issue-1996-07-24•Federal Register proposed rules — 1996-07-24
Federal Register proposed rules — 1996-07-24
issue-1996-07-24Federal Register proposed rules — 1996-07-24Proposed 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. 96-18824 Miscellaneous Cabin Safety Changes
[Federal Register Volume 61, Number 143 (Wednesday, July 24, 1996)]
[Proposed Rules]
[Pages 38552-38557]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-18824]
[[Page 38551]]
_______________________________________________________________________
Part VII
Department of Transportation
_______________________________________________________________________
Federal Aviation Administration
_______________________________________________________________________
14 CFR Parts 25 and 121
Miscellaneous Cabin Safety Changes; Proposed Rule
Federal Register / Vol. 61, No. 143 / Wednesday, July 24, 1996 /
Proposed Rules
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[[Page 38552]]
DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Parts 25 and 121
[Docket No. 28637; Notice No. 96-9]
RIN 2120-AF77
Miscellaneous Cabin Safety Changes
AGENCY: Federal Aviation Administration (FAA), DOT.
ACTION: Notice of proposed rulemaking.
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SUMMARY: This document proposes to revise the airworthiness standards
for transport category airplanes relating to flight attendant assist
space, flight attendant assist handles, door hold open features,
outside viewing means, interior compartment doors and portable oxygen
equipment. With one exception, these proposals are not the result of
any specific incident or recommendation, but are part of the Agency's
continuing effort to upgrade the regulations to improve the overall
level of safety in areas where the state-of-the-art and good design
practice have indicated that such upgrades are warranted. These
proposals would result in both new type design regulations as well as
retroactive requirements implemented via the operating rules.
DATES: Comments must be received on or before November 21, 1996.
ADDRESSES: Comments on this notice may be mailed in triplicate to:
Federal Aviation Administration, Office of the Chief Counsel, Attn:
Rules Docket (AGC-200), Docket No. 28637, 800 Independence Avenue SW.,
Washington, DC 20591; or delivered comments in triplicate to: Federal
Aviation Administration, Room 915G, 800 Independence Avenue SW.,
Washington, DC 20591. Comments must be marked Docket No. 28637.
Comments may also be submitted electronically to
[email protected].
Comments may be examined in the Rules Docket weekdays, except
Federal holidays, between 8:30 a.m. and 5 p.m. In addition, the FAA is
maintaining an information docket of comments in the Transport Airplane
Directorate (ANM-100), Federal Aviation Administration, 1601 Lind
Avenue SW, Renton, Washington 98055-4056. Comments in the information
docket may be examined in the Transport Airplane Directorate weekdays,
except Federal holidays, between 7:30 a.m. and 4 p.m.
FOR FURTHER INFORMATION CONTACT:
Jeffrey C. Gardlin, Regulations Branch, ANM-114, Transport Airplane
Directorate, Aircraft Certification Service, FAA, 1601 Lind Avenue SW,
Renton, Washington 98055-4056; telephone (206) 227-2136.
SUPPLEMENTARY INFORMATION:
Comments Invited
Interested persons are invited to participate in this proposed
rulemaking by submitting such written data, views, or arguments as they
may desire. Comments relating to any environmental, energy, federalism,
or economic impacts that might result from adoption of the proposal
contained in this notice are also invited. Substantive comments should
be accompanied by cost estimates. Commenters should identify the
regulatory docket or notice number and submit comments in triplicate to
the Rules Docket address above. All comments received on or before the
closing date for comments will be considered by the Administrator
before taking action on this proposed rulemaking. The proposal
contained in this notice may be changed in light of comments received.
All comments received will be available in the Rules Docket, both
before and after the closing date for comments, for examination by
interested persons. A report summarizing each substantive public
contact with FAA personnel concerning this rulemaking will be filed in
the docket. Persons wishing the FAA to acknowledge receipt of their
comments must submit with those comments a self-addressed, stamped
postcard on which the following statement is made: ``Comments to Docket
No. 28637.'' A postcard will be date/time stamped and returned to the
commenter.
Availability of NPRM
An electronic copy of this document may be downloaded using a modem
and suitable communications software from the FAA regulations section
of the Fedworld electronic bulletin board service (telephone: 703-321-
3339), the Federal Register's electronic bulletin board service
(telephone: 202-512-1661), or the FAA's Aviation Rulemaking Advisory
Committee Bulletin Board service (telephone: 202-267-5948).
Internet users may reach the FAA's web page at http://www.faa.gov
or the Federal Register's web page at http://www.access.gpo.gov/
su__docs for access to recently published rulemaking documents.
Any person may obtain a copy of this NPRM by submitting a request
to the Federal Aviation Administration, Office Rulemaking, ARM-1, 800
Independence Avenue SW., Washington, DC 20591; or by calling (202) 267-
9680. Communications must identify the notice number of this NPRM.
Persons interested in being placed on the mailing list for future
NPRM's should also request a copy of Advisory Circulator No. 11-2A,
Notice of Proposed Rulemaking Distribution System, which describes the
application procedure.
Background
Primarily as a result of accidents during the 1960's, several
amendments (25-15, 25-17, 25-20, and 25-32) to part 25 pertaining to
cabin safety and crashworthiness were enacted. These amendments were
designed to correct certain deficiencies identified during the
investigations of the aforementioned accidents, and were, in many
cases, made retroactive for airplanes already in service. Recent
amendments pertaining to cabin safety have resulted from research and
development in the areas of fire safety and evacuation slide
performance, among others. As a result of the Public Technical
Conference on Evacuation held in Seattle, Washington, in September
1985, several regulatory and advisory actions have been taken by the
FAA to further upgrade standards in the cabin safety area. In a
continuing effort to upgrade these standards the FAA is proposing to
make several additional amendments which would further improve cabin
safety. These proposals are not directly a result of the public
conference but are actions deemed appropriate by the FAA considering
the current state-of-the-art and existing design practice. One of the
proposals follows a National Transportation Safety Board (NTSB)
recommendation. Although nearly all existing installations already
comply, the proposed rulemaking would ensure that any others comply as
well.
Current policy for FAA rulemaking projects is to endeavor to
achieve harmonization with the Joint Airworthiness Authorities (JAA)
and other airworthiness authorities through the Aviation Rulemaking
Advisory Committee (ARAC) and its harmonization working groups. This
rulemaking project has not been the subject of a harmonization working
group activity because it was initiated prior to the time that
harmonization became the policy with the FAA and JAA. The proposals
contained in this notice have, however, been coordinated with the Joint
Aviation Authorities (JAA), during specialist meetings between the FAA
and JAA. The JAA is in agreement with the proposals, but may provide
comments on the detailed regulatory language. The JAA intends to
incorporate these proposals into
[[Page 38553]]
paragraph 25 of the Joint Aviation Requirements (JAR-25) after they are
finalized by the FAA.
Discussion
Section 25.813 requires that each non-overwing exit equipped with
an assist means also have adequate space next to the exit for a flight
attendant to stand and assist occupants while evacuating. The size of
this ``assist space'' is not specified in the regulations. Guidance
material in Civil Aeronautics Manual (CAM) 4b.362-6(b) states that the
assist space should be a 12 x 20-inch rectangle on the floor and be
useable. A rectangle of this size is generally recognized as the
minimum size acceptable for compliance with Sec. 25.813 or its
predecessor Sec. 4b.362(g) of the Civil Air Regulations (CAR).
Deviations are, however, permitted if the efficacy of the assist space
is demonstrated. Demonstrations of a smaller or irregular shaped assist
space usually take place in controlled evacuation tests conducted under
conditions similar to those specified in Appendix J to Part 25 for
emergency evacuation demonstrations. While these demonstrations have
value, they do not account for the potentially adverse conditions
likely to be encountered in service. A minimum size for assist spaces
needs to be established in the regulations to provide more standardized
application of the requirement and give additional margins of safety
under adverse conditions which may be encountered in service.
Service experience, both in tests and actual incidents, indicates
that the assist space recommended in CAM 4b.362-6(b) is adequate;
therefore, this notice proposes to amend Sec. 25.813 to require that
the assist space be a minimum of 12 x 20 inches on the floor with the
12-inch dimension parallel to the exit opening. The current requirement
that the assist space must not obstruct the required passageway would
be retained. The proposal does not specify the location of the assist
space relative to the exit opening, since the best location may vary
from one installation to another. In any case, the assist space should
be located to provide the maximum benefit to evacuation. The minimum
dimensions specified assume that a flight attendant would be able to
stand upright, and installations which do not provide adequate headroom
to enable a 95 percentile male to stand upright would probably need an
increase in the fore and aft dimension of the assist space to provide
the same level of efficacy as a full height installation. (Information
on anthropometry can be found in NASA reference publication 1024,
Anthropometric Source Book Volume I, Anthropometry for Designers.) The
amount of increase required in these instances would be dependent on
the details of the installation and will not be specified in the
regulation.
As proposed, the assist space requirement would apply to all of the
larger exit types (i.e., Types I, II, and A) regardless of whether or
not they are over the wing. Except for Type A exists, the current
regulations do not require an assist space for exits over the wing. The
need for an assist space at these exits is dependent primarily on the
presence of an assist means where the rate of egress is critical.
Future airplane designs, as well as current regulatory activity (Notice
90-4 (55 FR 6344, February 22, 1990)), may make the installation of
overwing floor level exits an attractive option, so it is proposed to
account for their use here. In addition, the current regulations only
require an assist space for the larger exits when there is an assist
means required. For airplanes of relatively small passenger capacity,
service experience indicates that this is a reasonable standard.
However, for airplanes with a larger passenger capacity, an assist
space should be required whether or not an assist means is required.
This proposal would also correct a longstanding editorial error in part
121, that states that assist spaces are required at all Type I or II
exits, regardless of whether or not an assist means is installed.
Therefore, this notice proposes to also require an assist space at all
Type II or larger exits on airplanes with a passenger capacity of 79 or
greater. (If a change proposed in Notice of Proposed Rulemaking 90-4
(55 FR 6344, February 22, 1990) is adopted, this would become 80
passengers in lieu of 79). This includes tailcone exits that are
qualified for 25 additional passenger seats under the provisions of
Sec. 25.807(d)(3)(ii) and are required by Sec. 25.810(a) to have such
assist means, since these can become primary exits under certain
evacuation scenarios and will require the assistance of a flight
attendant to perform at their potential.
Conversely, the current regulations would require an assist space
for a non-floor level, non-overwing exit which incorporates an assist
means. There is at present one airplane with exits that fall into this
category. Given the design difficulties presented by such a design, the
prospects for such exits in the future do not seem likely. Furthermore
the appropriateness of the current standards for such exits appears
questionable (the one example currently in existence was approved by
special conditions). This existing provision in the regulations would,
therefore, be removed by this proposal. In the unlikely event a design
of this nature were proposed, the FAA would develop criteria
appropriate for that design in the form of special conditions.
Most existing installations currently comply with this proposal,
however for the few that do not, the economic penalty for direct
compliance would be quite high. It is also difficult to quantify the
benefit that might be gained from reconfiguring airplanes already
manufactured and placed in service to comply with this proposal;
therefore, no retroactive action is proposed. For newly manufactured
airplanes, the economic burden of compliance is minimal. Therefore, it
is proposed to amend Sec. 121.310(f)(2) to require that the assist
spaces of all airplanes manufactured two years after the effective date
of this amendment comply with these criteria.
One common design feature of large transport airplanes has been an
assist handle to enable flight attendants to steady themselves while
assisting passengers in evacuating. The assist handle can be crucial in
permitting the flight attendant to perform his or her duties
efficiently. This, in turn, can have a direct bearing on the success of
an emergency evacuation. There is, at present, no requirement for
assist handles and most if not all installations incorporate them.
Although an assist handle may not always be necessary due to the
unpredictable nature of an emergency evacuation, it is a valuable tool
that should be available to the flight attendant when it is needed. In
addition, the assist handle is an integral part of flight attendant
training. The addition of the requirement in part 25 would eliminate
incompatibilities between the type design and operational requirements.
In some cases a handle designed to provide leverage when opening,
or more commonly, closing passenger and service doors is installed.
Often, this handle is not located at the designated assist space.
Service experience has shown that the presence of the handle at another
location can mislead a flight attendant into standing in a location
that could obstruct the required passageway. Service experience also
indicates that there is a need for assist handles to enable flight
attendants to steady themselves while actuating the manual inflation
handle on escape slides. The manual handle is located on the door sill,
and essentially requires the attendant to straddle the door opening
when pulling the handle. The attendant is quite vulnerable to the
possibility of being pushed out of the
[[Page 38554]]
exit. The FAA expects that it would be possible for one handle to serve
both purposes; however, two different handles might be needed at the
same exit in some instances. The assist handle(s) should be usable by
the range of flight attendants encompassing the 5th percentile female
to the 95th percentile male.
This notice proposes to require that assist handles be installed at
the designated assist space for all floor level exists that require an
assist space. In addition, a companion change to Sec. 121.310(l) is
proposed that would be applicable to newly manufactured airplanes
entering the fleet and require retrofit of the existing in-service
fleet. A two year retrofit period is proposed.
Emergency evacuations are frequently necessary either due to, or in
combination with ,a hazard such as a fire outside the airplane. Because
the hazard may pose an immediate threat to the occupants of the
airplane, it is often necessary to avoid opening certain otherwise
useable emergency exits to prevent injury to the evacuees. In this
context, a viewing window or other means of assessing the outside
conditions and determining whether an exit should be opened is
extremely valuable. A viewing window is commonly provided in most
exists in service; however, it is not required, and some exits in
service do not incorporate one. The proposal would require a means (for
example, either a window in the exit itself, or in an adjacent frame
bay) that provides a view of the ground area where evacuees will make
contact upon leaving the airplane. The means should provide visibility
taking into account all conditions of landing gear collapse. Details
such as size and prismatic characteristics of the viewing means are not
specified. The FAA considers that sufficient design latitude should be
available to permit several acceptable concepts. The viewing means
would be required to be available to a person preparing to open an
exit. Thus, if a window were in an adjacent frame bay, there could not
be a partition or divider between the exit and the window to meet the
intent of the proposal. For some exits, two windows might be installed
at each exit in order to provide sufficient viewing coverage. This
proposed viewing requirement would only apply to airplanes for which an
application for type certificate is made after the effective date. Due
to the technical difficulties and resultant cost of modifying existing
airplanes, no retroactive requirement is proposed.
Also important is the capability of an exit to remain open during
an evacuation without threat of premature closing. Adverse attitude,
wind or contact by evacuating passengers could cause an unsecured door
to close during an evacuation, and jeopardize the safety of subsequent
passengers. Most passenger emergency exits currently incorporate a
feature which holds the door open and requires a positive action to
disengage. This notice proposes to require a means to prevent an
emergency exit from inadvertently closing once it has been opened in an
emergency. The means must automatically engage when the exit is opened
and require positive action to disengage. A removable hatch would be
considered to comply, by definition. This proposal would amend
Sec. 25.809 for new type certificates. It is proposed to create a new
Sec. 121.310(l), and redesignate existing paragraph (l) as a new
paragraph (n), which would require that airplanes in service after a
date two years after the effective date of the amendment comply with
the provisions of the part 25 requirement.
Following accident experience in the 1960's the FAA amended part 25
in Amendment 25-15, to prohibit the installation of doors ``between
passenger compartments.'' At the time of the amendment, it was common
practice to divide the first class and tourist class cabins with a
solid door. It was determined in the course of accident investigations
that this door could be detrimental in evacuation of passengers, who
tended not to recognize that there was an exit beyond the door, even if
it were the closest available. The resulting regulatory change was
geared specifically at preventing this occurrence. However, the current
regulation is worded such that doors may be installed between
passengers and exits provided there are not passengers on both sides of
the door. For example, a door could be installed across the main
passenger aisle at the end of a cabin. The current regulations only
require that the door be open for takeoff and landing. It is now
considered undesirable to permit the installation of a door between any
passenger and an exit. Should such a door (either through omission or
mechanical failure) become jammed in the event of an emergency
evacuation, persons could be prevented or delayed in evacuating which
could result in fatalities or injuries that would not otherwise have
occurred. The hazards associated with a jammed door are still present
whether or not passengers are on both sides of the door, and the
recognition factor has not been mitigated. Either could result in the
same consequences--failure of some passengers to evacuate the airplane.
This notice proposes to prohibit the installation of any door between
any passenger and any passenger emergency exit. This would include
doors that close off galley areas as passageways or crossaisles, doors
across emergency exits (frequently used on ``VIP'' airplanes), and
doors into rooms that are occupiable for takeoff and landing. This
would also include a door across one of the aisles on a multi-aisle
airplane, since this closes off the most direct route to an exit for
some of the passengers.
In the past there has been considerable discussion regarding what
constituted a ``door.'' One common proposal has been to install a
fabric diaphragm bounced by a metal frame which is movable, usually
much like a pocket door. This type of installation has been accepted
provided the frame provides no more resistance to a person passing
through it than a normal curtain tie back. Such installations do,
however, create the same recognition problem as do ``solid'' doors and
would no longer be acceptable.
The proposed change to Sec. 25.813(e) would apply to all transport
category airplanes for which an application for type certificate is
made after the effective date regardless of whether they are used in
air carrier service. Section 25.813(f) would also be modified to
account for seats that might be occupied by crew outside of the flight
deck. In addition, Sec. 121.310(f)(6) would make the new standards
applicable to all other transport category airplanes manufactured after
two years after the effective date of this amendment.
These requirements would not be applied retroactively to non air-
carrier operations, i.e., corporate airplanes where the number of
passengers involved is much smaller and there has been no demonstrated
unsafe condition.
Finally, the FAA proposes to require that oxygen masks be connected
to portable oxygen equipment. This proposal follows NTSB Safety
Recommendation No. A-90-54. During the decompression experienced in the
February 1989 United Airlines Flight 811 accident, the NTSB determined
that flight attendants had difficulty in using the portable oxygen
bottles. These bottles are intended to enable them to move about the
cabin, with an adequate oxygen supply, after a decompression. The
oxygen masks were not connected to the dispensing terminal of the
oxygen bottle, thus requiring an additional action by the flight
attendant before the unit was useable. The NTSB recommended that all
such masks be connected to the oxygen supply, to
[[Page 38555]]
minimize the time and dexterity necessary for flight attendants to don
and use the portable oxygen. The FAA agrees with this recommendation,
and therefore proposes to change Sec. 25.1447(c)(4) accordingly. In
addition, a companion change is made to Sec. 121.333(d), with a one
year compliance time. A one year compliance time is chosen in this case
because the modification required is a simple connection of the oxygen
mask to the supply bottle. This can be done on an overnight visit, or
any short interval maintenance visit. One year is considered more than
enough time to achieve compliance.
A two year compliance time for incorporation of these changes into
the existing fleet is used throughout this proposal, with the exception
noted above. This approximates the ``C'' check maintenance cycles for
most airplanes affected. This time period is sufficient to accomplish
the relatively minor modifications required by this proposal, and
offers operators some flexibility in scheduling. For newly manufactured
airplanes, two years is considered sufficient to develop the necessary
engineering and parts availability on airplanes which do not already
incorporate the features described here. However, as previously noted,
the majority of airplanes currently being delivered do incorporate
these proposals, and so will not be affected by the compliance time.
An ambiguity in the provisions of Sec. 25.853(d) concerning ash
trays has been brought to the attention of the FAA. As presently
worded, the second sentence could be misinterpreted to require ash
trays in all areas of the cabin instead of just the designated smoking
areas. Section 25.853(d) would be revised to require that all seated
occupants in designated smoking areas are provided with ashtrays. Since
designated smoking areas can vary from flight to flight, an adequate
number of ashtrays would probably need to be installed at delivery to
account for the largest smoking section anticipated by the airline.
Alternatively, the size of the smoking section would be limited by the
number and location of the ashtrays.
The introductory phrase in Sec. 25.855, which contains safety
standards for cargo and baggage compartments, states, ``For each cargo
and baggage compartment not occupied by crew or passengers, the
following apply.'' It has been brought to the attention of the FAA that
this phrase may also cause confusion. By definition, some compartments
must be accessible to crewmembers to fight fires in flight; therefore,
the exception made by the introductory phrase can not (and has not been
interpreted to) apply to compartments that are only occupied
occasionally by crew or passengers. Furthermore, crew and passengers
are not permitted to be seated or stationed on a full-time basis in
cargo or baggage compartments. Since the exception does not apply to
occasional occupancy and since crew and passengers do not occupy cargo
or baggage compartments in flight on a full-time basis, the exception
made in the phrase has no applicability. Using the present wording of
the introductory phrase, it was alleged, in at least one instance, that
the standards of Sec. 25.855 did not apply because the cockpit was part
of the cargo or baggage compartment. That allegation was unfounded
regardless of the degree or method of separation, the cockpit can not
be considered part of a cargo or baggage compartment. Nevertheless, it
does show that the phrase can easily be misinterpreted. Since the
exception has no applicability and may cause confusion, the
introductory phrase would be reworded to simply state, ``For each cargo
or baggage compartment, the following apply.'' This would be a
nonsubstantive change that would place no additional burden on any
person.
Finally, as a result of the extensive changes to part 25 adopted in
Amendment 25-72, many referenced sections were changed. Some of the
references to these sections were inadvertently retained, however, and
are no longer correct. Therefore, the FAA proposes to correct these
references to correspond to the current structure of part 25. These
changes are purely editorial in nature and affect
Secs. 25.807(d)(3)(ii), 25.812(g)(l)(ii), 25.812(g)(2), 25.812(h),
25.819(f) and 25.1411(c).
Regulatory Evaluation Summary
Regulatory Evaluation, Regulatory Flexibility Determination, and Trade
Impact Assessment
Changes to Federal regulations must undergo several economic
analyses. First, Executive Order 12866 directs Federal agencies to
promulgate new regulations or modify existing regulations only if the
potential benefits to society justify its costs. Second, the Regulatory
Flexibility Act of 1980 requires agencies to analyze the economic
impact of regulatory changes on small entities. Finally, the Office of
Management and Budget directs agencies to assess the effects of
regulatory changes on international trade. In conducting these
assessments, the FAA has determined that this proposed rule: (1) Would
generate benefits exceeding its costs and is not ``significant'' as
defined in Executive Order 12866; (2) is not ``significant'' as defined
in DOT's Policies and Procedures; (3) would not have a significant
impact on a substantial number of small entities; and (4) would not
constitute a barrier to international trade. These analyses, available
in the docket, are summarized as follows.
