylinder protective coating (including statement as to need of
refinishing or recoating); conditions checked (e.g., leakage,
corrosion, gouges, dents or digs in shell or heads, broken or damaged
footring or protective ring or fire damage); disposition of cylinder
(returned to service, to cylinder manufacturer for repairs or
scrapped). A cylinder that passes inspection shall be marked with the
date in accordance with paragraph (e)(7) of this section. An ``E''
after the date indicates requalification by the
[[Page 54017]]
external inspection method. Specification cylinders must be in
exclusive service as follows:
------------------------------------------------------------------------
Cylinders made in compliance with-- Used exclusively for--
------------------------------------------------------------------------
DOT-4, DOT-3A, DOT-3AA, DOT-3A480X, DOT- Anhydrous ammonia of at
4A, DOT-4AA480. least 99.95% purity.
DOT-3A, DOT-3AA, DOT-3A480X, DOT-3B, DOT- Butadiene, inhibited, which
4B, DOT-4BA, DOT-4BW, ICC-26-240,\1\ ICC- is commercially free from
26-300\1\. corroding components.
DOT-3A, DOT-3A480X, DOT-3AA, DOT-3B, DOT- Cyclopropane which is
4A, DOT-4AA480, DOT-4B, DOT-4BA, DOT-4BW. commercially free from
corroding components.
DOT-3A, DOT-3AA, DOT-3A480X, DOT-4B, DOT- Fluorinated hydrocarbons and
4BA, DOT-4BW, DOT-4E. mixtures thereof which are
commercially free from
corroding components.
DOT-3A, DOT-3AA, DOT-3A480X, DOT-3B, DOT- Liquefied hydrocarbon gas
4B, DOT-4BA, DOT-4BW, DOT-4E, ICC-26- which is commercially free
240,\1\ ICC-26-300\1\. from corroding components.
DOT-3A, DOT-3AA, DOT-3A480X, DOT-3B, DOT- Liquefied petroleum gas
4B, DOT-4BA, DOT-4BW, DOT-4E, ICC-26- which is commercially free
240,\1\ ICC-26-300\1\. from corroding components.
DOT-3A, DOT-3AA, DOT-3B, DOT-4B, DOT-4BA, Methylacetylene-propadiene,
DOT-4BW, DOT-4E. stabilized, which is
commercially free from
corroding components.
DOT-3A, DOT-3AA, DOT-3B, DOT-4B, DOT-4BA, Anhydrous mono, di,
DOT-4BW. trimethylamines which are
commercially free from
corroding components.
DOT-4B240, DOT-4BW240..................... Ethyleneimine, inhibited.
------------------------------------------------------------------------
\1\Use of existing cylinders authorized; new construction not
authorized.
(14) A cylinder made in compliance with specification DOT-3A, DOT-
3A 480X, or DOT-4AA480 used exclusively for anhydrous ammonia,
commercially free from corroding components, and protected externally
by a suitable corrosion resistant coating (such as painting) may be
retested every 10 years instead of every five years.
(15) A cylinder not exceeding two inches outside diameter and less
than 2 feet in length is exempted from hydrostatic retest.
(16) In addition to the other requirements of this section, a
cylinder marked DOT-3HT must be requalified in accordance with CGA
Pamphlet C-8 and the following:
(i) At least once every three years, the cylinder must be subjected
to a test by hydrostatic pressure in a water jacket to determine
elastic expansion.
(ii) The cylinder must be condemned:
(A) If elastic expansion exceeds the marked rejection elastic
expansion (REE). A cylinder made before January 17, 1978, and not
marked with an REE in cubic centimeters near the marked original
elastic expansion must be so marked before the next retest date. The
REE for a cylinder is 1.05 times its original elastic expansion.
(B) If there is evidence of denting or bulging.
(C) Twenty-four years after the date of the original test or after
4,380 pressurizations, whichever occurs first. If a cylinder is
recharged, on average, more than once every other day, an accurate
record of the number of rechargings must be maintained by the cylinder
owner or his agent.
(iii) The retest date and RIN must be applied by low-stress steel
stamp to a depth no greater than that of the marking at the time of
manufacture. Stamping on the sidewall is not authorized.
(17) A cylinder made in conformance with specification DOT-3A, DOT-
3AA, DOT-3B, DOT-4A, DOT-4BA or DOT-4BW (Secs. 178.36, 178.37, 178.38,
178.49, 178.51, 178.61 of this chapter) having a service pressure of
300 psi or less that is used exclusively for methyl bromide, liquid;
mixtures of methyl bromide and ethylene dibromide, liquid; mixtures of
methyl bromide and chlorpicrin, liquid; mixtures of methyl bromide and
petroleum solvents, liquid; or methyl bromide and nonflammable,
nonliquefied compressed gas mixtures, liquid; that is commercially free
of corroding components, and that is protected externally by a suitable
corrosion resistant coating (such as galvanizing or painting) and
internally by a suitable corrosion resistant lining (such as
galvanizing) may be tested every 10 years instead of every five years,
provided that a visual internal and external examination of the
cylinder is conducted every five years in accordance with CGA Pamphlet
C-6. The cylinder must be examined at each filling, and rejected if a
dent, corroded area, leak or other condition indicates possible
weakness.
(18) A cylinder made in conformance with specification DOT-3A or
3AA, that has a water capacity not exceeding 125 pounds and that is
removed from any cluster, bank, group, rack, or vehicle each time it is
filled, may be retested every 10 years instead of every five years,
provided:
(i) The cylinder was manufactured after December 31, 1945;
(ii) The cylinder is used exclusively for air, argon, cyclopropane,
ethylene, helium, hydrogen, krypton, neon, nitrogen, nitrous oxide,
oxygen, sulfur hexafluoride, xenon, permitted mixtures of these gases
(see Sec. 173.301(a)) and permitted mixtures of these gases with up to
30 percent by volume of carbon dioxide, provided that the gas has a dew
point at or below minus 52 deg.F. at 1 atmosphere;
(iii) Before each refill, the cylinder passes the hammer test
specified in CGA Pamphlet C-6;
(iv) If since the last required hydrostatic retest the cylinder has
not been used exclusively as specified in paragraph (e)(18)(ii) of this
section, it currently conforms to the requirements of paragraphs
(e)(18) (i) and (iii) of this section and has been retested under, and
meets the criteria prescribed by, Sec. 173.302(c) (2), (3) and (4);
(v) Each cylinder is stamped with a five-point star at least one-
fourth of an inch high immediately following the test date. If a
cylinder marked with the star is used other than as specified in this
paragraph (e)(18), the star following the most recent test date must be
obliterated and the cylinder must be tested every five years;
(vi) The cylinder is dried immediately after hydrostatic testing to
remove all traces of free water; and
(vii) The cylinder is not used for underwater breathing.
(19)(i) A cylinder that previously contained a Class 8 (corrosive)
material may not be used to transport a compressed gas in commerce
unless the following requirements are met:
(A) The cylinder is visually inspected, internally and externally,
in accordance with CGA Pamphlet C-6;
(B) Regardless of the date of previous retest, the cylinder is
subjected to and passes inspection and hydrostatic retest in accordance
with this section; and
[[Page 54018]]
(C) The record prescribed in paragraph (e)(8) of this section
includes: the month and year of inspection and test; the cylinder
identification (including ICC or DOT specification number, registered
symbol, serial number, date of manufacture and owner); the conditions
checked (e.g., leakage, corrosion, gouges, dents, or digs in shell or
heads, broken or damaged footrings, fire damage) and the disposition of
the cylinder (returned to service, returned to the manufacturer for
repairs, or scrapped).
(ii) A cylinder requalified for compressed gas service in
accordance with this paragraph (e)(19) may have its next retest and
inspection scheduled from the date of the inspection and retest
prescribed in this paragraph (e). If decontamination cannot remove all
significant residue or impregnation by the Class 8 material, the
cylinder may not be used to transport compressed gas in commerce.
(20) DOT 8 and 8AL cylinders. (i) Each owner of a DOT 8 or 8AL
cylinder used to transport acetylene must have the cylinder shell and
the porous filler requalified in accordance with CGA Pamphlet C-13.
Requalification must be performed in accordance with the following
schedule:
--------------------------------------------------------------------------------------------------------------------------------------------------------
Shell (visual inspection) requalification Porous filler requalification
Date of cylinder manufacture -------------------------------------------------------------------------------------------------------------------
Initial Subsequent Initial Subsequent
--------------------------------------------------------------------------------------------------------------------------------------------------------
Before January 1, 1991.............. Before January 1, 2001...... 10 yrs.................. Before January 1, 2011...... Not required.
On or after January 1, 1991......... 10 yrs.\1\.................. 10 yrs.................. 3 to 20 yrs.\2\............. Not required.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\Years from date of cylinder manufacture.
\2\For a cylinder manufactured on or after January 1, 1991, requalification of the porous filler must be performed no sooner than 3 years, and no later
than 20 years, from the date of manufacture.
(ii) Unless requalified and marked in accordance with CGA Pamphlet
C-13 before October 1, 1994, an acetylene cylinder must be requalified
by a person who holds a valid RIN. Each cylinder successfully passing a
shell or filler requalification must be marked with the retester's RIN
in accordance with paragraph (e)(7) of this section. In addition, the
cylinder must be marked to identify the type of requalification
performed in accordance with paragraph 4.8 of CGA Pamphlet C-13. For
example, the letter ``S'' must be used for a shell requalification and
the letter ``F'' for a porous filler requalification.
(iii) If a cylinder valve is replaced, a cylinder valve of the same
weight must be used or the tare weight of the cylinder must be adjusted
to compensate for valve weight differential.
(21) A DOT specification 4B, 4BA, 4B240ET or 4BW (Secs. 178.50,
178.51, 178.55 and 178.61 of this subchapter) cylinder used as a fire
extinguisher may be retested in accordance with requirements contained
in this paragraph (e)(21), subject to the following conditions:
(i) The cylinder is used exclusively as a fire extinguisher and
contains fire extinguishing agents such as ammonium phosphate, sodium
bicarbonate, potassium bicarbonate, potassium imido dicarboxamide and
bromochlorodifluromethane or bromotrifluoromethane that are
commercially free from corroding components. The extinguishing agents
must be expelled by gases that are nonflammable, non-poisonous, and
noncorrosive as defined under this subchapter.
(ii) As part of the periodic retest, the retester must perform an
external and internal visual inspection in accordance with CGA Pamphlet
C-6. The cylinder must be carefully examined while under test pressure.
A cylinder that passes hydrostatic retest using a water jacket method
must be marked in accordance with paragraph (e)(7) of this section or,
if using the modified hydrostatic test method, with the month and year
of retest followed by the letter ``S''. A retest must be performed 12
years after the original test date and subsequent retests must be as
follows: At a seven-year interval if the modified hydrostatic test was
last performed or at a 12-year interval if the water jacket method was
last used.
* * * * *
6. In Sec. 173.301, paragraph (j) would be revised to read as
follows:
Sec. 173.301 General requirements for shipment of compressed gases in
cylinders.\1\
\1\Requirements covering cylinders are also applicable to
spherical pressure vessels.
---------------------------------------------------------------------------
* * * * *
(j) Charging of foreign cylinders for export. (1) A cylinder
manufactured outside the United States that has not been manufactured,
inspected, tested and marked in accordance with part 178 of this
subchapter may be charged with compressed gas in the United States, and
shipped, only for export. It may be charged and shipped for export only
if it meets the following requirements, in addition to other
requirements of the subchapter:
(i) It has been inspected, tested and marked in conformance with
the procedures and requirements of Sec. 173.34(e); and
(ii) It meets the maximum filling density and service pressure
requirements of this part.
(2) The bill of lading or other shipping paper must identify the
cylinder and carry the following certification: ``This cylinder has
[These cylinders have] been retested and refilled in accordance with
DOT requirements for export.''
* * * * *
7. In Sec. 173.302, in paragraph (c)(3), the text preceding the
table and the value for ``K'' in Note 1 following the table would be
revised, and Note 3 would be added, to read as follows:
Sec. 173.302 Charging of cylinders with non-liquefied compressed
gases.
* * * * *
(c) * * *
(3) That neither the average wall stress nor the maximum wall
stress exceeds the wall stress limitation shown in the following table
(see Notes 1, 2 and 3):
* * * * *
Note 1: * * *
K=factor x 10-7 , experimentally determined for the particular
type of cylinder being tested, or derived in accordance with CGA
Pamphlet C-5;
* * * * *
Note 3: Compliance with average wall stress limitation may be
determined through computation of the elastic expansion rejection
limit in accordance with CGA Pamphlet C-5.
* * * * *
8. In Sec. 173.309, paragraph (b) would be revised to read as
follows:
Sec. 173.309 Fire extinguishers.
* * * * *
(b) Specification 3A, 3AA, 3E, 3AL, 4B, 4BA, 4B240ET or 4BW
(Secs. 178.36, 178.37, 178.42, 178.46, 178.50, 178.51, 178.55 and
178.61 of this subchapter) cylinders.
[[Page 54019]]
Issued in Washington, DC on October 11, 1995, under authority
delegated in 49 CFR part 106.
Alan I. Roberts,
Associate Administrator for Hazardous Materials Safety.
[FR Doc. 95-25584 Filed 10-17-95; 8:45 am]
BILLING CODE 4910-60-P
Complete official Federal Register PDF
FR Doc. 95-25257 Loans in Areas Having Special Flood Hazards
[Federal Register Volume 60, Number 201 (Wednesday, October 18, 1995)]
[Proposed Rules]
[Pages 53962-53985]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-25257]
[[Page 53961]]
_______________________________________________________________________
Part II
Department of the Treasury
Office of the Comptroller of the Currency
12 CFR Part 22
Federal Reserve System
12 CFR Part 208
Federal Deposit Insurance Corporation
12 CFR Part 339
Department of the Treasury
Office of Thrift Supervision
12 CFR Parts 563 and 572
Farm Credit Administration
12 CFR Part 614
National Credit Union Administration
12 CFR Part 760
_______________________________________________________________________
Loans in Areas Having Special Flood Hazards; Proposed Rule
Federal Register / Vol. 60, No. 201 / Wednesday, October 18, 1995 /
Proposed Rules
[[Page 53962]]
DEPARTMENT OF THE TREASURY
Office of the Comptroller of the Currency
12 CFR Part 22
[Docket No. 95-24]
RIN 1557-AB47
FEDERAL RESERVE SYSTEM
12 CFR Part 208
[Regulation H, Docket No. R-0897]
FEDERAL DEPOSIT INSURANCE CORPORATION
12 CFR Part 339
RIN 3064-AB66
DEPARTMENT OF THE TREASURY
Office of Thrift Supervision
12 CFR Parts 563 and 572
[No. 95-179]
RIN 1550-AA82
FARM CREDIT ADMINISTRATION
12 CFR Part 614
RIN 3052-AB57
NATIONAL CREDIT UNION ADMINISTRATION
12 CFR Part 760
Loans in Areas Having Special Flood Hazards
AGENCIES: Office of the Comptroller of the Currency, Treasury; Board of
Governors of the Federal Reserve System; Federal Deposit Insurance
Corporation; Office of Thrift Supervision, Treasury; Farm Credit
Administration; National Credit Union Administration.
ACTION: Joint notice of proposed rulemaking.
-----------------------------------------------------------------------
SUMMARY: The Comptroller of the Currency (OCC), Board of Governors of
the Federal Reserve System (Board), Federal Deposit Insurance
Corporation (FDIC), Office of Thrift Supervision (OTS), and National
Credit Union Administration (NCUA) are proposing to amend their
regulations, and the Farm Credit Administration (FCA) is proposing to
issue new regulations, regarding loans in areas having special flood
hazards. This action is required by statute and is intended to
implement the provisions of the National Flood Insurance Reform Act of
1994. Among other statutorily mandated provisions, the proposal would
establish new escrow requirements for flood insurance premiums,
explicit authority and the requirement for lenders and servicers to
``force-place'' flood insurance under certain circumstances, enhanced
flood hazard notice requirements, and new authority for lenders to
charge fees for determining if a property is located in a special flood
hazard area.
DATES: Comments must be received by December 18, 1995.
ADDRESSES: Comments should be directed to:
OCC: Communications Division, Office of the Comptroller of the
Currency, 250 E Street, SW., Washington, DC 20219, Attention: Docket
No. 95-24. Comments may be inspected and photocopied at the same
location. In addition, comments may be sent by facsimile transmission
to FAX number 202/874-5274 or by electronic mail to
[email protected]
Board: William W. Wiles, Secretary, Board of Governors of the
Federal Reserve System, 20th Street and Constitution Avenue, NW.,
Washington, DC 20551, Attention: Docket No. R-0897, or delivered to
room B-2222, Eccles Building, between 8:45 a.m. and 5:15 p.m. Comments
may be inspected in Room MP-500 between 9:00 a.m. and 5:00 p.m.
weekdays, except as provided in Sec. 261.8 of the Board of Governors'
rules regarding availability of information, 12 CFR 261.8.
FDIC: Jerry L. Langley, Executive Secretary, Attention: Room F-402,
Federal Deposit Insurance Corporation, 550 17th Street NW., Washington,
DC 20429. Comments may be delivered to Room F-400, 1776 F Street, NW.,
Washington, DC 20429, on business days between 8:30 a.m. and 5:00 p.m.
or sent by facsimile transmission to FAX number 202/898-3838. Internet:
[email protected] Comments will be available for inspection and
photocopying in room 7118, 550 17th Street, NW., Washington, DC 20429,
between 8:30 a.m. and 5:00 p.m. on business days.
OTS: Chief, Dissemination Branch, Records Management and
Information Policy, Office of Thrift Supervision, 1700 G Street NW.,
Washington, DC 20552, Attention: Docket No. 95-179. These submissions
may be hand delivered to 1700 G Street, NW., from 9:00 a.m. to 5:00
p.m. on business days or may be sent by facsimile transmission to FAX
number (202/906-7755). Comments will be available for inspection at
1700 G Street NW., from 1:00 p.m. until 4:00 p.m., on business days.
FCA: Patricia W. DiMuzio, Associate Director, Regulation
Development, Office of Examination, Farm Credit Administration, 1501
Farm Credit Drive, McLean, VA 22102-5090. Copies of all comments will
be available for examination by interested parties in Regulation
Development, Office of Examination, Farm Credit Administration.
NCUA: Becky Baker, Secretary of the Board, National Credit Union
Administration, 1775 Duke Street, Alexandria, VA 22314-3428. Comments
will be available for inspection at the same location. Send comments to
Ms. Baker via the bulletin board by dialing 703/518-6480. Send one copy
by U.S. mail or fax to FAX number 703/518-6319.
FOR FURTHER INFORMATION CONTACT:
OCC: Carol Workman, Compliance Specialist (202/874-4858),
Compliance Management; Margaret Hesse, Attorney, Community and Consumer
Law Division (202/874-5750), Jacqueline Lussier, Senior Attorney, or
Saumya Bhavsar, Attorney, Legislative and Regulatory Activities
Division (202/874-5090), Office of Chief Counsel.
Board: Diane Jackins, Senior Review Examiner, Jennifer Lowe, Review
Examiner (202/452-3946), Division of Consumer and Community Affairs;
Lawranne Stewart, Senior Attorney (202/452-3513), or Rick Heyke,
Attorney (202/452-3688), Legal Division. For the hearing impaired only,
Telecommunication Device for the Deaf (TDD), Earnestine Hill or
Dorothea Thompson (202/452-3544).
