Federal Register / Vol. 62, No. 49 / Thursday, March 13, 1997 / Proposed Rules 11797

information collection burdens

associated with a domestic manifest

requirement. The Department’s analysis

suggests that if passenger manifiest

requirements substantially the same as

those proposed for international flights,

to be imposed on U.S. domestic flights,

the paperwork burdens on the public

could be substantial. If air carriers were

not to find innovative ways to collect

the information, the burden would be

large. A perspective on the potential

burden can be gained from the following

comparison of these burdens from

international and domestic manifest

requirements with total Department of

Transportation information collection

burdens on the public as of December

1996:

Department of Transportation collection burdens Million hours

Total DOT Information Collection Burden (1996) .................................................................................................................................. 65.7

Passenger Manifest Information (Int’l) Proposed Rule .......................................................................................................................... 1.1 to 1.4

Domestic Passenger Manifest Information:

(Assuming a counterpart rule to the Passenger Manifest Information [Int’l] Proposed Rule were imposed):

Case I .............................................................................................................................................................................................. 4.3 to 6.8

Case II ............................................................................................................................................................................................. 3.2 to 4.9

(Note: The burden estimate for a domestic

manifest requirement have been extrapolated

on the basis of annual costs from those

calculated for the Passenger Manifest

Information [Int’l] Proposed Rule. They do

not take into account any possible

advancement in collection systems, which

could greatly reduce the paperwork burden.)

The estimates suggest that if both

international and domestic passenger

manifest paperwork burden estimates

are added together, the burden increase

relative to current levels imposed by all

transportation requirements would be

on the order of a low of about 7.6

percent and a high of about 11.0

percent.

(Note: An average of the two cases for a

domestic passenger manifest requirement has

been used to calculate the high and low

figures for a domestic passenger manifest

requirement.)

The Department is currently engaged

in an effort to meet its share of a

government-wide goal, required by the

Paperwork Reduction Act of 1995, of

achieving government-wide a 25 percent

reduction in paperwork by the end of

fiscal year 1998. From the standpoint of

the Department’s efforts to design an

Information Simplification Plan

consistent with the goals of the

Paperwork Reduction Act and the

President’s program, it is essential that

the Department do everything possible

to reduce unnecessary duplication and

achieve maximum cost effectiveness in

information collection activities

affecting the public. The

implementation of passenger manifest

requirements in a cost-effective way will

be a top priority of the Department. It

is also hoped that public input from this

ANPRM will make a substantial

contribution to this endeavor.

Regulatory Flexibility Act

The Regulatory Flexibility Act was

enacted by the United States Congress to

ensure that small businesses are not

disproportionately burdened by rules

and regulations promulgated by the

Government. If a domestic passenger

manifest data collection system were

proposed, it might affect air taxi

operators, commuter carriers, charter

operators, and travel agents. Some of

these entities may be ‘‘small entities’’

within the meaning of the Regulatory

Flexibility Act. We specifically request

comments on whether there are

additional small entities that might be

impacted by such a proposal and

whether the impact is likely to be

significant within the meaning of the

Act.

Federalism Implications

This rulemaking has no direct impact

on the individual states, on the balance

of power in their respective

governments, or on the burden of

responsibilities assigned them by the

national government. In accordance

with Executive Order 12612,

preparation of a Federalism Assessment

is, therefore, not required.

List of Subjects in 14 CFR Part 243

Air carriers, Aircraft, Air taxis, Air

transportation, Charter flights, Foreign

air carriers, Foreign relations, Reporting

and recordkeeping requirements,

Security.

Authority: 49 U.S.C. 40101, 40113, 40114,

41708, 41709, 41711, 41702, 46301, 46310,

46316.

Issued in Washington, D.C. on March 7,

1997.

Rodney E. Slater,

Secretary of Transportation.

[FR Doc. 97–6394 Filed 3–12–97; 8:45 am]

BILLING CODE 4910–62–P

FEDERAL MEDIATION AND

CONCILIATION SERVICE

29 CFR Part 1404

Arbitration Policy; Roster of

Arbitrators, and Procedures for

Arbitration Services

AGENCY: Federal Mediation and

Conciliation Service.

ACTION: Proposed rule.

SUMMARY: The proposed revision to 29

CFR Part 1404 is being published in

order to revise the policies and

procedures used by Federal Mediation

and Conciliation Service in

administering its arbitration program.

The goals of the proposed revision are

to more accurately reflect current

practice, clarify the role of the Arbitrator

Review Board, revise the standards for

arbitrator listing on the Roster, and

announce certain changes. Among the

changes made are:

First, requests for special experience

or qualifications, or other special

requirements, must be either jointly

submitted by the parties, or, if

unilaterally submitted, must certify that

the other party agrees, or there is no

conflict with the applicable contract.

This will allow a single party, for

example, to request a panel with special

expertise, so long as the required

assurances are made. Similarly, FMCS

will make a direct appointment of an

arbitrator based on the assurances of one

party.