Costs and Benefits
The proposed rule would impose minimal incremental compliance costs
on existing airplanes and airplanes manufactured under existing type-
certificate because it would codify existing industry practices and
clarify FAA requirements concerning cabin configuration and equipment
specifications. With one exception, this proposed rule is expected to
impose minimal compliance costs on future part 25 type certificated
airplanes. The one exception would arise from the proposed part 25
requirement for a viewing window at each emergency exit door or
adjacent bay. In order for a tailcone emergency exit to meet this
proposed requirement, considerable engineering redesign may be needed.
The FAA specifically requests public comment on the technical and
economic feasibility of this proposed provision.
Similarly, the proposed rule would generate minimal real
incremental benefits because it would codify current industry
practices. The fact that the proposed rule reflects current industry
practice indicates that airplane manufacturers and air carriers have
determined that the proposals are warranted means of enhancing
passenger and flight attendant survivability of a post-accident fire.
Regulatory Flexibility Determination
The Regulatory Flexibility Act of 1980 (RFA) was enacted by
Congress to ensure that small entities are not unnecessarily and
disproportionately burdened by government regulations. The RFA requires
a Regulatory Flexibility Analysis if the proposed or final rule would
have a significant economic impact, either detrimental or beneficial,
on a substantial number of small entities. FAA Order 2100.14A,
Regulatory Flexibility Criteria and Guidance, prescribes standards for
complying with RFA review requirements in FAA rulemaking actions. The
Order defines ``small entities'' in terms of thresholds, ``significant
economic impact'' in terms of annualized cost thresholds, and
``substantial number'' as a number which is not less than eleven and
which
[[Page 38556]]
is more than one-third of the small entities subject to the proposed or
final rule.
Order 2100.14A specifies a size threshold for classification as a
small manufacturer as 75 or fewer employees. No transport category
airplane manufacturer has 75 or fewer employees. Therefore, the
proposed rule would not have a significant economic impact on a
substantial number of small manufacturers. Since the proposed rule
would impose little or no incremental costs, there would not be a
significant impact on a substantial number of small operators.
International Trade Impact Assessment
The proposed rule would not constitute a barrier to international
trade, including the export of U.S. airplanes to foreign countries and
the import of foreign airplanes into the United States.
Federalism Implications
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.
International Compatibility
The FAA has reviewed the corresponding International Civil Aviation
Organization regulations, where they exist, and had identified no
differences in these proposed amendments and the foreign regulations.
The FAA has also reviewed the Joint Airworthiness Authority Regulations
and has discussed similarities and differences in these proposed
amendments and the foreign regulations.
Paperwork Reduction Act
In accordance with the Paperwork Reduction Act of 1980 (Pub. L. 96-
511), there are no requirements for information collection associated
with this proposed rule.
Conclusion
Because the proposed revised standards for airplane cabin safety
are not expected to result in a substantial economic cost, the FAA has
determined that this proposed regulation is not a significant
regulation under Executive Order 12866. The FAA has also determined
that this action is not significant as defined in Department of
Transportation Regulatory Policies and Procedures (44 FR 11034;
February 26, 1979). Since the airplanes involved are not manufactured
by small entities, it is certified under the criteria of the Regulatory
Flexibility Act that this proposed regulation, if adopted, will not
have a significant economic impact, positive or negative, on a
substantial number of small entities. A copy of the initial regulatory
evaluation prepared for this proposal may be examined in the public
docket or obtained from the person identified under the caption, FOR
FURTHER INFORMATION CONTACT.
List of Subjects
14 CFR Part 25
Air transportation, Aircraft, Aviation safety, Safety.
14 CFR Part 121
Aviation safety, Safety, Air carrier, Air traffic control, Air
transportation, Aircraft, Aircraft pilots, Airmen, Airplanes, Airports,
Airspace, Cargo, Chemicals, Children, Narcotics, Flammable materials,
Handicapped, Hazardous materials, Common carriers.
The Proposed Amendments
Accordingly, the Federal Aviation Administration (FAA) proposes to
amend parts 25 and 121 of the Federal Aviation Regulations (FAR) (14
CFR parts 25 and 121) as follows:
PART 25--AIRWORTHINESS STANDARDS: TRANSPORT CATEGORY AIRPLANES
1. The authority citation for part 25 continues to read as follows:
Authority: 49 U.S.C. 106(g), 40113, 44701, 44702, 44704.
Sec. 25.807 [Amended]
By amending Sec. 25.807, paragraph (d)(3)(ii) by removing the
reference to ``Sec. 25.809(h)'' and inserting ``Sec. 25.810(a)'' in its
place.
3. By amending Sec. 25.809 by revising paragraph (a), and by adding
a new paragraph (i) to read as follows:
Sec. 25.809 Emergency exit arrangement.
(a) Each emergency exit, including each flightcrew emergency exit,
must be moveable door or hatch in the external walls of the fuselage,
allowing unobstructed opening to the outside. In addition, each
emergency exit must have means to permit viewing of the outside
conditions when the exit is closed, so that likely areas of evacuee
ground contact are visible. The likely areas of evacuee ground contact
must be viewable with the landing fear extended as well as in all
conditions of landing gear collapse. The viewing means may be on the
exit, or adjacent to it provided no obstructions exist between the exit
and the viewing means.
* * * * *
(i) Each emergency exit must have a means to retain the exit in the
open position, once the exit is opened in an emergency. The means must
be automatically engaged when the exit is fully opened, and must
require positive action to disengage.
4. By amending Sec. 25.812 by revising paragraphs (g)(1)(ii),
(g)(2), and (h), introductory kit, to read as follows:
Sec. 25.812 Emergency Lighting
* * * * *
(g) * * *
(1) * * *
(i) * * *
(ii) Not less than 0.05 foot-candle (measured normal to the
direction of the incident light) for a minimum width of 42 inches for a
Type A overwing emergency exit and of 2 feet for all other overwing
emergency exits along the 30 percent of the slip-resistant portion of
the escape route required in Sec. 25.810(c) that is farthest from the
exit; and
* * * * *
(2) At each non-overwing emergency exit not required by
Sec. 25.810(a) to have descent assist means the illumination must be
not less than 0.03 foot-candle (measured normal to the direction of the
incident light) on the ground surface with the landing gear extended
where an evacuee is likely to make first contact with the ground
outside the cabin.
(h) the means required in Secs. 25.810(a) and (d) to assist the
occupants in descending to the ground must be illuminated so that the
erected assist means is visible from the airplane.
* * * * *
5. By amending Sec. 25.813 by revising paragraphs (b)(1)(i) and
(ii), (b)(2), (b)(3), by Adding new paragraphs (b)(4) and (b)(5) and by
revising paragraphs (e) and (f) to read as follows:
Sec. 25.813 Emergency exit access
* * * * *
(b) * * *
(1) * * *
(i) Each assist space must be a rectangle 12 X 20-inches on the
floor (or the minimum size necessary to enable a crewmember, standing
erect, to effectively assist evacuees, whichever is greater) with the
12-inch dimension parallel to the exit opening, and
(ii) There must be a handle, or handles, at each assist space,
located to enable the crewmember to steady himself or herself while
manually
[[Page 38557]]
activating the assist means and while assisting passengers during an
evacuation.
(2) For each Type A exit, assist space must be provided at each
side of the exit regardless of whether a means is required by
Sec. 25.810(a).
(3) For each Type I or II exit installed in an airplane with
seating for 79 or more passengers, an assist space must be provided at
one side of the passageway regardless of whether a means is required by
Sec. 25.810(a).
(4) For each Type I or II exit, an assist space must be provided at
one side of the passageway if a means is required by Sec. 25.810(a).
(5) For any tailcone exit that qualifies for 25 additional
passenger seats under the provisions of Sec. 25.807(d)(3)(ii), an
assist space must be provided, if a means is required by
Sec. 25.810(a).
* * * * *
(e) No door may be installed between any passenger seat occupiable
for takeoff and landing and any passenger emergency exit, such that the
door crosses any egress path (including aisles, crossaisles and
passageways).
(f) If it is necessary to pass through a doorway separating any
seat, occupiable for takeoff and landing (except those seats on the
flight deck), from any emergency exit, the door must have a means to
latch it in the open position.
Sec. 25.819 [Amended]
6. By amending Sec. 25.819, paragraph (f), by removing the
reference to ``Sec. 25.785(c)'' and inserting ``Sec. 25.785(d)'' in its
place.
7. By amending Sec. 25.853 by revising paragraph (d) to read as
follows:
Sec. 25.853 Compartment interiors.
* * * * *
(d) Smoking is not to be allowed in lavatories. If smoking is to be
allowed in any area occupied by the crew or passengers, an adequate
number of self-contained, removable ashtrays must be provided in
designated smoking sections for all seated occupants.
* * * * *
8. By amending the introductory text in Sec. 25.855 to read as
follows:
Sec. 25.855 Cargo or baggage compartments.
For each cargo or baggage compartment, the following apply:
* * * * *
9. By amending Sec. 25.1411 by revising paragraph (c) to read as
follows:
Sec. 25.1411 General
* * * * *
(c) Emergency exit descent device. The stowage provisions for the
emergency exit descent device required by Sec. 25.810(a) must be at
each exit for which they are intended.
* * * * *
10. By amending Sec. 25.1447 by revising paragraph (c)(4) to read
as follows:
Sec. 25.1447 Equipment standards for the oxygen distributing units.
* * * * *
(c) * * *
(4) Portable oxygen equipment must be immediately available for
each cabin attendant. The portable oxygen equipment must have the
oxygen dispensing unit connected to the portable oxygen supply.
PART 121--CERTIFICATION AND OPERATIONS: DOMESTIC FLAG, AND
SUPPLEMENTAL AIR CARRIERS AND COMMERCIAL OPERATORS OF LARGE
AIRCRAFT
11. The authority citation for part 121 continues to read as
follows:
Authority: 49 U.S.C. 106(g), 40113, 40119, 44101, 44701-44702,
44705, 44709-44711, 44713, 44716-44717, 44722, 44901, 44903-44904,
44912, 46105.
12. By amending Sec. 121.310 by revising paragraph (f)(2), by
redesignating paragraph (f)(6) as (f)(7); by adding a new paragraph
(f)(6); by redesignating existing paragraph (l) as paragraph (n); by
adding a new paragraph (l); and by republishing newly redesignated
paragraphs (f)(7) and (n) to read as follows:
Sec. 121.310 Additional emergency exit equipment.
* * * * *
(f) * * *
(2) For each Type I or Type II emergency exit equipped with an
assist means, there must be enough space next to the exit to allow a
crewmember to assist in the evacuation of passengers without reducing
the unobstructed width of the passageway below that in paragraph (f)(1)
of this section. In addition, all airplanes manufactured on or after
[insert a date two years after the effective date of this amendment]
must comply with the provisions of Secs. 25.813 (b)(1), (b)(2) and
(b)(3) in effect on [insert the effective date of this amendment.]
However, the Administrator may authorize a deviation from this
requirement for an airplane certificated under the provisions of part
5b of the Civil Air Regulations in effect before December 30, 1951, if
he finds that special circumstances exist that provide an equivalent
level of safety.
* * * * *
(6) No person may operate a transport category airplane after a
date two years after the effective date of this amendment, that
incorporates a door installed between any passenger seat occupiable for
takeoff and landing and any passenger emergency exit, such that the
door crosses any egress path (including aisles, crossaisles and
passageways).
(7) If it is necessary to pass through a doorway separating the
passenger cabin for other areas to reach required emergency exit from
any passenger seat, the door must have a means to latch it in the open
position, and the door must be latched open during each takeoff and
landing. The latching means must be able to withstand the loads imposed
upon it when the door is subjected to the ultimate inertia forces,
relative to the surrounding structure, listed in Sec. 25.561(b) of this
chapter.
* * * * *
(l) After [insert a date two years after the effective date of this
amendment] each airplane must comply with the provisions of
Secs. 25.809(i) and 25.813(b)(l)(ii) in effect on [insert the effective
date of this amendment].
* * * * *
(n) Portable lights. After December 1, 1980, no person may operate
a passenger-carrying airplane unless it is equipped with flashlight
stowage provisions accessible from each flight attendant seat.
13. By amending Sec. 121.333 by revising paragraph (d) as follows:
Sec. 121.333 Supplemental oxygen for emergency descent and for first
aid; turbine engine powered airplanes with pressurized cabins.
* * * * *
(d) Use of portable oxygen equipment by cabin attendants. After a
date one year after the effective date of this amendment each mask used
for portable oxygen equipment must be connected to its oxygen supply.
Above flight level 250, one of the following is required:
(1) Each attendant shall carry portable oxygen equipment with a 15
minute supply of oxygen; or
(2) There must be sufficient portable oxygen equipment (including
masks and spare outlets) throughout the cabin so that such equipment is
immediately available to each attendant, regardless of their location
in the cabin.
* * * * *
Issued in Washington, D.C., on July 16, 1996.
Ava L. Robinson,
Special Assistant to Director, Aircraft Certification Service.
[FR Doc. 96-18824 Filed 7-23-96; 8:45 am]
BILLING CODE 4910-13-M
Complete official Federal Register PDF
FR Doc. 96-18783 Texas Regulatory Program
[Federal Register Volume 61, Number 143 (Wednesday, July 24, 1996)]
[Proposed Rules]
[Pages 38420-38422]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-18783]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF THE INTERIOR
Office of Surface Mining Reclamation and Enforcement
30 CFR Part 943
[SPATS No. TX-31-FOR]
Texas Regulatory Program
AGENCY: Office of Surface Mining Reclamation and Enforcement (OSM),
Interior.
ACTION: Proposed rule; public comment period and opportunity for public
hearing.
-----------------------------------------------------------------------
SUMMARY: OSM is announcing receipt of a proposed amendment to the Texas
regulatory program (hereinafter the ``Texas program'') under the
Surface Mining Control and Reclamation Act of 1977 (SMCRA). Texas
proposed revisions to its regulations pertaining to rough backfilling
and grading performance standards for cyclic and continuous excavation
area strip mining operations. The amendments is intended to revise the
Texas program to take into consideration the two types of area strip
mining excavation operations conducted in the State of Texas and to
clarify the time and distance standards for cyclic excavation area
strip mining.
DATES: Written comments must be received by 4:00 p.m. c.d.t., August
23, 1996. If requested, a public hearing on the proposed amendment will
be held on August 19, 1996. Requests to speak at the hearing must be
received by 4:00 p.m., c.d.t. August 8, 1996.
ADDRESSES: Written comments and requests to speak at the hearing should
be mailed or hand delivered to Jack R. Carson, Acting Director, Tulsa
Field Office, at the address listed below.
Copies of the Texas program, the proposed amendment, a listing of
any scheduled public hearings, and all written comments received in
response to this document will be available for public review at the
addresses listed below during normal business hours, Monday through
Friday, excluding holidays. Each requester may receive one free copy of
the proposed amendment by contacting OSM's Tulsa Field Office.
Jack R. Carson, Acting Director, Tulsa Field Office, Office of Surface
Mining Reclamation and Enforcement, 5100 East Skelly Drive, Suite 470,
Tulsa, Oklahoma, 74135-6547, Telephone: (918) 581-6430.
Surface Mining and Reclamation Division, Railroad Commission of Texas,
1701 North Congress Avenue, P.O. Box 12967, Austin, Texas,
[[Page 38421]]
78711-2967, Telephone: (512) 463-6900.
FOR FURTHER INFORMATION CONTACT:
Jack R. Carson, Acting Director, Tulsa Field Office, Telephone: (918)
581-6430.
SUPPLEMENTARY INFORMATION
I. Background on the Texas Program
On February 16, 1980, the Secretary of the Interior conditionally
approved the Texas program. General background information on the Texas
program, including the Secretary's findings, the disposition of
comments, and the conditions of approval can be found in the February
27, 1980, Federal Register (45 FR 12998). Subsequent actions concerning
the Texas program can be found at 30 CFR 943.10, 943.15, and 943.16.
II. Description of the Proposed Amendment
By letter dated July 11, 1996 (Administrative Record No. TX-617),
Texas submitted a proposed amendment to its program pursuant to SMCRA.
Texas submitted the proposed amendment at its own initiative. Texas
proposes to amend Texas Coal Mining Regulations (TCMR) 816.384
(Backfilling and Grading--General Requirements) by providing rough
backfilling and grading timing provisions for two types of area strip
mining operations, cyclic excavation and continuous excavation. Texas
also proposes to clarify that time and distance variances may be
approved for cyclic excavation area strip mining operations.
1. TCMR 816.384(a)(3) Timing of Backfilling and Grading for Cyclic
Excavation Area Strip Mining
Texas proposes to limit its rough backfilling and grading
provisions at TCMR 816.384(a)(3) to the cyclic excavation method of
area strip mining. Texas also proposes to clarify that time and
distance variances may be approved for cyclic excavation area strip
mining operations by providing for an exception to its four spoil ridge
limitation. The permittee must demonstrate that additional time and/or
distance is necessary.
2. TCMR 816.384(a)(4) Timing of Backfilling and Grading for Continuous
Excavation Area Strip Mining
Texas proposes to add the following provision at TCMR 816.384(a)(4)
concerning rough backfilling and grading timing requirements for
continuous excavation area strip mining.
Area strip mining (continuous excavation). Rough backfilling and
grading shall occur in accordance with the time schedule approved by
the Commission, on the basis of a detailed written analysis by the
permittee under Section .145(b)(3) and any additional information
which the Commission may require.
III. Public Comment Procedures
In accordance with the provisions of 30 CFR 732.17(h), OSM is
seeking comments on whether the proposed amendment satisfies the
applicable program approval criteria of 30 CFR 732.15. If the amendment
is deemed adequate, it will become part of the Texas program.
Written Comments
Written comments should be specific, pertain only to the issues
proposed in this rulemaking, and include explanations in support of the
commenter's recommendations. Comments received after the time indicated
under dates or at locations other than the Tulsa Field Office will not
necessarily be considered in the final rulemaking or included in the
Administrative Record.
Public Hearing
Persons wishing to speak at the public hearing should contact the
person listed under for further information contact by 4:00 p.m.,
c.d.t. on August 8, 1996. The location and time of the hearing will be
arranged with those persons requesting the hearing. Any disabled
individual who has need for a special accommodation to attend a public
hearing should contact the individual listed under for further
information contact. If no one requests an opportunity to speak at the
public hearing, the hearing will not be held.
Filing of a written statement at the time of the hearing is
requested as it will greatly assist the transcriber. Submission of
written statements in advance of the hearing will allow OSM officials
to prepare adequate responses and appropriate questions.
The public hearing will continue on the specified date until all
persons scheduled to speak have been heard. Persons in the audience who
have not been scheduled to speak, and who wish to do so, will be heard
following those who have been scheduled. The hearing will end after all
persons scheduled to speak and persons present in the audience who wish
to speak have been heard.
Public Meeting
If only one person requests an opportunity to speak at a hearing, a
public meeting, rather than a public hearing, may be held. Persons
wishing to meet with OSM representatives to discuss the proposed
amendment may request a meeting by contacting the person listed under
for further information contact. All such meetings will be open to the
public and, if possible, notices of meetings will be posted at the
locations listed under addressees. A written summary of each meeting
will be made a part of the Administrative Record.
IV. Procedural Determinations
Executive Order 12866
This rule is exempted from review by the Office of Management and
Budget (OMB) under Executive Order 12866 (Regulatory Planning and
Review).
Executive Order 12988
The Department of the Interior has conducted the reviews required
by section 3 of Executive Order 12988 (Civil Justice Reform) and has
determined that, to the extent allowed by law, this rule meets the
applicable standards of subsections (a) and (b) of that section.
However, these standards are not applicable to the actual language of
State regulatory programs and program amendments since each such
program is drafted and promulgated by a specific State, not by OSM.
Under sections 503 and 505 of SMCRA (30 U.S.C. 1253 and 1255) and 30
CFR 730.11, 732.15, and 732.17(h)(10), decisions on proposed State
regulatory programs and program amendments submitted by the States must
be based solely on a determination of whether the submittal is
consistent with SMCRA and its implementing Federal regulations and
whether the other requirements of 30 CFR Parts 730, 731, and 732 have
been met.
National Environmental Policy Act
No environmental impact statement is required for this rule since
section 702(d) of SMCRA (30 U.S.C. 1292(d)) provides that agency
decisions on proposed State regulatory programs provisions do not
constitute major Federal actions within the meaning of section
102(2)(C) of the National Environmental Policy Act (42 U.S.C.
4332(2)(C)).
Paperwork Reduction Act
This rule does contain information collection requirements that
require approval by OMB under the Paperwork Reduction Act (44 U.S.C.
3507 et seq.).
Regulatory Flexibility Act
The Department of the Interior has determined that this rule will
not have a significant economic impact on a
[[Page 38422]]
substantial number of small entities under the Regulatory Flexibility
Act (5 U.S.C. 601 et seq.). The State submittal which is the subject of
this rule is based upon counterpart Federal regulations for which an
economic analysis was prepared and certification made that such
regulations would not have a significant economic effect upon a
substantial number of small entities. Accordingly, this rule will
ensure that existing requirements previously promulgated by OSM will be
implemented by the States. In making the determination as to whether
this rule would have a significant economic impact, the Department
relied on the data and assumptions for the counterpart Federal
regulations.
Unfunded Mandates
This rule will not impose a cost of $100 million or more in any
given year on any governmental entity or the private sector.
List of Subjects in 30 CFR Part 943
Intergovernmental relations, Surface mining, Underground mining.
Dated: July 17, 1996.
Charles E. Sandberg,
Acting Regional Director, Mid-Continent Regional Coordinating Center.