FDIC: Mark Mellon, Senior Attorney, Regulation and Legislation
Section (202/898-3854), Legal Division, or Ken Baebel, Senior Review
Examiner (202/942-3086), or Barbara L. Boehm, Consumer Affairs
Specialist (202/942-3631), Division of Compliance and Consumer Affairs.
OTS: Larry Clark, Program Manager, Compliance and Trust, Compliance
Policy (202/906-5628); Catherine Shepard, Senior Attorney, Regulations
and Legislation Division (202/906-7275), Office of Chief Counsel.
FCA: Robert G. Magnuson, Policy Analyst, Regulation Development
(703/883-4498), Office of Examination; or William L. Larsen, Senior
Attorney, Regulatory Operations Division (703/883-4020), Office of
General Counsel. For the hearing impaired only, TDD (703/883-4444).
NCUA: Kimberly Iverson, Program Officer (703/518-6375), Office of
Examination and Insurance; or Jeffrey
[[Page 53963]]
Mooney, Staff Attorney (703/518-6563), Office of General Counsel.
SUPPLEMENTARY INFORMATION:
I. Background
A. Introduction
The Riegle Community Development and Regulatory Improvement Act,
Pub. L. 103-325, 108 Stat. 2160 (CDRI Act), which the President signed
into law on September 23, 1994, comprehensively revised the Federal
flood insurance statutes. The flood insurance provisions of the CDRI
Act require the OCC, Board, FDIC, OTS, and NCUA to revise their current
flood insurance regulations. The FCA is required to promulgate flood
insurance regulations for the first time. The six agencies are issuing
this proposal jointly in order to fulfill these statutory requirements.
All six of the agencies have coordinated and consulted with the Federal
Financial Institutions Examination Council (FFIEC), as is required by
certain of the CDRI Act flood insurance provisions.1
\1\ The heads of five of the six agencies (OCC, Board, FDIC,
OTS, and NCUA) comprise the membership of the FFIEC.
---------------------------------------------------------------------------
This preamble first briefly describes the National Flood Insurance
Program (NFIP), then highlights the CDRI Act amendments to it that are
of significance to the institutions supervised by the six agencies.
Institutions are encouraged to consult the CDRI Act for further detail
about the provisions described here as well as for amendments to the
NFIP that do not require rulemaking by the six agencies.2
\2\See, e.g., CDRI Act sections 521 (flood insurance purchase
requirement for Federal disaster relief recipients may not be
waived), 522 (Federal agency lenders subject to provisions of
statute), 573 (increase in maximum flood insurance coverage
amounts), 579 (delay of effective date of flood insurance policies),
and 582 (flood disaster assistance barred in certain circumstances;
duty to provide certain notices on transfer of property).
---------------------------------------------------------------------------
Following the description of the statutory background is a
discussion of the substance of the proposed regulations. The agencies'
proposals are substantively consistent, although the format of the
regulatory text varies in order to accommodate the format currently in
use at each agency.3 With respect to flood insurance regulations,
these proposals satisfy the statutory obligations of the OCC, Board,
FDIC, and OTS under section 303(a) of the CDRI Act. That section
requires each of these agencies to review and streamline its
regulations and to work jointly to make uniform all regulations and
guidelines implementing common statutory or supervisory policies.
\3\This proposal is also a component of the OCC's Regulation
Review Program. Each of the agencies involved in this rulemaking is
engaged in a similar effort to reduce unnecessary regulatory burden
and to simplify and clarify its regulations.
---------------------------------------------------------------------------
B. The National Flood Insurance Program
The NFIP is administered primarily under two statutes: the National
Flood Insurance Act of 1968 (1968 Act) and the Flood Disaster
Protection Act of 1973 (1973 Act). These statutes are codified at 42
U.S.C. 4001-4129.4 The 1968 Act made Federally subsidized flood
insurance available to owners of improved real estate or mobile homes
located in special flood hazard areas if their community participates
in the NFIP. A special flood hazard area (SFHA) is an area within a
flood plain having a one percent or greater chance of flood occurrence
in any given year.5 SFHAs are delineated on maps issued by FEMA
for individual communities.6 A community establishes its
eligibility to participate in the NFIP by adopting and enforcing
floodplain management measures to regulate new construction and by
making substantial improvements within its SFHAs to eliminate or
minimize future flood damage.7
\4\The Federal Emergency Management Agency (FEMA) administers
the NFIP; its regulations implementing the NFIP appear at 44 CFR
parts 50-79 (1995).
\5\44 CFR 59.1.
\6\44 CFR part 65.
\7\44 CFR part 60.
---------------------------------------------------------------------------
The 1973 Act amended the NFIP by requiring the OCC, Board, FDIC,
OTS, and NCUA to issue regulations governing the lending institutions
they supervise. The regulations directed lenders to require flood
insurance on improved real estate or mobile homes serving as collateral
for a loan (security property) if the security property was located in
a SFHA in a participating community. To implement statutory amendments
enacted in 1974, the regulations required lenders to notify borrowers
that security property is located in a SFHA and of the availability of
Federal disaster assistance with respect to the property in the event
of a flood.
C. CDRI Act Amendments
Title V of the CDRI Act, the National Flood Insurance Reform Act of
1994 (Reform Act), comprehensively revises the NFIP. The Reform Act is
intended to increase compliance with flood insurance requirements and
participation in the NFIP in order to provide additional income to the
National Flood Insurance Fund and to decrease the financial burden of
flooding on the Federal government, taxpayers, and flood victims.8
\8\H.R. Conf. Rep. No. 652, 103d Cong., 2d Sess. 195 (1994)
(Conference Report).
---------------------------------------------------------------------------
The Reform Act changed some of the terms used to refer to
regulators and entities subject to the NFIP. The Reform Act refers to
the six regulators collectively as the Federal entities for lending
regulation. This preamble discussion refers to the six regulators as
the Federal entities for lending regulation or the agencies. The Reform
Act, and this preamble discussion, refer to the institutions supervised
by the six agencies collectively as regulated lending institutions or
lenders.9
\9\In the statute, the term lender also refers to a Federal
agency lender, which means a Federal agency that makes direct loans
secured by improved real estate or a mobile home. This proposal does
not apply to Federal agency lenders. See CDRI Act sections 511, 512,
522.
---------------------------------------------------------------------------
The following provisions of the Reform Act are especially
significant to regulated lending institutions. References to the
appropriate sections of the CDRI Act are given in parentheses.
Scope of coverage (sections 511, 512, 522). The Reform Act expanded
the scope of coverage of the NFIP in several ways. First, it added the
FCA to the list of regulators covered by the NFIP and added Farm Credit
banks and other lenders supervised by the FCA to the list of covered
financial institutions.
Second, the Reform Act directed the Federal National Mortgage
Association (Fannie Mae) and the Federal Home Loan Mortgage Corporation
(Freddie Mac) to implement procedures ``reasonably designed to ensure''
that property securing the residential mortgage loans they purchase is
covered by flood insurance if the security property is located in a
SFHA in a community that participates in the NFIP. Thus, entities not
directly covered by Federal flood insurance laws will indirectly be
required to satisfy the statutory flood insurance requirements if they
sell residential mortgage loans to Fannie Mae or Freddie Mac.
Third, as discussed more fully below, some of the Reform Act's
provisions apply to loan servicers. The Reform Act defines the term
servicer to include any person responsible for receiving any scheduled
periodic payments from a borrower pursuant to the terms of a loan,
including amounts for taxes, insurance premiums, and other charges with
respect to the property securing a loan, and making the payments with
respect to the amounts received from the borrower as may be required
pursuant to the terms of the loan.
Dates of Applicability. Except for the standard flood hazard
determination
[[Page 53964]]
form and escrow provisions described later in this preamble, the flood
insurance provisions in the Reform Act that apply to insured banks,
savings associations, and credit unions took effect on September 23,
1994, the date of enactment of the Reform Act. The Reform Act
specifically provides that the regulations implementing the flood
insurance purchase requirement promulgated by the OCC, Board, FDIC,
OTS, and NCUA that were in effect immediately before the date of
enactment remain in effect until these agencies issue the new rules
that the Reform Act requires. Thus, loans in compliance with the
agencies' existing flood insurance rules that are made before new rules
are finalized do not violate the requirements imposed by Federal flood
insurance laws.
The statutory provisions that apply to Fannie Mae and Freddie Mac
take effect on September 23, 1995. Unlike the regulated lending
institutions supervised by the other Federal entities for lending
regulation, Farm Credit System (System) institutions were not part of
the NFIP before passage of the Reform Act and are not subject to any
current flood insurance regulations. In section 522 of the Reform Act,
Congress made clear that System participation in the NFIP would not be
required for a minimum of one year after enactment of the Reform Act,
thus ensuring a transition period for integration of the System into
the NFIP.
As set forth below, a number of the Reform Act provisions require
agency implementing regulations. These regulations will establish the
basic framework for participation by System institutions in the NFIP.
While it could be argued that System institutions should be required to
comply as of September 23, 1995, with applicable statutory requirements
of the Reform Act that do not require FCA regulations, the FCA believes
that piecemeal applicability of Reform Act requirements before the
fundamental regulatory framework envisioned by Congress is in place
might be unfairly burdensome to institutions and unnecessarily
difficult for the FCA to enforce.
Further, the FCA believes that System lenders should have the
opportunity to comment on NFIP implementing regulations before their
requirements go into effect. Accordingly, the FCA will not criticize
System institutions in examinations for failure to follow the
requirements of the Reform Act until FCA implementing regulations are
effective. Notwithstanding this interpretation of Reform Act
applicability, to ensure a smooth integration of the System into the
NFIP, the FCA encourages System lending institutions to initiate
adequate preparations so that their lending activities will comply with
NFIP requirements by the time final flood insurance regulations are
adopted.
Flood insurance requirement (section 522). Under the 1973 Act,
regulated lending institutions could not ``make, increase, extend, or
renew'' any loan secured by improved real estate or a mobile home
located in a SFHA in a participating community unless the security
property and any personal property securing the loan was covered for
the life of the loan by flood insurance. The Reform Act continues this
basic requirement but adds a new exemption for small, short-term
loans--those with an original principal balance of $5,000 or less and a
repayment term of one year or less.
Escrow of flood insurance payments (section 523). The Reform Act
directs the agencies to issue rules imposing a new escrow requirement
for flood insurance payments. Under these rules, a regulated lending
institution that requires the escrow of taxes, property insurance
premiums, fees, or other charges for a loan secured by residential
improved real estate must require the escrow of flood insurance
premiums and fees as well. Loans secured by commercial property are not
subject to this escrow requirement.
Forced placement of flood insurance (section 524). The 1973 Act did
not expressly authorize lenders to purchase--or force place--flood
insurance on behalf of a borrower. The Reform Act explicitly confers
forced placement authority on both lenders and servicers, and requires
lenders and servicers to force place insurance under certain
circumstances. If, at the time of origination or at any time during the
term of a loan, the lender or servicer determines that the security
property and any personal property securing the loan lack adequate
flood insurance coverage, the lender or servicer must notify the
borrower of the borrower's responsibility to obtain coverage at the
borrower's expense. If the borrower fails to purchase flood insurance
within 45 days after that notification, the lender or servicer must
purchase the insurance on the borrower's behalf.
The forced placement authority and requirement are self-
implementing, and apply to all loans outstanding on or after September
23, 1994.\10\ In forced placement situations, the lender or servicer
may pass the cost of the insurance--premiums and fees--on to the
borrower.
\10\With regard to the timing of the applicability of this
requirement to System institutions, see discussion under ``Dates of
applicability,'' supra.
---------------------------------------------------------------------------
The Reform Act also provides procedures for the resolution of
disputed flood hazard determinations that would trigger the mandatory
purchase requirement. At the joint request of the borrower and
regulated lending institution, the Director of FEMA will review the
determination and within 45 days make the final decision whether or not
the building or mobile home is located in an area having special flood
hazards. Review of a flood insurance determination may be requested
whenever a determination occurs, either at origination or at any time
during the term of the loan. FEMA published a notice of proposed
rulemaking with respect to these procedures on June 15, 1995, 60 FR
31442. The comment period closed on August 15, 1995.
Penalties (section 525). The Reform Act authorizes the appropriate
Federal entity for lending regulation to impose civil money penalties
against a regulated lending institution that engages in a pattern or
practice of violating the flood insurance statute or regulations.
Notice and opportunity for hearing are required before civil money
penalties may be imposed. Penalties may be assessed in amounts of up to
$350 for each violation, not to exceed $100,000 per calendar year, for
any single regulated lending institution.
The agencies note that liability for civil money penalties remains
with the regulated lending institution that committed the violation.
Transfer of the loan does not extinguish the liability of the
transferring lender; conversely, the transferee is not liable for
violations committed by another lender that previously held the loan.
The agencies also note that a lender that purchases or renews flood
insurance in the appropriate amount on a borrower's behalf under the
statute's forced placement provisions is deemed by the express language
of the statute to have complied with the agencies' regulations
requiring lenders to ensure adequate coverage on security property
located in a SFHA.
Flood determination fees (section 526). The 1973 Act did not
expressly authorize regulated lending institutions to charge borrowers
for the cost of making a flood insurance determination. The Reform Act
provides that any person making a loan secured by improved real estate
or a mobile home, or any servicer for such a loan, may charge a
reasonable fee for the costs of determining whether the building or
mobile home is located in a SFHA. The
[[Page 53965]]
lender or servicer acting on behalf of the lender may charge the
determination fee to the borrower or, in the case of a loan transfer or
sale, the loan purchaser under prescribed circumstances. These include
when the determination (1) is made in connection with the making,
increasing, extending, or renewing of the loan that the borrower
initiates, (2) is made in response to map changes by FEMA, or (3)
results in the purchase of flood insurance under the forced placement
provisions.
Notice requirements (section 527). The 1968 Act, as amended,
required regulated lending institutions to provide notice to purchasers
or lessees if the property securing the loan is located in a SFHA. The
Reform Act further amends the 1968 Act: (1) to add detail to the
required contents of the notice; (2) to require regulated lending
institutions to give notice of special flood hazards to loan servicers,
as well as to purchasers or lessees; and (3) to require lenders to
notify FEMA of the identity of the servicer of a loan subject to flood
insurance requirements and of the identity of the new servicer if there
is a change in loan servicers.
The Reform Act also requires the Director of FEMA (or the
Director's designee) to provide advance notice of the expiration of any
flood insurance contract to the owner of the property covered by the
contract, the loan servicer of any loan secured by such insured
property, and (if known to the Director) the owner of the loan.
Standard flood hazard determination form (section 528). The Reform
Act requires FEMA to develop a standard form for recording a lender's
determination whether security property for a given loan is located in
a SFHA for which flood insurance is available. The Reform Act mandates
that the form be developed by regulations issued 270 days after
September 23, 1994, the date of enactment. FEMA published a notice of
proposed rulemaking with respect to the form on April 7, 1995, 60 FR
17758, and a final rule on July 6, 1995, 60 FR 35276. FEMA's final rule
was effective upon publication in the Federal Register.
The Reform Act also requires the Federal entities for lending
regulation to issue regulations requiring regulated lending
institutions to use the standard form developed by FEMA. The Reform Act
mandates that the agencies' regulations be issued together with FEMA's
rule establishing the form. The agencies published a final rule that
complies with this statutory requirement on July 6, 1995. 60 FR 35286.
Under this rule, as mandated by the Reform Act, regulated lending
institutions must use the form beginning 180 days after the issuance of
the rule, or January 2, 1996.
Examination regarding compliance (section 529). The Reform Act
requires each appropriate Federal entity for lending regulation to
assess compliance with the NFIP when it conducts examinations of the
regulated lending institutions it supervises. The OCC, Board, FDIC,
OTS, and NCUA are required to report to Congress on compliance by
insured depository institutions and insured credit unions with the
requirements of the NFIP. The FCA has authority under the Farm Credit
Act (12 U.S.C. 2001-2279bb-6) to assess compliance by Farm Credit
System institutions with the NFIP.
Availability of flood maps (section 575). Under the Reform Act,
FEMA must make flood insurance rate maps and related information
available free of charge to the Federal entities for lending regulation
(and certain other governmental entities) and at a reasonable cost to
all other persons. FEMA also must provide notice of any change to flood
insurance map panels, including changes effected by letter of map
amendment or letter of map revision, not later than 30 days after the
map change or revision becomes effective. FEMA must either publish this
notice in the Federal Register or provide notice by another, comparable
method. Finally, every six months FEMA must publish a compendium of all
changes and revisions to flood insurance map panels and all letters of
map amendment and revision for which it published notice during the
preceding six months. These compendia are available free of charge to
the Federal entities for lending regulation (and certain other
governmental entities) and for a fee set by FEMA to all other persons.
II. Description of the Proposal
A. Overview
The Reform Act directs the Federal entities for lending regulation
to write regulations implementing certain of its provisions and
specifies their content. The OCC, Board, FDIC, OTS, and NCUA are
proposing to revise their current flood insurance regulations11 to
reflect the changes required by the Reform Act. The FCA is proposing
new flood insurance regulations for the institutions it regulates. All
of the agencies were mindful of the need to keep regulatory burden to a
minimum as they prepared this proposal, and, accordingly, are proposing
only regulatory requirements necessary to implement the Reform Act.
\11\OTS's current flood insurance regulation is codified at 12
CFR 563.48. For ease of reference, the OTS is creating a new part
572 for its flood insurance regulation and repealing 12 CFR 563.48.
---------------------------------------------------------------------------
The purpose of the Reform Act is to strengthen and enhance the
NFIP. It does not focus on the safety and soundness of financial
institutions. Depending on the location and activities of a lender,
adequate flood insurance coverage may be important from a safety and
soundness perspective as a component of prudent underwriting and as a
means of protecting the lender's ongoing interest in its collateral.
Accordingly, this preamble notes issues that may raise safety and
soundness concerns in some circumstances and invites comment on these
issues so that the agencies can consider whether to provide informal
guidance, separate from these implementing regulations, that addresses
safe and sound banking practices with respect to flood insurance.
In deciding whether guidance of this type is appropriate, the
agencies will consider the fact that a lender's needs with respect to
flood insurance vary widely depending on the type of lending the
institution does and the geographic areas it serves. Therefore, each
lender is generally in the best position to tailor its flood insurance
policies and procedures to suit its business. The agencies encourage
lenders to evaluate and, when necessary, modify their flood insurance
programs to comport with both the requirements of Federal flood
insurance laws and regulations and principles of safe and sound
banking.
B. Topic-by-Topic Discussion
Authority, Purpose and Scope
The agencies have expanded this section to add detailed statements
of authority, purpose and scope. The FCA is proposing language similar
to that proposed by the other agencies. The NCUA is proposing to
replace the current question and answer format of its flood insurance
regulations with standard regulation text so that its flood insurance
regulations are consistent with the other agencies.
Loan Servicers
The agencies propose to apply their regulations implementing the
escrow, forced placement, and flood hazard determination fee provisions
of the Reform Act to regulated lending institutions and to loan
servicers acting on behalf of regulated lending institutions. The
agencies propose to cover loan servicers in this way for several
reasons. First, the agencies do
[[Page 53966]]
not have jurisdiction over all servicers. Some servicers are not
regulated lending institutions or their affiliates.
Second, the agencies do not interpret the NFIP to impose
obligations on loan servicers independent from the obligations it
imposes on the owner of a loan.
The NFIP looks to activities that are conducted by lenders rather
than loan servicers--that is, the making, increasing, extending, or
renewing of a loan--as the triggers for ensuring adequate flood
insurance coverage. The mandatory purchase requirement under section
102 of the 1973 Act (42 U.S.C. 4012a(b)) applies only to lenders.