Second, the Federal Mediation and

Conciliation Service, Office of

Arbitration Services (OAS) will no

longer receive or interpret contract

language in regard to furnishing

services.

Third, as an alternative to the

submission of a panel of arbitrators,

FMCS, upon request, will furnish the

names and biographical sketches of all

listed arbitrators in specified

geographical locations. In this case, the
11798 Federal Register / Vol. 62, No. 49 / Thursday, March 13, 1997 / Proposed Rules

parties may directly appoint and deal

with the arbitrator without any further

involvement of FMCS.

Finally, the regulations call for an

annual listing fee for all arbitrators as

well as a fee for all arbitrator list and

panel requests of FMCS.

DATES: Comments must be received on

or before April 15, 1997.

ADDRESSES: Interested organizations and

individuals are invited to submit

written comments to these proposed

regulatory changes. Comments should

be submitted to Peter L. Regner, Director

of Program Services, Federal Mediation

and Conciliation Service, 2100 K Street,

NW., Washington, DC 20427. All

written comments will be available for

inspection during work hours at the

above address.

FOR FURTHER INFORMATION CONTACT: Mr.

Peter L. Regner, Director, Program

Services, Federal Mediation and

Conciliation Service, 2100 K Street NW.,

Washington, DC 20427, (202) 606–8181.

SUPPLEMENTARY INFORMATION: An

analysis of the changes in the proposed

revisions follows.

Subpart A—Arbitration Policy;

Administration of Roster, Sections

1404.1–1404.3

Section 1404.3 Administrative

Responsibilities

(c) This section establishes the

Arbitrator Review Board and outlines

powers and duties. Paragraph (iv) is

new. It provides that the Board may

upon request of the Director, review

FMCS Arbitration policies and

procedures.

Subpart B—Roster of Arbitrators

Admission and Retention, Sections

1404.4–1404.7

Section 1404.4

Paragraph (e). This part is unchanged

except that the service of issuing lists or

panels of arbitrator names will now be

subject to a nominal fee. The collection

of these fees is needed in order to assure

a continuous non-appropriated source

of funds to be solely used by FMCS for

its internal education, training and

professional development initiatives.

Paragraph (f). A provision has been

added to reinforce FMCS authority to

remove or suspend from its Roster those

arbitrators who habitually fail to adhere

to the regulations.

Section 1404.5

This section outlines the criteria the

Arbitrator Review Board will use in

recommending to the Director whether

or not an individual will be listed on the

Roster. This section provides that

applicants for listing on the Roster must

complete and submit an application.

The Office of Arbitration Services will

review the application, make the

necessary inquiries, and forward the

application to the Arbitrator Review

Board. The Board will then review the

application and make a

recommendation to the Director about

whether or not to list an applicant on

the Roster based on the criteria

established in paragraphs (a)(b)(c) of

§ 1404.5. The Director of FMCS has the

authority to make all final decisions

about listing on the Roster. This section

is substantially unchanged from current

regulations.

Paragraph (a) outlines the general

criteria that the Arbitrator Review Board

will use when considering an applicant.

Individuals requesting listing on the

Roster must be experienced, competent

and acceptable in labor management

decision-making roles. This paragraph is

changed from the current regulations

only to the extent that a statement in the

current rules that the applicant have

extensive experience in collective

bargaining, and that he or she be

capable of conducting an orderly

hearing, analyze testimony and

evidence and prepare a clear and

concise award, is deleted. However,

subsection (b) now contains similar

requirements as outlined immediately

below.

Paragraph (b). Proof of Qualifications,

is different from the current regulations

in that the proposed rule provides that

the standards of acceptability,

experience and competence in

subsection (a) above, are demonstrated

by the submission of at least 5 actual

arbitration awards, issued by the

applicant while serving as an arbitrator

of record chosen by the parties to a labor

dispute. The Board is also authorized to

consider an applicant’s bargaining and

labor negotiations experience, or

experience as a judge or hearing

examiner in labor relations issues as a

substitute for the awards. This provision

is similar to the current regulations

§ 1404.5(a) (1) and (2). However, the

specific requirement of 5 awards is new.

It is designed to allow the Board to

objectively apply a test of acceptability.

Paragraph (c), Advocacy is

substantially the same as the current

§ 1404.5(c) (1) and (2). The paragraph

prohibits advocates, except those who

are ‘‘grandfathered’’ under the current

rules, from being listed on the Roster.

All persons who were listed on the

Roster as advocates before the date of

the ‘‘grandfather’’ clause, that is

November 17, 1976, may remain listed

on the Roster. However, no applicant for

listing who is an advocate will be listed

on the Roster. A person who was on the

Roster before November 17, 1976, and

did not divulge his or her advocacy

status at the time his or her listing,

(emphasis added) may not remain listed

on the Roster. This policy is designed to

insure that parties receive the names of

arbitrators who are, and are seen as truly

neutral, except in the case of those

individuals listed on the Roster before

the prohibition of advocacy as adopted.