[FR Doc. 96-18783 Filed 7-23-96; 8:45 am]
BILLING CODE 4310-05-M
Complete official Federal Register PDF
FR Doc. 96-18782 Virginia Regulatory Program
[Federal Register Volume 61, Number 143 (Wednesday, July 24, 1996)]
[Proposed Rules]
[Pages 38422-38423]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-18782]
-----------------------------------------------------------------------
DEPARTMENT OF THE INTERIOR
30 CFR Part 946
[VA-106-FOR]
Virginia Regulatory Program
AGENCY: Office of Surface Mining Reclamation and Enforcement (OSM),
Interior.
ACTION: Proposed rule; reopening of comment period.
-----------------------------------------------------------------------
SUMMARY: OSM is reopening the comment period on a portion of a proposed
amendment to the Virginia regulatory program (hereinafter referred to
as the Virginia program) under the Surface Mining Control and
Reclamation Act of 1977 (SMCRA). The proposed amendment for which the
comment period is being reopened concerns the proposed use of a 28-
degree angle of draw with the rebuttable presumption of causation by
subsidence provision. The amendment is intended to revise the State
program to be consistent with the federal regulations as amended on
March 31, 1995.
DATES: Written comments must be received by 4:00 p.m., August 8, 1996.
ADDRESSES: When comments should be mailed or hand delivered to Mr.
Robert A. Penn, Director, Big Stone Gap Field Office at the first
address listed below.
Copies of the Virginia program, the proposed amendment, a listing
of any scheduled public hearings, and all written comments received in
response to this document will be available for public review at the
addresses listed below during normal business hours, Monday through
Friday, excluding holidays. Each requestor may receive one free copy of
the proposed amendment by contacting OSM's Big Stone Gap Field Office.
Office of Surface Mining Reclamation and Enforcement, Big Stone Gap
Field Office, 1941 Neeley Road, Suite 201, Compartment 116, Big Stone
Gap, Virginia 24219, Telephone: (703) 523-4303
Virginia Division of Mined Land Reclamation, P. O. Drawer 900, Big
Stone Gap, Virginia 24219, Telephone: (703) 523-8100.
FOR FURTHER INFORMATION CONTACT: Mr. Robert A. Penn, Director, Big
Stone Gap Field Office, Telephone: (703) 523-4303.
SUPPLEMENTARY INFORMATION:
I. Background on the Virginia Program
On December 15, 1981, the Secretary of the Interior conditionally
approved the Virginia program. Background information on the Virginia
program, including the Secretary's findings, the disposition of
comments, and the conditions of approval can be found in the December
15, 1981, Federal Register (46 FR 61085-61115). Subsequent actions
concerning the conditions of approval and program amendments can be
found at 30 CFR 946.12, 946.13, 946.15, and 946.16.
II. Discussion of the Proposed Amendment
By letter dated May 21, 1996 (Administrative Record No. VA-882),
Virginia submitted amendments to the Virginia program concerning
subsidence damage. The amendments are intended to make the Virginia
program consistent with the Federal regulations as amended on March 31,
1995 (60 FR 16722). Virginia stated that the proposed amendments
implement the standards of the Federal Energy Policy Act of 1992, and
sections 45.1-243 and 45.1-258 of the Code of Virginia.
The proposed amendments were announced in the June 11, 1996,
Federal Register (61 FR 29506). In that notice, however, OSM did not
specifically point out that, at Sec. 480-03-19.817.121(c)(4), Virginia
proposed to normally use a 28-degree angle of draw presumption for the
rebuttable presumption of causation by subsidence provision. The
counterpart Federal provision at 30 CFR 817.121(c)(4) provides that a
30-degree angle of draw will normally apply.
30 CFR 817.121(c)(4) also authorizes the use of a different angle
of draw (other than 30 degrees) if the regulatory authority shows in
writing that the proposed angle has a more reasonable basis than the
30-degree angle of draw, based on geotechnical analysis of the factors
affecting potential surface impacts of underground coal mining
operations in the State.
III. Public Comment Procedures
In accordance with the provisions of 30 CFR 732.17(h), OSM is now
seeking comment on whether the amendment identified above satisfies the
applicable program approval criteria of 30 CFR 732.15. If the amendment
is deemed adequate, it will become part of the Virginia program.
Written Comments
Written comments should be specific, pertain only to the issues
proposed in this rulemaking, and include explanations in support of the
commenter's recommendations. Comments received after the time indicated
under DATES or at locations other than the Big Stone Gap Field Office
will not necessarily be considered in the final rulemaking or included
in the Administrative Record.
IV. Procedural Determinations
Executive Order 12866
This rule is exempted from review by the Office of Management and
Budget (OMB) under Executive Order 12866 (Regulatory Planning and
Review).
Executive Order 12988
The Department of the Interior has conducted the reviews required
by section 3 of Executive Order 12778 (Civil Justice Reform) and has
determined that, to the extent allowed by law, this rule meets the
applicable standards of subsections (a) and (b) of that section.
However, these standards are not applicable to the actual language of
State regulatory programs and program amendments since each such
program is drafted and promulgated by a specific State, not by OSM.
Under sections 503 and 505 of SMCRA (30 U.S.C. 1253 and 1255) and 30
CFR 730.11, 732.15 and 732.17(h)(10), decisions on proposed State
regulatory programs and program amendments submitted by the States must
be based solely on a determination of whether the submittal is
consistent with SMCRA and its implementing Federal regulations
[[Page 38423]]
and whether the other requirements of 30 CFR Parts 730, 731, and 732
have been met.
National Environmental Policy Act
No environmental impact statement is required for this rule since
section 702(d) of SMCRA (30 U.S.C. 1292(d)) provides that agency
decisions on proposed State regulatory program provisions do not
constitute major Federal actions within the meaning of section
102(2)(C) of the National Environmental Policy Act (42 U.S.C.
4332(2)(C)).
Paperwork Reduction Act
This rule does not contain information collection requirements that
require approval by OMB under the Paperwork Reduction Act (44 U.S.C.
3507 et seq).
Regulatory Flexibility Act
The Department of the Interior has determined that this rule will
not have a significant economic impact on a substantial number of small
entities under the Regulatory Flexibility Act (5 U.S.C. 601 et seq.).
The State submittal which is the subject of this rule is based upon
counterpart Federal regulations for which an economic analysis was
prepared and certification made that such regulations would not have a
significant economic effect upon a substantial number of small
entities. Accordingly, this rule will ensure that existing requirements
previously promulgated by OSM will be implemented by the State. In
making the determination as to whether this rule would have a
significant economic impact, the Department relied upon the data and
assumptions for the counterpart Federal regulations.
Unfunded Mandates
This rule will not impose a cost of $100 million or more in any
given year on any governmental entity or the private sector.
List of Subjects in 30 CFR Part 946
Intergovernmental relations, Surface mining, Underground mining.
Dated: July 17, 1996.
Tim L. Dieringer,
Acting Regional Director, Appalachian Regional Coordinating Center.
[FR Doc. 96-18782 Filed 7-23-96; 8:45 am]
BILLING CODE 4310-05-M
Complete official Federal Register PDF
FR Doc. 96-18773 Airworthiness Directives; Fokker Model F27 Mark 100, 200, 300, 400, 500, 600, and 700 Series Airplanes
[Federal Register Volume 61, Number 143 (Wednesday, July 24, 1996)]
[Proposed Rules]
[Pages 38407-38409]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-18773]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Part 39
[Docket No. 96-NM-28-AD]
RIN 2120-AA64
Airworthiness Directives; Fokker Model F27 Mark 100, 200, 300,
400, 500, 600, and 700 Series Airplanes
AGENCY: Federal Aviation Administration, DOT.
ACTION: Notice of proposed rulemaking (NPRM).
-----------------------------------------------------------------------
SUMMARY: This document proposes the adoption of a new airworthiness
directive (AD) that is applicable to certain Fokker Model F27 Mark 100,
200, 300, 400, 500, 600, and 700 series airplanes. This proposal would
require a one-time visual inspection to detect missing rivet heads or
loose rivets of the applicable stringer-to-rib connections in the upper
and lower wing skin, and repair, if necessary. In lieu of the one-time
visual inspection or in addition to that inspection, the proposed AD
also would require replacement of certain rivets with certain new
rivets in all applicable rib-to-stringer connections of the upper and
lower wings. This proposal is prompted by reports of missing rivet
heads at the rib-to-stringer connections of the upper and lower wing
skin at stringers 5 and 6. The actions specified by the proposed AD are
intended to prevent reduced structural integrity of the wings that is
caused by problems associated with missing and/or loose rivets.
DATES: Comments must be received by September 3, 1996.
ADDRESSES: Submit comments in triplicate to the Federal Aviation
Administration (FAA), Transport Airplane Directorate, ANM-103,
Attention: Rules Docket No. 96-NM-28-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 Fokker Aircraft USA, Inc., 1199 North Fairfax Street,
Alexandria, Virginia 22314. This information may be examined at the
FAA, Transport Airplane Directorate, 1601 Lind Avenue, SW., Renton,
Washington.
FOR FURTHER INFORMATION CONTACT: Ruth E. Harder, Aerospace Engineer,
Standardization Branch, ANM-113, FAA, Transport Airplane Directorate,
1601 Lind Avenue, SW., Renton, Washington 98055-4056; telephone (206)
227-1721; 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
[[Page 38408]]
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 96-NM-28-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. 96-NM-28-AD, 1601 Lind Avenue, SW., Renton, Washington
98055-4056.
Discussion
The Rijksluchtvaartdienst (RLD), which is the airworthiness
authority for the Netherlands, recently notified the FAA that an unsafe
condition may exist on certain Fokker Model F27 Mark 100, 200, 300,
400, 500, 600, and 700 series airplanes. The RLD advises that it has
received two reports indicating that the rivet heads were missing at
the rib-to-stringer connections of the upper and lower wing skin at
stringers 5 and 6, at wing stations 11260, 11860, 12660, and 13460.
These incidents occurred on two airplanes that had accumulated 11,601
and 15,684 total flight cycles, respectively. Investigation revealed
that the rivets on these airplanes have a lower than allowable tensile
strength, which contributes to these rivets becoming loosened over
time. Loose or missing rivets at the subject attachment areas could
result in reduced structural integrity of the wing.
Relevant Service Information
Fokker has issued Service Bulletin F27/57-74, dated November 15,
1994, which describes procedures for a one-time visual inspection to
detect missing rivet heads or loose rivets of the applicable stringer-
to-rib connections in the upper and lower skin, and repair, if
necessary. In lieu of one-time visual inspection, or in addition to
that inspection, the service bulletin also contains procedures for
replacement of rivets having part number (P/N) MS20600AD4W2 with new
rivets having P/N CR3553P4 in all applicable rib-to-stringer
connections of the upper and lower wings. The RLD classified this
service bulletin as mandatory and issued Dutch airworthiness directive
BLA 93-094 (A), dated July 16, 1993, in order to assure the continued
airworthiness of these airplanes in the Netherlands.
FAA's Conclusions
This airplane model is manufactured in the Netherlands and is 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. Pursuant to this
bilateral airworthiness agreement, the RLD has kept the FAA informed of
the situation described above. The FAA has examined the findings of the
RLD, reviewed all available information, and determined that AD action
is necessary for products of this type design that are certificated for
operation in the United States.
Explanation of Requirements of Rule
Since an unsafe condition has been identified that is likely to
exist or develop on other airplanes of the same type design, the
proposed AD would require a one-time visual inspection to detect
missing rivet heads or loose rivets of the applicable stringer-to-rib
connections in the upper and lower skin, and repair, if necessary. In
lieu of the one-time visual inspection, or in addition to that
inspection, the proposed AD would require replacement of certain rivets
with certain new rivets in all applicable rib-to-stringer connections
of the upper and lower wings. The actions would be required to be
accomplished in accordance with the service bulletin described
previously.
Cost Impact
The FAA estimates that 6 Fokker Model 100, 200, 300, 400, 500, 600,
and 700 series airplanes of U.S. registry would be affected by this
proposed AD.
The proposed inspection would take approximately 4 work hours per
airplane to accomplish the proposed actions, at an average labor rate
of $60 per work hour. Based on these figures, the cost impact of the
proposed inspection action on U.S. operators is estimated to be $240
per airplane.
The proposed replacement would take approximately 19 work hours per
airplane to accomplish the proposed actions, at an average labor rate
of $60 per work hour. The cost of required parts would be nominal.
Based on these figures, the cost impact of the replacement proposed AD
on U.S. operators is estimated to be $1,140 per airplane.
The cost impact figures discussed above are based on assumptions
that no operator has yet accomplished any of the 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 U.S.C. 106(g), 40113, 44701.
Sec. 39.13 [Amended]
2. Section 39.13 is amended by adding the following new
airworthiness directive:
Fokker: Docket 96-NM-28-AD.
Applicability: Model F27 Mark 100, 200, 300, 400, 500, 600, and
700 series airplanes, serial numbers 10653 through 10692
[[Page 38409]]
inclusive; on which Part 1 of the Accomplishment Instructions of
Fokker Service Bulletins F27/57-68 and F27/57-70 has not been
accomplished; 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 request approval for an
alternative method of compliance in accordance with paragraph (d) of
this AD. The request should include an assessment of the effect of
the modification, alteration, or repair on the unsafe condition
addressed by this AD; and, if the unsafe condition has not been
eliminated, the request should include specific proposed actions to
address it.
Compliance: Required as indicated, unless accomplished
previously.
To prevent loose or missing rivets at the rib-to-stringer
connections of the upper and lower wing skin at stringers 5 and 6,
which could result in reduced structural integrity of the wings,
accomplish the following:
(a) Except as provided by paragraph (c) of this AD: Prior to the
accumulation of 10,000 total flight cycles, or within 2 months after
the effective date of this AD, whichever occurs later, perform a
one-time visual inspection to detect missing rivet heads or loose
rivets of the applicable stringer-to-rib connections in the upper
and lower skin, in accordance with Part 2 of the Accomplishment
Instructions of Fokker Service Bulletin F27/57-74, dated November
15, 1994.
(1) If no missing rivet head and no loose rivet is detected, no
further action is required by paragraph (a) of this AD.
(2) If any missing rivet head or loose rivet is detected, prior
to further flight, repair the affected rib-to-stringer connection,
in accordance with Part 1 of the Accomplishment Instructions of the
service bulletin.
(b) Prior to the accumulation of 10,000 total flight cycles, or
within 1 year after the effective date of this AD, whichever occurs
later, replace rivets having part number (P/N) MS20600AD4W2 with new
rivets having P/N CR3553P4 in all applicable rib-to-stringer
connections of the upper and lower wings, in accordance with Part 1
of the Accomplishment Instructions of Fokker Service Bulletin F27/
57-74, dated November 15, 1994.
(c) Airplanes on which the replacement required by paragraph (b)
of this AD is performed within the compliance time specified in
paragraph (a) of this AD are not required to accomplish the
inspection required by paragraph (a) of this AD.
(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 Maintenance Inspector,
who may add comments and then send it to the Manager,
Standardization Branch, ANM-113.
Note 2: 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 July 18, 1996.
Stewart R. Miller,
Acting Manager, Transport Airplane Directorate, Aircraft Certification
Service.
[FR Doc. 96-18773 Filed 7-23-96; 8:45 am]
BILLING CODE 4910-13-P
Complete official Federal Register PDF
FR Doc. 96-18699 Fisheries of the Northeastern United States; Amendment 9 to the Summer Flounder, Scup, and Black Sea Bass Fishery Management Plan
[Federal Register Volume 61, Number 143 (Wednesday, July 24, 1996)]
[Proposed Rules]
[Pages 38430-38431]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-18699]
=======================================================================
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DEPARTMENT OF COMMERCE
National Oceanic and Atmospheric Administration
50 CFR Part 648
[I.D. 071596E]
Fisheries of the Northeastern United States; Amendment 9 to the
Summer Flounder, Scup, and Black Sea Bass Fishery Management Plan
AGENCY: National Marine Fisheries Service (NMFS), National Oceanic and
Atmospheric Administration (NOAA), Commerce.
ACTION: Notice of availability and request for comments.
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SUMMARY: NMFS issues this notice to advise that the Mid-Atlantic
Fishery Management Council (Council) has submitted Amendment 9 to the
Fishery Management Plan for the Summer Flounder, Scup, and Black Sea
Bass Fisheries (FMP) for Secretarial review and is requesting comments
from the public. Amendment 9 would initiate management measures for the
black sea bass fishery.
DATES: Comments must be received on or before September 12, 1996.
ADDRESSES: Send comments to Dr. Andrew A. Rosenberg, Regional Director,
NMFS, Northeast Regional Office, One Blackburn Drive, Gloucester, MA
01930-3799. Mark the outside of the envelope ``Comments on the Black
Sea Bass Fishery.''
Copies of proposed Amendment 9, its Regulatory Impact Review (RIR)
and the Initial Regulatory Flexibility Analysis contained within the
RIR, and the Final Environmental Impact Statement are available from
David R. Keifer, Executive Director, Mid-Atlantic Fishery Management
Council, Room 2115 Federal Building, 300 S. New Street, Dover, DE
19904-6790.
FOR FURTHER INFORMATION CONTACT: Regina L. Spallone, Fishery Policy
Analyst, 508-281-9221.
SUPPLEMENTARY INFORMATION: The Magnuson Fishery Conservation and
Management Act (Magnuson Act) (16 U.S.C. 1801 et seq.) requires that
each regional fishery management council submit any fishery management
plan or amendment it prepares to the Secretary of Commerce (Secretary)
for review and approval or disapproval. The Magnuson Act also requires
that the Secretary, upon receiving the plan or amendment for review,
immediately make a preliminary evaluation of whether the amendment is
sufficient to warrant continued review, and publish a notice
[[Page 38431]]
that the plan or amendment is available for public review and comment.
The Secretary will consider the public comments in determining whether
to approve the plan or amendment.
Amendment 9, if approved, would revise the FMP to institute
management measures for the black sea bass fishery. Such measures would
allow the black sea bass (Centropristis striata) resource to rebuild
over a 7-year period. The black sea bass resource is overfished.
Proposed management measures include: Dealer, charter/party vessel,
and operator permits; moratorium vessel permits for the directed
commercial fishery; a requirement that permitted vessels may sell only
to permitted dealers; mandatory reporting for permitted vessels and
dealers; escape vents on black sea bass pots or traps; degradable
hinges and fasteners in pots or traps; maximum size for rollers used in
roller rig trawl gear; minimum fish sizes for the commercial and
recreational fisheries; minimum codend mesh requirements when
possessing more than a threshold level of black sea bass on board; and
a mechanism to enable the Council to establish special management zones
around artificial reef areas. A framework process would also allow
annual adjustment of the minimum fish size, escape vent size, and mesh
requirements.
In 1998 and beyond, the Council also proposed to implement a
coastwide recreational harvest limit, a state by state commercial quota
to reduce fishing mortality, and a provision to allow for the
respecification of the manner in which the commercial quota is
allocated (e.g. coastwide, rather than state by state).
NMFS, on behalf of the Secretary, disapproved the state by state
commercial quota in Amendment 9 before publishing this notice of
availability as authorized under section 304(a)(1)(A) of the Magnuson
Act.
Day 1 of Amendment 9 is July 15, 1996. Proposed regulations to
implement this amendment are scheduled to be published within 15 days
of this date.
Authority: 16 U.S.C. 1801 et seq.
Dated: July 18, 1996.
Richard W. Surdi,
Acting Director, Office of Fisheries Conservation and Management,
National Marine Fisheries Service.
[FR Doc. 96-18699 Filed 7-18-96; 5:03 pm]
BILLING CODE 3510-22-F
Complete official Federal Register PDF
FR Doc. 96-18647 Approval and Promulgation of Implementation PlansTennessee: Approval of Source Specific Nitrogen Oxide Permits Into the Tennessee State Implementation Plan
[Federal Register Volume 61, Number 143 (Wednesday, July 24, 1996)]
[Proposed Rules]
[Page 38423]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-18647]
=======================================================================
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ENVIRONMENTAL PROTECTION AGENCY
40 CFR Part 52
[TN-173-9637b; FRL-5538-1]
Approval and Promulgation of Implementation Plans--Tennessee:
Approval of Source Specific Nitrogen Oxide Permits Into the Tennessee
State Implementation Plan
AGENCY: Environmental Protection Agency (EPA).
ACTION: Proposed rule.
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SUMMARY: The EPA proposes to approve two source specific permits into
the Tennessee State Implementation Plan (SIP) submitted to EPA by
Tennessee, through the Tennessee Department of Air Pollution Control
(TDAPC) which limit nitrogen oxide (NOX) emissions for certain
engines at the Tenneco Energy Portland facility located in Sumner
County, Tennessee. These permits are necessary because NOX
reductions from the Tenneco Energy Portland facility were used in
calculating the NOX emissions projections in the maintenance plan
for the Middle Tennessee ozone nonattainment area. EPA is proposing
approval of the ozone redesignation request in a separate action. In
the final rules section of this Federal Register, the EPA is approving
these permits as a direct final rule without prior proposal because the
Agency views this as a noncontroversial revision amendment and
anticipates no adverse comments. A detailed rationale for the approval
is set forth in the direct final rule. If no adverse comments are
received in response to this proposed rule, no further activity is
contemplated in relation to this proposed rule. If EPA receives adverse
comments, the direct final rule will be withdrawn and all public
comments received will be addressed in a subsequent final rule based on
this proposed rule. The EPA will not institute a second comment period
on this document. Any parties interested in commenting on this document
should do so at this time.
DATES: To be considered, comments must be received by August 23, 1996.
ADDRESSES: Written comments on this action should be addressed to
William Denman at the Environmental Protection Agency, Region 4 Air
Programs Branch, 345 Courtland Street, NE, Atlanta, Georgia 30365.
Copies of documents relative to this action are available for public
inspection during normal business hours at the following locations. The
interested persons wanting to examine these documents should make an
appointment with the appropriate office at least 24 hours before the
visiting day. Reference file TN173-01-9637. The Region 4 office may
have additional background documents not available at the other
locations
Air and Radiation Docket and Information Center (Air Docket 6102), U.S.