Moreover, the Conference Report indicates that a principal reason
for the adoption of the forced placement provision was to remove any
doubt that lenders have the legal authority to require borrowers to
purchase flood insurance or, if the lender purchases the insurance, to
require the borrower to pay for it. Conference Report at 199. The
agencies conclude that loan servicers were covered by the provision so
that they could perform for the lender the administrative tasks related
to the forced placement of flood insurance--including providing the
requisite notices to borrowers, arranging for the insurance, and
collecting and transmitting insurance premiums--without fear of
liability to the borrower for the imposition of unauthorized charges.
Finally, section 102(f) of the 1973 Act (42 U.S.C. 4012a(f)) as
added by section 525 of the CDRI Act does not authorize the agencies to
seek civil money penalties against loan servicers that are not
regulated lending institutions. The statute's failure to impose
liability on servicers independent of lenders reinforces the conclusion
that a servicer's obligation to comply with NFIP requirements arises
from its contractual relationship with a lender. A lender thus may
fulfill its duties under the NFIP by imposing its responsibilities on
the servicer under a servicing contract. Accordingly, lenders should
include in their loan servicing agreements language ensuring that the
servicer will take all necessary steps with respect to escrow
requirements, forced placement of flood insurance, flood hazard
determinations, and notices if the lender or its servicer should
determine that there are deficiencies in any of these aspects of
servicing agreements.
Definitions
The agencies have added or revised certain definitions, including
definitions of the terms ``building,'' ``designated loan,''12
``mobile home,'' and ``servicer.'' The agencies also added certain
definitions that enable them to streamline the operative provisions of
the regulation, including definitions of the terms ``Director,''
``residential improved real estate,'' and ``special flood hazard
area.''
\12\The definition of the term ``designated loan'' refers to
loans ``secured by a building or mobile home'' because, as a
practical matter, flood insurance is generally available only with
respect to a structure or mobile home and not with respect to the
land on which the structure or mobile home sits. This definition is
unique to the agencies' flood insurance regulations and carries no
implication about the nature or extent of the collateral that a
lender otherwise requires as a matter of prudent underwriting.
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Flood Insurance Requirement
The Reform Act did not change the basic requirement for the
purchase of flood insurance when a security property is located in a
special flood hazard area in a participating community, nor did it
modify the minimum required amount of the insurance.13 The minimum
amount continues to be the lesser of the amount of the outstanding
principal balance of the loan or the maximum limit for coverage under
the 1968 Act.14 Accordingly, the five agencies that currently have
flood insurance regulations are not proposing any substantive amendment
to the text that implements this portion of the statute.
\13\See also section 573 of the CDRI Act, increasing the maximum
flood insurance coverage limits.
\14\In addition to the dollar limits in the 1968 Act, flood
insurance coverage under the NFIP is limited to the overall value of
the property less the value of the land.
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Loan Purchase as Equivalent to Loan Origination
The agencies' current regulations differ in their treatment of the
issue whether the purchase of a loan constitutes the making of a loan
for purposes of flood insurance. The OCC and the Board take the
position that a loan purchase is not an event that triggers the
obligation to make a flood hazard determination. The FDIC has not
previously had an opportunity to express an opinion on the question.
The OTS's current regulations, on the other hand, view the purchase
of a loan as the equivalent of the making of a loan for flood
determination purposes. In an effort to promote uniformity among the
agencies, the OTS is considering aligning its position with that of the
OCC and the Board, so that a loan purchase by a savings association
would not trigger an obligation to make a flood hazard
determination.15 Based on its regulations governing loan
purchasing, NCUA previously took the position that if flood insurance
would have been required for a Federal credit union to grant the loan,
flood insurance would be necessary for the credit union to purchase the
loan.
\15\OTS has historically taken a different position on this
question than the OCC and the Board. Section 102(b) of the 1973 Act
(42 U.S.C. 4012a(b)) provides that regulated lending institutions
may not ``make'' any loan secured by improved real estate or a
mobile home located in a SFHA unless the security property is
covered by an adequate policy of flood insurance. The OTS's
predecessor, the Federal Home Loan Bank Board, considered the word
``make'' to be broad enough to include loan purchases. Otherwise,
savings institutions could evade flood insurance requirements by the
simple expedient of purchasing, rather than originating, loans. See
34 FR 5749 (Feb. 15, 1974). Accordingly, the OTS's regulations
implementing the 1973 Act construe the phrase ``make a loan'' as
including purchased loans, see 12 CFR 563.48(b).
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The OCC and the Board do not propose to revise their current
regulatory language to add a loan purchase as a ``tripwire'' for
determining whether adequate flood insurance exists. The statute
identifies the events--the making, increasing, extending, or renewing
of a loan--that trigger a lender's obligation to review the adequacy of
flood insurance coverage on an affected loan. The Reform Act does not
include loan purchase in this list of specified tripwires. The OCC and
the Board note that a loan purchaser may always require as a condition
of purchase that the seller determine whether the security property is
located in a SFHA. The Reform Act authorizes the seller to charge a fee
to the purchaser for making this determination.
With respect to residential mortgage loans sold in the secondary
market, the inclusion of loan purchase as a tripwire event may be
unnecessary because of the expansion of the scope of the NFIP's
coverage with regard to Fannie Mae and Freddie Mac. Fannie Mae and
Freddie Mac are the largest volume purchasers of residential mortgage
loans. As a practical matter, these entities establish the industry
standards not only for the residential mortgage loans that they buy,
but for all residential mortgage loans that the originator does not
intend to keep in portfolio. The bulk of home loans sold to other
purchasers, including regulated lending institutions, typically conform
with Fannie Mae and Freddie Mac standards. Pursuant to the Reform Act
amendments,16 those standards will include adequate flood
insurance coverage on collateral securing loans sold to these entities.
The OCC and the Board believe that including loan purchase as a
regulatory tripwire could result in the imposition of duplicative (and
potentially
[[Page 53967]]
inconsistent) requirements on the seller and the purchaser of a
residential mortgage loan sold in the secondary market.
\16\Section 522 of the CDRI Act.
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As noted previously, the FDIC has not previously had an opportunity
to express an opinion on the question of whether the purchase of a loan
is equivalent to the making of a loan for purposes of Federal flood
insurance laws. The FDIC now proposes, in the interest of regulatory
consistency, to formally adopt the position adhered to by the OCC and
the Board that a loan purchase is not an event that triggers the
obligation to make a flood hazard determination.
Given the Reform Act's extension of the flood insurance
requirements to Fannie Mae and Freddie Mac, the OTS believes that
coverage of loan purchases may no longer be necessary, especially if
the agencies issue guidance on loan purchases, as discussed below.
Therefore, the OTS, in an effort to promote consistent treatment for
all regulated lending institutions, proposes to remove loan purchases
from its flood insurance regulations. The OTS requests comment on this
proposal.
Prior to the Reform Act, the NCUA took the position that if flood
insurance would have been required for a Federal credit union to grant
the loan, flood insurance would be necessary for the credit union to
purchase the loan. This position is based upon the requirements of 12
CFR 701.23(b)(1) of the NCUA regulations, which state that a Federal
credit union may only purchase a loan if it could have granted that
loan or if the loan is restructured within 60 days after purchase so
that it is a loan the Federal credit union could grant. The NCUA
invites comment on whether it should maintain this position.
All of the agencies are considering whether, as a supervisory
matter, to provide guidance on the flood insurance policies that
institutions should follow when they purchase loans, including
nonconforming home loans, loans secured by commercial property,
portfolios of loans, and loan participations. Loans in these categories
may be subject to underwriting standards that differ significantly from
those established by Fannie Mae, Freddie Mac, or other government-
sponsored enterprises for housing. Institutions with portfolios that
include purchased loans may need to develop procedures to ensure that
such purchases do not result in concentrations of loans secured by
property subject to flood hazards for which insurance is not available
or has not been obtained. The agencies invite comment on the need for
this type of guidance and on what it should include.
Loan Acquisitions Involving Table Funding Arrangements.
The agencies also invite comment regarding whether lenders who
provide table funding to close loans originated by mortgage brokers or
mobile home dealers should be deemed to be ``making'' or ``purchasing''
loans for purposes of the flood insurance requirements. In the typical
table funding situation, the party providing the funding ordinarily
reviews and approves the credit standing of the borrower and issues a
commitment to the broker or dealer to purchase the loan at the time the
loan is originated. Frequently, all loan documentation and other
statutorily mandated notices are supplied by the party providing the
funding, rather than the broker or dealer. The funding party provides
the original funding for the mortgage loan ``at the table'' when the
broker or dealer and the borrower close the loan. Concurrent with the
loan closing, the funding party acquires the loan from the broker or
dealer. Technically, however, the party providing the funding is
purchasing rather than originating the loan.
The Financial Accounting Standards Board (FASB)17 provides
guidance on the issue whether the party providing the funding should
account for a table funding arrangement as a loan purchase or loan
origination, and what criteria should be used to evaluate whether a
table funding arrangement constitutes a loan purchase or a loan
origination. A mortgage loan acquired by the party providing the
funding in a table funding arrangement should be accounted for as a
purchase of the loan by the acquirer if the loan is legally structured
as an origination by the broker or dealer and if the broker or dealer
is independent of the provider of funds. In making these
determinations, the broker or dealer must satisfy each of five
criteria. Those criteria are:
\17\See Financial Accounting Standards Board, EITF Abstracts,
Emerging Issues Task Force Issue No. 92-10, ``Loan Acquisitions
Involving Table Funding Arrangements,'' 1993.
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1. The broker or dealer is registered and licensed to originate
and sell loans under the applicable laws of the states or other
jurisdictions in which it conducts business;
2. The broker or dealer originated, processed, and closed the
loan in its own name and is the first titled owner of the loan, with
the mortgage banking enterprise becoming a holder in due course;
3. The broker or dealer is an independent third party and not an
affiliate of the mortgage banking company. As a nonaffiliate, the
correspondent must bear all of the costs of its place of business,
including the costs of its origination operations;
4. The broker or dealer must sell loans to more than one
mortgage banking enterprise and not have an exclusive relationship
with the acquirer; and
5. The broker or dealer is not directly or indirectly
indemnified by the mortgage banking enterprise for market or credit
risks on loans originated by the broker or dealer. However, a
commitment by the mortgage banking enterprise for the purchase of
loans from the broker or dealer is not considered to be an
indemnification for purposes of this requirement.
If any of the criteria is not met, then the loan should be accounted
for as an originated loan by the provider of the funds.
Under the Real Estate Settlement Procedures Act of 1974, as
amended, (12 U.S.C. 2601-2617) (RESPA), table funding is defined as a
settlement at which a loan is funded by a contemporaneous advance of
loan funds and an assignment of the loan to the person advancing the
funds.18 A table-funded transaction is not a ``secondary market
transaction.'' 24 CFR 3500.2. A bona fide transfer of a loan obligation
in the secondary market is not covered by RESPA or Regulation X, with
certain exceptions. 24 CFR 3500.5(b)(7). The regulation provides that
in determining what constitutes a bona fide transfer of a loan
obligation in the secondary market, HUD will consider the real source
of funding and the real interest of the funding lender. Mortgage broker
transactions that are table-funded are not ``secondary market
transactions.'' Neither the creation of a dealer loan nor the first
assignment of such loan to a lender is a ``secondary market
transaction.''
\18\ Regulations issued by the Department of Housing and Urban
Development (HUD) under RESPA appear in 24 CFR part 3500 (Regulation
X).
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In the agencies' view, a table-funded transaction is more like a
loan origination by the provider of funds than a purchase of a loan in
the secondary market by that entity. Thus, lenders who provide table
funding to close loans originated by a mortgage broker or mobile home
dealer will be considered to be making a loan for purposes of the flood
insurance requirements. The agencies request comment on this position
and whether the FASB or RESPA standard is a more appropriate guideline.
Applicability of Federal Flood Insurance Requirements to Subsidiaries
The question whether Federal flood insurance legislation applies to
mortgage banking subsidiaries of regulated lending institutions is
mooted
[[Page 53968]]
to some extent by the previously noted Reform Act amendment requiring
Fannie Mae and Freddie Mac to ensure that any improved real estate or
mobile home located in a SFHA that secures a mortgage loan these
entities purchase is covered by the legally required amount of flood
insurance. Since mortgage bankers generally securitize their mortgage
loans and then sell them in the secondary market, any such loan that is
sold to either Fannie Mae or Freddie Mac must comply with their
requirements and therefore must be covered by flood insurance.
Fannie Mae and Freddie Mac primarily purchase residential mortgage
loans, however, and then usually for 1- to 4-family residential unit
dwellings. As a result, most mortgage loans secured by commercial
property or by residential property with more than 4 units are not
subject to Fannie Mae or Freddie Mac requirements. Each agency's
discussion with respect to the applicability of Federal flood insurance
requirements to the subsidiaries of the institutions it regulates is
set forth below.
OCC and Board. National banks' operating subsidiaries are subject
to the rules applicable to the operations of their parent banks as
provided under 12 CFR 5.34. Similarly, state member banks' operating
subsidiaries are subject to the rules applicable to the operations of
their parent banks.
FDIC. The FDIC is responsible for the federal supervision of state
chartered banks which are not members of the Federal Reserve System.
The FDIC has been given specific legal authority to fulfill that
function through the prescription of such rules and regulations as the
Board of Directors of the FDIC may deem necessary to carry out the
provisions of the Federal Deposit Insurance Act (FDI Act) or any other
law which the FDIC has the responsibility of administering or enforcing
including Federal flood insurance legislation. See section 9(a)(Tenth)
of the FDI Act (12 U.S.C. 1819(a)(Tenth)). The authority of the FDIC to
regulate insured nonmember banks extends to activities that such
institutions may conduct through subsidiaries. The FDIC therefore
proposes to require by regulation that a subsidiary of an insured
nonmember bank that engages in lending secured by real estate must
comply with Federal flood insurance requirements. The FDIC invites
comment from all interested parties on this proposed interpretation.
The FDIC proposes to make subsidiaries of insured nonmember banks
subject to Federal flood insurance requirements by defining the term
``bank'' to include a subsidiary of such an institution. The FDIC
invites comments on this proposed method.
OTS. Operating subsidiaries of Federal savings associations are
subject to the rules, including flood insurance regulations, applicable
to their parent savings associations. 12 CFR 545.81(e). However, the
current OTS regulations implementing the 1973 Act do not apply to a
service corporation. 12 CFR 563.48(a); discussed in 39 FR 5749 (Feb.
15, 1974). Because the Reform Act defines the term regulated lending
institution to include, among other things, any bank, savings and loan
association, or similar institution subject to the supervision of a
Federal entity for lending regulation, the OTS is proposing to apply
its flood insurance regulations to service corporations that engage in
mortgage lending. The OTS believes this position is consistent with the
statutory language and Congressional intent, and ensures uniform and
consistent treatment for regulated financial institutions. The OTS
requests comment on this proposal.
FCA. Service corporations organized under the Farm Credit Act (12
U.S.C. 2001-2279bb-6) are System institutions subject to the
regulations applicable to the operations of their parent banks. 12
U.S.C. 2213. Since System service corporations have no authority to
extend credit, the applicability of these proposed flood insurance
requirements to such organizations should not be in question. 12 U.S.C.
2211.
NCUA. A credit union, by itself, with other credit unions and/or
with non-credit union parties, may invest in or loan money to a
corporation or limited partnership, called a credit union service
organization (CUSO), which provides services to its credit union
investors. 12 CFR 701.27(d). CUSOs are not directly regulated by the
NCUA; rather, NCUA establishes the conditions for Federal credit union
investments in and loans to such organizations. 12 CFR 701.27(a). Since
NCUA does not exercise direct regulatory or supervisory jurisdiction
over them, NCUA believes that CUSOs are not regulated lending
institutions subject to the Reform Act. However, CUSOs that originate
mortgage loans generally do not warehouse those loans. Their loans are
either sold directly to the secondary market or sold to the credit
union. Therefore, as a practical matter, CUSOs must adhere to the
Federal flood insurance requirements when making loans since, as
described herein, loans purchased by credit unions or sold to Fannie
Mae or Freddie Mac must conform with these requirements.
Exemptions
Before its amendment by the Reform Act, the 1973 Act provided an
exemption to the basic flood insurance requirement for State-owned
property covered under a policy for self-insurance satisfactory to the
Director of FEMA. 42 U.S.C. 4012a. The proposal retains this exemption
and adds the Reform Act's new exemption for loans with an original
principal balance of $5,000 or less and a repayment term of one year or
less.
Escrow of Flood Insurance Payments
The Reform Act requires the agencies to adopt rules providing that
a regulated lending institution must require the escrow of flood
insurance premiums for loans secured by residential properties if the
lender requires the escrow of other funds to cover other charges
associated with the loan, such as taxes, premiums for other types of
insurance, and fees. The proposal implements this new requirement.
Where appropriate, servicing agreements between a lender and loan
servicer also should require a loan servicer to escrow flood insurance
premiums.
Escrow of flood insurance premiums is not required if the regulated
lending institution does not require escrow of taxes, insurance
premiums, or other payments. Thus, if a regulated lending institution
terminates a loan escrow account, the lender is no longer required to
escrow flood insurance premiums.
Under section 523 of the CDRI Act (42 U.S.C. 4012a(d)), escrow
accounts for flood insurance premiums are subject to the applicable
provisions of section 10 of RESPA, 12 U.S.C. 2609. Section 10 generally
limits the amount that may be maintained in an escrow account and
requires certain escrow account statements.19 The regulations
implementing section 10 appear at 24 CFR 3500.17 (1995). See also 60 FR
8812 (Feb. 15, 1995) and 60 FR 24734 (May 9, 1995) (revising
Sec. 3500.17). The requirement to escrow flood insurance premiums will
take effect when the new
[[Page 53969]]
rules implementing the Reform Act are final.
\19\Certain loans are exempt from RESPA, however, including a
loan for any purpose on property of 25 acres or more, or an
extension of credit primarily for a business, commercial, or
agricultural purpose. See 12 U.S.C. 2606; 24 CFR 3500.5. Thus RESPA
is narrower in scope than the Federal flood insurance legislation.
The agencies are of the opinion that section 10 of RESPA applies to
flood insurance escrow accounts only if the underlying loan is
covered by RESPA. For example, a lender that originates a loan in a
special flood hazard area primarily for a business, commercial or
agricultural purpose must escrow flood insurance premiums if it
escrows other types of payments (such as payments for insurance or
taxes) but the escrow account established for that loan need not
comply with the requirements of section 10 of RESPA.
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Forced Placement of Flood Insurance
The Reform Act requires a regulated lending institution or servicer
acting on its behalf to purchase--or ``force place''--flood insurance
for the borrower if the regulated lending institution or servicer
determines that adequate coverage is lacking. The statute does not
prescribe how or when the regulated lending institution or servicer
should make this determination. The Reform Act does say, however, that
the determination may occur at the time of origination or at any time
during the term of the loan. The forced placement provision applies to
all loans outstanding on or after September 23, 1994.20
\20\With regard to the timing of the applicability of this
requirement to System institutions, see discussion under ``Dates of
applicability,'' supra.
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The agencies note that the Reform Act contains provisions designed
to make it easier for lenders and servicers to obtain actual notice of
remappings or of the expiration of coverage of flood insurance. FEMA
must publish notice of all remappings; and FEMA must provide advance
notice of the expiration of insurance coverage to property owners, loan
servicers, and (if known to FEMA) the owners of the loans.