Environmental Protection Agency, 401 M Street, SW., Washington, DC
20460
Environmental Protection Agency, Region 4 Air Programs Branch, 345
Courtland Street NE., Atlanta, Georgia 30365; William Denman, 404/347-
3555 extension 4208
Tennessee Department of Environment and Conservation, Division of Air
Pollution Control, L&C Annex, 9th Floor, 401 Church Street, Nashville,
Tennessee 37243-1531; 615/532-0554.
FOR FURTHER INFORMATION CONTACT: William Denman, 404/347-3555 extension
4208.
SUPPLEMENTARY INFORMATION: For additional information see the direct
final rule which is published in the rules section of this Federal
Register.
Dated: July 2, 1996.
A. Stanley Meiburg,
Acting Regional Administrator.
[FR Doc. 96-18647 Filed 7-23-96; 8:45 am]
BILLING CODE 6560-50-P
Complete official Federal Register PDF
FR Doc. 96-18608 Reportable Events; Annual Report
[Federal Register Volume 61, Number 143 (Wednesday, July 24, 1996)]
[Proposed Rules]
[Pages 38409-38420]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-18608]
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PENSION BENEFIT GUARANTY CORPORATION
29 CFR Parts 4001, 4043, 4065
RIN 1212-AA80
Reportable Events; Annual Report
AGENCY: Pension Benefit Guaranty Corporation.
ACTION: Proposed rule.
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SUMMARY: The Pension Benefit Guaranty Corporation is proposing
amendments to its reportable events regulation. The Retirement
Protection Act of 1994 made significant changes to the reportable
events requirements, including adding four new events. This proposed
rule addresses the RPA changes and provides extensions of time and
waivers for certain filings. The rule reflects the consensus of a
negotiated rulemaking committee consisting of representatives of
employers, participants, pension practitioners, and the PBGC.
DATES: Comments must be received on or before September 23, 1996.
ADDRESSES: Comments may be mailed to the Office of the General Counsel,
Pension Benefit Guaranty Corporation, 1200 K Street, NW., Washington,
DC 20005-4026, or delivered to Suite 340 at the above address. Comments
also may be sent by Internet e-mail to [email protected]. Comments
will be available for public inspection at the PBGC's Communications
and Public Affairs Department, Suite 240.
FOR FURTHER INFORMATION CONTACT: Harold J. Ashner, Assistant General
Counsel, or James L. Beller, Attorney, Office of the General Counsel,
PBGC, 1200 K Street, NW., Washington, DC 20005-4026, 202-326-4024 (202-
326-4179 for TTY and TDD).
SUPPLEMENTARY INFORMATION:
Background
Section 4043 of ERISA requires reporting to the PBGC of certain
events that may indicate a need for the PBGC to take action to protect
participants and the termination insurance program. RPA expanded
section 4043 by adding four new reportable events involving: (1) a
company ceasing to be a member of a plan's controlled group; (2) a
group member liquidating; (3) a group member declaring an extraordinary
dividend or redeeming stock above certain thresholds; or (4) a plan
maintained by the group transferring 3 percent of its benefit
liabilities outside the group.
RPA also extended the reporting obligation to contributing sponsors
as well as plan administrators; imposed an advance reporting
requirement in certain limited circumstances for the new and certain
other reportable events; and provided that reportable event filings are
confidential.
In developing this proposed regulation, the PBGC for the first time
used a negotiated rulemaking committee. The committee, which first met
in October 1995, is made up of PBGC representatives and 14 private
parties representing the interests of large and small employers,
participants, and pension practitioners. The committee's consensus
recommendations are the basis for this proposed rule.
Filing Obligation
When a reportable event occurs for a plan, the plan administrator
and contributing sponsor must give the PBGC notice within 30 days after
that person knows or has reason to know of the event (post-event
notice). In the case of privately-held companies in controlled groups
maintaining plans with over $50 million in total underfunding and an
overall funded percentage below 90 percent, the contributing sponsor
must give 30 days advance notice of the four events added by RPA and
any events added by the regulation.
If an event occurs for more than one plan in a controlled group,
the reporting requirement applies to the contributing sponsor and, for
post-event notice, the plan administrator of each plan. When more than
one person is required to notify the PBGC of a reportable event, a
filing by one of those persons is treated as a filing by all of them.
Information Requirements
The regulation requires submission of general information (e.g.,
identifying information and a brief description of the event) for all
reportable events and
[[Page 38410]]
specific information tailored to each event. The PBGC has developed
optional reportable event forms that provide for reduced initial
information filings. The PBGC may request additional information.
Post-Event Notice
Active participant reduction: Reporting is required when the number
of active participants drops below 80 percent of the number at the
beginning of the current plan year or 75 percent of the number at the
beginning of the prior year. The proposed regulation tests the
reduction solely on a plan-by-plan basis, rather than (as under the
existing regulation) on both a plan-by-plan and controlled group basis.
Minimum funding payments and funding waivers: The proposed
regulation waives reporting for a missed minimum funding payment if
full payment is made by the time the reportable event notice would
ordinarily be due--30 days after the payment's due date. A separate
reportable event notice continues to be unnecessary if a Form 200 is
filed with respect to the same failure. Reporting is required without
regard to the funding status of the plan. The existing requirement to
report when a minimum funding waiver is granted is replaced by a
requirement to report when a waiver application is filed.
Inability to pay benefits when due: Plans not subject to the
liquidity requirement of section 412(m)(5) of the Internal Revenue Code
(100 or fewer participants) must report if there is a current or
projected inability to pay benefits. There is a projected inability if
the plan's liquid assets are less than twice its disbursements for a
quarter.
Distribution to a substantial owner: Reporting is required for
certain distributions to a substantial owner. The threshold for
reporting is raised from $10,000 to the annual limit on benefits under
Code section 415(b) ($120,000 for 1996) or, if greater, one percent of
plan assets.
Change in contributing sponsor or controlled group: Controlled
group changes are reportable under the existing regulation only if they
involve the contributing sponsor. RPA added a new reportable event for
transactions that result in any person ceasing to be a member of the
plan's controlled group. This event includes a transaction in which a
plan is transferred from one controlled group to another.
Liquidation: Liquidations are reportable under the existing
regulation only if the contributing sponsor is liquidating. RPA added
liquidation of a controlled group member as a new statutory event.
Extraordinary dividend or stock redemption: RPA added a new
reportable event related to extraordinary dividends (as defined in
section 1059(c) of the Code) and stock redemptions. The negotiated
rulemaking committee concluded that the reportable event rules and the
extraordinary dividend rules in the Code were so different in purpose
and structure that the cross-reference to the Code was unworkable. The
regulation waives this statutory event and replaces it with a new event
calling for notice when any member of the controlled group declares a
dividend that exceeds the company's income (in the case of cash
distributions) or 10 percent of the company's assets (in the case of
non-cash distributions). The same thresholds are used for stock
redemptions.
Transfer of benefit liabilities: Notice is required for a transfer
of 3 percent or more of a plan's benefit liabilities outside the
controlled group. No reporting is required if the transfer complies
with section 414(l) of the Code using PBGC assumptions (the safe harbor
under the section 414(l) regulations), if both the transferor and
transferee plans are fully funded after the transfer using PBGC
assumptions, if the transfer is a complete plan transfer, or if the
transfer is a de minimis transfer under the section 414(l) regulations
involving less than 3 percent of assets. The PBGC will consider, on a
case-by-case or class basis, whether other assumptions may be the basis
of a waiver.
Loan default: The regulation adds a new event requiring reporting
of certain loan defaults on loans with outstanding balances of $10
million or more. A default is reportable only if it results from a
debtor's failure to make a required loan payment when due (unless the
payment is made within 30 days after the due date), the lender
accelerates the loan, or the debtor receives a written notice of
default from the lender on account of specified circumstances--a drop
in the debtor's cash reserves below an agreed-upon level, an unusual or
catastrophic event experienced by the debtor, or a persisting failure
by the debtor to attain agreed-upon performance levels. (The PBGC
specifically invites comments on when such a failure is
``persisting.'') Reporting is waived if, among other things, the
default is cured within a specified time period. The regulation also
provides for several extensions, including ones keyed to time periods
for correcting the default.
Bankruptcy or similar settlement: The current requirement to report
bankruptcies is expanded to cover the bankruptcy of any controlled
group member. If the bankrupt member is not a contributing sponsor, the
deadline for reporting is extended until 30 days after the person
required to notify the PBGC has actual knowledge of the bankruptcy.
Advance Notice
Seven reportable events--controlled group change, liquidation,
extraordinary dividend and stock redemption, transfer of benefit
liabilities, application for minimum funding waiver, loan default, and
bankruptcy or similar settlement--are subject to advance reporting
requirements.
Waivers and Extensions
The existing regulation waives all reporting for the following
events: tax-disqualification, Title I noncompliance, amendment
decreasing benefits payable, termination or partial termination, and
plan merger. The proposed regulation preserves these waivers, as well
as the waiver for multiemployer plans.
For the other events, the regulation provides certain waivers and
extensions. For many events, post-event reporting is waived if the plan
for which the reportable event occurred meets one of the following
funding tests: (1) The plan is not required to pay a variable rate
premium; (2) the plan has less than $1 million in unfunded vested
benefits; (3) the plan has no unfunded vested benefits using the fair
market value of assets, the 30-year Treasury rate, and specified
mortality tables; or (4) the plan is at least 80 percent funded.
Plan funding is determined as of the same date used in determining
the plan's variable rate premium for the year in which the reportable
event occurs, generally the last day of the prior plan year. Because
the information necessary to determine whether a funding test is met
for the current year may not be available by the time the notice would
be due, the regulation provides an extension for plans that met a
funding test for the prior year until 30 days after the plan's variable
rate premium filing is due for the current year.
Reporting is also waived if the companies involved are only a de
minimis portion (either 5 or 10 percent, depending on the event) of the
plan's controlled group. The regulation provides a number of waivers
and extensions, including ones relating to foreign entities and several
extensions that are keyed to other filing or reporting requirements
(e.g., Form 5500).
For advance notice, the waivers and extensions relating to plan
funding and foreign entities do not apply. De
[[Page 38411]]
minimis waivers apply for some events, but only at the 5 percent level.
Small plan (500 or fewer participants) waivers apply for controlled
group change and transfer of benefit liabilities. For certain events
(application for minimum funding waiver, loan default, and bankruptcy),
the deadline for reporting is extended to 10 days after the reportable
event occurs.
The regulation provides that the PBGC may waive any reportable
event requirement on a case-by-case or class basis.
Effective Date
Any new reportable events requirements in the final rule will be
effective prospectively. The PBGC will treat any new waivers or
extensions as if they had been in effect as of the effective date of
the RPA amendments to section 4043 of ERISA. Accordingly, the PBGC does
not intend to assess penalties or to pursue any other equitable or
legal remedies with respect to any failure to meet a reportable event
requirement to the extent reporting is waived or extended under the
final rule.
Paperwork Reduction Act
The collection of information requirements in this proposed rule
and the related forms and instructions have been submitted to the
Office of Management and Budget for review under section 3507(d) of the
Paperwork Reduction Act of 1995. The collection of information
requirements contained in the PBGC's existing regulation on reportable
events were approved by the Office of Management and Budget under
control number 1212-0013. The collection of information requirements
contained in PBGC's existing regulation on notice of failure to make
required contributions were approved under control number 1212-0041.
The PBGC needs the information so that it can take action to
protect participants and the termination insurance program in
appropriate cases. The PBGC estimates that it will take an average of
8.7 hours to comply with the collection of information requirements
under subparts B and C of the proposed regulation and, based on its
experience, that about 355 persons will be required to comply each
year. Accordingly, the estimated burden of the collection of
information under subparts B and C is 3075 hours. The respective
numbers for subpart D (Form 200) are 3.35 hours to comply and 50
responses for a total estimated burden of 167.5 hours
Comments on the paperwork provisions of the proposed rule and on
the forms and instructions should be mailed to the Office of
Information and Regulatory Affairs, Office of Management and Budget,
Attention: Desk Officer for the Pension Benefit Guaranty Corporation,
Washington, DC 20503. Comments may address (among other things)--
Whether the proposed collection of information is needed
for the proper performance of the PBGC's functions and will have
practical utility;
The accuracy of the PBGC's estimate of the burden of the
proposed collection of information, including the validity of the
methodology and assumptions used;
Enhancement of the quality, utility, and clarity of the
information to be collected; and
Minimizing the burden of the collection of information on
respondents through the use of automated collection techniques (or
other forms of information technology) or in other ways.
In particular, the PBGC invites suggestions regarding procedures
for submitting some or all of the required information electronically.
Compliance With Rulemaking Guidelines
The PBGC is submitting this action as a ``significant regulatory
action'' under Executive Order 12866 because the rule is the product of
the PBGC's first use of the negotiated rulemaking process. The rule
reflects the consensus of a negotiated rulemaking committee consisting
of representatives of employers, participants, pension practitioners,
and the PBGC. The action is not economically significant.
The PBGC certifies under section 605(b) of the Regulatory
Flexibility Act that this rule will not have a significant economic
impact on a substantial number of small entities. For most reportable
events, waivers based on plan size or funding level will exempt
reporting for small plans. Even where reporting is required, there is
no significant economic impact because the filing burden averages only
8.7 hours. Accordingly, sections 603 and 604 of the Regulatory
Flexibility Act do not apply.
List of Subjects
29 CFR Part 4001
Pension insurance, Pensions, Reporting and Recordkeeping
requirements.
29 CFR Part 4043
Pension insurance, Pensions, Reporting and Recordkeeping
requirements.
29 CFR Part 4065
Pension insurance, Pensions, Reporting and Recordkeeping
requirements.
For the reasons set forth above, the PBGC proposes to amend parts
4001, 4043, and 4065 of 29 CFR chapter LX as follows.
PART 4001--[AMENDED]
1. The authority citation for Part 4001 continues to read as
follows:
Authority: 29 U.S.C. 1301, 1302 (b)(3).
1a. Section 4001.2 is amended by adding the following definitions
after the definition of distribution date:
* * * * *
EIN means the nine digit employer identification number assigned by
the Internal Revenue Service to the contributing sponsor of the plan.
EIN/PN means, as last filed with the PBGC, the nine-digit employer
identification number assigned by the Internal Revenue Service to the
contributing sponsor of the plan and the three-digit plan number
assigned by the contributing sponsor to the plan.
* * * * *
2. Section 4001.2 is further amended by adding the following to the
end of the definition of controlled group:
* * * * *
Controlled group * * * any reference to a plan's controlled group
means all contributing sponsors of the plan and all members of each
contributing sponsor's controlled group.
* * * * *
3. Part 4043 is revised to read as follows:
PART 4043--REPORTABLE EVENTS AND CERTAIN OTHER NOTIFICATION
REQUIREMENTS
Subpart A--General Provisions
Sec.
4043.1 Purpose and scope.
4043.2 Definitions.
4043.3 Requirement of notice.
4043.4 Waivers and extensions.
4043.5 Where to file.
4043.6 Date of filing.
4043.7 Computation of time.
4043.8 Confidentiality.
Subpart B--Post-Event Notice of Reportable Events
4043.20 Post-event filing obligation.
4043.21 Tax disqualification and Title I noncompliance.
4043.22 Amendment decreasing benefits payable.
4043.23 Active participant reduction.
4043.24 Termination or partial termination.
4043.25 Failure to make required minimum funding payments.
4043.26 Inability to pay benefits when due.
[[Page 38412]]
4043.27 Distribution to a substantial owner.
4043.28 Plan merger, consolidation, or transfer.
4043.29 Change in contributing sponsor or controlled group.
4043.30 Liquidation.
4043.31 Extraordinary dividend or stock redemption.
4043.32 Transfer of benefit liabilities.
4043.33 Application for minimum funding waiver.
4043.34 Loan default.
4043.35 Bankruptcy or similar settlement.
Subpart C--Advance Notice of Reportable Events
4043.61 Advance reporting filing obligation.
4043.62 Change in contributing sponsor or controlled group.
4043.63 Liquidation.
4043.64 Extraordinary dividend or stock redemption.
4043.65 Transfer of benefit liabilities.
4043.66 Application for minimum funding waiver.
4043.67 Loan default.
4043.68 Bankruptcy or similar settlement.
Subpart D--Notice of Failure to Make Required Contributions
4043.81 PBGC Form 200, notice of failure to make required
contributions; supplementary information.
Authority: 29 U.S.C. 1082(f), 1302(b)(3), 1343.
Subpart A--General Provisions
Sec. 4043.1 Purpose and scope.
This part prescribes the requirements for notifying the PBGC of a
reportable event under section 4043 of ERISA or of a failure to make
certain required contributions under section 302(f)(4) of ERISA or
section 412(n)(4) of the Code. Subpart A contains definitions and
general rules. Subpart B contains rules for post-event notice of a
reportable event. Subpart C contains rules for advance notice of a
reportable event. Subpart D contains rules for notifying the PBGC of
failure to make certain required contributions.
Sec. 4043.2 Definitions.
The following terms are defined in Sec. 4001.2 of this chapter:
Code, contributing sponsor, controlled group, ERISA, fair market value,
irrevocable commitment, multiemployer plan, notice of intent to
terminate, PBGC, person, plan, plan administrator, proposed termination
date, single-employer plan, and substantial owner. For purposes of this
part:
De minimis 10-percent segment means, in connection with a plan's
controlled group, one or more entities that in the aggregate have for a
fiscal year--
(1) Revenue not exceeding 10 percent of the controlled group's
revenue;
(2) Annual operating income not exceeding the greatest of--
(i) 10 percent of the controlled group's annual operating income;
(ii) 5 percent of the controlled group's first $200 million in net
tangible assets at the end of the fiscal year(s); or
(iii) $5 million; and
(3) Net tangible assets at the end of the fiscal year(s) not
exceeding the greater of--
(i) 10 percent of the controlled group's net tangible assets at the
end of the fiscal year(s); or
(ii) $5 million.
De minimis 5-percent segment has the same meaning as a de minimis
10-percent segment, except that ``5 percent'' is substituted for ``10
percent'' each time it appears.
Event year means the plan year in which the reportable event
occurs.
Fair market value of the plan's assets means the fair market value
of the plan's assets as of the testing date for the applicable plan
year including contributions attributable to the previous plan year for
funding purposes under section 302(c)(10) of ERISA or section
412(c)(10) of the Code if made by the earlier of the due date or filing
date of the variable rate premium for the applicable plan year, but not
to the extent contributions are used to satisfy the quarterly
contribution requirements under section 302(e) of ERISA or section
412(m) of the Code for the applicable plan year.
Foreign entity means a member of a controlled group that--
(1) Is not a contributing sponsor of a plan;
(2) Is not organized under the laws of (or, if an individual, is
not a domiciliary of) any state (as defined in section 3(10) of ERISA);
and
(3) For the fiscal year that includes the date the reportable event
occurs, meets one of the following tests--
(i) Is not required to file any United States federal income tax
form;
(ii) Has no income reportable on any United States federal income
tax form other than passive income not exceeding $1,000; or
(iii) Does not own substantial assets in the United States
(disregarding stock of a member of the plan's controlled group) and is
not required to file any quarterly United States tax returns for
employee withholding.
Foreign-linked entity means a person that--
(1) Is neither a foreign entity nor a contributing sponsor of a
plan; and
(2) Is a member of the plan's controlled group only because of
ownership interests in or by foreign entities.
Foreign parent means a foreign entity that is a direct or indirect
parent of a person that is a contributing sponsor.
Form 5500 due date means the deadline (including extensions) for
filing the annual report under section 103 of ERISA.
Notice date means the deadline (including extensions) for filing
notice of the reportable event with the PBGC.
Participant means a participant as defined in Sec. 4006.2 .
Public company means a person subject to the reporting requirements
of section 13 or 15(d) of the Securities Exchange Act of 1934 or a
subsidiary (as defined for purposes of the Securities Exchange Act of
1934) of a person subject to such reporting requirements.
Testing date means, with respect to a plan year--
(1) The last day of the prior plan year, except as provided in
paragraphs (2) or (3) of this definition;
(2) In the case of a new or newly-covered plan (as defined in
Sec. 4006.2 of this chapter), the first day of the plan year or, if
later, the date on which the plan becomes effective for benefit
accruals for future service; or
(3) In the case of a plan described in Sec. 4006.5(e)(2) of this
chapter (relating to certain mergers or spinoffs), the first day of the
plan year.
Ultimate parent means the parent at the highest level in the chain
of corporations and/or other organizations constituting the parent-
subsidiary controlled group.
Unfunded vested benefits means unfunded vested benefits determined
in accordance with Sec. 4006.4 of this chapter, without regard to the
exemptions and special rules in Sec. 4006.5 (a)-(c) of this chapter.
For purposes of subpart B only, unfunded vested benefits may be
determined by subtracting the fair market value of the plan's assets
from the plan's vested benefits amount.
Variable rate premium means the portion of the premium determined
under section 4006(a)(3)(E) of ERISA and Sec. 4006.3(b) of this
chapter.
Vested benefits amount means the vested benefits amount determined
under Sec. 4006.4(b)(1) of this chapter.
Sec. 4043.3 Requirement of notice.
(a) Obligation to file. Each person that is required to file a
notice under this part, or a duly authorized representative, shall
submit the information required by this part by the time specified in
Sec. 4043.20 (for post-event notice), Sec. 4043.61 (for advance
notice), or Sec. 4043.81 (for Form 200 filings). Any information
previously filed with the PBGC may be
[[Page 38413]]
incorporated by reference. If a reportable event occurs for more than
one plan, the filing obligation with respect to each plan is
independent of the filing obligation with respect to any other plan.
(b) Contents of reportable event notice. A person required to file
a reportable event notice shall provide, by the notice date, the
following general information, along with any other information
required for each reportable event under subpart B or C of this part:
(1) The name of the plan;
(2) The name, address, and telephone number of the contributing
sponsor(s) and the name of an individual that should be contacted;
(3) The name, address, and telephone number of the plan
administrator and the name of an individual that should be contacted;
(4) The EIN of the contributing sponsor and the EIN/PN of the plan;
(5) A brief statement of the pertinent facts relating to the
reportable event;
(6) A copy of the plan document in effect, i.e., the last
restatement of the plan and all amendments thereto;
(7) A copy of the most recent actuarial statement and opinion (if
any) relating to the plan; and
(8) A statement of any material change in the assets or liabilities
of the plan occurring after the date of the most recent actuarial
statement and opinion.