Portfolio Review
The Reform Act and the proposed rules do not require regulated
lending institutions or servicers to undertake a review of all loans in
portfolio as of September 23, 1994, that is, a retroactive portfolio
review. First, the Reform Act does not revise the list of events that
trigger a determination, that is, the making, increasing, renewing, or
extension of a loan. Second, the Reform Act imposes no requirement for
retroactive portfolio review. Finally, a requirement for retroactive
portfolio review would impose a burden on regulated lending
institutions that is both costly and unnecessary in light of the system
of specific tripwires that the Reform Act establishes.
Similarly, the agencies do not believe that the Reform Act requires
regulated lending institutions or servicers to conduct portfolio
reviews on a prospective basis. The 1968 and 1973 Acts as amended by
the Reform Act do not prescribe portfolio review, or any other method,
as the means that lenders or servicers should use to determine whether
security property is adequately covered by flood insurance, nor does it
require that determinations be made at any particular time.
Because the Reform Act does not mandate review of loan portfolios,
the agencies do not propose to establish such a requirement by
regulation. Regulated lending institutions and their servicers will
nonetheless need to develop policies and procedures to ensure that,
where a determination has been made that property securing a loan is
located in a SFHA, they are in compliance with the Reform Act's forced
placement provision.
In addition, it may be appropriate as a matter of safety and
soundness for the agencies to ensure that institutions that are
significantly exposed to the risks for which flood insurance is
designed to compensate determine the adequacy of flood insurance
coverage by (1) periodic reviews, or (2) reviews triggered by remapping
of areas represented in a regulated lending institution's loan
portfolio.
The agencies solicit comment on the advisability of issuing
guidance in this area and on how the guidance should differentiate
among regulated lending institutions based on their levels of exposure
to flood risk. In particular, the agencies invite comment describing
the methods that regulated lending institutions already use or are
considering for determining the adequacy of flood insurance coverage;
the cost (or other burden) associated with portfolio reviews; and on
whether the additional loans for which flood insurance would be
required as a result of portfolio reviews would be significant in
relation to a regulated lending institution's or servicer's portfolio.
Penalties
The penalty provisions of the Reform Act are self-executing. They
do not require the agencies to develop regulations to implement them,
and the agencies are not proposing to do so.
Determination Fees
The Reform Act authorizes a lender or servicer acting on behalf of
a lender to charge a reasonable fee for making a flood hazard
determination, notwithstanding any other Federal or State law. This fee
may be charged to the borrower under certain circumstances specified in
the statute: if the borrower initiates the transaction (the making,
increasing, extending, or renewing of a loan) that triggers a flood
hazard determination; if the determination reflects FEMA's revision of
map areas subject to flooding; or if the determination results in the
purchase of flood insurance under the forced placement provision. In
the case of a sale or transfer of the loan, the fee may be charged to
the purchaser or transferee. The proposal includes the same
authorization to charge reasonable determination fees as the Reform
Act.
Section 526 of the CDRI Act (42 U.S.C. 4012a(h)) constitutes an
authorization to charge fees in certain circumstances, notwithstanding
the provisions of any other Federal or State law. It does not limit the
ability of a lender to provide for determination fees in other
circumstances under its lending contract, provided that such fees are
not in conflict with other Federal or State laws.
Notice Requirements
The proposal revises the current regulation to reflect the
provisions added by the Reform Act that prescribe the minimum contents
of a regulated lending institution's notice concerning special flood
hazards to borrowers and loan servicers.
The 1968 Act (42 U.S.C. 4104a) requires regulated lending
institutions to notify the ``purchaser or lessee (or obtain
satisfactory assurances that the seller or lessor has notified the
purchaser or lessee)'' of special flood hazards. In this context, the
terms ``purchaser'' and ``lessee'' refer to the person who will occupy
a property. The Reform Act did not amend this statutory language. The
current regulation states that the regulated lending institution must
notify the borrower of special flood hazards and states that in lieu of
such notification, a regulated lending institution may obtain
satisfactory written assurance that the seller or lessor has so
notified the borrower prior to the execution of the sale or lease
agreement. Each of the agencies has used the word ``borrower'' in place
of the ``purchaser'' or ``lessee'' designation contained in the
statute, primarily to provide greater clarity. The proposal does not
change this terminology.
The agencies invite comment on the advisability of retaining this
language.
The notification to the borrower and servicer must include a
warning that the building on the improved real estate or the mobile
home is or will be located in an area having special flood hazards, a
description of the flood insurance purchase requirements under section
102(b) of the 1973 Act (42 U.S.C. 4012a(b)), a statement that insurance
may be purchased under the NFIP and is also available from private
insurers, and any other information that the Director of FEMA considers
necessary to carry out the purposes of the NFIP. The proposal follows
the statute and
[[Page 53970]]
requires that these items be included in the notice.21
\21\Readers should be aware that section 1364 of the 1968 Act as
amended by section 527 of the CDRI Act requires that the notice of
special flood hazards also list any other information that the
Director of the FEMA considers necessary to carry out the purposes
of the NFIP. The agencies have been informed by FEMA staff that at
the present time there are no plans to require that any other
information be listed on the notice.
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The current regulatory provision requiring lenders to provide
notice to borrowers of the availability of Federal disaster relief
assistance in the event of flooding implements a portion of the 1973
Act (42 U.S.C. 4106(b)) that has not been amended substantively and,
therefore, remains unchanged.
The 1968 Act requires the lender to provide notice of special flood
hazards within a reasonable period of time in advance of the signing of
the documents involved in the transaction. The proposal reflects the
Reform Act amendment that added the loan servicer to the entities that
must be notified. However, in the agencies' view, it may not be
possible in all cases for a lender to provide such advance notice to a
loan servicer. The agencies request comment on the appropriate timing
of the notification to the loan servicer.
The current regulations require that the borrower, prior to
closing, furnish the lender with a written acknowledgment of the
receipt of the notices. The Reform Act mandates that the agencies'
regulations require lenders to retain a record of the receipt of the
notices by the borrower and the loan servicer. The proposed regulation
reflects this change and deletes the acknowledgment provision.
The agencies request comment on whether the final regulations
should require the lender to retain a copy of each notice in its files.
The substance of the ``safe harbor'' provision in the current
regulations permitting lenders to rely on the language presented in
sample notices that currently appear either in the body of the
regulations or in an appendix to the regulations remains unchanged. The
language in the sample notices is revised to reflect amendments to the
1968 Act (42 U.S.C. 4104a(a)(3)) made by section 527 of the CDRI Act.
The proposal also implements the new requirement that regulated
lending institutions notify the Director of FEMA (or the Director's
designee) of the identity of the loan servicer and of any change in the
servicer with respect to any loan secured by improved real estate or a
mobile home located in a SFHA. The agencies understand that the
Director of FEMA intends to designate the insurance agent that writes
the flood insurance to receive the notice.
The agencies request comment on whether the final regulations
should require the lender to retain a copy of the notice of the
identity of the servicer in its files.
Use of Standard Flood Hazard Determination Form
As mentioned in the Background section of this proposal, each
agency has issued a final rule requiring the institutions they
supervise to use the standard flood hazard determination form developed
by FEMA when they determine whether improved real estate or a mobile
home offered as collateral for a loan is located in a SFHA. For the
convenience of the reader, the sections of the regulatory text
established by those final rules are included in this proposal. The
regulatory text contains nonsubstantive revisions made to reflect
abbreviations and minor word changes to fit the format of the proposed
regulations.
The Reform Act permits lenders to rely on third-party
determinations but only if the third party guarantees the accuracy of
the information provided to the lender. Moreover, the Reform Act
permits a lender to rely on a previous determination whether the
security property is located in a special flood hazard area and exempts
the lender from liability for errors in the previous determination, if
the previous determination is not more than seven years old and the
basis for it was recorded on the standard flood hazard determination
form that FEMA has developed.
There are two clearly defined exceptions to relying on a previous
determination. A lender may not rely on a previous determination if
FEMA's map revisions or updates have caused the security property to be
located in a SFHA, or if the lender contacts FEMA and discovers that
map revisions or updates affecting the security property have been made
after the date of the previous determination.
Recordkeeping Requirements
The rules of the five agencies that currently have flood insurance
regulations include a requirement that an institution keep records
sufficient to show how it has determined whether loans fall within the
coverage of the NFIP and the implementing regulations. The proposal
removes this provision because the proposed provisions on recordkeeping
appear in the substantive sections to which they pertain, including the
required use of the standard flood hazard determination form and the
notification sections.
Agricultural Lending Considerations
System lending institutions have raised preliminary questions
regarding the operation of the NFIP, particularly with respect to the
cost of insuring agricultural structures that secure loans. The FCA
notes that questions regarding the operation and cost structure of the
NFIP should be directed to FEMA as administrator of the NFIP. However,
the FCA recognizes that System institutions are entering the NFIP for
the first time and are concerned about their new administrative
responsibilities under the NFIP as well as the costs of flood insurance
to borrowers. The FCA is not in the position to respond fully to some
of the concerns that have been raised regarding the NFIP, but FEMA
officials indicate that the NFIP does differentiate between non-
residential agricultural buildings and other types of non-residential
buildings for purposes of pricing flood insurance. Thus a barn, storage
shed or other type of agricultural structure at a given elevation in a
SFHA might cost less to insure against flood loss than another type of
commercial structure more susceptible to flood damage. Where required,
borrowers may insure their non-residential buildings using one policy
with a schedule separately listing the buildings\22\ or on a separate
policy for each building. Each building must be covered by flood
insurance.
\22\FEMA also permits use of schedules to list multiple
structures for purposes of the standard flood hazard determination
form. See 60 FR 35276, 35280 (July 6, 1995); 44 CFR part 65, App. A.
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Concern has also been expressed regarding treatment under the NFIP
of improved property securing an agricultural loan that is located
within a SFHA but on high ground making flooding unlikely. FEMA
officials indicate that a borrower in such circumstances could apply to
FEMA for a Letter of Map Amendment, which, if granted would exclude the
building from the SFHA and eliminate the requirement for flood
insurance on the structure. See 44 CFR part 70. As previously noted,
questions regarding the operation of the NFIP generally should be
directed to FEMA and NFIP officials.
III. Regulatory Flexibility Act
Under section 605(b) of the Regulatory Flexibility Act (RFA) (5
U.S.C. 605(b)), the initial regulatory flexibility analysis otherwise
required under section 603 of the RFA (5 U.S.C. 603) is not required if
the head of the agency certifies that the rule will not
[[Page 53971]]
have a significant economic impact on a substantial number of small
entities and the agency publishes such certification and a succinct
statement explaining the reasons for such certification in the Federal
Register along with its general notice of proposed rulemaking.
Pursuant to section 605(b) of the RFA, the OCC, Board, FDIC, OTS,
and NCUA hereby certify that this proposed rule will not have a
significant economic impact on a substantial number of small entities.
The agencies expect that this proposal will not: (1) Have significant
secondary or incidental effects on a substantial number of small
entities, or (2) create any additional burden on small entities.
Moreover, this proposal is required by the Reform Act. Accordingly, a
regulatory flexibility analysis is not required.
As a general matter, the proposed rule does not impose standards
that are in excess of industry standards with respect to flood
insurance, as those standards are reflected in the underwriting
standards for Fannie Mae and Freddie Mac. Further, for those lenders
already covered by existing flood insurance requirements, the proposed
rule does not represent a significant increase over the burden imposed
under the current rules. For such lenders, the proposed rules would
increase burden above that imposed under the current rules in the
following respects: (1) Where the lender escrows other tax and
insurance payments, premiums for required flood insurance must be
escrowed as well; (2) the content of the notices currently provided to
borrowers is modified; and (3) notice to FEMA of the servicer of the
loan on property in a special flood hazard area is required.\23\ Each
of these additions to the current rules is required by the Reform Act.
\23\The provision concerning forced placement of flood insurance
is self-implementing and is included in the proposed rules only to
ensure that lenders are aware of the authority and requirements of
that provision. Including the provision in the proposed rule does
not impose any additional burden on lenders.
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IV. Paperwork Reduction Act of 1995
The OCC, FDIC, OTS, and NCUA invite comment on:
(1) Whether the proposed collection of information contained in
this notice of proposed rulemaking is necessary for the proper
performance of each agency's functions, including whether the
information has practical utility;
(2) The accuracy of each agency's estimate of the burden of the
proposed information collection;
(3) Ways to enhance the quality, utility, and clarity of the
information to be collected; and
(4) Ways to minimize the burden of the information collection on
respondents, including through the use of automated collection
techniques or other forms of information technology.
Respondents/recordkeepers are not required to respond to this
collection of information unless it displays a currently valid OMB
control number.
OCC: The collection of information requirements contained in this
notice of proposed rulemaking have been submitted to the Office of
Management and Budget for review in accordance with the Paperwork
Reduction Act of 1995 (44 U.S.C. 3507(d)). Comments on the collections
of information should be sent to the Office of Management and Budget,
Paperwork Reduction Project (1557), Washington, DC 20503, with copies
to the Legislative and Regulatory Activities Division (1557), Office of
the Comptroller of the Currency, 250 E Street, SW., Washington, DC
20219.
The collection of information requirements in this proposed rule
are found in 12 CFR 22.6, 22.7, 22.9, and 22.10. This information is
required to evidence compliance with the requirements of the National
Flood Insurance Program with respect to lenders (national banks) and
borrowers (anyone who applies for a loan secured by improved real
property or a mobile home which may be located in a special flood
hazard area). The likely respondents/recordkeepers are national banks.
Estimated average annual burden hours per respondent/recordkeeper:
26 hours.
Estimated number of respondents and/or recordkeepers: 3,000.
Estimated total annual reporting and recordkeeping burden: 78,000
hours.
Start-up costs to respondents: None.
Records are to be maintained for the period of time respondent/
recordkeeper owns the loan.
Board: In accordance with section 3506 of the Paperwork Reduction
Act of 1995 (44 U.S.C. Ch. 35; see also 5 CFR 1320 Appendix A Item 1),
the Board reviewed the proposed rule under the authority delegated to
the Board by the Office of Management and Budget. Comments on the
collections of information should be sent to the Office of Management
and Budget, Paperwork Reduction Project (7100-0280), Washington, DC
20503, with copies of such comments to be sent to Mary M. McLaughlin,
Federal Reserve Board Clearance Officer, Division of Research and
Statistics, Mail Stop 97, Board of Governor
FR Doc. 95-25257 Loans in Areas Having Special Flood Hazards
s of the Federal Reserve
System, Washington, DC 20551.
The collection of information requirements in this proposed
regulation will be included in 12 CFR 208.23. This information is
required to evidence compliance with the requirements of the National
Flood Insurance Program with respect to lenders (state chartered member
banks) and borrowers (anyone who applies for a loan secured by improved
real property or a mobile home which may be located in a special flood
hazard area). The respondents/recordkeepers are for-profit financial
institutions, including small businesses.
Respondent/recordkeepers are not required to respond to this
collection of information unless it displays a currently valid OMB
control number. The OMB control number is 7100-0280.
It is estimated that there will be 975 respondent/recordkeepers and
a total of 25,977 hours of annual hour paperwork burden. The estimated
annual hour paperwork burden per respondent/recordkeeper is 26.6 hours,
1 hour for recordkeeping and, when the property is located in a special
flood hazard area, a total of 25.6 hours for: (a) Notifying the
borrower and the servicer; (b) notifying the Director of the initial
servicer; (c) if necessary, notifying the Director when the loan
servicer has changed; and (d) if necessary, notifying the borrower
regarding forced placement. Banks likely will add the required records
to their existing usual and customary loan documentation. Thus there is
estimated to be no significant annual cost burden over the annual hour
burden. Additionally, the Board estimates that there is no associated
capital or start up cost. Based on an hourly cost of $20, the annual
cost to the public is estimated to be $519,540.
Because the records would be maintained at state member banks and
the notices are not provided to the Board, no issue of confidentiality
under the Freedom of Information Act arises.
Comments are invited on: (a) Whether the proposed collection of
information is necessary for the proper performance of the Board's
functions, including whether the information has practical utility; (b)
the accuracy of the Board's estimate of the burden of the proposed
information collection, including the cost of compliance; (c) ways to
enhance the quality, utility, and clarity of the information to be
collected; and (d) ways to minimize the burden of information
collection on respondents, including through the use of automated
collection techniques or other forms of information technology.
FDIC: The collections of information contained in this notice of
proposed rulemaking have been submitted to the
[[Page 53972]]
Office of Management and Budget for review in accordance with the
Paperwork Reduction Act of 1995 (44 U.S.C. 3507(d)). Comments on the
collections of information should be sent to the Office of Management
and Budget, Paperwork Reduction Project (3604-0092), Washington, DC
20503, with copies of such comments to be sent to Steven F. Hanft,
Office of the Executive Secretary, Room F-453, Federal Deposit
Insurance Corporation, 550 17th Street, NW., Washington, DC 20429.
The collections of information requirements in this proposed
regulation are found in 12 CFR 339.6, 339.7, 339.9, and 339.10. This
information is required to evidence compliance with the requirements of
the National Flood Insurance Program with respect to lenders (state
chartered nonmember banks) and borrowers (anyone who applies for a loan
secured by improved real estate or a mobile home which may be located
in a special flood hazard area).
The likely respondents/recordkeepers are insured nonmember banks
and their subsidiaries.
Estimated number of respondents/recordkeepers: 6,250.
Estimated average annual burden hours per respondent/recordkeeper:
26 hours.
Estimated total annual reporting and recordkeeping burden: 162,500
hours.
Start-up costs to respondents: None.
Records are to be maintained for the period of time respondent/
recordkeeper owns the loan.
OTS: The reporting requirements contained in this notice of
proposed rulemaking have been submitted to the Office of Management and
Budget for review in accordance with the Paperwork Reduction Act of
1995 (44 U.S.C. 3507(d)). Comments on the collections of information
should be sent to the Office of Management and Budget, Paperwork
Reduction Project (1550), Washington, DC 20503, with copies to the OTS,
1700 G Street, NW., Washington, DC 20552.
The recordkeeping requirements in this notice of proposed
rulemaking are found in 12 CFR 572.6, 572.7, 572.9, and 572.10. The
recordkeeping requirements set forth in this notice of proposed
rulemaking are needed by the OTS in order to supervise savings
associations and develop regulatory policy. The likely recordkeepers
are OTS-regulated savings associations.
Estimated number of respondents and/or recordkeepers: 1,500.
Estimated average annual burden hours per recordkeeper: 26 hours.
Estimated total annual reporting and recordkeeping burden: 39,000
hours.
Start-up costs to respondents: None.
Records are to be maintained for the period of time respondent/
recordkeeper owns the loan.
NCUA: The collection of information requirements contained in this
notice of proposed rulemaking will be submitted to the Office of
Management and Budget (OMB) for review under the Paperwork Reduction
Act. Written comments on the collection of information should be
forwarded directly to the OMB Desk Officer indicated below at the
following address: OMB Reports Management Branch, New Executive Office
Building, Room 10202, Washington, DC 20503. Attn: Milo Sunderhauf. NCUA
will publish a notice in the Federal Register once OMB action is taken
on the submitted request.
The collection of information requirements in this proposed
regulation are found in 12 CFR 760.6, 760.7, 760.9 and 760.10. This
information is required to evidence compliance with the requirements of
the National Flood Insurance Program with respect to lenders (Federally
insured credit unions) and borrowers (members that apply for a loan
secured by improved real estate or a mobile home which may be located
in a special flood hazard area). The likely recordkeepers are Federally
insured credit unions.
Estimated number of respondents and/or recordkeepers: 700.