(c) Optional reportable event forms. The PBGC shall issue optional
reportable events forms, which may provide for reduced initial
information submissions.
(d) Requests for additional information. The PBGC may, in any case,
require the submission of additional information. Any such information
shall be submitted for subpart B of this part within 30 days, and for
subpart C or D of this part within 7 days, after the date of a written
request by the PBGC, or within a different time period specified
therein. The PBGC may in its discretion shorten the time period where
it determines that the interests of the PBGC or participants may be
prejudiced by a delay in receipt of the information.
(e) Optional consolidated filing. If more than one person is
required to notify the PBGC under this part, a filing by one of those
persons will be deemed to be a filing by the other person(s). If
notices are required for two or more events, the notices may be
combined in one filing.
(f) Effect of failure to file. If a notice (or any other
information required under this part) is not provided within the
specified time limit, the PBGC may assess against each person required
to provide the notice a separate penalty under section 4071 of ERISA of
up to $1,000 a day for each day that the failure continues. The PBGC
may pursue any other equitable or legal remedies available to it under
the law.
Sec. 4043.4 Waivers and extensions.
(a) Specific events. For specific reportable events, waivers from
reporting and information requirements and extensions of time are
provided in subparts B and C of this part. If an occurrence constitutes
two or more reportable events, reporting requirements for each event
are determined independently. For example, any event reportable under
more than one section will be exempt from reporting only if it
satisfies the requirements for a waiver under each section.
(b) Multiemployer plans. The requirements of section 4043 of ERISA
are waived with respect to multiemployer plans.
(c) Terminating plans. No notice is required from the plan
administrator or contributing sponsor of a plan if the notice date is
on or after the date on which--
(1) All of the plan's assets (other than any excess assets) are
distributed pursuant to a termination; or
(2) A trustee is appointed for the plan under section 4042(c) of
ERISA.
(d) Other waivers and extensions. The PBGC may extend any deadline
or waive any other requirement under this part where it finds
convincing evidence that the waiver or extension is appropriate under
the circumstances. Any waiver or extension may be subject to
conditions. A request for a waiver or extension must be filed in
writing with the PBGC and must state the facts and circumstances on
which the request is based.
Sec. 4043.5 Where to file.
Requests and information shall be filed as follows--
(a) Post-event notice under subpart B of this part: Reports
Processing, Insurance Operations Department, Pension Benefit Guaranty
Corporation, 1200 K Street NW., Washington, DC 20005-4026; and
(b) Advance notice under subpart C of this part and Form 200
filings under subpart D of this part: Corporate Finance and
Negotiations Department, Pension Benefit Guaranty Corporation, 1200 K
Street NW., Washington, DC 20005-4026.
Sec. 4043.6 Date of filing.
(a) Post-event notice. Information filed under subpart B of this
part is considered filed--
(1) On the date of the United States postmark stamped on the cover
in which the information is mailed, if--
(i) The postmark was made by the United States Postal Service; and
(ii) The document was mailed postage prepaid, properly addressed to
the PBGC; or
(2) On the date it is received by the PBGC, if the conditions
stated in paragraph (a)(1) of this section are not met.
(b) Advance notice and Form 200 filings. Information filed under
subpart C or D of this part is considered filed on the date it is
received by PBGC. A reportable event notice under subpart C of this
part will be deemed filed on the date a facsimile transmission is sent
to the PBGC, provided--
(1) The facsimile transmission contains the information required by
Sec. 4043.3(b) (1)-(6); and
(2) The remaining initial information is received by the PBGC on
the next regular business day.
(c) Receipt date. Information received on a weekend or Federal
holiday or after 5:00 p.m. on a weekday is considered filed on the next
regular business day.
Sec. 4043.7 Computation of time.
In computing any period of time, the day of the event from which
the period of time begins to run shall not be included. The last day so
computed shall be included, unless it is a weekend or Federal holiday,
in which case the period runs until the end of the next regular
business day.
Sec. 4043.8 Confidentiality.
In accordance with section 4043(f) of ERISA and Sec. 4901.21(a)(3)
of this chapter, any information or documentary material that is not
publicly available and is submitted to the PBGC pursuant to this part
shall not be made public, except as may be relevant to any
administrative or judicial action or proceeding or for disclosures to
either body of Congress or to any duly authorized committee or
subcommittee of the Congress.
Subpart B--Post-Event Notice of Reportable Events
Sec. 4043.20 Post-event filing obligation.
The plan administrator and each contributing sponsor of a plan for
which a reportable event under this subpart has occurred is required to
notify the PBGC within 30 days after that person knows or has reason to
know that the reportable event has occurred, unless a waiver or
extension applies.
[[Page 38414]]
Sec. 4043.21 Tax disqualification and Title I noncompliance.
(a) Reportable event. A reportable event occurs when the Secretary
of the Treasury issues notice that a plan has ceased to be a plan
described in section 4021(a)(2) of ERISA, or when the Secretary of
Labor determines that a plan is not in compliance with title I of
ERISA.
(b) Waivers. Notice is waived for this event.
Sec. 4043.22 Amendment decreasing benefits payable.
(a) Reportable event. A reportable event occurs when an amendment
to a plan is adopted under which the retirement benefit payable from
employer contributions with respect to any participant may be
decreased.
(b) Waivers. Notice is waived for this event.
Sec. 4043.23 Active participant reduction.
(a) Reportable event. A reportable event occurs when the number of
active participants under a plan is reduced to less than 80 percent of
the number of active participants at the beginning of the plan year, or
to less than 75 percent of the number of active participants at the
beginning of the previous plan year.
(b) Initial information required. In addition to the information in
Sec. 4043.3(b), the notice shall include--
(1) A statement explaining the cause of the reduction (e.g.,
facility shutdown or sale); and
(2) The number of active participants at the date the reportable
event occurs, at the beginning of the plan year, and at the beginning
of the prior plan year.
(c) Waivers.
(1) Small plan. Notice is waived if the plan has fewer than 100
participants at the beginning of either the current or the previous
plan year.
(2) Plan funding. Notice is waived if--
(i) No variable rate premium. No variable rate premium is required
to be paid for the plan for the event year;
(ii) $1 million unfunded vested benefits. As of the testing date
for the event year, the plan has less than $1 million in unfunded
vested benefits; or
(iii) No unfunded vested benefits. As of the testing date for the
event year, the plan would have no unfunded vested benefits if unfunded
vested benefits were determined in accordance with the assumptions and
methodology in Sec. 4010.4(b)(2) of this chapter.
(3) No facility closing event/80-percent funded. Notice is waived
if--
(i) The active participant reduction would not be reportable if
only those active participant reductions resulting from cessation of
operations at one or more facilities were taken into account; and
(ii) As of the testing date for the event year, the fair market
value of the plan's assets is at least 80 percent of the plan's vested
benefits amount.
(d) Extensions. The notice date is extended to the latest of--
(1) Form 1 extension. 30 days after the plan's variable rate
premium filing due date for the event year if a waiver under any of
paragraphs (c)(2)(i) through (c)(2)(iii) or (c)(3) of this section
would apply if ``the plan year preceding the event year'' were
substituted for ``the event year'';
(2) Form 5500 extension. 30 days after the plan's Form 5500 due
date that next follows the date the reportable event occurs, provided
the event would not be reportable counting only those participant
reductions resulting from cessation of operations at a single facility;
and
(3) Form 1-ES extension. The due date for the Form 1-ES for the
plan year following the event year if--
(i) The plan is required to file a Form 1-ES for the plan year
following the event year;
(ii) The event would not be reportable counting only those
participant reductions resulting from cessation of operations at a
single facility; and
(iii) The participant reduction represents no more than 20 percent
of the total active participants (at the beginning of the plan year(s)
in which the reduction occurs) in all plans maintained by any member of
the plan's controlled group.
(e) Determination of the number of active participants.--(1)
Determination date. The number of active participants at the beginning
of a plan year may be determined at the end of the previous plan year.
(2) Active participant. ``Active participant'' means a participant
who--
(i) Is receiving compensation for work performed;
(ii) Is on paid or unpaid leave granted for a reason other than a
layoff;
(iii) Is laid off from work for a period of time that has lasted
less than 30 days; or
(iv) Is absent from work due to a recurring reduction in employment
that occurs at least annually.
Sec. 4043.24 Termination or partial termination.
(a) Reportable event. A reportable event occurs when the Secretary
of the Treasury determines that there has been a termination or partial
termination of a plan within the meaning of section 411(d)(3) of the
Code.
(b) Waivers. Notice is waived for this event.
Sec. 4043.25 Failure to make required minimum funding payment.
(a) Reportable event. A reportable event occurs when a required
installment or a payment required under section 302 of ERISA or section
412 of the Code (including a payment required as a condition of a
funding waiver) is not made by the due date for the payment. In the
case of a payment needed to avoid a deficiency in the plan's funding
standard account, the due date is the latest date such payment may be
made under section 302(c)(10)(A) of ERISA or section 412(c)(10)(A) of
the Code.
(b) Initial information required. In addition to the information in
Sec. 4043.3(b), the notice shall include--
(1) The due date and amount of the required minimum funding payment
that was not made and of the next payment due;
(2) The name of each member of the plan's controlled group and its
ownership relationship to other members of that controlled group; and
(3) For each other plan maintained by any member of the plan's
controlled group, identification of the plan and its contributing
sponsor(s) by name and EIN/PN or EIN, as appropriate.
(c) Waiver. Notice is waived if the required minimum funding
payment is made by the 30th day after its due date.
(d) Form 200 filed. If, with respect to the same failure, a Form
200 has been completed and submitted in accordance with Sec. 4043.81,
the Form 200 filing shall be deemed to satisfy the requirements of this
section.
Sec. 4043.26 Inability to pay benefits when due.
(a) Reportable event. A reportable event occurs when a plan is
currently unable or projected to be unable to pay benefits.
(1) Current inability. A plan is currently unable to pay benefits
if it fails to provide any participant or beneficiary the full benefits
to which the person is entitled under the terms of the plan, at the
time the benefit is due and in the form in which it is due. A plan
shall not be treated as being currently unable to pay benefits if its
failure to pay is caused solely by the need to verify the person's
eligibility for benefits; the inability to locate the person; or any
other administrative delay if the delay is for less than the shorter of
two months or two full benefit payment periods.
(2) Projected inability. A plan is projected to be unable to pay
benefits when, as of the last day of any quarter of a plan year, the
plan's ``liquid assets'' are less than two times the amount of
[[Page 38415]]
the ``disbursements from the plan'' for such quarter. Liquid assets and
disbursements from the plan have the same meaning as under section
302(e)(5)(E) of ERISA and section 412(m)(5)(E) of the Code.
(b) Initial information required. In addition to the information in
Sec. 4043.3(b), the notice shall include--
(1) The date of any current inability and the amount of benefit
payments not made;
(2) The next date on which the plan is expected to be unable to pay
benefits, the amount of the projected shortfall, and the number of plan
participants and beneficiaries expected to be affected by the inability
to pay benefits;
(3) For a projected inability described in paragraph (a)(2), the
amount of the plan's liquid assets at the end of the quarter, and the
amount of its disbursements for the quarter; and
(4) The name, address, and phone number of the trustee of the plan
(and of any custodian).
(c) Waivers. Notice is waived unless the reportable event occurs
during a plan year for which the plan is described in section
302(d)(6)(A) of ERISA or section 412(l)(6)(A) of the Code.
Sec. 4043.27 Distribution to a substantial owner.
(a) Reportable event. A reportable event occurs for a plan when--
(1) There is a distribution to a substantial owner of a
contributing sponsor of the plan;
(2) The total of all distributions made to the substantial owner
within the one-year period ending with the date of such distribution
exceeds $10,000;
(3) The distribution is not made by reason of the substantial
owner's death; and
(4) Immediately after the distribution, the plan has nonforfeitable
benefits (as provided in Sec. 4022.5) that are not funded.
(b) Initial information required. In addition to the information in
Sec. 4043.3(b), the notice shall include--
(1) The name, address and telephone number of the substantial owner
receiving the distribution(s); and
(2) The amount, form, and date of each distribution.
(c) Waivers.--(1) Distribution up to section 415 limit. Notice is
waived if the total of all distributions made to the substantial owner
within the one-year period ending with the date of the distribution
does not exceed the limitation (as of the date the reportable event
occurs) under section 415(b)(1)(A) of the Code (as adjusted in
accordance with section 415(d)) when expressed as an annual benefit in
the form of a straight life annuity to a participant beginning at
Social Security retirement age ($120,000 for calendar year 1996).
(2) Plan funding. Notice is waived if--
(i) No variable rate premium. No variable rate premium is required
to be paid for the plan for the event year;
(ii) No unfunded vested benefits. As of the testing date for the
event year, the plan would have no unfunded vested benefits if unfunded
vested benefits were determined in accordance with the assumptions and
methodology in Sec. 4010.4(b)(2) of this chapter; or
(iii) 80-percent funded. As of the testing date for the event year,
the fair market value of the plan's assets is at least 80 percent of
the plan's vested benefits amount.
(3) Distribution up to one percent of assets. Notice is waived if
the sum of the values of all distributions that are made to the
substantial owner within the one-year period ending with the date of
the distribution is one percent or less of the end-of-year current
value of the plan's assets (as required to be reported on the plan's
Form 5500) for either of the two plan years immediately preceding the
event year.
(d) Form 1 extension. The notice date is extended until 30 days
after the plan's variable rate premium filing due date for the event
year, provided that a waiver under any of paragraphs (c)(2)(i) through
(c)(2)(iii) of this section would apply if ``the plan year preceding
the event year'' were substituted for ``the event year.''
(e) Determination rules.--(1) Valuation of distribution. The value
of a distribution under this section is the sum of--
(i) The cash amounts actually received by the substantial owner;
(ii) The purchase price of any irrevocable commitment; and
(iii) The fair market value of any other assets distributed,
determined as of the date of distribution to the substantial owner.
(2) Date of substantial owner distribution. The date of
distribution to a substantial owner of a cash distribution is the date
it is received by the substantial owner. The date of distribution to a
substantial owner of an irrevocable commitment is the date on which the
obligation to provide benefits passes from the plan to the insurer. The
date of any other distribution to a substantial owner is the date when
the plan relinquishes control over the assets transferred directly or
indirectly to the substantial owner.
(3) Determination date. The determination of whether a participant
is (or has been in the preceding 60 months) a substantial owner is made
on the date when there has been a distribution that would be reportable
under this section if made to a substantial owner.
Sec. 4043.28 Plan merger, consolidation or transfer.
(a) Reportable event. A reportable event occurs when a plan merges,
consolidates, or transfers its assets or liabilities under section 208
of ERISA or section 414(1) of the Code.
(b) Waivers. Notice is waived for this event. However, notice may
be required under Sec. 4043.29 (for a controlled group change) or
Sec. 4043.32 (for a transfer of benefit liabilities).
Sec. 4043.29 Change in contributing sponsor or controlled group.
(a) Reportable event. A reportable event occurs for a plan when, as
a result of a transaction, one or more persons will cease to be members
of the plan's controlled group. This does not include a transaction
that will result solely in a reorganization involving a mere change in
identity, form, or place of organization, however effected.
(b) Initial information required. In addition to the information in
Sec. 4043.3(b), the notice shall include--
(1) The name of each member of the plan's old and new controlled
groups and the member's ownership relationship to other members of
those groups;
(2) For each other plan maintained by any member of the plan's old
or new controlled group, identification of the plan and its
contributing sponsor(s) by name and EIN/PN or EIN, as appropriate; and
(3) A copy of the most recent audited (or if not available,
unaudited) financial statements, and the most recent interim financial
statements, of the plan's contributing sponsor (both old and new, in
the case of a change in the contributing sponsor) and any persons that
will cease to be in the plan's controlled group.
(c) Waivers.--(1) De minimis 10-percent segment. Notice is waived
if the person or persons that will cease to be members of the plan's
controlled group represent a de minimis 10-percent segment of the
plan's old controlled group for the most recent fiscal year(s) ending
on or before the date the reportable event occurs.
(2) Foreign entity. Notice is waived if each person that will cease
to be a member of the plan's controlled group is a foreign entity other
than a foreign parent.
(3) Plan funding. Notice is waived if--
[[Page 38416]]
(i) No variable rate premium. No variable rate premium is required
to be paid for the plan for the event year;
(ii) $1 million unfunded vested benefits. As of the testing date
for the event year, the plan has less than $1 million in unfunded
vested benefits; or
(iii) No unfunded vested benefits. As of the testing date for the
event year, the plan would have no unfunded vested benefits if unfunded
vested benefits were determined in accordance with the assumptions and
methodology in Sec. 4010.4(b)(2) of this chapter.
(4) Public company/80-percent funded. Notice is waived if--
(i) The plan's contributing sponsor before the effective date of
the transaction is a public company; and
(ii) As of the testing date for the event year, the fair market
value of the plan's assets is at least 80 percent of the plan's vested
benefits amount.
(d) Extensions. The notice date is extended to the latest of--
(1) Form 1 extension. 30 days after the plan's variable rate
premium filing due date for the event year if a waiver under any of
paragraphs (c)(3)(i) through (c)(3)(iii) or (c)(4) of this section
would apply if ``the plan year preceding the event year'' were
substituted for ``the event year'';
(2) Foreign parent and foreign-linked entities. With respect to a
transaction in which only foreign parents or foreign-linked entities
will cease to be members of the plan's controlled group, 30 days after
the plan's first Form 5500 due date after the person required to notify
the PBGC has actual knowledge of the transaction and of the controlled
group relationship; and
(3) Press releases; Forms 10Q. If the plan's contributing sponsor
before the effective date of the transaction is a public company, 30
days after the earlier of--
(i) The first Form 10Q filing deadline that occurs after the
transaction; or
(ii) The date (if any) when a press release with respect to the
transaction is issued.
(e) Transaction. For purposes of this section, the term
``transaction'' includes, but is not limited to, a legally binding
agreement, whether or not written, to transfer, a transfer, and a
change in ownership that occurs as a matter of law or through the
exercise or lapse of pre-existing rights.
(f) Examples. The following examples assume that no waivers apply.
(1) Controlled group breakup. Plan A's controlled group consists of
Company A (its contributing sponsor), Company B (which maintains Plan
B), and Company C. As a result of a transaction, the controlled group
will break into two separate controlled groups--one segment consisting
of Company A and the other segment consisting of Companies B and C.
Both Company A (Plan A's contributing sponsor) and the plan
administrator of plan A are required to report that Companies B and C
will leave plan A's controlled group. Company B (Plan B's contributing
sponsor) and the plan administrator of Plan B are required to report
that Company A will leave Plan B's controlled group. Company C is not
required to report because it is not a contributing sponsor or a plan
administrator.
(2) Change in contributing sponsor. Plan Q is maintained by Company
Q. In connection with a sale of Company Q's assets and the transfer of
employees, Plan Q will be transferred to Company R, which is not a
member of Company Q's controlled group. There is no change in the
structure of Company Q's controlled group. The plan administrator and
contributing sponsor of Plan Q are required to report that Company Q
(and any other member of Company Q's controlled group) will cease to be
a member of Plan Q's controlled group.
(3) Merger/consolidation within a controlled group. Company X and
Company Y are subsidiaries of Company Z, which maintains Plan Z.
Company Y merges into Company X (only Company X survives). Company Z
and the plan administrator of Plan Z must report that Company Y has
ceased to be a member of Plan Z's controlled group.
Sec. 4043.30 Liquidation.
(a) Reportable event. A reportable event occurs for a plan when a
member of the plan's controlled group--
(1) Is involved in any transaction to implement its complete
liquidation (including liquidation into another controlled group
member);
(2) Institutes or has instituted against it a proceeding to be
dissolved or is dissolved, whichever occurs first; or
(3) Liquidates in a case under the Bankruptcy Code, or under any
similar law.
(b) Initial information required. In addition to the information in
Sec. 4043.3(b), the notice shall include--
(1) The name of each member of the plan's controlled group before
and after the liquidation and its ownership relationship to other
members of that controlled group; and
(2) For each other plan maintained by any member of the plan's
controlled group, identification of the plan and its contributing
sponsor(s) by name and EIN/PN or EIN, as appropriate.
(c) Waivers.-- (1) De minimis 10-percent segment. Notice is waived
if--
(i) The person or persons that liquidate represent a de minimis 10-
percent segment of the plan's controlled group for the most recent
fiscal year(s) ending on or before the date the reportable event
occurs; and
(ii) Each plan that was maintained by the liquidating member is
maintained by another member of the plan's controlled group after the
liquidation.
(2) Foreign entity. Notice is waived if each person that liquidates
is a foreign entity other than a foreign parent.
(3) Plan funding. Notice is waived if any plan that was maintained
by the liquidating member is maintained by another member of the plan's
controlled group after the liquidation and--
(i) No variable rate premium. No variable rate premium is required
to be paid for the plan for the event year;
(ii) $1 million unfunded vested benefits. As of the testing date
for the event year, the plan has less than $1 million in unfunded
vested benefits; or
(iii) No unfunded vested benefits. As of the testing date for the
event year, the plan would have no unfunded vested benefits if unfunded
vested benefits were determined in accordance with the assumptions and
methodology in Sec. 4010.4(b)(2) of this chapter.
(4) Public company/80-percent funded. Notice is waived if--
(i) The plan's contributing sponsor is a public company; and
(ii) As of the testing date for the event year, the fair market
value of the plan's assets is at least 80 percent of the plan's vested
benefits amount.
(d) Extensions. The notice date is extended to the latest of--
(1) Form 1 extension. 30 days after the plan's variable rate
premium filing due date for the event year if a waiver under any of
paragraphs (c)(3)(i) through (c)(3)(iii) or (c)(4) of this section
would apply if ``the plan year preceding the event year'' were
substituted for ``the event year'';
(2) Foreign parent and foreign-linked entity. 30 days after the
plan's first Form 5500 due date after the person required to notify the
PBGC has actual knowledge of the transaction and of the controlled
group relationship, if the person liquidating is a foreign parent or
foreign-linked entity; and
(3) Press releases; Forms 10Q. If the plan's contributing sponsor
is a public company, 30 days after the earlier of--
(i) The first Form 10 filing deadline that occurs after the
transaction; or
(ii) The date (if any) when a press release with respect to the
transaction is issued.
[[Page 38417]]
Sec. 4043.31 Extraordinary dividend or stock redemption.
(a) Reportable event. A reportable event occurs for a plan when any
member of the plan's controlled group declares a dividend or redeems
its own stock, if the resulting distribution is reportable under this
paragraph.
(1) Cash distributions. A cash distribution is reportable if--
(i) The distribution, when combined with any other cash
distributions to shareholders previously made during the fiscal year,
exceeds the adjusted net income (as defined in paragraph (e)(1) of this
section) of the person making the distribution for the preceding fiscal
year; and
(ii) The distribution, when combined with any other cash
distributions to shareholders previously made during the fiscal year or
during the three prior fiscal years, exceeds the adjusted net income
(as defined in paragraph (e)(1) of this section) of the person making
the distribution for the four preceding fiscal years.
(2) Non-cash distributions. A non-cash distribution is reportable
if its net value (as defined in paragraph (e)(4) of this section), when
combined with the net value of any other non-cash distributions to
shareholders previously made during the fiscal year, exceeds 10 percent
of the total net assets (as defined in paragraph (e)(6) of this
section) of the person making the distribution.
(3) Combined distributions. If both cash and non-cash distributions
to shareholders are made during a fiscal year, a distribution is
reportable when the sum of the cash distribution percentage and the
non-cash distribution percentages for the fiscal year exceeds 100
percent.
(b) Information required. In addition to the information in
Sec. 4043.5(b), the notice shall include--
(1) Identification of the person making the distribution (by name
and EIN); and
(2) The date and amount of any cash distribution during the fiscal
year;
(3) A description of any non-cash distribution during the fiscal
year, the fair market value of each asset distributed, and the date or
dates of distribution; and
(4) A statement as to whether the recipient was a member of the
plan's controlled group.
(c) Waivers--(1) Extraordinary dividends and stock redemptions. The
reportable event described in section 4043(c)(11) of ERISA related to
extraordinary dividends and stock redemptions is waived except to the
extent reporting is required under this section.
(2) De minimis 5-percent segment. Notice is waived if the person
making the distribution is a de minimis 5-percent segment of the plan's
controlled group for the most recent fiscal year(s) ending on or before
the date the reportable event occurs.
(3) Foreign entity. Notice is waived if the person making the
distribution is a foreign entity other than a foreign parent.
(4) Foreign parent. Notice is waived if the person making the
distribution is a foreign parent, and the distribution is made solely
to other members of the plan's controlled group.
(5) Plan funding. Notice is waived if--
(i) No variable rate premium. No variable rate premium is required
to be paid for the plan for the event year;
(ii) $1 million unfunded vested benefits. As of the testing date
for the event year, the plan has less than $1 million in unfunded
vested benefits;
(iii) No unfunded vested benefits. As of the testing date for the
event year, the plan would have no unfunded vested benefits if unfunded
vested benefits were determined in accordance with the assumptions and
methodology in Sec. 4010.4(b)(2) of this chapter; or
(iv) 80-percent funded. As of the testing date for the event year,
the fair market value of the plan's assets is at least 80 percent of
the plan's vested benefits amount.
(d) Extensions. The notice date is extended to the latest of--
(1) Form 1 extension. 30 days after the plan's variable rate
premium filing due date for the event year if a waiver under any of
paragraphs (c)(5)(i) through (c)(5)(iv) of this section would apply if
``the plan year preceding the event year'' were substituted for ``the
event year'';
(2) Foreign parent and foreign-linked entity. 30 days after the
plan's first Form 5500 due date after the person required to notify the
PBGC has actual knowledge of the distribution and the controlled group
relationship, if the person making the distribution is a foreign parent
or foreign-linked entity; and
(3) Press releases; Forms 10Q. If the plan's contributing sponsor
is a public company, 30 days after the earlier of--
(i) The first Form 10Q filing deadline that occurs after the
distribution; or
(ii) The date (if any) when a press release with respect to the
distribution is issued.
(e) Definitions.
(1) Adjusted net income means the net income before after-tax gain
or loss on any sale of assets, as determined in accordance with
generally accepted accounting principles and practices.
(2) Cash distribution percentage means, for a fiscal year, the
lesser of--
(i) The percentage that all cash distributions to one or more
shareholders made during that fiscal year bears to the adjusted net
income (as defined in paragraph (e)(1) of this section) of the person
making the distributions for the preceding fiscal year, or
(ii) The percentage that all cash distributions to one or more
shareholders made during that fiscal year and the three preceding
fiscal years bears to the adjusted net income (as defined in paragraph
(e)(1) of this section) of the person making the distributions for the
four preceding fiscal years.
(3) Dividend means a distribution to one or more shareholders. A
payment by a person to a member of its controlled group is treated as a
distribution to its shareholder(s).
(4) Net value of non-cash distribution means the fair market value
of assets transferred by the person making the distribution, reduced by
the fair market value of any liabilities assumed or consideration given
by the recipient in connection with the distribution. A distribution of
stock that one controlled group member holds in another controlled
group member is disregarded. Net value determinations should be based
on readily available fair market value(s) or independent appraisal(s)
performed within one year before the distribution is made. To the
extent that fair market values are not readily available and no such
appraisals exist, the fair market value of an asset transferred in
connection with a distribution or a liability assumed by a recipient of
a distribution shall be deemed to be equal to 200 percent of the book
value of the asset or liability on the books of the person making the
distribution. Stock redeemed is deemed to have no value.
(5) Non-cash distribution percentage means the percentage that the
net value of the non-cash distribution bears to one-tenth of the value
of the total net assets (as defined in paragraph (e)(6) of this
section) of the person making the distribution.
(6) Total net assets means, with respect to the person declaring a
non-cash distribution--
(i) If all classes of the person's securities are publicly traded,
the total market value (immediately before the distribution is made) of
the publicly-traded securities of the person making the distribution;
(ii) If no classes of the person's securities are publicly traded,
the excess (immediately before the distribution is made) of the book
value of the person's assets over the book value of the
[[Page 38418]]
person's liabilities, adjusted to reflect the net value of the non-cash
distribution; or
(iii) If some but not all classes of the person's securities are
publicly traded, the greater of the amounts in paragraphs (e)(6)(i) or
(ii) of this section.
Sec. 4043.32 Transfer of benefit liabilities.
(a) Reportable event--(1) In general. A reportable event occurs for
a plan when--
(i) The plan or any other plan maintained by a person in the plan's
controlled group makes a transfer of benefit liabilities to a person,
or to a plan or plans maintained by a person or persons, that are not
members of the transferor plan's controlled group; and
(ii) The amount of benefit liabilities transferred, in conjunction
with other benefit liabilities transferred during the 12-month period
ending on the date of the transfer, is 3 percent or more of the plan's
total benefit liabilities. Both the benefit liabilities transferred and
the plan's total benefit liabilities shall be valued as of any one date
in the plan year in which the transfer occurs, using actuarial
assumptions that comply with section 414(l) of the Code.
(2) Date of transfer. The date of transfer shall be determined on
the basis of the facts and circumstances of the particular situation.
For transfers subject to the requirements of section 414(l) of the
Code, a date determined in accordance with 26 CFR 1.414(l)-1(b)(11)
will be considered the date of transfer.
(b) Initial information required. In addition to the information
required in Sec. 4043.3(b), the notice shall include--
(1) Identification of the transferee(s) and each contributing
sponsor of each transferee plan by name and EIN/PN or EIN, as
appropriate;
(2) An explanation of the actuarial assumptions used in determining
the value of benefit liabilities (and, if appropriate, the value of
plan assets) for each transfer; and
(3) An estimate of the amounts of assets and liabilities being
transferred, and the number of participants whose benefits are
transferred.
(c) Waivers. (1) Complete plan transfer. Notice is waived if the
transfer is a transfer of all of the transferor plan's benefit
liabilities and assets to one other plan.
(2) Transfer of less than 3 percent of assets. Notice is waived if
the value of the assets being transferred--
(i) Equals the present value of the accrued benefits (whether or
not vested) being transferred, using actuarial assumptions that comply
with section 414(l) of the Code; and
(ii) In conjunction with other assets transferred during the same
plan year, is less than 3 percent of the assets of the transferor plan
as of at least one day in that year.
(3) Section 414(l) safe harbor. Notice is waived if the transfer
complies with section 414(l) of the Code using the actuarial
assumptions prescribed for valuing benefits in trusteed plans under
Sec. 4044.51-57 of this chapter.
(4) Fully funded plans. Notice is waived if the transfer complies
with section 414(l) of the Code using reasonable actuarial assumptions
and, after the transfer, the transferor and transferee plans are fully
funded (using the actuarial assumptions prescribed for valuing benefits
in trusteed plans under Sec. 4044.51-57) of this chapter.
(d) Who must file. Only the plan administrator and contributing
sponsor of the plan that made the transfer described in paragraph
(a)(1) of this section are required to file a notice of a reportable
event under this section. Notice by any other contributing sponsor or
plan administrator is waived.
Sec. 4043.33 Application for minimum funding waiver.
(a) Reportable event. A reportable event for a plan occurs when an
application for a minimum funding waiver for the plan is submitted
under section 303 of ERISA or section 412(d) of the Code.
(b) Initial information required. In addition to the information in
Sec. 4043.3(b), the notice shall include a copy of the waiver
application, including all attachments.
Sec. 4043.34 Loan default.
(a) Reportable event. A reportable event occurs for a plan whenever
there is a default by a member of the plan's controlled group with
respect to a loan with an outstanding balance of $10 million or more,
if--
(1) The default results from the debtor's failure to make a
required loan payment when due (unless the payment is made within 30
days after the due date);
(2) The lender accelerates the loan; or
(3) The debtor receives a written notice of default from the lender
(and does not establish the notice was issued in error) on account of:
(i) A drop in the debtor's cash reserves below an agreed-upon
level;
(ii) An unusual or catastrophic event experienced by the debtor; or
(iii) A persisting failure by the debtor to attain agreed-upon
performance levels.
(b) Initial information required. In addition to the information in
Sec. 4043.3(b), the notice shall include--
(1) A copy of the relevant loan documents (e.g., promissory note,
security agreement);
(2) The due date and amount of any missed payment;
(3) A copy of any notice of default from the lender; and
(4) A copy of any notice of acceleration from the lender.
(c) Waivers.--(1) Default cured. Notice is waived if the default is
cured, or waived by the lender, within 30 days or, if later, by the end
of any cure period provided by the loan agreement.
(2) Foreign entity. Notice is waived if the debtor is a foreign
entity other than a foreign parent.
(3) Plan funding. Notice is waived if--
(i) No variable rate premium. No variable rate premium is required
to be paid for the plan for the event year;
(ii) $1 million unfunded vested benefits. As of the testing date
for the event year, the plan has less than $1 million in unfunded
vested benefits;
(iii) No unfunded vested benefits. As of the testing date for the
event year, the plan would have no unfunded vested benefits if unfunded
vested benefits were determined in accordance with the assumptions and
methodology in Sec. 4010.4(b)(2) of this chapter; or
(iv) 80-percent funded. As of the testing date for the event year,
the fair market value of the plan's assets is at least 80 percent of
the plan's vested benefits amount.
(d) Notice date and extensions.
(1) In general. Except as provided in paragraph (d)(2) or (d)(3) of
this section, the notice date is 30 days after the person required to
report knows or has reason to know of the occurrence of the default,
without regard to the time of any other conditions required for the
default to be reportable.
(2) Cure period extensions. The notice date is extended to one day
after--
(i) The applicable cure period provided in the loan agreement (in
the case of a reportable event described in paragraph (a)(1) of this
section);
(ii) The date the loan is accelerated (in the case of a reportable
event described in paragraph (a)(2) of this section); or
(iii) The date the debtor receives written notice of the default
(in the case of a reportable event described in paragraph (a)(3) of
this section).
(3) Form 1 extension. The notice date is extended to 30 days after
the plan's variable rate premium filing due date for the event year, if
a waiver under any of paragraphs (c)(3)(i) through (c)(3)(iv) of this
section would apply if ``the plan year preceding the event year'' were
substituted for ``the event year.''
(4) Foreign parent and foreign-linked entities. With respect to a
loan default
[[Page 38419]]
involving only a foreign parent or a foreign-linked entity, the notice
date is extended to 30 days after the plan's first Form 5500 due date
after the person required to notify the PBGC has actual knowledge of
the default and of the controlled group relationship.
(5) Example. Company A has a debt with an outstanding balance of
$20 million, for which a payment is due on October 1. Under the terms
of the loan, the default may be cured within 10 days. Company A does
not make the payment until October 31. Because Company A has made the
payment within 30 days of the due date, no reportable event has
occurred. If Company A does not make the payment by October 31, a
reportable event will have occurred on October 1, and notice will be
due by October 31.
Sec. 4043.35 Bankruptcy or similar settlement.
(a) Reportable event. A reportable event occurs for a plan when any
member of the plan's controlled group--
(1) Commences a bankruptcy case (under the Bankruptcy Code), or has
a bankruptcy case commenced against it;
(2) Commences or has commenced against it any other type of
insolvency proceeding (including, but not limited to, the appointment
of a receiver);
(3) Commences, or has commenced against it, a proceeding to effect
a composition, extension, or settlement with creditors;
(4) Executes a general assignment for the benefit of creditors; or
(5) Undertakes to effect any other nonjudicial composition,
extension, or settlement with substantially all its creditors.
(b) Initial information required. In addition to the information in
Sec. 4043.3(b), the notice shall include--
(1) A copy of all papers filed in the relevant proceeding,
including, but not limited to, petitions and supporting schedules;
(2) The last date for filing claims;
(3) The name, address, and phone number of any trustee or receiver
(or similar person);
(4) The name of each member of the plan's controlled group and its
ownership relationship to other members of that controlled group; and
(5) For each other plan maintained by any member of the plan's
controlled group, identification of the plan and its contributing
sponsor(s) by name and EIN/PN or EIN, as appropriate.
(c) Waivers. Notice is waived if the person described in paragraph
(a) of this section is a foreign entity other than a foreign parent.
(d) Extensions. Unless the controlled group member described in
paragraph (a) of this section is the contributing sponsor of the plan,
the notice date is extended until 30 days after the person required to
notify the PBGC has actual knowledge of the reportable event.
Subpart C--Advance Notice of Reportable Events
Sec. 4043.61 Advance reporting filing obligation.
(a) In general. Unless a waiver or extension applies with respect
to the plan, each contributing sponsor of a plan for which a reportable
event under this subpart is going to occur is required to notify the
PBGC no later than 30 days before the effective date of the reportable
event if the contributing sponsor is subject to advance reporting.
(b) Persons subject to advance reporting. A contributing sponsor is
subject to the advance reporting requirement under paragraph (a) of
this section if--
(1) Neither the contributing sponsor nor the member of the plan's
controlled group to which the event relates is a public company; and
(2) The contributing sponsor is a member of a controlled group
maintaining one or more plans that, in the aggregate (disregarding
plans with no unfunded vested benefits) have--
(i) Vested benefits amounts that exceed the actuarial values of
plan assets by more than $50 million; and
(ii) A funded vested benefit percentage of less than 90 percent.
(c) Funding determinations. For purposes of paragraph (b)(2) of
this section.
(1) Actuarial value of assets. The actuarial value of plan assets
is determined in accordance with Sec. 4006.4(b)(2) of this chapter;
(2) Funded vested benefit percentage. The aggregate funded vested
percentage of one or more plans is the percentage that the total
actuarial values of plan assets bears to the plans' total vested
benefits amounts; and
(3) Testing date. Each plan's assets and vested benefits amount are
determined as of that plan's testing date for the plan year that
includes the effective date of the reportable event.
(d) Shortening of 30-day period. Pursuant to Sec. 4043.3(d), the
PBGC may, upon review of an advance notice, shorten the notice period
to allow for an earlier effective date.
Sec. 4043.62 Change in contributing sponsor or controlled group.
(a) Reportable event and information required. Advance notice is
required for a change in a plan's contributing sponsor or controlled
group, as described in Sec. 4043.29(a), and the notice shall include
the information described in Sec. 4043.29(b) and, if known, the
expected effective date of the reportable event.
(b) Waivers--(1) Small plan. Notice is waived with respect to a
change of contributing sponsor if the transferred plan has 500 or fewer
participants.
(2) De minimis 5-percent segment. Notice is waived if the person or
persons that will cease to be members of the plan's controlled group
represent a de minimis 5-percent segment of the plan's old controlled
group for the most recent fiscal year(s) ending on or before the
effective date of the reportable event.
Sec. 4043.63 Liquidation.
(a) Reportable event and information required. Advance notice is
required for a liquidation of a member of a plan's controlled group, as
described in Sec. 4043.30(a), and the notice shall include the
information described in Sec. 4043.30(b) and, if known, the expected
effective date of the reportable event.
(b) Waiver. Notice is waived if the person that liquidates is a de
minimis 5-percent segment of the plan's controlled group for the most
recent fiscal year(s) ending on or before the effective date of the
reportable event, and any plan that was maintained by the liquidating
member is maintained by another member of the plan's controlled group.
Sec. 4043.64 Extraordinary dividend or stock redemption.
(a) Reportable event and information required. Advance notice is
required for a distribution by a member of a plan's controlled group
that would be described in Sec. 4043.31(a) if both assets and
liabilities were valued at fair market value. The notice shall include
the information described in Sec. 4043.31(b).
(b) Waiver. Notice is waived if the person making the distribution
is a de minimis 5-percent segment of the plan's controlled group for
the most recent fiscal year(s) ending on or before the effective date
of the reportable event.
Sec. 4043.65 Transfer of benefit liabilities.
(a) Reportable event and information required. Advance notice is
required for a transfer of benefit liabilities, as described in
Sec. 4043.32(a) (determined without regard to Sec. 4043.32(d)), and the
notice shall include the information described in Sec. 4043.32(b).
(b) Waivers. Notice is waived--
(1) In the circumstances described in Sec. 4043.32 (c)(1), (c)(2),
and (c)(4); and
(2) If the benefit liabilities of 500 or fewer participants are
transferred, in the circumstances described in Sec. 4043.32(c)(3).
[[Page 38420]]
Sec. 4043.66 Application for minimum funding waiver.
(a) Reportable event and information required. Advance notice is
required for an application for a minimum funding waiver, as described
in Sec. 4043.33(a), and the notice shall include the information
described in Sec. 4043.33(b).
(b) Extension. The notice date is extended until 10 days after the
reportable event has occurred.
Sec. 4043.67 Loan default.
(a) Reportable event and information required. Advance notice is
required for a loan default, as described in Sec. 4043.34(a) (or that
would be so described if ``10 days'' were substituted for ``30 days''
in Sec. 4043.34(a)(1)). The notice shall include the information
described in Sec. 4043.34(b).
(b) Waivers. Notice is waived if the reportable default is cured,
or the lender waives the default, within 10 days or, if later, by the
end of any cure period.
(c) Extensions. The notice date is extended to the later of--
(1) 10 days after default. 10 days after the default occurs
(without regard to the time of any other conditions required for the
default to be reportable); and
(2) One day after subsequent event. One day after--
(i) The applicable cure period provided in the loan agreement (in
the case of a default described in Sec. 4043.34(a)(1));
(ii) The date the loan is accelerated (in the case of a default
described in Sec. 4043.34(a)(2)); and
(iii) The date the debtor receives written notice of the default
(in the case of a default described in Sec. 4043.34(a)(3)).
Sec. 4043.68 Bankruptcy or similar settlement.
(a) Reportable event and information required. Advance notice is
required for a bankruptcy or similar settlement, as described in
Sec. 4043.35(a), and the notice shall include the information described
in Sec. 4043.35(b).
(b) Extension. The notice date is extended until 10 days after the
reportable event has occurred.
Subpart D--Notice of Failure to Make Required Contributions
Sec. 4043.81 PBGC Form 200, notice of failure to make required
contributions; supplementary information.
(a) General rules. To comply with the notification requirement in
section 302(f)(4) of ERISA and section 412(n)(4) of the Code, a
contributing sponsor of a single-employer plan that is covered under
section 4021 of ERISA and, if that contributing sponsor is a member of
a parent-subsidiary controlled group, the ultimate parent must complete
and submit in accordance with this section a properly certified Form
200 that includes all required documentation and other information, as
described in the related filing instructions. Notice is required
whenever the unpaid balance of a required installment or any other
payment required under section 302 of ERISA and section 412 of the Code
(including interest), when added to the aggregate unpaid balance of all
preceding such installments or other payments for which payment was not
made when due (including interest), exceeds $1 million.
(1) Form 200 must be filed with the PBGC no later than 10 days
after the due date for any required payment for which payment was not
made when due.
(2) If a contributing sponsor or the ultimate parent completes and
submits Form 200 in accordance with this section, the PBGC will
consider the notification requirement in section 302(f)(4) of ERISA and
section 412(n)(4) of the Code to be satisfied by all members of a
controlled group of which the person who has filed Form 200 is a
member.
(b) Supplementary information. If, upon review of a Form 200, the
PBGC concludes that it needs additional information in order to make
decisions regarding enforcement of a lien imposed by section 302(f) of
ERISA and section 412(n) of the Code, the PBGC may require any member
of the contributing sponsor's controlled group to supplement the Form
200 in accordance with Sec. 4043.3(d).
PART 4065--ANNUAL REPORT
4. The authority citation for part 4065 is revised to read as
follows:
Authority: 29 U.S.C. 1302(b)(3), 1365.
5. Section 4065.3 is amended by redesignating the existing text as
paragraph (b); and adding a new paragraph (a) to read as follows:
Sec. 4065.3 Filing requirement.
(a) The requirement to report the occurrence of a reportable event
under section 4043 of ERISA in the Annual Report is waived.