Estimated average annual burden hours per respondent/recordkeeper:
26 hours.
Estimated total annual reporting and recordkeeping burden: 16,325
hours.
Start-up costs to respondents: None.
Records are to be maintained for the period of time respondent/
recordkeeper owns the loan.
V. Executive Order 12866
OCC and OTS: The OCC and the OTS have determined that this proposed
rule is not a significant regulatory action as defined in Executive
Order 12866.
VI. Executive Order 12612
NCUA: This proposed rule, like the current 12 CFR part 760 it would
replace, will apply to all Federally insured credit unions. The NCUA
Board, pursuant to Executive Order 12612, has determined, however, that
this proposed rule will not have a substantial direct effect on the
States, on the relationship between the national government and the
States, or on the distribution of power and responsibilities among
various levels of government. Further, this proposed rule will not
preempt provisions of State law or regulations.
VII. Unfunded Mandates Reform Act of 1995
OCC and OTS: Section 202 of the Unfunded Mandates Reform Act of
1995, Pub. L. 104-4, 109 Stat. 48 (1995) (Unfunded Mandates Act),
requires that covered agencies prepare a budgetary impact statement
before promulgating a rule that includes any Federal mandate 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 in any
one year. If a budgetary impact statement is required, section 205 of
the Unfunded Mandates Act also requires covered agencies to identify
and consider a reasonable number of regulatory alternatives before
promulgating a rule. As discussed in the preamble, the proposed rule
revises current OCC and OTS flood insurance regulations as prescribed
by Title V of the Riegle Community Development and Regulatory
Improvement Act of 1994, Pub. L. 103-325, Title V, 108 Stat. 2160
(1994) (Reform Act). The Reform Act specifically requires six agencies,
including the OCC and OTS, to implement certain of the Reform Act's
amendments through regulations. Therefore, to the extent that the
proposed rules impose new Federal requirements, such requirements are
statutorily mandated by the Reform Act. Nevertheless, the OCC and OTS
have determined that the proposed rules will not result in expenditures
by State, local, and tribal governments, or by the private sector, of
more than $100 million in any one year. Accordingly, the OCC and OTS
have not prepared a budgetary impact statement or specifically
addressed the regulatory alternatives considered.
List of Subjects
12 CFR Part 22
Flood insurance, Mortgages, National banks, Reporting and
recordkeeping requirements.
12 CFR Part 208
Accounting, Agriculture, Banks, banking, Confidential business
information, Crime, Currency, Federal Reserve System, Flood insurance,
Mortgages, Reporting and recordkeeping requirements, Securities.
12 CFR Part 339
Flood insurance, Reporting and recordkeeping requirements.
12 CFR Part 563
Accounting, Advertising, Crime, Currency, Flood insurance,
Investments, Reporting and recordkeeping
[[Page 53973]]
requirements, Savings associations, Securities, Surety bonds.
12 CFR Part 572
Flood insurance, Reporting and recordkeeping requirements, Savings
associations.
12 CFR Part 614
Agriculture, Banks, banking, Flood insurance, Foreign trade,
Reporting and recordkeeping requirements, Rural areas.
12 CFR Part 760
Credit unions, Mortgages, Flood insurance, Reporting and
recordkeeping requirements.
Office of the Comptroller of the Currency
12 CFR CHAPTER I
Authority and Issuance
For the reasons set forth in the joint preamble, chapter I of title
12 of the Code of Federal Regulations is proposed to be revised to read
as follows:
PART 22--LOANS IN AREAS HAVING SPECIAL FLOOD HAZARDS
Sec.
22.1 Authority, purpose, and scope.
22.2 Definitions.
22.3 Requirement to purchase flood insurance where available.
22.4 Exemptions.
22.5 Escrow requirement.
22.6 Required use of standard flood hazard determination form.
22.7 Forced placement of flood insurance.
22.8 Determination fees.
22.9 Notice of special flood hazards and availability of Federal
disaster relief assistance.
22.10 Notice of servicer's identity.
Appendix A to Part 22--Sample Form of Notice of Special Flood Hazards
and Availability of Federal Disaster Relief Assistance
Authority: 12 U.S.C. 93a; 42 U.S.C. 4012a, 4104a, 4104b, 4106,
and 4128.
Sec. 22.1 Authority, purpose, and scope.
(a) Authority. This part is issued pursuant to 12 U.S.C. 93a and 42
U.S.C. 4012a, 4104a, 4104b, 4106, and 4128.
(b) Purpose. The purpose of this part is to implement the
requirements of the National Flood Insurance Act of 1968 and the Flood
Disaster Protection Act of 1973, as amended (42 U.S.C. 4001-4129).
(c) Scope. This part, except for Secs. 22.6 and 22.8, applies to
loans secured by buildings or mobile homes located or to be located in
areas determined by the Director of the Federal Emergency Management
Agency to have special flood hazards. Sections 22.6 and 22.8 apply to
loans secured by buildings or mobile homes, regardless of location.
Sec. 22.2 Definitions.
(a) Act means the National Flood Insurance Act of 1968, as amended
(42 U.S.C. 4001-4129).
(b) Bank means a national bank or a bank located in the District of
Columbia and subject to the supervision of the Comptroller of the
Currency.
(c) Building means a walled and roofed structure, other than a gas
or liquid storage tank, that is principally above ground and affixed to
a permanent site, and a walled and roofed structure while in the course
of construction, alteration, or repair.
(d) Community means a State or a political subdivision of a State
that has zoning and building code jurisdiction over a particular area
having special flood hazards.
(e) Designated loan means a loan secured by a building or mobile
home that is located or to be located in a special flood hazard area in
which flood insurance is available under the Act.
(f) Director means the Director of the Federal Emergency Management
Agency.
(g) Mobile home means a structure, transportable in one or more
sections, that is built on a permanent chassis and designed for use
with or without a permanent foundation when attached to the required
utilities. The term mobile home does not include a recreational
vehicle. For purposes of this part, the term mobile home means a mobile
home on a permanent foundation.
(h) NFIP means the National Flood Insurance Program authorized
under the Act.
(i) Residential improved real estate means real estate upon which a
home or other residential building is located or to be located.
(j) Servicer means the person responsible for:
(1) Receiving any scheduled, periodic payments from a borrower
under the terms of a loan, including amounts for taxes, insurance
premiums, and other charges with respect to the property securing the
loan; and
(2) Making payments of principal and interest and any other
payments from the amounts received from the borrower as may be required
under the terms of the loan.
(k) Special flood hazard area means the land in the flood plain
within a community having at least a one percent chance of flooding in
any given year, as designated by the Director.
Sec. 22.3 Requirement to purchase flood insurance where available.
A bank shall not make, increase, extend, or renew any designated
loan unless the building or mobile home and any personal property
securing the loan is covered by flood insurance for the term of the
loan. The amount of insurance must be at least equal to the lesser of
the outstanding principal balance of the designated loan or the maximum
limit of coverage available for the particular type of property under
the Act.
Sec. 22.4 Exemptions.
The flood insurance requirement prescribed by Sec. 22.3 does not
apply with respect to:
(a) Any State-owned property covered under a policy of self-
insurance satisfactory to the Director, who publishes and periodically
revises the list of States falling within this exemption; or
(b) Property securing any loan with an original principal balance
of $5,000 or less and a repayment term of one year or less.
Sec. 22.5 Escrow requirement.
If a bank requires the escrow of taxes, insurance premiums, fees,
or any other charges for a loan secured by residential improved real
estate or a mobile home that is made, increased, extended, or renewed
after [effective date of final regulation], then the bank shall also
require the escrow of all premiums and fees for any flood insurance
required under Sec. 22.3. The bank, or a servicer acting on behalf of
the bank, shall deposit the flood insurance premiums on behalf of the
borrower in an escrow account. Depending upon the type of loan, such
escrow account may be subject to escrow requirements adopted pursuant
to section 10 of the Real Estate Settlement Procedures Act of 1974 (12
U.S.C. 2609), which generally limits the amount that may be maintained
in escrow accounts for certain types of loans and requires escrow
account statements for those accounts. Upon receipt of a notice from
the Director or other provider of flood insurance that premiums are
due, the bank or its servicer shall pay the amount owed to the
insurance provider from the escrow account.
Sec. 22.6 Required use of standard flood hazard determination form.
(a) Use of form. A bank shall use the standard flood hazard
determination form developed by the Director (as set forth in Appendix
A of 44 CFR part 65) when determining whether the building or mobile
home offered as collateral
[[Page 53974]]
security for a loan is or will be located in a special flood hazard
area in which flood insurance is available under the Act. The standard
flood hazard determination form may be used in a printed, computerized,
or electronic manner.
(b) Retention of form. A bank shall retain a copy of the completed
standard flood hazard determination form, in either hard copy or
electronic form, for the period of time the bank owns the loan.
Sec. 22.7 Forced placement of flood insurance.
If a bank, or a servicer acting on behalf of the bank, determines,
at the time of origination or at any time during the term of a
designated loan, that the building or mobile home and any personal
property securing the designated loan is not covered by flood insurance
or is covered by flood insurance in an amount less than the amount
required under Sec. 22.3, then the bank or its servicer shall notify
the borrower that the borrower should obtain flood insurance, at the
borrower's expense, in an amount at least equal to the amount required
under Sec. 22.3, for the term of the loan. If the borrower fails to
obtain flood insurance within 45 days after notification, then the bank
or its servicer shall purchase insurance on the borrower's behalf. The
bank or its servicer may charge the borrower for the cost of premiums
and fees incurred in purchasing the insurance.
Sec. 22.8 Determination fees.
(a) General. Notwithstanding any Federal or State law other than
the Flood Disaster Protection Act of 1973, as amended (42 U.S.C. 4001-
4129), any bank, or a servicer acting on behalf of the bank, may charge
a reasonable fee for determining whether the building or mobile home
securing the loan is located or will be located in a special flood
hazard area.
(b) Borrower fee. The determination fee may be charged to the
borrower if the determination:
(1) Is made in connection with a making, increasing, extending, or
renewing of the loan that is initiated by the borrower;
(2) Reflects the Director's revision or updating of floodplain
areas or flood-risk zones;
(3) Reflects the Director's publication of a notice or compendium
that:
(i) Affects the area in which the building or mobile home securing
the loan is located; or
(ii) By determination of the Director, may reasonably require a
determination whether the building or mobile home securing the loan is
located in a special flood hazard area; or
(4) Results in the purchase of flood insurance coverage under
Sec. 22.7.
(c) Purchaser or transferee fee. The fee may be charged to the
purchaser or transferee of a loan in the case of the sale or transfer
of the loan.
Sec. 22.9 Notice of special flood hazards and availability of Federal
disaster relief assistance.
(a) Notice requirement. When a bank makes, increases, extends, or
renews a loan secured by a building or a mobile home located or to be
located in a special flood hazard area, the bank shall mail or deliver
a written notice to the borrower and to the servicer in all cases
whether or not flood insurance is available under the Act for the
collateral securing the loan.
(b) Contents of notice. The written notice must include the
following information:
(1) A warning, in a form approved by the Director, that the
building or the mobile home is or will be located in a special flood
hazard area;
(2) A description of the flood insurance purchase requirements set
forth in section 102(b) of the Flood Disaster Protection Act of 1973,
as amended (42 U.S.C. 4012a(b));
(3) A statement, where applicable, that flood insurance coverage is
available under the NFIP and may also be available from private
insurers; and
(4) A statement whether Federal disaster relief assistance may be
available in the event of damage to the building or mobile home caused
by flooding in a Federally-declared disaster.
(c) Timing of notice. The bank shall provide the notice required by
paragraph (a) of this section to the borrower and the servicer within a
reasonable time before the completion of the transaction.
(d) Record of receipt. The bank shall retain a record of the
receipt of the notices by the borrower and the servicer for the period
of time the bank owns the loan.
(e) Alternate method of notice. Instead of providing the notice to
the borrower required by paragraph (a) of this section, a bank may
obtain satisfactory written assurance from the seller or lessor that,
within a reasonable time before the completion of the sale or lease
transaction, the seller or lessor has notified the borrower that the
building or mobile home is or will be located in a special flood hazard
area. The bank shall retain a record of the written assurance from the
seller or lessor for the period of time the bank owns the loan.
(f) Use of prescribed form of notice. A bank may comply with the
notice requirements of this section by providing written notice to a
borrower and to the servicer containing the language presented in
appendix A to this part not less than ten days before the completion of
the transaction (or not later than the bank's commitment if the period
between the commitment and the completion of the transaction is less
than ten days).
Sec. 22.10 Notice of servicer's identity.
(a) Notice requirement. When a bank makes, increases, extends,
renews, sells, or transfers a loan secured by a building or mobile home
located or to be located in a special flood hazard area, the bank shall
notify the Director (or the Director's designee) in writing of the
identity of the servicer of the loan.
(b) Transfer of servicing rights. The bank shall notify the
Director (or the Director's designee) of any change in the servicer of
a loan described in paragraph (a) of this section within 60 days after
the effective date of the change. Upon any change in the servicing of a
loan described in paragraph (a) of this section, the duty to provide
notice under this paragraph (b) shall transfer to the transferee
servicer.
Appendix A to Part 22--Sample Form of Notice of Special Flood Hazards
and Availability of Federal Disaster Relief Assistance
We are giving you this notice to inform you that:
______ The building securing the loan for which you have applied
is or will be located in an area with special flood hazards.
______ The mobile home securing the loan for which you have
applied is or will be located in an area with special flood hazards.
The area has been identified by the Director of the Federal
Emergency Management Agency (FEMA) as a special flood hazard area
using FEMA's Flood Insurance Rate Map or the Flood Hazard Boundary
Map for the following community: ____________. This area has at
least a one percent (1%) chance of being flooded in any given year.
The risk grows each year. For example, during the life of a 30-year
mortgage loan, the risk of a flood in a special flood hazard area is
at least 26%.
Federal law allows a lender and borrower jointly to request the
Director of FEMA to review the determination of whether the property
securing the loan is located in a special flood hazard area. If you
would like to make such a request, please contact us for further
information.
______ The community in which the property securing the loan is
located participates in the National Flood Insurance Program (NFIP).
Federal law will not allow us to make you the loan that you have
applied for if you do not purchase flood insurance. The flood
insurance must be maintained for the life of the loan.
[[Page 53975]]
Flood insurance coverage under the NFIP may be
purchased through an insurance agent who will obtain the policy
either directly through the NFIP or through an insurance company
that participates in the NFIP. Flood insurance also may be available
from private insurers that do not participate in the NFIP.
At a minimum, flood insurance purchased must cover the
lesser of:
(1) The outstanding principal amount of the loan; or
(2) The maximum amount of coverage allowed for the type of
property under the NFIP.
Federal disaster relief assistance (usually in the form
of a low-interest loan) may be available for damages incurred in
excess of your flood insurance if your community's participation in
the NFIP is in accordance with NFIP requirements.
______ Flood insurance coverage under the NFIP is not available
for the property securing the loan because the community in which
the property is located does not participate in the NFIP. In
addition, if the non-participating community has been identified for
at least one year as containing a special flood hazard area,
properties located in the community will not be eligible for Federal
disaster relief assistance in the event of a Federally-declared
flood disaster.
Dated: September 11, 1995.
Eugene A. Ludwig,
Comptroller of the Currency.
Federal Reserve System
12 CFR CHAPTER II
Authority and Issuance
For the reasons set forth in the joint preamble, part 208 of
chapter II of title 12 of the Code of Federal Regulations is proposed
to be amended as set forth below:
PART 208--MEMBERSHIP OF STATE BANKING INSTITUTIONS IN THE FEDERAL
RESERVE SYSTEM (REGULATION H)
1. The authority citation for part 208 continues to read as
follows:
Authority: 12 U.S.C. 36, 248(a), 248(c), 321-338a, 371d, 461,
481-486, 601, 611, 1814, 1823(j), 1828(o), 1831o, 1831p-1, 3105,
3310, 3331-3351, and 3906-3909; 15 U.S.C. 78b, 781(b), 781(g),
781(i), 78o-4(c)(5), 78q, 78q-1, and 78w; 31 U.S.C. 5318; 42 U.S.C.
4012a, 4104a, 4104b, 4106, and 4128.
Sec. 208.8 [Amended]
2. In Sec. 208.8, paragraph (e) is removed and reserved, and
appendix A--Sample Notices is removed.
3. A new Sec. 208.23 is added at the end of subpart A to read as
follows:
Sec. 208.23 Loans in areas having special flood hazards.
(a) Purpose and scope--(1) Purpose. The purpose of this section is
to implement the requirements of the National Flood Insurance Act of
1968 and the Flood Disaster Protection Act of 1973, as amended (42
U.S.C. 4001-4129).
(2) Scope. This section, except for paragraphs (f) and (h) of this
section, applies to loans secured by buildings or mobile homes located
or to be located in areas determined by the Director of the Federal
Emergency Management Agency to have special flood hazards. Paragraphs
(f) and (h) of this section apply to loans secured by buildings or
mobile homes, regardless of location.
(b) Definitions. (1) Act means the National Flood Insurance Act of
1968, as amended (42 U.S.C. 4001-4129).
(2) Building means a walled and roofed structure, other than a gas
or liquid storage tank, that is principally above ground and affixed to
a permanent site, and a walled and roofed structure while in the course
of construction, alteration, or repair.
(3) Community means a State or a political subdivision of a State
that has zoning and building code jurisdiction over a particular area
having special flood hazards.
(4) Designated loan means a loan secured by a building or mobile
home that is located or to be located in a special flood hazard area in
which flood insurance is available under the Act.
(5) Director means the Director of the Federal Emergency Management
Agency.
(6) Mobile home means a structure, transportable in one or more
sections, that is built on a permanent chassis and designed for use
with or without a permanent foundation when attached to the required
utilities. The term mobile home does not include a recreational
vehicle. For purposes of this section, the term mobile home means a
mobile home on a permanent foundation.
(7) NFIP means the National Flood Insurance Program authorized
under the Act.
(8) Residential improved real estate means real estate upon which a
home or other residential building is located or to be located.
(9) Servicer means the person responsible for:
(i) Receiving any scheduled, periodic payments from a borrower
under the terms of a loan, including amounts for taxes, insurance
premiums, and other charges with respect to the property securing the
loan; and
(ii) Making payments of principal and interest and any other
payments from the amounts received from the borrower as may be required
under the terms of the loan.
(10) Special flood hazard area means the land in the flood plain
within a community having at least a one percent chance of flooding in
any given year, as designated by the Director.
(c) Requirement to purchase flood insurance where available. A
state member bank shall not make, increase, extend, or renew any
designated loan unless the building or mobile home and any personal
property securing the loan is covered by flood insurance for the term
of the loan. The amount of insurance must be at least equal to the
lesser of the outstanding principal balance of the designated loan or
the maximum limit of coverage available for the particular type of
property under the Act.
(d) Exemptions. The flood insurance requirement prescribed by
paragraph (c) of this section does not apply with respect to:
(1) Any State-owned property covered under a policy of self-
insurance satisfactory to the Director, who publishes and periodically
revises the list of States falling within this exemption; or
(2) Property securing any loan with an original principal balance
of $5,000 or less and a repayment term of one year or less.