* * * * *
Issued in Washington, DC, this 17th day of July, 1996.
Martin Slate,
Executive Director, Pension Benefit Guaranty Corporation.
[FR Doc. 96-18608 Filed 7-23-96; 8:45 am]
BILLING CODE 7708-01-P
Complete official Federal Register PDF
FR Doc. 96-18464 Honey Research, Promotion, and Consumer Information Order Continuance Referendum; Correction
[Federal Register Volume 61, Number 143 (Wednesday, July 24, 1996)]
[Proposed Rules]
[Page 38407]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-18464]
========================================================================
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. 61, No. 143 / Wednesday, July 24, 1996 /
Proposed Rules
[[Page 38407]]
DEPARTMENT OF AGRICULTURE
Agricultural Marketing Service
7 CFR Part 1240
[AMS-FV-96-707.C]
Honey Research, Promotion, and Consumer Information Order--
Continuance Referendum; Correction
AGENCY: Agricultural Marketing Service, USDA.
ACTION: Correction to referendum order.
-----------------------------------------------------------------------
SUMMARY: This document contains a correction to the referendum order
which was published Tuesday, July 2, 1996 (61 FR 34385). The referendum
order directed that a referendum be conducted among honey producers,
producer-packers, and importers to determine if they favor continuance
of the Honey Research, Promotion, and Consumer Information Order.
FOR FURTHER INFORMATION CONTACT: Richard B. Schultz, Research and
Promotion Branch, Fruit and Vegetable Division, AMS, USDA, P.O. Box
96456, Room 2535-S, Washington, DC 29909-6456; telephone (202) 720-
9915.
SUPPLEMENTARY INFORMATION:
Background
The Honey Research, Promotion, and Consumer Information Act (Act)
provides that the Secretary of Agriculture (Secretary) conduct a
referendum every 5 years among honey producers, producer-packers, and
importers to determine whether they favor continuance of the the Honey
Research, Promotion, and Consumer Information Order (Order). The last
continuance referendum was conducted in August 1991, and, in compliance
with the Act, a continuance referendum will be held August 1996.
In the July 2, 1996, Federal Register at 61 FR 34385, the
Department of Agriculture (USDA) ordered that a referendum be held, set
forth the authority for conducting a continuance referendum, announced
the dates of the the voting period and the representative period for
establishing voter eligibility, the referendum agents, and the
procedures to be used to conduct the referendum. However, the section
of the Act which provides that a continuance referendum must be
conducted was incorrectly listed as section 13(d)(1) rather than
section 13(b)(1).
Need for Correction
In the final rule, the section of the Act which provides that a
continuance referendum be conducted was incorrectly listed as section
13(d)(1) rather than section 13(b)(1).
Correction of Publication
Accordingly, in the July 2, 1996, publication FR Doc.96-16839, page
34386, in the first column, under the heading ``Referendum Order'', in
the first line of the second paragraph the words ``Section 13(d)(1)''
are removed and the words ``Section 13(b)(1)'' are added in their
place.
Dated: July 15, 1996.
Robert C. Keeney,
Director, Fruit and Vegetable Division.
[FR Doc. 96-18464 Filed 7-23-96; 8:45 am]
BILLING CODE 3410-02-P
Complete official Federal Register PDF
FR Doc. 96-18392 Avermectin B1 and Its Delta-8,9-Isomer; Proposed Pesticide Tolerance
[Federal Register Volume 61, Number 143 (Wednesday, July 24, 1996)]
[Proposed Rules]
[Pages 38428-38430]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-18392]
-----------------------------------------------------------------------
ENVIRONMENTAL PROTECTION AGENCY
40 CFR Part 180
[PP 5F4508/P673; FRL-5385-2]
RIN 2070-AC18
Avermectin B1 and Its Delta-8,9-Isomer; Proposed Pesticide
Tolerance
AGENCY: Environmental Protection Agency (EPA).
ACTION: Proposed Rule.
-----------------------------------------------------------------------
SUMMARY: EPA proposes to establish a tolerance for combined residues of
the insecticide Avermectin B1 and its delta-8,9-isomer in or on
the raw agricultural commodity potatoes. The proposed regulation to
establish a maximum permissible level for residues of the insecticide
was requested in a petition submitted by the Merck Research
Laboratories, Division of Merck Co., Inc.
DATES: Comments, identified by the docket number [PP 5F4508/P673], must
be received on or before August 23, 1996.
ADDRESSES: By mail, submit written comments to: Public Response and
Program Resources Branch, Field Operations Division (7506C), Office of
Pesticide Programs, Environmental Protection Agency, 401 M St., SW.,
Washington, DC 20460. In person, bring comments to: Rm. 1132, CM #2,
1921 Jefferson Davis Highway, Arlington, VA 22202. Information
submitted as a comment concerning this notice may be claimed
confidential by marking any part or all of that information as
``Confidential Business Information'' (CBI). Information so marked will
not be disclosed except in accordance with
[[Page 38429]]
procedures set forth in 40 CFR part 2. A copy of the comment that does
not contain CBI must be submitted for inclusion in the public record.
Information not marked confidential may be disclosed publicly by EPA
without prior notice. All written comments will be available for public
inspection in Rm. 1132 at the address given above, from 8 a.m. to 4:30
p.m., Monday through Friday, excluding legal holidays.
Comments and data may also be submitted electronically by sending
electronic mail (e-mail) to [email protected]. Electronic
comments must be submitted as an ASCII file avoiding the use of special
characters and any form of encryption. Comments and data will also be
accepted on disks in WordPerfect 5.1 file format or ASCII file format.
All comments and data in electronic form must be identified by the
docket number [PP 5F4508/P673]. No CBI should be submitted through e-
mail. Electronic comments on this proposed rule may be filed online at
many Federal Depository Libraries. Additional information on electronic
submissions can be found below in this document.
FOR FURTHER INFORMATION CONTACT: By mail: George LaRocca, Product
Manager (PM) 13, Registration Division (7505C), Office of Pesticide
Programs, Environmental Protection Agency, 401 M St. SW., Washington,
DC 20460. Office location and telephone number: Rm. 204, CM #2, 1921
Jefferson Davis Highway, Arlington, VA 22202. (703) 305-6100, e-mail:
[email protected].
SUPPLEMENTARY INFORMATION: On April 19, 1995, Merck Research
Laboratories, Inc. submitted a pesticide petition (PP 5F4508)
requesting that the Administrator, pursuant to section 408(d) of the
Federal Food, Drug, and Cosmetic Act (FFDCA), 21 U.S.C. 346a(d),
establish a tolerance for combined residues of the insecticide
avermectin B1 and its delta-8,9-isomers in or on the raw
agricultural commodity (RAC) potatoes at 0.002 parts per million (ppm).
On February 20, 1996, at the request of EPA, Merck amended the
pesticide petition proposing an increase in the tolerance from 0.002
ppm to 0.005 ppm based on the limits of the analytical methodology
testing.
The data submitted in support of this tolerance and other relevant
material have been reviewed. The toxicological and metabolism data and
analytical methods for enforcement purposes considered in support of
this tolerance are discussed in detail in related documents published
in the Federal Register of May 31, 1989 (54 FR 23209) (for cottonseed)
and August 2, 1989 (54 FR 31836) (for citrus).
The Agency used a two-generation rat reproduction study with an
uncertainty factor of 300 to establish a Reference Dose (RfD). The 300-
fold uncertainty factor was utilized for (1) inter- and intra-species
differences, (2) the extremely serious nature (pup death) observed in
the reproduction study, (3) maternal toxicity (lethality) no-
observable-effect level (NOEL) (0.05 mg/kg/day), and (4) cleft palate
in the mouse developmental toxicity study with isomer (NOEL = 0.06 mg/
kg/day). Thus, based on a NOEL of 0.12 mg/kg/day from the two-
generation rat reproduction study and an uncertainty factor of 300, the
RfD is 0.0004 mg/kg/body weight(bwt)/day.
A chronic dietary exposure/risk assessment has been performed for
avermectin B1 using the above RfD. Available information on
anticipated residues and 100% crop treated was incorporated into the
analysis to estimate the Anticipated Residue Contribution (ARC). The
ARC is generally considered a more realistic estimate than an estimate
based on the tolerance-level residues. The ARC for established
tolerances and the current action is estimated at 0.000017 mg/kg/bwt/
day and utilizes 4.2 percent of the RfD for the U.S. population. For
non-nursing infants less than 1 year old (the sub-group population with
the highest exposure level) the ARC for established tolerances and the
current action is estimated at 0.000040 mg/kg bwt/day and utilizes
10.0% of the RfD. Generally speaking, the Agency has no cause for
concern if anticipated residues contribution for all published and
proposed tolerances is less than the RfD.
Because of the developmental effects seen in animal studies, the
Agency used the mouse teratology study (with a NOEL of 0.06 mg/kg/day
for developmental toxicity for the delta-8,9 isomer) to assess acute
dietary exposure and determine a margin of exposure (MOE) for the
overall U.S. population and certain subgroups. Since the toxicological
end point pertains to developmental toxicity, the population group of
interest for this analysis is women aged 13 and above, the subgroup
which most closely approximates women of child bearing ages. The MOE is
calculated as the ratio of the NOEL to the exposure. For this analysis,
the Agency calculated the MOE for the high-end exposures for women ages
13 and above. The MOE is 120. Generally speaking, MOEs greater than 100
for developmental toxicity do not raise concerns.
The metabolism of the chemical in plants and animals for the use is
adequately understood. The established tolerances for cattle meat, meat
byproducts, milk and fat are adequate to cover the increased dietary
burden from the addition of the feed items potato culls and processed
potato waste. There is no reasonable expectation of finite residues in
poultry and swine, therefore no tolerances are necessary at this time.
Adequate analytical methodology (HPLC-Fluorescence Methods) is
available for enforcement purposes. Prior to publication in the
Pesticide Analytical Manual, Vol II, the enforcement methodology is
being made available in the interim to anyone who is interested in
pesticide enforcement when requested from Calvin Furlow, Public
Response and Program Resource Branch, Field Operations Division
(7506C), Office of Pesticide Programs, U.S. Environmental Protection
Agency, 401 M St., SW., Washington, DC 20460. Office location and
telephone number: Rm. 1132, CM #2, 1921 Jefferson-Davis Hwy.,
Arlington, VA 22202, (703) 305-5232.
The tolerances established by amending 40 CFR part 180 will be
adequate to cover residues in or on potatoes. There are presently no
actions pending against the continued registration of this chemical.
Based on the information and data considered, the Agency has determined
that the tolerance established by amending 40 CFR part 180 would
protect the public health. Therefore, it is proposed that the tolerance
be established as set forth below.
Any person who has registered or submitted an application for
registration of a pesticide, under the Federal Insecticide, Fungicide,
and Rodenticide Act (FIFRA) as amended, which contains any of the
ingredients listed herein, may request within 30 days after publication
of this notice in the Federal Register that this rulemaking proposal be
referred to an Advisory Committee in accordance with section 408(e) of
the FFDCA.
Interested persons are invited to submit written comments on the
proposed regulation. Comments must bear a notation indicating the
docket number, [PP 5F4508/P673].
A record has been established for this rulemaking under docket
number [PP 5F4508/P673](including comments and data submitted
electronically as described below). A public version of this record,
including printed, paper versions of electronic comments, which does
not include any information claimed as CBI, is available for inspection
from 8 a.m. to 4:30 p.m.,
[[Page 38430]]
Monday through Friday, excluding legal holidays. The public record is
located in Room 1132 of the Public Response and Program Resources
Branch, Field Operations Division (7506C), Office of Pesticide
Programs, Environmental Protection Agency, CM #2, 1921 Jefferson Davis
Highway, Arlington, VA 22202.
Electronic comments can be sent directly to EPA at:
[email protected]
Electronic comments must be submitted as an ASCII file avoiding the
use of special characters and any form of encryption.
The official record of this rulemaking, as well as the public
version, as described above, will be kept in paper form. Accordingly,
EPA will transfer all comments received electronically into printed
paper form as they are received and will place the paper copies in the
official rulemaking record which will also include all comments
submitted directly in writing. The official rulemaking record is the
paper record maintained at the address in ADDRESSEES at the beginning
of this document.
Under Executive Order 12866 (58 FR 51735, Oct. 4, 1993), the Agency
must determine whether the regulatory action is ``significant'' and
therefore subject to all the requirements of the Executive Order (i.e.,
Regulatory Impact Analysis, review by the Office of Management and
Budget (OMB)). Under section 3(f), the order defines ``significant'' as
those actions likely to lead to a rule (1) having an annual effect on
the economy of $100 million or more, or adversely and materially
affecting a sector of the economy, productivity, competition, jobs, the
environment, public health or safety, or State, local or tribal
governments or communities (also known as ``economically
significant''); (2) creating serious inconsistency or otherwise
interfering with an action taken or planned by another agency; (3)
materially altering the budgetary impacts of entitlement, grants, user
fees, or loan programs; or (4) raising novel legal or policy issues
arising out of legal mandates, the President's priorities, or the
principles set forth in this Executive Order.
Pursuant to the terms of this Executive Order, EPA has determined
that this rule is not ``significant'' and is therefore not subject to
OMB review.
This action does not impose any enforceable duty, or contain any
``unfunded mandates'' as described in Title II of the Unfunded Mandates
Reform Act of 1995 (Pub. L. 104-4), or require prior consultation as
specified by Executive Order 12875 (58 FR 58093, October 28, 1993),
entitled Enhancing the Intergovernmental Partnership, or special
consideration as required by Executive Order 12898 (59 FR 7629,
February 16, 1994).
Pursuant to the requirements of the Regulatory Flexibility Act
(U.S.C. 601-612), the Administrator has determined that regulations
establishing new tolerances or raising tolerance levels or establishing
exemptions from tolerance requirements do not have a significant
economic impact on a substantial number of small entities. A
certification statement explaining the factual basis for this
determinations was published in the Federal Register of May 4, 1981 (46
FR 24950).
List of Subjects in 40 CFR Part 180
Environmental protection, Administrative practice and procedure,
Agricultural commodities, Pesticides and pests, Reporting and record
keeping requirements.
Dated: July 10, 1996.
Stephen L. Johnson,
Director, Registration Division, Office of Pesticide Programs.
Therefore, it is proposed that 40 CFR part 180 be amended as
follows:
PART 180--[AMENDED]
1. The authority citation of part 180 continues to read as follows:
Authority: 21 U.S.C. 346a and 371.
2. In Sec. 180.449 the table in paragraph (b) is amended by adding
alphabetically an entry for the commodity ``potatoes,'' to read as
follows:
Sec. 180.449 Avermectin B1 and its delta-8,9-isomer; tolerances
for residues.
* * * * *
(b) * * *
------------------------------------------------------------------------
Parts per
Commodity million
------------------------------------------------------------------------
* * * * *
Potatoes................................................... 0.005
* * * * *
------------------------------------------------------------------------
[FR Doc. 96-18392 Filed 7-23-96; 8:45 am]
BILLING CODE 6560-50-F
Complete official Federal Register PDF
FR Doc. 96-18391 Polybutene; Tolerance Exemption
[Federal Register Volume 61, Number 143 (Wednesday, July 24, 1996)]
[Proposed Rules]
[Pages 38426-38428]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-18391]
-----------------------------------------------------------------------
ENVIRONMENTAL PROTECTION AGENCY
40 CFR Part 180
[PP 3E4254/P658; FRL-5371-2]
Polybutene; Tolerance Exemption
AGENCY: Environmental Protection Agency (EPA).
ACTION: Proposed rule.
-----------------------------------------------------------------------
SUMMARY: This document proposes that an exemption from the requirement
of a tolerance be established for residues of polybutene, when used as
an inert ingredient (sticker and spreading agent) in pesticide
formulations applied to growing crops only. This proposed regulation
was requested by Miller Chemical and Fertilizer Corporation pursuant to
the Federal Food, Drug, and Cosmetic Act (FFDCA). This proposed time-
limited exemption from the requirement of a tolerance will expire 2
years and 9 months after promulgation of the final rule in the Federal
Register.
DATES: Comments, identified by the docket control number [PP 3E4254/
P658], must be received on or before August 23, 1996.
ADDRESSES: By mail, submit written comments to: Public Response and
Program Resources Branch, Field
[[Page 38427]]
Operations Division (7506C), Office of Pesticide Programs,
Environmental Protection Agency, 401 M St., SW., Washington, DC 20460.
In person deliver comments to: Rm. 1132, Crystal Mall #2, 1921
Jefferson Davis Highway, Arlington, VA.
Information submitted as a comment concerning this document may be
claimed confidential by marking any part or all of that information as
``Confidential Business Information'' (CBI). Information so marked will
not be disclosed except in accordance with procedures set forth in 40
CFR part 2. A copy of the comment that does not contain CBI must be
submitted for inclusion in the public record. Information not marked
confidential will be included in the public docket by EPA without prior
notice. The public docket is available for public inspection in Rm.
1132 at the address given above, from 8 a.m. to 4:30 p.m., Monday
through Friday, excluding legal holidays.
Comments and data may also be submitted electronically by sending
electronic mail (e-mail) to: [email protected]. Electronic
comments must be submitted as an ASCII file avoiding the use of special
characters and any form of encryption. Comments and data will also be
accepted on disks in WordPerfect 5.1 file format or ASCII file format.
All comments and data in electronic form must be identified by the
docket number, [PP 3E4254/P658]. No CBI should be submitted through e-
mail. Electronic comments on this proposed rule may be filed online at
many Federal Depository Libraries. Additional information on electronic
submissions can be found below in this document.
FOR FURTHER INFORMATION CONTACT: By mail: Mary Waller, Registration
Support Branch, Registration Division (7505W), Office of Pesticide
Programs, Environmental Protection Agency, 401 M St., SW., Washington,
DC 20460. Office location, telephone number, and e-mail address: 2800
Crystal Drive, North Tower, Arlington, VA, (703) 308-8320, e-mail:
[email protected].
SUPPLEMENTARY INFORMATION: Miller Chemical and Fertilizer Corporation,
P.O. Box 333, 120 Radio Road, Hanover, PA 17331, has submitted
pesticide petition (PP) 3E4254 to EPA requesting that the
Administrator, pursuant to section 408(e) of the Federal Food, Drug,
and Cosmetic Act, 21 U.S.C. 346a(e), propose to amend 40 CFR
180.1001(d) by establishing an exemption from the requirement of a
tolerance for residues of polybutene, when used as an inert ingredient
(sticker and spreading agent) in pesticide formulations applied to
growing crops only.
Inert ingredients are all ingredients that are not active
ingredients as defined in 40 CFR 153.125 and include, but are not
limited to, the following types of ingredients (except when they have a
pesticidal efficacy of their own): solvents such as alcohols and
hydrocarbons; surfactants such as polyoxyethylene polymers and fatty
acids; carriers such as clay and diatomaceous earth; thickeners such as
carrageenan and modified cellulose; wetting, spreading, and dispersing
agents; propellants in aerosol dispensers; microencapsulating agents;
and emulsifiers. The term ``inert'' is not intended to imply
nontoxicity; the ingredient may or may not be chemically active.
The data submitted in the petition and other relevant material have
been evaluated. As part of the EPA policy statement on inert
ingredients published in the Federal Register of April 22, 1987 (52 FR
13305), the Agency set forth a list of studies which would generally be
used to evaluate the risks posed by the presence of an inert ingredient
in a pesticide formulation. However, where it can be determined without
that data that the inert ingredient will present minimal or no risk,
the Agency generally does not require some or all of the listed studies
to rule on the proposed tolerance or exemption from the requirement of
a tolerance for an inert ingredient. The results of the data and
evaluations are described below:
1. Acute toxicity data indicated the following: acute oral toxicity
studies established LD50 values ranging from 5,000 mg/kg to 12,000
mg/kg; an acute dermal toxicity study demonstrated no systemic
toxicity; primary eye irritation studies demonstrated minimal eye
irritation; a primary skin irritation study demonstrated no dermal
irritation; and a dermal sensitization study was negative.
2. A 90-day rat oral toxicity study established the systemic
toxicity no-observed-effect level (NOEL) of > 2,500 mg/kg/day.
3. A gene mutation test in cultured/chinese hamster ovary cell
strain AS52 CHO/XPRT showed no evidence of cytotoxicity or mutagenicity
up to a concentration of 1.0 g/plate.
4. An in vivo mammalian marrow cytogenetic test using mice
indicated no increased incidence of micronucleated polychromatic
erythrocytes.
5. The Structural Activity Team (SAT) of the Office of Pollution
Prevention, and Toxics (OPPT) evaluated this inert ingredient based on
the physico-chemical characteristics submitted by the petitioner and
the validated data. The SAT stated that no absorption was expected
through any exposure route, and the health effects of this inert
ingredient are of low concern. The SAT concluded that exposure to the
inert ingredient was not expected to result in any significant health
effects.
6. An avian acute oral toxicity study established an LD50 >
2,150 mg/kg and an avian subacute dietary toxicity study established an
LC50 > 5,000 ppm.
7. Exposure to aquatic environments is considered unlikely based on
the poor solubility and sticky physical characteristic of the inert
ingredient.
8. The inert ingredient is expected to degrade via photochemical
reactions followed by microbial co-metabolism of the photochemical
products. Leaching is not expected because of the inert ingredient's
relative insolubility in water and tendency to adhere to surfaces as a
film.
The Agency does not expect exposure to polybutene to pose a risk to
the public health based on the toxicological profile which indicates a
lack of mutagenicity, the extremely low acute and subchronic toxicity,
and the SAT evaluation which indicated that no absorption was expected
via any exposure route and therefore, exposure to this inert ingredient
would not result in any significant health effects. The Agency has
concluded that ecological effects are minimal based on the extremely
low avian toxicity, and the unique physico-chemical characteristics
which also attributed to the low environmental concern.
Based upon the above information and review of its use, the Agency
has found that, when used in accordance with good agicultural
practices, this inert ingredient is useful and a tolerance is not
necessary to protect the public health. Therefore, EPA proposes that
the exemption from the requirement of a tolerance be established as set
forth below.