(e) Escrow requirement. If a state member bank requires the escrow
of taxes, insurance premiums, fees, or any other charges for a loan
secured by residential improved real estate or a mobile home that is
made, increased, extended, or renewed after [effective date of final
regulation], then the state member bank shall also require the escrow
of all premiums and fees for any flood insurance required under
paragraph (c) of this section. The state member bank, or a servicer
acting on behalf of the bank, shall deposit the flood insurance
premiums on behalf of the borrower in an escrow account. Depending upon
the type of loan, such escrow account may be subject to escrow
requirements adopted pursuant to section 10 of the Real Estate
Settlement Procedures Act of 1974 (12 U.S.C. 2609), which generally
limits the amount that may be maintained in escrow accounts for certain
types of loans and requires escrow account statements for those
accounts. Upon receipt of a notice from the Director or other provider
of flood insurance that premiums are due, the state member bank or its
servicer shall pay the amount owed to the insurance provider from the
escrow account.
(f) Required use of standard flood hazard determination form--(1)
Use of form. A state member bank shall use the standard flood hazard
determination form developed by the Director (as set forth in Appendix
A of 44 CFR part 65)
[[Page 53976]]
when determining whether the building or mobile home offered as
collateral security for a loan is or will be located in a special flood
hazard area in which flood insurance is available under the Act. The
standard flood hazard determination form may be used in a printed,
computerized, or electronic manner.
(2) Retention of form. A state member bank shall retain a copy of
the completed standard flood hazard determination form, in either hard
copy or electronic form, for the period of time the bank owns the loan.
(g) Forced placement of flood insurance. If a state member bank, or
a servicer acting on behalf of the bank, determines, at the time of
origination or at any time during the term of a designated loan, that
the building or mobile home and any personal property securing the
designated loan is not covered by flood insurance or is covered by
flood insurance in an amount less than the amount required under
paragraph (c) of this section, then the bank or its servicer shall
notify the borrower that the borrower should obtain flood insurance, at
the borrower's expense, in an amount at least equal to the amount
required under paragraph (c) of this section, for the term of the loan.
If the borrower fails to obtain flood insurance within 45 days after
notification, then the state member bank or its servicer shall purchase
insurance on the borrower's behalf. The state member bank or its
servicer may charge the borrower for the cost of premiums and fees
incurred in purchasing the insurance.
(h) Determination fees--(1) General. Notwithstanding any Federal or
State law other than the Flood Disaster Protection Act of 1973, as
amended (42 U.S.C. 4001-4129), any state member bank, or a servicer
acting on behalf of the bank, may charge a reasonable fee for
determining whether the building or mobile home securing the loan is
located or will be located in a special flood hazard area.
(2) Borrower fee. The determination fee may be charged to the
borrower if the determination:
(i) Is made in connection with a making, increasing, extending, or
renewing of the loan that is initiated by the borrower;
(ii) Reflects the Director's revision or updating of floodplain
areas or flood-risk zones;
(iii) Reflects the Director's publication of a notice or compendium
that:
(A) Affects the area in which the building or mobile home securing
the loan is located; or
(B) By determination of the Director, may reasonably require a
determination whether the building or mobile home securing the loan is
located in a special flood hazard area; or
(iv) Results in the purchase of flood insurance coverage under
paragraph (g) of this section.
(3) Purchaser or transferee fee. The fee may be charged to the
purchaser or transferee of a loan in the case of the sale or transfer
of the loan.
(i) Notice of special flood hazards and availability of Federal
disaster relief assistance--(1) Notice requirement. When a state member
bank makes, increases, extends, or renews a loan secured by a building
or mobile home located or to be located in a special flood hazard area,
the bank shall mail or deliver a written notice to the borrower and to
the servicer in all cases whether or not flood insurance is available
under the Act for the collateral securing the loan.
(2) Contents of notice. The written notice must include the
following information:
(i) A warning, in a form approved by the Director, that the
building or the mobile home is or will be located in a special flood
hazard area;
(ii) A description of the flood insurance purchase requirements set
forth in section 102(b) of the Flood Disaster Protection Act of 1973,
as amended (42 U.S.C. 4012a(b));
(iii) A statement, where applicable, that flood insurance coverage
is available under the NFIP and may also be available from private
insurers; and
(iv) A statement whether Federal disaster relief assistance may be
available in the event of damage to the building or mobile home caused
by flooding in a Federally-declared disaster.
(3) Timing of notice. The state member bank shall provide the
notice required by paragraph (i)(1) of this section to the borrower and
the servicer within a reasonable time before the completion of the
transaction.
(4) Record of receipt. The state member bank shall retain a record
of the receipt of the notices by the borrower and the servicer for the
period of time the bank owns the loan.
(5) Alternate method of notice. Instead of providing the notice to
the borrower required by paragraph (i)(1) of this section, a state
member bank may obtain satisfactory written assurance from the seller
or lessor that, within a reasonable time before the completion of the
sale or lease transaction, the seller or lessor has notified the
borrower that the building or mobile home is or will be located in a
special flood hazard area. The state member bank shall retain a record
of the written assurance from the seller or lessor for the period of
time the bank owns the loan.
(6) Use of prescribed form of notice. A state member bank may
comply with the notice requirements of this paragraph (i) by providing
written notice to a borrower and to the servicer containing the
language presented in appendix A to this section not less than ten days
before the completion of the transaction (or not later than the bank's
commitment if the period between the commitment and the completion of
the transaction is less than ten days).
(j) Notice of servicer's identity--(1) Notice requirement. When a
state member bank makes, increases, extends, renews, sells, or
transfers a loan secured by a building or mobile home located or to be
located in a special flood hazard area, the bank shall notify the
Director (or the Director's designee) in writing of the identity of the
servicer of the loan.
(2) Transfer of servicing rights. The state member bank shall
notify the Director (or the Director's designee) of any change in the
servicer of a loan described in paragraph (j)(1) of this section within
60 days after the effective date of the change. Upon any change in the
servicing of a loan described in paragraph (j)(1) of this section, the
duty to provide notice under this paragraph (j)(2) shall transfer to
the transferee servicer.
Appendix A to Sec. 208.23--Sample Form of Notice of Special Flood
Hazards and Availability of Federal Disaster Relief Assistance
We are giving you this notice to inform you that:
______The building securing the loan for which you have applied
is or will be located in an area with special flood hazards.
______The mobile home securing the loan for which you have
applied is or will be located in an area with special flood hazards.
The area has been identified by the Director of the Federal
Emergency Management Agency (FEMA) as a special flood hazard area
using FEMA's Flood Insurance Rate Map or the Flood Hazard Boundary
Map for the following community:____________. This area has at least
a one percent (1%) chance of being flooded in any given year. The
risk grows each year. For example, during the life of a 30-year
mortgage loan, the risk of a flood in a special flood hazard area is
at least 26%.
Federal law allows a lender and borrower jointly to request the
Director of FEMA to review the determination of whether the property
securing the loan is located in a special flood hazard area. If you
would like to make such a request, please contact us for further
information.
______The community in which the property securing the loan is
located
[[Page 53977]]
participates in the National Flood Insurance Program (NFIP). Federal
law will not allow us to make you the loan that you have applied for
if you do not purchase flood insurance. The flood insurance must be
maintained for the life of the loan.
Flood insurance coverage under the NFIP may be
purchased through an insurance agent who will obtain the policy
either directly through the NFIP or through an insurance company
that participates in the NFIP. Flood insurance also may be available
from private insurers that do not participate in the NFIP.
At a minimum, flood insurance purchased must cover the
lesser of:
(1) The outstanding principal amount of the loan; or
(2) The maximum amount of coverage allowed for the type of
property under the NFIP.
Federal disaster relief assistance (usually in the form
of a low-interest loan) may be available for damages incurred in
excess of your flood insurance if your community's participation in
the NFIP is in accordance with NFIP requirements.
______Flood insurance coverage under the NFIP is not available
for the property securing the loan because the community in which
the property is located does not participate in the NFIP. In
addition, if the non-participating community has been identified for
at least one year as containing a special flood hazard area,
properties located in the community will not be eligible for Federal
disaster relief assistance in the event of a Federally-declared
flood disaster.
By order of the Board of Governors of the Federal Reserve
System, October 3, 1995.
William W. Wiles,
Secretary of the Board.
Federal Deposit Insurance Corporation
12 CFR CHAPTER III
Authority and Issuance
For the reasons set forth in the joint preamble, the Board of
Directors of the FDIC proposes to revise part 339 of chapter III of
title 12 of the Code of Federal Regulations to read as follows:
PART 339--LOANS IN AREAS HAVING SPECIAL FLOOD HAZARDS
Sec.
339.1 Authority, purpose, and scope.
339.2 Definitions.
339.3 Requirement to purchase flood insurance where available.
339.4 Exemptions.
339.5 Escrow requirement.
339.6 Required use of standard flood hazard determination form.
339.7 Forced placement of flood insurance.
339.8 Determination fees.
339.9 Notice of special flood hazards and availability of Federal
disaster relief assistance.
339.10 Notice of servicer's identity.
Appendix A to Part 339--Sample Form of Notice of Special Flood Hazards
and Availability of Federal Disaster Relief Assistance
Authority: 42 U.S.C. 4012a, 4104a, 4104b, 4106, and 4128.
Sec. 339.1 Authority, purpose, and scope.
(a) Authority. This part is issued pursuant to 42 U.S.C. 4012a,
4104a, 4104b, 4106, and 4128.
(b) Purpose. The purpose of this part is to implement the
requirements of the National Flood Insurance Act of 1968 and the Flood
Disaster Protection Act of 1973, as amended (42 U.S.C. 4001-4129).
(c) Scope. This part, except for Secs. 339.6 and 339.8, applies to
loans secured by buildings or mobile homes located or to be located in
areas determined by the Director of the Federal Emergency Management
Agency to have special flood hazards. Sections 339.6 and 339.8 apply to
loans secured by buildings or mobile homes, regardless of location.
Sec. 339.2 Definitions.
(a) Act means the National Flood Insurance Act of 1968, as amended
(42 U.S.C. 4001-4129).
(b) Bank means an insured State nonmember bank and an insured State
branch of a foreign bank or any subsidiary of an insured State
nonmember bank.
(c) Building means a walled and roofed structure, other than a gas
or liquid storage tank, that is principally above ground and affixed to
a permanent site, and a walled and roofed structure while in the course
of construction, alteration, or repair.
(d) Community means a State or a political subdivision of a State
that has zoning and building code jurisdiction over a particular area
having special flood hazards.
(e) Designated loan means a loan secured by a building or mobile
home that is located or to be located in a special flood hazard area in
which flood insurance is available under the Act.
(f) Director means the Director of the Federal Emergency Management
Agency.
(g) Mobile home means a structure, transportable in one or more
sections, that is built on a permanent chassis and designed for use
with or without a permanent foundation when attached to the required
utilities. The term mobile home does not include a recreational
vehicle. For purposes of this part, the term mobile home means a mobile
home on a permanent foundation.
(h) NFIP means the National Flood Insurance Program authorized
under the Act.
(i) Residential improved real estate means real estate upon which a
home or other residential building is located or to be located.
(j) Servicer means the person responsible for:
(1) Receiving any scheduled, periodic payments from a borrower
under the terms of a loan, including amounts for taxes, insurance
premiums, and other charges with respect to the property securing the
loan; and
(2) Making payments of principal and interest and any other
payments from the amounts received from the borrower as may be required
under the terms of the loan.
(k) Special flood hazard area means the land in the flood plain
within a community having at least a one percent chance of flooding in
any given year, as designated by the Director.
Sec. 339.3 Requirement to purchase flood insurance where available.
A bank shall not make, increase, extend, or renew any designated
loan unless the building or mobile home and any personal property
securing the loan is covered by flood insurance for the term of the
loan. The amount of insurance must be at least equal to the lesser of
the outstanding principal balance of the designated loan or the maximum
limit of coverage available for the particular type of property under
the Act.
Sec. 339.4 Exemptions.
The flood insurance requirement prescribed by Sec. 339.3 does not
apply with respect to:
(a) Any State-owned property covered under a policy of self-
insurance satisfactory to the Director, who publishes and periodically
revises the list of States falling within this exemption; or
(b) Property securing any loan with an original principal balance
of $5,000 or less and a repayment term of one year or less.
Sec. 339.5 Escrow requirement.
If a bank requires the escrow of taxes, insurance premiums, fees,
or any other charges for a loan secured by residential improved real
estate or a mobile home that is made, increased, extended, or renewed
after [effective date of final regulation], then the bank shall also
require the escrow of all premiums and fees for any flood insurance
required under Sec. 339.3. The bank, or a servicer acting on behalf of
the bank, shall deposit the flood insurance premiums on behalf of the
borrower in an escrow account. Depending upon the type of loan, such
escrow account may be
[[Page 53978]]
subject to escrow requirements adopted pursuant to section 10 of the
Real Estate Settlement Procedures Act of 1974 (12 U.S.C. 2609) which
generally limits the amount that may be maintained in escrow accounts
for certain types of loans and requires escrow account statements for
those accounts. Upon receipt of a notice from the Director or other
provider of flood insurance that premiums are due, the bank or its
servicer shall pay the amount owed to the insurance provider from the
escrow account.
Sec. 339.6 Required use of standard flood hazard determination form.
(a) Use of form. A bank shall use the standard flood hazard
determination form developed by the Director (as set forth in Appendix
A of 44 CFR part 65) when determining whether the building or mobile
home offered as collateral security for a loan is or will be located in
a special flood hazard area in which flood insurance is available under
the Act. The standard flood hazard determination form may be used in a
printed, computerized, or electronic manner.
(b) Retention of form. A bank shall retain a copy of the completed
standard flood hazard determination form, in either hard copy or
electronic form, for the period of time the bank owns the loan.
Sec. 339.7 Forced placement of flood insurance.
If a bank, or a servicer acting on behalf of the bank, determines,
at the time of origination or at any time during the term of a
designated loan, that the building or mobile home and any personal
property securing the designated loan is not covered by flood insurance
or is covered by flood insurance in an amount less than the amount
required under Sec. 339.3, then the bank or its servicer shall notify
the borrower that the borrower should obtain flood insurance, at the
borrower's expense, in an amount at least equal to the amount required
under Sec. 339.3, for the term of the loan. If the borrower fails to
obtain flood insurance within 45 days after notification, then the bank
or its servicer shall purchase insurance on the borrower's behalf. The
bank or its servicer may charge the borrower for the cost of premiums
and fees incurred in purchasing the insurance.
Sec. 339.8 Determination fees.
(a) General. Notwithstanding any Federal or State law other than
the Flood Disaster Protection Act of 1973, as amended (42 U.S.C. 4001-
4129), any bank, or a servicer acting on behalf of the bank, may charge
a reasonable fee to the borrower for determining whether a building or
mobile home securing the loan is located or will be located in a
special flood hazard area.
(b) Borrower fee. The determination fee may be charged to the
borrower if the determination:
(1) Is made in connection with a making, increasing, extending, or
renewing of the loan that is initiated by the borrower;
(2) Reflects the Director's revision or updating of floodplain
areas or flood-risk zones;
(3) Reflects the Director's publication of a notice or compendium
that:
(i) Affects the area in which the building or mobile home securing
the loan is located; or
(ii) By determination of the Director, may reasonably require a
determination whether the building or mobile home securing the loan is
located in a special flood hazard area; or
(4) Results in the purchase of flood insurance coverage under
Sec. 339.7.
(c) Purchaser or transferee fee. The fee may be charged to the
purchaser or transferee of a loan in the case of the sale or transfer
of the loan.
Sec. 339.9 Notice of special flood hazards and availability of Federal
disaster relief assistance.
(a) Notice requirement. When a bank makes, increases, extends, or
renews a loan secured by a building or a mobile home located or to be
located in a special flood hazard area, the bank shall mail or deliver
a written notice to the borrower and to the servicer in all cases
whether or not flood insurance is available under the Act for the
collateral securing the loan.
(b) Contents of notice. The written notice must include the
following information:
(1) A warning, in a form approved by the Director, that the
building or the mobile home is or will be located in a special flood
hazard area;
(2) A description of the flood insurance purchase requirements set
forth in section 102(b) of the Flood Disaster Protection Act of 1973,
as amended (42 U.S.C. 4012a(b));
(3) A statement, where applicable, that flood insurance coverage is
available under the NFIP and may also be available from private
insurers; and
(4) A statement whether Federal disaster relief assistance may be
available in the event of damage to the building or mobile home caused
by flooding in a Federally-declared disaster.
(c) Timing of notice. The bank shall provide the notice required by
paragraph (a) of this section to the borrower and the servicer within a
reasonable time before the completion of the transaction.
(d) Record of receipt. The bank shall retain a record of the
receipt of the notices by the borrower and the servicer for the period
of time the bank owns the loan.
(e) Alternate method of notice. Instead of providing the notice to
the borrower required by paragraph (a) of this section, a bank may
obtain satisfactory written assurance from the seller or lessor that,
within a reasonable time before the completion of the sale or lease
transaction, the seller or lessor has notified the borrower that the
building or mobile home is or will be located in a special flood hazard
area. The bank shall retain a record of the written assurance from the
seller or lessor for the period of time the bank owns the loan.
(f) Use of prescribed form of notice. A bank may comply with the
notice requirements of this section by providing written notice to a
borrower and to the servicer containing the language presented in
appendix A to this part not less than ten days before the completion of
the transaction (or not later than the bank's commitment if the period
between the commitment and the completion of the transaction is less
than ten days).
Sec. 339.10 Notice of servicer's identity.
(a) Notice requirement. When a bank makes, increases, extends,
renews, sells, or transfers a loan secured by a building or mobile home
located or to be located in a special flood hazard area, the bank shall
notify the Director (or the Director's designee) in writing of the
identity of the servicer of the loan.
(b) Transfer of servicing rights. The bank shall notify the
Director (or the Director's designee) of any change in the servicer of
a loan described in paragraph (a) of this section within 60 days after
the effective date of the change. Upon any change in the servicing of a
loan described in paragraph (a) of this section, the duty to provide
notice under this paragraph (b) shall transfer to the transferee
servicer.
Appendix A to Part 339--Sample Form of Notice of Special Flood Hazards
and Availability of Federal Disaster Relief Assistance
We are giving you this notice to inform you that:
______ The building securing the loan for which you have applied
is or will be located in an area with special flood hazards.
______ The mobile home securing the loan for which you have
applied is or will be located in an area with special flood hazards.
[[Page 53979]]
The area has been identified by the Director of the Federal
Emergency Management Agency (FEMA) as a special flood hazard area
using FEMA's Flood Insurance Rate Map or the Flood Hazard Boundary
Map for the following community:
________________________________________. This area has at least a
one percent (1%) chance of being flooded in any given year. The risk
grows each year. For example, during the life of a 30-year mortgage
loan, the risk of a flood in a special flood hazard area is at least
26%.
Federal law allows a lender and borrower jointly to request the
Director of FEMA to review the determination of whether the property
securing the loan is located in a special flood hazard area. If you
would like to make such a request, please contact us for further
information.
______ The community in which the property securing the loan is
located participates in the National Flood Insurance Program (NFIP).
Federal law will not allow us to make you the loan that you have
applied for if you do not purchase flood insurance. The flood
insurance must be maintained for the life of the loan.
Flood insurance coverage under the NFIP may be
purchased through an insurance agent who will obtain the policy
either directly through the NFIP or through an insurance company
that participates in the NFIP. Flood insurance also may be available
from private insurers that do not participate in the NFIP.
At a minimum, flood insurance purchased must cover the
lesser of:
(1) The outstanding principal amount of the loan; or
(2) The maximum amount of coverage allowed for the type of
property under the NFIP.
Federal disaster relief assistance (usually in the form
of a low-interest loan) may be available for damages incurred in
excess of your flood insurance if your community's participation in
the NFIP is in accordance with NFIP requirements.