The Agency has decided to add a separate section to part 180
instead of amending Sec. 180.1001(d) as proposed by the petitioner.
This change is being made because this is a time-limited exemption from
the requirement of a tolerance and it would not fit well in the table
format of paragraph (d). In addition, this exemption from the
requirement of a tolerance is being proposed as a time-limited
exemption because the Agency does not have data for two required
studies: A 90-day feeding study in dogs and a developmental toxicity
study in rodents. These studies are being required because they are
part of the base set data
[[Page 38428]]
requirements. The Agency will require that the above studies be
submitted within 2 years of the date of promulgation of the final rule
in the Federal Register. When the Agency receives these studies, it
will reassess this exemption from the requirement of a tolerance.
However, based upon the data considered in support of the petition and
the restriction on exposure offered by a time limitation, the Agency
does not believe that this proposed exemption from the requirement of a
tolerance poses a risk to human health or the environment.
Upon adoption, this exemption from the requirement of a tolerance
will expire 2 years and 9 months after promulgation of the final rule
in the Federal Register. Residues will not be considered actionable if
a pesticide containing this inert ingredient is legally applied during
the term of a conditional registration under the Federal Insecticide,
Fungicide and Rodenticide Act (FIFRA), as amended, and in accordance
with the acceptable labeling under a conditional registration. This
exemption from the requirement of a tolerance will be revoked if any
data indicate such revocation is necessary to protect the public
health.
Any person who has registered or submitted an application for
registration of a pesticide, under the Federal Insecticide, Fungicide,
and Rodenticide Act (FIFRA) as amended, which contains any of the
ingredients listed herein, may request within 30 days after publication
of this document in the Federal Register that this proposal be referred
to an Advisory Committee in accordance with section 408(e) of FFDCA.
Interested persons are invited to submit written comments on the
proposed regulation. Comments must bear a notation indicating the
docket control number, [PP 3E4254/P658]. All written comments filed in
response to this petition will be available in the Public Response and
Program Resources Branch.
A record has been established for this rulemaking under docket
number [PP 3E4254/P658] (including comments and data submitted
electronically as described below). A public version of this record,
including printed, paper versions of electronic comments, which does
not include any information claimed as CBI, is available for inspection
from 8 a.m. to 4:30 p.m., Monday through Friday, excluding legal
holidays. The public record is located in Room 1132 of the Public
Response and Program Resources Branch, Field Operations Division
(7506C), Office of Pesticide Programs, Environmental Protection Agency,
Crystal Mall #2, 1921 Jefferson Davis Highway, Arlington, VA.
Electronic comments can be sent directly to EPA at:
[email protected]
Electronic comments must be submitted as an ASCII file avoiding the
use of special characters and any form of encryption.
The official record for this rulemaking, as well as the public
version, as described above will be kept in paper form. Accordingly,
EPA will transfer all comments received electronically into printed,
paper form as they are received and will place the paper copies in the
official rulemaking record which will also include all comments
submitted directly in writing. The official rulemaking record is the
paper record maintained at the address in ADDRESSES at the beginning of
this document.
The Office of Management and Budget has exempted this proposed rule
from the requirements of section 3 of Executive Order 12866.
This action does not impose any enforceable duty, or contain any
``unfunded mandates'' as described in Title II of the Unfunded Mandates
Reform Act of 1995 (Pub. L. 104-4), or require prior consultation as
specified by Executive Order 12875 (58 FR 58093, October 28, 1993),
entitled Enhancing the Intergovernmental Partnership, or special
consideration as required by Executive Order 12898 (59 FR 7629,
February 16, 1994).
Pursuant to the requirements of the Regulatory Flexibility Act (5
U.S.C. 601-612), the Administrator has determined that regulations
establishing new inert ingredient tolerances or raising tolerance
levels or establishing exemptions from tolerance requirements do not
have a significant economic impact on a substantial number of small
entities. A certification statement explaining the factual basis for
this determination was published in the Federal Register of May 4, 1981
(46 FR 24950).
List of Subjects in 40 CFR Part 180
Environmental protection, Administrative practice and procedure,
Agricultural commodities, Pesticides and pests, Reporting and
recordkeeping requirements.
Dated: July 5, 1996.
Peter Caulkins,
Acting Director, Registration Division, Office of Pesticide Programs.
Therefore, it is proposed that 40 CFR part 180 be amended as
follows:
PART 180--[AMENDED]
1. The authority citation for part 180 continues to read as
follows:
Authority: 21 U.S.C. 346a and 371.
2. Section 180.1168 is added to subpart D to read as follows:
Sec. 180.1168 Polybutene; exemption from the requirement of a
tolerance.
A time-limited exemption from the requirement of a tolerance is
established for residues of polybutene (CAS Reg. No. 9003-29-6),
molecular weight (in amu) 320 or greater, not to exceed 35 percent of
the pesticide formulation when used as an inert ingredient (sticker and
spreading agent) in pesticide formulations applied to growing crops
only. This time-limited exemption from the requirement of a tolerance
will expire on April 26, 1999.
[FR Doc. 96-18391 Filed 7-23-96; 8:45 am]
BILLING CODE 6560-50-F
Complete official Federal Register PDF
FR Doc. 96-18388 N-Acyl Sarcosines and Sodium N-Acyl Sarcosinates; Proposed Tolerance Exemption
[Federal Register Volume 61, Number 143 (Wednesday, July 24, 1996)]
[Proposed Rules]
[Pages 38423-38426]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-18388]
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ENVIRONMENTAL PROTECTION AGENCY
40 CFR Part 180
[PP 4E4417/P671; FRL-5382-8]
RIN 2070-AC18
N-Acyl Sarcosines and Sodium N-Acyl Sarcosinates; Proposed
Tolerance Exemption
AGENCY: Environmental Protection Agency (EPA).
ACTION: Proposed rule.
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SUMMARY: This document proposes that residues of N-acyl sarcosines [N-
oleoyl sarcosine, N-stearoyl sarcosine, N-lauroyl sarcosine, N-
myristoyl sarcosine, N-cocoyl sarcosine mixture] and sodium N-acyl
sarcosinates [N-methyl-N-(1-oxo-9-octodecenyl) glycine, N-methyl-N-(1-
oxooctadecyl) glycine, N-methyl-N-(1-oxododecyl) glycine, N-methyl-N-
(1-oxotetradecyl) glycine, and N-cocoyl sarcosine sodium salt mixture
be exempted from the requirement of a tolerance when used at levels not
to exceed 10% as inert ingredients (surfactants) in pesticide
formulations applied to growing crops, crops after harvest, and on
animals. This proposed regulation was requested by Hampshire
[[Page 38424]]
Chemical Company, pursuant to the Federal Food, Drug, and Cosmetic Act
(FFDCA).
DATES: Comments, identified by the docket control number [PP 4E4417/
P671], must be received on or before August 23, 1996.
ADDRESSES: By mail, submit written comments to: Public Response and
Program Resources Branch, Field Operations Division (7506C), Office of
Pesticide Programs, Environmental Protection Agency, 401 M St., SW.,
Washington, DC 20460. In person deliver comments to: Rm. 1132, CM #2,
1921 Jefferson Davis Highway, Arlington, VA.
Information submitted as a comment concerning this document may be
claimed confidential by marking any part or all of that information as
``Confidential Business Information'' (CBI). Information so marked will
not be disclosed except in accordance with procedures set forth in 40
CFR part 2. A copy of the comment that does not contain CBI must be
submitted for inclusion in the public record. Information not marked
confidential will be included in the public docket by EPA without prior
notice. The public docket is available for public inspection in Rm.
1132 at the address given above, from 8 a.m. to 4:30 p.m., Monday
through Friday, excluding legal holidays.
Comments and data may also be submitted electronically by sending
electronic mail (e-mail) to: [email protected]. Electronic
comments must be submitted as an ASCII file avoiding the use of special
characters and any form of encryption. Comments and data will also be
accepted on disks in WordPerfect in 5.1 file format or ASCII file
format. All comments and data in electronic form must be identified by
the docket number, [PP 4E4417/P671]. No CBI should be submitted through
e-mail. Electronic comments on this proposed rule may be filed online
at many Federal Depository Libraries. Additional information on
electronic submissions can be found below in this document.
FOR FURTHER INFORMATION CONTACT: By mail: Amelia M. Acierto,
Registration Support Branch, Registration Division (7505W), Office of
Pesticide Programs, Environmental Protection Agency, 401 M St., SW.,
Washington, DC 20460. Office location, telephone number, and e-mail
address: 2800 Crystal Drive, North Tower, Arlington, VA, (703) 308-
8375, e-mail: [email protected].
SUPPLEMENTARY INFORMATION: Hampshire Chemical Company, 55 Hayden
Avenue, Lexington, MA 02173, has submitted pesticide petition (PP)
4E4417 to EPA requesting that the Administrator, pursuant to section
408(e) of the Federal Food, Drug, and Cosmetic Act, 21 U.S.C. 346a(e),
propose to amend 40 CFR 180.1001(c) and (e) by establishing an
exemption from the requirement of a tolerance for N-acyl sarcosines [N-
oleoyl sarcosine (CAS Reg. No. 110-25-8); N-stearoyl sarcosine (CAS
Reg. No. 142-48-3); N-lauroyl sarcosine (CAS Reg. No. 97-78-9); N-
myristoyl sarcosine (CAS Reg. No. 52558-73-3); N-cocoyl sarcosine
mixture (CAS Reg. No. 68411-97-2); and sodium N-acyl sarcosinates [N-
methyl-N-(1-oxo-9-octodecenyl) glycine (CAS Reg. No. 3624-77-9); N-
methyl-N-(1-oxooctadecyl) glycine (CAS Reg. No. 5136-55-0); N-methyl-N-
(1-oxododecyl) glycine (CAS Reg. No. 137-16-6); N-methyl-N-(1-
oxotetradecyl glycine (CAS Reg. No. 30364-51-3); and N-cocoyl sarcosine
sodium salt mixture (CAS Reg. No. 61791-59-1)] when used at levels not
to exceed 10% as inert ingredients (surfactants) in pesticide
formulations applied to growing crops, crops after harvest and animals
under 40 CFR 180.1001(c) and (e).
Inert ingredients are all ingredients that are not active
ingredients as defined in 40 CFR 153.125 and include, but are not
limited to, the following types of ingredients (except when they have a
pesticidal efficacy of their own): solvents such as alcohols and
hydrocarbons; surfactants such as polyoxyethylene polymers and fatty
acids; carriers such as clay and diatomaceous earth; thickeners such as
carrageenan and modified cellulose; wetting, spreading, and dispersing
agents; propellants in aerosol dispensers; microencapsulating agents;
and emulsifiers. The term ``inert'' is not intended to imply
nontoxicity; the ingredient may or may not be chemically active.
The data submitted in the petition and other relevant material have
been evaluated. As part of the EPA policy statement on inert
ingredients published in the Federal Register of April 22, 1987 (52 FR
13305), the Agency set forth a list of studies which would generally be
used to evaluate the risks posed by the presence of an inert ingredient
in a pesticide formulation. However, where it can be determined without
that data that the inert ingredient will present minimal or no risk,
the Agency generally does not require some or all of the listed studies
to rule on the proposed tolerance or exemption from the requirement of
a tolerance for an inert ingredient. The Agency has decided that no
data, in addition to that described below, for N-acyl sarcosines and
their corresponding sodium salts will need to be submitted. The
rationale for this decision is described below:
1. N-Acyl sarcosines form a large class of chemical compounds that
have been used for years in soaps, toiletries, toothpastes, medicated
skin cleaners and shampoos and other consumer products.
2. N-Acyl sarcosines have approved uses under the Federal Food,
Drug, and Cosmetic Act (FFDCA):
(a) Lauroyl and stearoyl sarcosines are approved for use as release
agents in coatings at levels up to 0.3% by weight of the finished food
packaging cellophane (21 CFR 177.1200).
(b) Lauroyl sarcosine, sodium salt is approved for use in food
packaging made of vinylidine chloride copolymer up to 0.35% by weight
(21 CFR 177.1200) and for use in holding food (21 CFR 175.105).
(c) Oleoyl sarcosine [listed as N-methyl-N-(1-oxo-9-octadecenyl)
glycine] is approved for use as a corrosion inhibitor at levels of up
to 0.5% of the lubricants used on machinery used for processing,
manufacturing, packing, processing, preparing, treating, packaging,
transporting or holding food (21 CFR 178.3570).
3. N-Acyl sarcosines where the acyl group is lauroyl, oleoyl, or
derived from the combined fatty acids of coconut oil (i.e., cocoyl) are
approved for use as anti-static and/or antifogging agents at levels up
to a total of 0.15% by weight of polyolefin film used for packaging
meat, fresh fruits, and fresh vegetables (21 CFR 178.3130).
4. The structurally similar compounds, N-methyl-N-oleoyltaurine,
sodium salt and N-methyl-N-palmitoyltaurine, sodium salt are approved
for use as surfactants in pesticide formulations applied to growing
crops or to raw agricultural commodities under 40 CFR 180.1001(c) and
are included in the EPA's list of inert ingredients accepted for non-
food use.
5. N-Methyl-N-oleoyl glycine and N-methyl-N-oleoyltaurine, sodium
salt, two other structurally similar compounds, are included in the EPA
list of inert ingredients approved for non-food use pesticides.
6. N-Acyl sarcosines were negative in dermal irritation, dermal
sensitization and mutagenicity studies.
7. Hazard to aquatic organisms is not expected at the proposed use
rates based on ecotoxicology studies of N-acyl sarcosines with fish and
aquatic invertebrates.
8. Based on the worst case assumption regarding the dietary risks
resulting
[[Page 38425]]
from exposure to N-acyl sarcosines and its salts when used at levels
not to exceed 10% of pesticide formulations, residues of N-acyl
sarcosines and their sodium salts would not be considered to be
toxicologically significant.
Based on the extensive use of N-acyl sarcosines and their sodium
salts in various consumer products such as toothpastes, soaps,
medicated skin cleaners and medicated shampoos; its physico-chemical
properties; the fact that some of these chemicals have been approved
for food use applications, and the review of its use, the Agency does
not believe that a potential for hazard exists when N-acyl sarcosines
and their sodium salts are used in accordance with good agricultural
practice. The Agency believes that these ingredients are useful and a
tolerance is not necessary to protect the public health. Therefore, EPA
proposes that the exemption from the requirement of a tolerance be
established as set forth below.
Any person who has registered or submitted an application for
registration of a pesticide, under the Federal Insecticide, Fungicide,
and Rodenticide Act (FIFRA) as amended, which contains any of the
ingredients listed herein, may request within 30 days after publication
of this document in the Federal Register that this proposal be referred
to an Advisory Committee in accordance with section 408(e) of FFDCA.
Interested persons are invited to submit written comments on the
proposed regulation. Comments must bear a notation indicating the
docket control number, [PP 4E4417/P671].
A record has been established for this rulemaking under docket
number [PP 4E4417/P671] (including comments and data submitted
electronically as described below). A public version of this record,
including printed, paper versions of electronic comments, which does
not include any information claimed as CBI, is available for inspection
from 8 a.m. to 4:30 p.m., Monday through Friday, excluding legal
holidays. The public record is located in Room 1132 of the Public
Response and Program Resources Branch, Field Operations Division
(7506C), Office of Pesticide Programs, Environmental Protection Agency,
Crystal Mall #2, 1921 Jefferson Davis Highway, Arlington, VA.
Electronic comments can be sent directly to EPA at:
[email protected]
Electronic comments must be submitted as an ASCII file avoiding the
use of special characters and any form of encryption.
The official record for this rulemaking, as well as the public
version, as described above will be kept in paper form. Accordingly,
EPA will transfer all comments received electronically into printed,
paper form as they are received and will place the paper copies in the
official rulemaking record which will also include all comments
submitted directly in writing. The official rulemaking record is the
paper record maintained at the Virginia address in ADDRESSES at the
beginning of this document.
The Office of Management and Budget has exempted this proposed rule
from the requirements of section 3 of Executive Order 12866.
This action does not impose any enforceable duty, or contain any
``unfunded mandates'' as described in Title II of the Unfunded Mandates
Reform Act of 1955 (Pub. L. 104-4), or require prior consultation as
specified by Executive Order 12875 (58 FR 58093, October 28, 1993),
entitled Enhancing the Intergovernmental Partnership, or special
consideration as required by Executive Order 12898 (59 FR 7629,
February 16, 1994).
Pursuant to the requirements of the Regulatory Flexibility Act (5
U.S.C. 601-612), the Administrator has determined that regulations
establishing new tolerances or raising tolerance levels or establishing
exemptions from tolerance requirements do not have a significant
economic impact on a substantial number of small entities. A
certification statement explaining the factual basis for this
determination was published in the Federal Register of May 4, 1981 (46
FR 24950).
List of Subjects in 40 CFR Part 180
Environmental protection, Administrative practice and procedure,
Agricultural commodities, Pesticides and pests, Reporting and
recordkeeping requirements.
Dated: July 10, 1996.
Stephen L. Johnson,
Director, Registration Division, Office of Pesticide Programs.
Therefore, it is proposed that 40 CFR part 180 be amended as
follows:
PART 180--[AMENDED]
1. The authority citation for part 180 continues to read as
follows:
Authority: 21 U.S.C. 346a and 371.
2. In Sec. 180.1001 the table in paragraph (c) and (e) is amended
by adding alphabetically the following inert ingredients:
Sec. 180.1001 Exemptions from the requirements of a tolerance.
* * * * *
(c) * * *
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Inert ingredients Limits Uses
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* * * * * * *
N-Cocoyl sarcosine mixture (CAS Not to exceed 10% Surfactant.
Reg. No. 68411-97-2) [composed by weight of
of N-methyl-N-(1-oxooctyl) pesticide
glycine, N-methyl-N-(1-oxodecyl) formulation.
glycine, N-methyl-N-(1-
oxododecyl) glycine, N-methyl-N-
(1-oxotetradecyl) glycine, (N-
methyl-N-(1-oxohexadecyl)
glycine and N-methyl-N-(1-
oxooctadecyl)glycine.
N-Cocoyl sarcosine, sodium salt Not to exceed 10% Surfactant.
mixture (CAS Reg. No. 61791-59- by weight of
1). pesticide
formulation.
* * * * * * *
N-Lauroyl sarcosine (CAS Reg. No. Not to exceed 10% Surfactant.
97-78-9). by weight of
pesticide
formulation.
* * * * * * *
N-Methyl-N-(1-oxododecyl) Not to exceed 10% Surfactant.
glycine, sodium salt (CAS Reg. by weight of
No. 137-16-6). pesticide
formulation.
N-Methyl-N-(1-oxo-9-octadecenyl) Not to exceed 10% Surfactant.
glycine, sodium salt CAS Reg. by weight of
No. 3624-77-9). pesticide
formulation.
N-Methyl-N-(1-oxooctadecyl) Not to exceed 10% Surfactant.
glycine, sodium salt (CAS Reg. by weight of
No. 5136-55-0). pesticide
formulation.
[[Page 38426]]
N-Methyl-N-(1-oxotetradecyl) Not to exceed 10% Surfactant.
glycine, sodium salt (CAS Reg. by weight of
No. 30364-51-3). pesticide
formulation.
* * * * * * *
N-Myristoyl sarcosine (CAS Reg. Not to exceed 10% Surfactant.
No. 52558-73-3). by weight of
pesticide
formulation.
* * * * * * *
N-Oleoyl sarcosine (CAS Reg. No. Not to exceed 10% Surfactant.
110-25-8). by weight of
pesticide
formulation.
* * * * * * *
N-Stearoyl sarcosine (CAS Reg. Not to exceed 10% Surfactant.
No. 142-48-3). by weight of
pesticide
formulation.
* * * * * * *
------------------------------------------------------------------------
* * * * *
(e) * * *
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Inert ingredients Limits Uses
------------------------------------------------------------------------
* * * * * * *
N-Cocoyl sarcosine mixture (CAS Not to exceed 10% Surfactant.
Reg. No. 68411-97-2) [composed by weight of
of N-methyl-N-(1-oxooctyl) pesticide
glycine, N-methyl-N-(1-oxodecyl) formulation.
glycine, N-methyl-N-(1-
oxododecyl) glycine, N-methyl-N-
(1-oxotetradecyl) glycine, (N-
methyl-N-(1-oxohexadecyl)
glycine and N-methyl-N-(1-
oxooctadecyl)glycine.
N-Cocoyl sarcosine, sodium salt Not to exceed 10% Surfactant.
mixture (CAS Reg. No. 61791-59- by weight of
1). pesticide
formulation.
* * * * * * *
N-Lauroyl sarcosine (CAS Reg. No. Not to exceed 10% Surfactant.
97-78-9). by weight of
pesticide
formulation.
* * * * * * *
N-Methyl-N-(1-oxododecyl) Not to exceed 10% Surfactant.
glycine, sodium salt (CAS Reg. by weight of
No. 137-16-6). pesticide
formulation.
N-Methyl-N-(1-oxo-9-octadecenyl) Not to exceed 10% Surfactant.
glycine, sodium salt CAS Reg. by weight of
No. 3624-77-9). pesticide
formulation.
N-Methyl-N-(1-oxooctadecyl) Not to exceed 10%
glycine, sodium salt (CAS Reg. by weight of
No. 5136-55-0). pesticide
formulation.
N-Methyl-N-(1-oxotetradecyl) Not to exceed 10% Surfactant.
glycine, sodium salt (CAS Reg. by weight of
No. 30364-51-3). pesticide
formulation.
* * * * * * *
N-Myristoyl sarcosine (CAS Reg. Not to exceed 10% Surfactant.
No. 52558-73-3). by weight of
pesticide
formulation.
* * * * * * *
N-Oleoyl sarcosine (CAS Reg. No. Not to exceed 10% Surfactant.
110-25-8). by weight of
pesticide
formulation.
* * * * * * *
N-Stearoyl sarcosine (CAS Reg. Not to exceed 10% Surfactant.
No. 142-48-3). by weight of
pesticide
formulation.
* * * * * * *
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[FR Doc. 96-18388 Filed 7-23-96; 8:45 am]
BILLING CODE 6560-50-F
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