______ Flood insurance coverage under the NFIP is not available
for the property securing the loan because the community in which
the property is located does not participate in the NFIP. In
addition, if the non-participating community has been identified for
at least one year as containing a special flood hazard area,
properties located in the community will not be eligible for Federal
disaster relief assistance in the event of a Federally-declared
flood disaster.
By order of the Board of Directors.
Dated at Washington, D.C., this 26th day of September, 1995.
Federal Deposit Insurance Corporation.
Jerry L. Langley,
Executive Secretary.
Office of Thrift Supervision
12 CFR CHAPTER V
Authority and Issuance
For the reasons set forth in the joint preamble, subchapter D of
chapter V of title 12 of the Code of Federal Regulations is proposed to
be amended, as set forth below:
SUBCHAPTER D--REGULATIONS APPLICABLE TO ALL SAVINGS ASSOCIATIONS PART
563--OPERATIONS
1. The authority citation for part 563 is revised to read as
follows:
Authority: 12 U.S.C. 375b, 1462, 1462a, 1463, 1464, 1467a, 1468,
1817, 1828, 3806.
Sec. 563.48 [Removed]
2. Section 563.48 is removed.
3. A new part 572 is added to read as follows:
PART 572--LOANS IN AREAS HAVING SPECIAL FLOOD HAZARDS
Sec.
572.1 Authority, purpose, and scope.
572.2 Definitions.
572.3 Requirement to purchase flood insurance where available.
572.4 Exemptions.
572.5 Escrow requirement.
572.6 Required use of standard flood hazard determination form.
572.7 Forced placement of flood insurance.
572.8 Determination fees.
572.9 Notice of special flood hazards and availability of Federal
disaster relief assistance.
572.10 Notice of servicer's identity.
Appendix A to Part 572--Sample Form of Notice of Special Flood Hazards
and Availability of Federal Disaster Relief Assistance
Authority: 12 U.S.C. 1462, 1462a, 1463, 1464; 42 U.S.C. 4012a,
4104a, 4104b, 4106, and 4128.
Sec. 572.1 Authority, purpose, and scope.
(a) Authority. This part is issued pursuant to 12 U.S.C. 1462,
1462a, 1463, 1464 and 42 U.S.C. 4012a, 4104a, 4104b, 4106, 4128.
(b) Purpose. The purpose of this part is to implement the
requirements of the National Flood Insurance Act of 1968 and the Flood
Disaster Protection Act of 1973, as amended (42 U.S.C.4001-4129).
(c) Scope. This part, except for Secs. 572.6 and 572.8, applies to
loans secured by buildings or mobile homes located or to be located in
areas determined by the Director of the Federal Emergency Management
Agency to have special flood hazards. Sections 572.6 and 572.8 apply to
loans secured by buildings or mobile homes, regardless of location.
Sec. 572.2 Definitions.
(a) Act means the National Flood Insurance Act of 1968, as amended
(42 U.S.C. 4001-4129).
(b) [Reserved]
(c) Building means a walled and roofed structure, other than a gas
or liquid storage tank, that is principally above ground and affixed to
a permanent site, and a walled and roofed structure while in the course
of construction, alteration, or repair.
(d) Community means a State or a political subdivision of a State
that has zoning and building code jurisdiction over a particular area
having special flood hazards.
(e) Designated loan means a loan secured by a building or mobile
home that is located or to be located in a special flood hazard area in
which flood insurance is available under the Act.
(f) Director of FEMA means the Director of the Federal Emergency
Management Agency.
(g) Mobile home means a structure, transportable in one or more
sections, that is built on a permanent chassis and designed for use
with or without a permanent foundation when attached to the required
utilities. The term mobile home does not include a recreational
vehicle. For purposes of this part, the term mobile home means a mobile
home on a permanent foundation.
(h) NFIP means the National Flood Insurance Program authorized
under the Act.
(i) Residential improved real estate means real estate upon which a
home or other residential building is located or to be located.
(j) Servicer means the person responsible for:
(1) Receiving any scheduled, periodic payments from a borrower
under the terms of a loan, including amounts for taxes, insurance
premiums, and other charges with respect to the property securing the
loan; and
(2) Making payments of principal and interest and any other
payments from the amounts received from the borrower as may be required
under the terms of the loan.
(k) Special flood hazard area means the land in the flood plain
within a community having at least a one percent chance of flooding in
any given year, as designated by the Director of FEMA.
Sec. 572.3 Requirement to purchase flood insurance where available.
A savings association shall not make, increase, extend, or renew
any designated loan unless the building or mobile home and any personal
property securing the loan is covered by flood insurance for the term
of the loan. The amount of insurance must be at least equal to the
lesser of the outstanding principal balance of the designated loan or
the maximum limit of coverage available for the particular type of
property under the Act.
[[Page 53980]]
Sec. 572.4 Exemptions.
The flood insurance requirement prescribed by Sec. 572.3 does not
apply with respect to:
(a) Any State-owned property covered under a policy of self-
insurance satisfactory to the Director of FEMA, who publishes and
periodically revises the list of States falling within this exemption;
or
(b) Property securing any loan with an original principal balance
of $5,000 or less and a repayment term of one year or less.
Sec. 572.5 Escrow requirement.
If a savings association requires the escrow of taxes, insurance
premiums, fees, or any other charges for a loan secured by residential
improved real estate or a mobile home that is made, increased,
extended, or renewed after [effective date of final regulation], then
the savings association shall also require the escrow of all premiums
and fees for any flood insurance required under Sec. 572.3. The savings
association or a servicer acting on behalf of the savings association,
shall deposit the flood insurance premiums on behalf of the borrower in
an escrow account. Depending upon the type of loan, such escrow account
may be subject to escrow requirements adopted pursuant to section 10 of
the Real Estate Settlement Procedures Act of 1974 (12 U.S.C. 2609),
which generally limits the amount that may be maintained in escrow
accounts for certain types of loans and requires escrow account
statements for those accounts. Upon receipt of a notice from the
Director of FEMA or other provider of flood insurance that premiums are
due, the savings association or its servicer shall pay the amount owed
to the insurance provider from the escrow account.
Sec. 572.6 Required use of standard flood hazard determination form.
(a) Use of form. A savings association shall use the standard flood
hazard determination form developed by the Director of FEMA (as set
forth in Appendix A of 44 CFR part 65) when determining whether the
building or mobile home offered as collateral security for a loan is or
will be located in a special flood hazard area in which flood insurance
is available under the Act. The standard flood hazard determination
form may be used in a printed, computerized, or electronic manner.
(b) Retention of form. A savings association shall retain a copy of
the completed standard flood hazard determination form, in either hard
copy or electronic form, for the period of time the savings association
owns the loan.
Sec. 572.7 Forced placement of flood insurance.
If a savings association, or a servicer acting on behalf of the
savings association, determines, at the time of origination or at any
time during the term of a designated loan, that the building or mobile
home and any personal property securing the designated loan is not
covered by flood insurance or is covered by flood insurance in an
amount less than the amount required under Sec. 572.3, then the savings
association or its servicer shall notify the borrower that the borrower
should obtain flood insurance, at the borrower's expense, in an amount
at least equal to the amount required under Sec. 572.3, for the term of
the loan. If the borrower fails to obtain flood insurance within 45
days after notification, then the savings association or its servicer
shall purchase insurance on the borrower's behalf. The savings
association or its servicer may charge the borrower for the cost of
premiums and fees incurred in purchasing the insurance.
Sec. 572.8 Determination fees.
(a) General. Notwithstanding any Federal or State law other than
the Flood Disaster Protection Act of 1973, as amended (42 U.S.C. 4001-
4129), any savings association, or a servicer acting on behalf of the
savings association, may charge a reasonable fee for determining
whether the building or mobile home securing the loan is located or
will be located in a special flood hazard area.
(b) Borrower fee. The determination fee may be charged to the
borrower if the determination:
(1) Is made in connection with a making, increasing, extending, or
renewing of the loan that is initiated by the borrower;
(2) Reflects the Director of FEMA's revision or updating of
floodplain areas or flood-risk zones;
(3) Reflects the Director of FEMA's publication of a notice or
compendium that:
(i) Affects the area in which the building or mobile home securing
the loan is located; or
(ii) By determination of the Director of FEMA, may reasonably
require a determination whether the building or mobile home securing
the loan is located in a special flood hazard area; or
(4) Results in the purchase of flood insurance coverage under
Sec. 572.7.
(c) Purchaser or transferee fee. The fee may be charged to the
purchaser or transferee of a loan in the case of the sale or transfer
of the loan.
Sec. 572.9 Notice of special flood hazards and availability of Federal
disaster relief assistance.
(a) Notice requirement. When a savings association makes,
increases, extends, or renews a loan secured by a building or a mobile
home located or to be located in a special flood hazard area, the
association shall mail or deliver a written notice to the borrower and
to the servicer in all cases whether or not flood insurance is
available under the Act for the collateral securing the loan.
(b) Contents of notice. The written notice must include the
following information:
(1) A warning, in a form approved by the Director of FEMA, that the
building or the mobile home is or will be located in a special flood
hazard area;
(2) A description of the flood insurance purchase requirements set
forth in section 102(b) of the Flood Disaster Protection Act of 1973,
as amended (42 U.S.C. 4012a(b));
(3) A statement, where applicable, that flood insurance coverage is
available under the NFIP and may also be available from private
insurers; and
(4) A statement whether Federal disaster relief assistance may be
available in the event of damage to the building or mobile home caused
by flooding in a Federally-declared disaster.
(c) Timing of notice. The savings association shall provide the
notice required by paragraph (a) of this section to the borrower and
the servicer within a reasonable time before the completion of the
transaction.
(d) Record of receipt. The savings association shall retain a
record of the receipt of the notices by the borrower and the servicer
for the period of time the savings association owns the loan.
(e) Alternate method of notice. Instead of providing the notice to
the borrower required by paragraph (a) of this section, a savings
association may obtain satisfactory written assurance from the seller
or lessor that, within a reasonable time before the completion of the
sale or lease transaction, the seller or lessor has notified the
borrower that the building or mobile home is or will be located in a
special flood hazard area. The savings association shall retain a
record of the written assurance from the seller or lessor for the
period of time the savings association owns the loan.
(f) Use of prescribed form of notice. A savings association may
comply with the notice requirements of this section by providing
written notice to a borrower and to the servicer containing
[[Page 53981]]
the language presented in appendix A to this part not less than ten
days before the completion of the transaction (or not later than the
savings association's commitment if the period between the commitment
and the completion of the transaction is less than ten days).
Sec. 572.10 Notice of servicer's identity.
(a) Notice requirement. When a savings association makes,
increases, extends, renews, sells, or transfers a loan secured by a
building or mobile home located or to be located in a special flood
hazard area, the savings association shall notify the Director of FEMA
(or the Director of FEMA's designee) in writing of the identity of the
servicer of the loan.
(b) Transfer of servicing rights. The savings association shall
notify the Director of FEMA (or the Director of FEMA's designee) of any
change in the servicer of a loan described in paragraph (a) of this
section within 60 days after the effective date of the change. Upon any
change in the servicing of a loan described in paragraph (a) of this
section, the duty to provide notice under this paragraph (b) shall
transfer to the transferee servicer.
Appendix A to Part 572--Sample Form of Notice of Special Flood Hazards
and Availability of Federal Disaster Relief Assistance
We are giving you this notice to inform you that:
______ The building securing the loan for which you have applied
is or will be located in an area with special flood hazards.
______ The mobile home securing the loan for which you have
applied is or will be located in an area with special flood hazards.
The area has been identified by the Director of the Federal
Emergency Management Agency (FEMA) as a special flood hazard area
using FEMA's Flood Insurance Rate Map or the Flood Hazard Boundary
Map for the following community:
________________________________________. This area has at least a
one percent (1%) chance of being flooded in any given year. The risk
grows each year. For example, during the life of a 30-year mortgage
loan, the risk of a flood in a special flood hazard area is at least
26%.
Federal law allows a lender and borrower jointly to request the
Director of FEMA to review the determination of whether the property
securing the loan is located in a special flood hazard area. If you
would like to make such a request, please contact us for further
information.
______ The community in which the property securing the loan is
located participates in the National Flood Insurance Program (NFIP).
Federal law will not allow us to make you the loan that you have
applied for if you do not purchase flood insurance. The flood
insurance must be maintained for the life of the loan.
Flood insurance coverage under the NFIP may be
purchased through an insurance agent who will obtain the policy
either directly through the NFIP or through an insurance company
that participates in the NFIP. Flood insurance also may be available
from private insurers that do not participate in the NFIP.
At a minimum, flood insurance purchased must cover the
lesser of:
(1) The outstanding principal amount of the loan; or
(2) The maximum amount of coverage allowed for the type of
property under the NFIP.
Federal disaster relief assistance (usually in the form
of a low-interest loan) may be available for damages incurred in
excess of your flood insurance if your community's participation in
the NFIP is in accordance with NFIP requirements.
______ Flood insurance coverage under the NFIP is not available
for the property securing the loan because the community in which
the property is located does not participate in the NFIP. In
addition, if the non-participating community has been identified for
at least one year as containing a special flood hazard area,
properties located in the community will not be eligible for Federal
disaster relief assistance in the event of a Federally-declared
flood disaster.
Dated: September 30, 1995.
By the Office of Thrift Supervision.
Jonathan L. Fiechter,
Acting Director.
Farm Credit Administration
12 CFR CHAPTER VI
Authority and Issuance
For the reasons stated in the preamble, part 614 of chapter VI,
title 12 of the Code of Federal Regulations is proposed to be amended
as follows:
PART 614--LOAN POLICIES AND OPERATIONS
1. The authority citation for part 614 continues to read as
follows:
Authority: 42 U.S.C. 4012a, 4104a, 4104b, 4106, and 4128; secs.
1.3, 1.5, 1.6, 1.7, 1.9, 1.10, 2.0, 2.2, 2.3, 2.4, 2.10, 2.12, 2.13,
2.15, 3.0, 3.1, 3.3, 3.7, 3.8, 3.10, 3.20, 3.28, 4.12, 4.12A, 4.13,
4.13B, 4.14, 4.14A, 4.14C, 4.14D, 4.14E, 4.18, 4.19, 4.36, 4.37,
5.9, 5.10, 5.17, 7.0, 7.2, 7.6, 7.7, 7.8, 7.12, 7.13, 8.0, 8.5 of
the Farm Credit Act (12 U.S.C. 2011, 2013, 2014, 2015, 2017, 2018,
2071, 2073, 2074, 2075, 2091, 2093, 2094, 2096, 2121, 2122, 2124,
2128, 2129, 2131, 2141, 2149, 2183, 2184, 2199, 2201, 2202, 2202a,
2202c, 2202d, 2202e, 2206, 2207, 2219a, 2219b, 2243, 2244, 2252,
2279a, 2279a-2, 2279b, 2279b-1, 2279b-2, 2279f, 2279f-1, 2279aa,
2279aa-5); sec. 413 of Pub. L. 100-233, 101 Stat. 1568, 1639.
2. Part 614 is amended by revising subpart S to read as follows:
Subpart S--Flood Insurance Requirements
Sec.
614.4920 Purpose and scope.
614.4925 Definitions.
614.4930 Requirement to purchase flood insurance where available.
614.4935 Escrow requirement.
614.4940 Required use of Standard Flood Hazard Determination Form.
614.4945 Forced placement of flood insurance.
614.4950 Determination fees.
614.4955 Notice of special flood hazards and availability of
Federal disaster relief assistance.
614.4960 Notice of servicer's identity.
Appendix A to Subpart S of Part 614--Sample Form of Notice of Special
Flood Hazards and Availability of Federal Disaster Relief Assistance
Subpart S--Flood Insurance Requirements
Sec. 614.4920 Purpose and scope.
(a) Purpose. This subpart implements the requirements of the
National Flood Insurance Act of 1968 (1968 Act) and the Flood Disaster
Protection Act of 1973 (1973 Act), as amended (42 U.S.C. 4001-4129).
(b) Scope. This subpart, except for Secs. 614.4940 and 614.4950,
applies to loans of Farm Credit System (System) institutions that are
secured by buildings or mobile homes located or to be located in areas
determined by the Director of the Federal Emergency Management Agency
to have special flood hazards. Sections 614.4940 and 614.4950 apply to
loans secured by buildings or mobile homes, regardless of location.
Sec. 614.4925 Definitions.
(a) Building means a walled and roofed structure, other than a gas
or liquid storage tank, that is principally above ground and affixed to
a permanent site, and a walled and roofed structure while in the course
of construction, alteration, or repair.
(b) Community means a State or a political subdivision of a
FR Doc. 95-25257 Loans in Areas Having Special Flood Hazards
State
that has zoning and building code jurisdiction over a particular area
having special flood hazards.
(c) Designated loan means a loan secured by a building or a mobile
home that is located or to be located in a special flood hazard area in
which flood insurance is available under the 1968 Act.
(d) Director means the Director of the Federal Emergency Management
Agency.
(e) Mobile home means a structure, transportable in one or more
sections, that is built on a permanent chassis and designed for use
with or without a permanent foundation when attached to the required
utilities. The term mobile home does not include a recreational
vehicle. For purposes of this subpart,
[[Page 53982]]
the term mobile home means a mobile home on a permanent foundation.
(f) NFIP means the National Flood Insurance Program authorized
under the 1968 Act.
(g) Residential improved real estate means real estate upon which a
home or other residential building is located or to be located.
(h) Servicer means the person responsible for:
(1) Receiving any scheduled, periodic payments from a borrower
under the terms of a loan, including amounts for taxes, insurance
premiums, and other charges with respect to the property securing the
loan; and
(2) Making payments of principal and interest and any other
payments from the amounts received from the borrower as may be required
under the terms of the loan.
(i) Special flood hazard area means the land in the flood plain
within a community having at least a one percent chance of flooding in
any given year, as designated by the Director.
Sec. 614.4930 Requirement to purchase flood insurance where available.
(a) General requirement. A System institution shall not make,
increase, extend or renew any designated loan unless the building or
mobile home and any personal property securing the loan are covered by
flood insurance for the term of the loan. The amount of insurance must
be at least equal to the lesser of the outstanding principal balance of
the designated loan or the maximum limit of coverage available for the
particular type of property under the 1968 Act.
(b) Exemptions. The flood insurance requirement of paragraph (a) of
this section does not apply with respect to:
(1) Any State-owned property covered under a policy of self-
insurance satisfactory to the Director, who publishes and periodically
revises the list of States falling within this exemption; or
(2) Property securing any loan with an original principal balance
of $5000 or less and a repayment term of one year or less.
Sec. 614.4935 Escrow requirement.
If a System institution requires the escrow of taxes, insurance
premiums, fees, or any other charges for a loan secured by residential
improved real estate or a mobile home that is made, increased, extended
or renewed after [effective date of final regulation], then the
institution also shall require the escrow of all premiums and fees for
any flood insurance required under Sec. 614.4930. The institution, or a
servicer acting on behalf of the institution, shall deposit the flood
insurance premiums on behalf of the borrower in an escrow account.
Depending upon the type of loan, such escrow account may be subject to
escrow requirements adopted pursuant to section 10 of the Real Estate
Settlement Procedures Act of 1974 (12 U.S.C. 2609), which generally
limits the amount that may be maintained in escrow accounts for certain
types of loans and requires escrow account statements for those
accounts. Upon receipt of a notice from the Director or other provider
of flood insurance that premiums are due, the institution or its
servicer shall pay the amount owed to the insurance provider from the
escrow account.
Sec. 614.4940 Required use of Standard Flood Hazard Determination
Form.
(a) Use of form. System institutions shall use the Standard Flood
Hazard Determination Form developed by the Director (as set forth in
Appendix A of 44 CFR part 65) when determining whether a building or
mobile home offered as collateral security for a loan is or will be
located in a special flood hazard area in which flood insurance is
available under the 1968 Act. The Standard Flood Hazard Determination
Form may be used in a printed, computerized, or electronic manner.
(b) Retention of form. System institutions shall retain a copy of
the completed Standard Flood Hazard Determination Form, in either hard
copy or electronic form, for the period of time the institution owns
the loan.
Sec. 614.4945 Forced placement of flood insurance.
If a System institution, or a servicer acting on behalf of the
institution, determines, at the time of origination or at any time
during the term of a designated loan, that the building or mobile home
and any personal property securing the designated loan are not covered
by flood insurance or are covered by flood insurance in an amount less
than the amount required under Sec. 614.4930(a), then the institution
or its servicer shall notify the borrower that the borrower should
obtain flood insurance, at the borrower's expense, in an amount at
least equal to the amount required under Sec. 614.4930(a), for the term
of the loan. If the borrower fails to obtain flood insurance within 45
days after notification, then the institution or its servicer shall
purchase insurance on the borrower's behalf. The institution or its
servicer may charge the borrower for the premiums and fees incurred in
purchasing the insurance.
Sec. 614.4950 Determination fees.
(a) General. Notwithstanding any Federal or State law other than
the 1973 Act, any System institution, or a servicer acting on behalf of
the institution, may charge a reasonable fee for determining whether
the building or mobile home securing the loan is located or will be
located in a special flood hazard area.
(b) Borrower fee. The determination fee may be charged to the
borrower if the determination:
(1) Is made in connection with a making, increasing, extending, or
renewing of the loan that is initiated by the borrower;
(2) Reflects the Director's revision or updating of floodplain
areas or flood-risk zones;
(3) Reflects the Director's publication of a notice or compendium
that:
(i) Affects the area in which the building or mobile home securing
the loan is located; or
(ii) By determination of the Director, may reasonably require a
determination whether the building or mobile home securing the loan is
located in a special flood hazard area; or
(4) Results in the purchase of flood insurance coverage under
Sec. 614.4945.
(c) Purchaser or transferee fee. The fee may be charged to the
purchaser or transferee of a loan in the case of the sale or transfer
of the loan.
Sec. 614.4955 Notice of special flood hazards and availability of
Federal disaster relief assistance.
(a) Notice requirement. When a System institution makes, increases,
extends, or renews a loan secured by a building or a mobile home
located or to be located in a special flood hazard area, the
institution shall mail or deliver a written notice containing the
information specified in paragraph (b) of this section to the borrower
and to the servicer of the loan. Notice is required whether or not
flood insurance is available under the 1968 Act for the collateral
securing the loan.
(b) Contents of notice. The written notice must include the
following information:
(1) A warning, in a form approved by the Director, that the
building or the mobile home is or will be located in a special flood
hazard area;
(2) A description of the flood insurance purchase requirements set
forth in section 102(b) of the 1973 Act (42 U.S.C. 4012a(b));
(3) A statement, where applicable, that flood insurance coverage is
available under the NFIP and also may be available from private
insurers; and
(4) A statement whether Federal disaster relief assistance may be
[[Page 53983]]
available in the event of damage to the building or the mobile home
caused by flooding in a Federally declared disaster.
(c) Timing of notice. The institution shall provide the notice
required by paragraph (a) of this section to the borrower and the
servicer within a reasonable time before the completion of the
transaction.
(d) Record of receipt. Each institution shall retain a record of
the receipt of the notices by the borrower and the servicer for the
period of time the institution owns the loan.
(e) Alternate method of notice. Instead of providing the notice to
the borrower required by paragraph (a) of this section, an institution
may obtain satisfactory written assurance from the seller or lessor
that, within a reasonable time before the completion of the sale or
lease transaction, the seller or lessor has notified the borrower that
the building or mobile home is or will be located in a special flood
hazard area. The institution shall retain a record of the written
assurance from the seller or lessor for the period of time the
institution owns the loan.
(f) Use of prescribed form of notice. An institution may comply
with the notice requirements of this section by providing written
notice to a borrower and to the servicer containing the language
presented in appendix A to this subpart not less than 10 days before
the completion of the transaction (or not later than the institution's
commitment if the period between the commitment and the completion of
the transaction is less than 10 days).
Sec. 614.4960 Notice of servicer's identity.
(a) Notice requirement. When a System institution makes, increases,
extends, renews, sells, or transfers a loan secured by a building or a
mobile home located or to be located in a special flood hazard area,
the institution shall notify the Director (or the Director's designee)
in writing of the identity of the servicer of the loan.
(b) Transfer of servicing rights. The institution shall notify the
Director (or the Director's designee) of any change in the servicer of
a loan described in paragraph (a) of this section within 60 days after
the effective date of the change. Upon any change in the servicing of a
loan described in paragraph (a) of this section, the duty to provide
notice under this paragraph (b) shall transfer to the transferee
servicer.
Appendix A to Subpart S of Part 614--Sample Form of Notice of
Special Flood Hazards and Availability of Federal Disaster Relief
Assistance
We are giving you this notice to inform you that:
______The building securing the loan for which you have applied
is or will be located in an area with special flood hazards.
______The mobile home securing the loan for which you have
applied is or will be located in an area with special flood hazards.
The area has been identified by the Director of the Federal
Emergency Management Agency (FEMA) as a special flood hazard area
using FEMA's Flood Insurance Rate Map or the Flood Hazard Boundary
Map for the following community:
________________________________________. This area has at least a
1-percent chance of being flooded in any given year. The risk grows
each year.
For example, during the life of a 30-year mortgage loan, the risk of
a flood in a special flood hazard area is at least 26 percent.
Federal law allows a lender and borrower jointly to request the
Director of FEMA to review the determination of whether the property
securing the loan is located in a special flood hazard area. If you
would like to make such a request, please contact us for further
information.
______The community in which the property securing the loan is
located participates in the National Flood Insurance Program (NFIP).
Federal law will not allow us to make you the loan that you have
applied for if you do not purchase flood insurance. The flood
insurance must be maintained for the life of the loan.
Flood insurance coverage under the NFIP may be
purchased through an insurance agent who will obtain the policy
either directly through the NFIP or through an insurance company
that participates in the NFIP. Flood insurance also may be available
from private insurers that do not participate in the NFIP.
At a minimum, flood insurance purchased must cover the
lesser of:
(1) The outstanding principal amount of the loan; or
(2) The maximum amount of coverage allowed for the type of
property under the NFIP.
Federal disaster relief assistance (usually in the form
of a low interest loan) may be available for damages incurred in
excess of your flood insurance if your community's participation in
the NFIP is in accordance with NFIP requirements.
______Flood insurance coverage under the NFIP is not available
for the property securing the loan because the community in which
the property is located does not participate in the NFIP. In
addition, if the non-participating community has been identified for
at least 1 year as containing a special flood hazard area,
properties located in the community will not be eligible for Federal
disaster relief assistance in the event of a Federally declared
flood disaster.
Dated: September 8, 1995.
Floyd Fithian,
Secretary, Farm Credit Administration Board.
National Credit Union Administration
12 CFR CHAPTER VII
Authority and Issuance
For the reasons set forth in the joint preamble, part 760 of
chapter VII of title 12 of the Code of Federal Regulations is proposed
to be revised to read as follows:
PART 760--LOANS IN AREAS HAVING SPECIAL FLOOD HAZARDS
Sec.
760.1 Authority, purpose, and scope.
760.2 Definitions.
760.3 Requirement to purchase flood insurance where available.
760.4 Exemptions.
760.5 Escrow requirement.
760.6 Required use of standard flood hazard determination form.
760.7 Forced placement of flood insurance.
760.8 Determination fees.
760.9 Notice of special flood hazards and availability of Federal
disaster relief assistance.
760.10 Notice of servicer's identity.
Appendix A to Part 760--Sample Form of Notice of Special Flood Hazards
and Availability of Federal Disaster Relief Assistance
Authority: 12 U.S.C. 1757, 1789; 42 U.S.C. 4012a, 4104a, 4104b,
4106, and 4128.
Sec. 760.1 Authority, purpose, and scope.
(a) Authority. This part is issued pursuant to 12 U.S.C. 1757, 1789
and 42 U.S.C. 4012a, 4104a, 4104b, 4106, 4128.
(b) Purpose. The purpose of this part is to implement the
requirements of the National Flood Insurance Act of 1968 and the Flood
Disaster Protection Act of 1973, as amended (42 U.S.C. 4001-4129).
(c) Scope. This part, except for Secs. 760.6 and 760.8, applies to
loans secured by buildings or mobile homes located or to be located in
areas determined by the Director of the Federal Emergency Management
Agency to have special flood hazards. Sections 760.6 and 760.8 apply to
loans secured by buildings or mobile homes, regardless of location.
Sec. 760.2 Definitions.
(a) Act means the National Flood Insurance Act of 1968, as amended
(42 U.S.C. 4001-4129).
(b) Credit union means a Federal or State-chartered credit union
that is insured by the National Credit Union Share Insurance Fund.
(c) Building means a walled and roofed structure, other than a gas
or liquid storage tank, that is principally
[[Page 53984]]
above ground and affixed to a permanent site, and a walled and roofed
structure while in the course of construction, alteration, or repair.
(d) Community means a State or a political subdivision of a State
that has zoning and building code jurisdiction over a particular area
having special flood hazards.
(e) Designated loan means a loan secured by a building or mobile
home that is located or to be located in a special flood hazard area in
which flood insurance is available under the Act.
(f) Director means the Director of the Federal Emergency Management
Agency.
(g) Mobile home means a structure, transportable in one or more
sections, that is built on a permanent chassis and designed for use
with or without a permanent foundation when attached to the required
utilities. The term mobile home does not include a recreational
vehicle. For purposes of this part, the term mobile home means a mobile
home on a permanent foundation.
(h) NFIP means the National Flood Insurance Program authorized
under the Act.
(i) Residential improved real estate means real estate upon which a
home or other residential building is located or to be located.
(j) Servicer means the person responsible for:
(1) Receiving any scheduled, periodic payments from a borrower
under the terms of a loan, including amounts for taxes, insurance
premiums, and other charges with respect to the property securing the
loan; and
(2) Making payments of principal and interest and any other
payments from the amounts received from the borrower as may be required
under the terms of the loan.
(k) Special flood hazard area means the land in the flood plain
within a community having at least a one percent chance of flooding in
any given year, as designated by the Director.
Sec. 760.3 Requirement to purchase flood insurance where available.
A credit union shall not make, increase, extend, or renew any
designated loan unless the building or mobile home and any personal
property securing the loan is covered by flood insurance for the term
of the loan. The amount of insurance must be at least equal to the
lesser of the outstanding principal balance of the designated loan or
the maximum limit of coverage available for the particular type of
property under the Act.
Sec. 760.4 Exemptions.
The flood insurance requirement prescribed by Sec. 760.3 does not
apply with respect to:
(a) Any State-owned property covered under a policy of self-
insurance satisfactory to the Director, who publishes and periodically
revises the list of States falling within this exemption; or
(b) Property securing any loan with an original principal balance
of $5,000 or less and a repayment term of one year or less.
Sec. 760.5 Escrow requirement.
If a credit union requires the escrow of taxes, insurance premiums,
fees, or any other charges for a loan secured by residential improved
real estate or a mobile home that is made, increased, extended, or
renewed after [effective date of final regulation], then the credit
union shall also require the escrow of all premiums and fees for any
flood insurance required under Sec. 760.3. The credit union, or a
servicer acting on behalf of the credit union, shall deposit the flood
insurance premiums on behalf of the borrower in an escrow account.
Depending upon the type of loan, such escrow account may be subject to
escrow requirements adopted pursuant to section 10 of the Real Estate
Settlement Procedures Act of 1974 (12 U.S.C. 2609), which generally
limits the amount that may be maintained in escrow accounts for certain
types of loans and requires escrow account statements for those
accounts. Upon receipt of a notice from the Director or other provider
of flood insurance that premiums are due, the credit union or its
servicer shall pay the amount owed to the insurance provider from the
escrow account.
Sec. 760.6 Required use of standard flood hazard determination form.
(a) Use of form. A credit union shall use the standard flood hazard
determination form developed by the Director (as set forth in Appendix
A of 44 CFR part 65) when determining whether the building or mobile
home offered as collateral security for a loan is or will be located in
a special flood hazard area in which flood insurance is available under
the Act. The standard flood hazard determination form may be used in a
printed, computerized, or electronic manner.
(b) Retention of form. A credit union shall retain a copy of the
completed standard flood hazard determination form, in either hard copy
or electronic form, for the period of time the credit union owns the
loan.
Sec. 760.7 Forced placement of flood insurance.
If a credit union, or a servicer acting on behalf of the credit
union, determines, at the time of origination or at any time during the
term of a designated loan, that the building or mobile home and any
personal property securing the designated loan is not covered by flood
insurance or is covered by flood insurance in an amount less than the
amount required under Sec. 760.3, then the credit union or its servicer
shall notify the borrower that the borrower should obtain flood
insurance, at the borrower's expense, in an amount at least equal to
the amount required under Sec. 760.3, for the term of the loan. If the
borrower fails to obtain flood insurance within 45 days after
notification, then the credit union or its servicer shall purchase
insurance on the borrower's behalf. The credit union or its servicer
may charge the borrower for the cost of premiums and fees incurred in
purchasing the insurance.
Sec. 760.8 Determination fees.
(a) General. Notwithstanding any Federal or State law other than
the Flood Disaster Protection Act of 1973, as amended (42 U.S.C. 4001-
4129), any credit union, or a servicer acting on behalf of the credit
union, may charge a reasonable fee for determining whether the building
or mobile home securing the loan is located or will be located in a
special flood hazard area.
(b) Borrower fee. The determination fee may be charged to the
borrower if the determination:
(1) Is made in connection with a making, increasing, extending, or
renewing of the loan that is initiated by the borrower;
(2) Reflects the Director's revision or updating of floodplain
areas or flood-risk zones;
(3) Reflects the Director's publication of a notice or compendium
that:
(i) Affects the area in which the building or mobile home securing
the loan is located; or
(ii) By determination of the Director, may reasonably require a
determination whether the building or mobile home securing the loan is
located in a special flood hazard area; or
(4) Results in the purchase of flood insurance coverage under
Sec. 760.7.
(c) Purchaser or transferee fee. The fee may be charged to the
purchaser or transferee of a loan in the case of the sale or transfer
of the loan.
Sec. 760.9 Notice of special flood hazards and availability of Federal
disaster relief assistance.
(a) Notice requirement. When a credit union makes, increases,
extends, or
[[Page 53985]]
renews a loan secured by a building or a mobile home located or to be
located in a special flood hazard area, the credit union shall mail or
deliver a written notice to the borrower and to the servicer in all
cases whether or not flood insurance is available under the Act for the
collateral securing the loan.
(b) Contents of notice. The written notice must include the
following information:
(1) A warning, in a form approved by the Director, that the
building or the mobile home is or will be located in a special flood
hazard area;
(2) A description of the flood insurance purchase requirements set
forth in section 102(b) of the Flood Disaster Protection Act of 1973,
as amended (42 U.S.C. 4012a(b));
(3) A statement, where applicable, that flood insurance coverage is
available under the NFIP and may also be available from private
insurers; and
(4) A statement whether Federal disaster relief assistance may be
available in the event of damage to the building or mobile home caused
by flooding in a Federally-declared disaster.
(c) Timing of notice. The credit union shall provide the notice
required by paragraph (a) of this section to the borrower and the
servicer within a reasonable time before the completion of the
transaction.
(d) Record of receipt. The credit union shall retain a record of
the receipt of the notices by the borrower and the servicer for the
period of time the credit union owns the loan.
(e) Alternate method of notice. Instead of providing the notice to
the borrower required by paragraph (a) of this section, a credit union
may obtain satisfactory written assurance from the seller or lessor
that, within a reasonable time before the completion of the sale or
lease transaction, the seller or lessor has notified the borrower that
the building or mobile home is or will be located in a special flood
hazard area. The credit union shall retain a record of the written
assurance from the seller or lessor for the period of time the credit
union owns the loan.
(f) Use of prescribed form of notice. A credit union may comply
with the notice requirements of this section by providing written
notice to a borrower and to the servicer containing the language
presented in appendix A to this part not less than ten days before the
completion of the transaction (or not later than the credit union's
commitment if the period between the commitment and the completion of
the transaction is less than ten days).
Sec. 760.10 Notice of servicer's identity.
(a) Notice requirement. When a credit union makes, increases,
extends, renews, sells, or transfers a loan secured by a building or
mobile home located or to be located in a special flood hazard area,
the credit union shall notify the Director (or the Director's designee)
in writing of the identity of the servicer of the loan.
(b) Transfer of servicing rights. The credit union shall notify the
Director (or the Director's designee) of any change in the servicer of
a loan described in paragraph (a) of this section within 60 days after
the effective date of the change. Upon any change in the servicing of a
loan described in paragraph (a) of this section, the duty to provide
notice under this paragraph (b) shall transfer to the transferee
servicer.
Appendix A to Part 760--Sample Form of Notice of Special Flood Hazards
and Availability of Federal Disaster Relief Assistance
We are giving you this notice to inform you that:
______ The building securing the loan for which you have applied
is or will be located in an area with special flood hazards.
______ The mobile home securing the loan for which you have
applied is or will be located in an area with special flood hazards.
The area has been identified by the Director of the Federal
Emergency Management Agency (FEMA) as a special flood hazard area
using FEMA's Flood Insurance Rate Map or the Flood Hazard Boundary
Map for the following community:
________________________________________. This area has at least a
one percent (1%) chance of being flooded in any given year. The risk
grows each year. For example, during the life of a 30-year mortgage
loan, the risk of a flood in a special flood hazard area is at least
26%.
Federal law allows a lender and borrower jointly to request the
Director of FEMA to review the determination of whether the property
securing the loan is located in a special flood hazard area. If you
would like to make such a request, please contact us for further
information.
______ The community in which the property securing the loan is
located participates in the National Flood Insurance Program (NFIP).
Federal law will not allow us to make you the loan that you have
applied for if you do not purchase flood insurance. The flood
insurance must be maintained for the life of the loan.
Flood insurance coverage under the NFIP may be
purchased through an insurance agent who will obtain the policy
either directly through the NFIP or through an insurance company
that participates in the NFIP. Flood insurance also may be available
from private insurers that do not participate in the NFIP.
At a minimum, flood insurance purchased must cover the
lesser of:
(1) The outstanding principal amount of the loan; or
(2) The maximum amount of coverage allowed for the type of
property under the NFIP.
Federal disaster relief assistance (usually in the form
of a low-interest loan) may be available for damages incurred in
excess of your flood insurance if your community's participation in
the NFIP is in accordance with NFIP requirements.
______ Flood insurance coverage under the NFIP is not available
for the property securing the loan because the community in which
the property is located does not participate in the NFIP. In
addition, if the non-participating community has been identified for
at least one year as containing a special flood hazard area,
properties located in the community will not be eligible for Federal
disaster relief assistance in the event of a Federally-declared
flood disaster.
Dated: September 28, 1995.
Becky Baker,
Secretary of the Board, National Credit Union Administration.
[FR Doc. 95-25257 Filed 10-17-95; 8:45 am]
BILLING CODE 4810-33-P, 6210-01-P, 6714-01-P, 6720-01-P, 6705-01-P,
7535-01-P
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