The definition of an advocate in (1) is

the same as current FMCS policy. It is

designed to be as broad as necessary to

insure that parties will not have any

reason to question the neutrality of a

potential arbitrator. The provision

prohibits listing on the Roster people

who earn money, or any form of

compensations, by representing either

side in a labor relations matter.

Paragraph (d) establishes the policies

and procedures for listing retention and

removal of and individual listed on the

Roster. it is a clarification of the current

policy in § 1404.5(d). It provides that

the Director of FMCS shall make all

final decisions about an applicant’s

listing on the Roster. Removal is by the

recommendation of the Arbitrator

Review Board after notice for violations

of the regulations and/or the Code of

Professional Responsibility for

Arbitrators of Labor Management

Disputes as cited in § 1404.4(b). Notice

of cancellation will be given by the

Board when a Roster member:

(1) No longer meets the criteria for

admission. This is the same policy as in

the current regulations.

(2) Has become an advocate as

defined in 1404.5(c). This is a new

provision and a clarification of current

FMCS practice of removing from the

Roster individuals who become

advocates in order to protect the

integrity and neutrality of the Roaster.

(3) Has been repeatedly or flagrantly

delinquent in submitting awards. This is

also the current FMCS rule, and allows

the Board to recommend removal of

individuals who fail to meet the timely

needs of the parties.

(4) Has refused to make reasonable

reports as required by FMCS in

accordance with Subpart C infra. This is

also current FMCS policy and

regulation. It is designed to insure that

the agency can obtain the necessary

information to efficiently operate the

program.

(5) Has been the subject of complaints

by the parties, and the Board, after

inquiry, concludes that reasonable

grounds for cancellation has been

shown. This is also substantially the

same as current FMCS policy and is

designed to establish a method for
Federal Register / Vol. 62, No. 49 / Thursday, March 13, 1997 / Proposed Rules 11799

parties to state their concerns and

complaints. Removal under such

grounds, however, must be conducted

according to the procedures established

in this paragraph.

(6) This provides that the Director

may remove an individual who is not

being selected by the parties in at least

2 percent of the cases per year in which

his/her name is submitted to parties for

selection. This is to insure that the

Roster is composed of individuals who

are aceeptable to the parties.

The procedures for removal is left up

to the Arbitrator Review Board, so long

as the individual proposed to be

removed is given 60 days prior notice of

the proposed removal and an

opportunity to respond. The Board will

consider the reasons for the removal and

all responses before making a

recommendation to the Director. All

decisions to remove must be made by

the Director. This is designed to insure

that individuals will be given an

opportunity to present evidence and

argument on their behalf before a

decision is made to remove.

There is also a new provision which

states that the Director of the Office of

Arbitration Services (OAS) may

suspend—that is not send out an

individual’s name on any panel or

appoint an individual to serve as

arbitrator for up to 180 days—if the

Director of OAS has determined that

someone has violated the

aforementioned criteria.

This was established to insure prompt

action on the part of FMCS to deal with

violations of the regulations and to

protect the arbitration process, the

Roster and the parties. A suspension is

not a determination on the merits of any

dispute or controversy, and the

suspension may not exceed 180 days.

Arbitrators will be notified promptly of

a suspension and will be afforded an

opportunity to appeal, if they wish to do

so, to the Arbitrator Review Board. The

Board will make a recommendation to

the Director of FMCS, whose decision

shall constitute final agency action.

Section 1404.6

This is also a new section which

provides that an individual listed on the

Roster may request that he or she may

be put on an inactive status. This means

that while they are on such status, their

name will not be sent to the parties.

This enables a Roster member to request

that his or her name not be sent to

parties while, for example, they are on

an extended vacation. It is designed for

the convenience of the person listed on

the Roster and the parties.

Section 1404.7

This is a new section announcing that

FMCS will be charging all arbitrators

wishing to be listed on its Roster an

annual listing fee. As with the charging

for the provision of lists and panels to

the parties, the fees collected will assure

FMCS of a continuous non-appropriated

source of funds for its internal

education, training and professional

development initiatives.

Subpart C—Procedures for Arbitration

Services, Sections 1404.8–1404.16

Section 1404.8

This new provision applies only to

Subpart C. The new text incorporates

the provision which currently appears

at § 1404.6, but points out that while the

parties are free to choose arbitration

procedures that are acceptable to them,

such procedures are subordinate to the

provisions of Subpart C. Thus, if either

(a) The parties designate in their

agreement that FMCS furnish arbitration

services, or

(b) One or more parties request FMCS

arbitration services, then all parties are

subject to the rules contained in Subpart

C. This new language has been added to

insure that FMCS has the authority to

remedy any abuse of Subpart C rules

and enforce compliance with them.

Section 1404.9

Paragraph (a) is essentially a repeat of

the provision now found at § 1404.10.

Paragraph (b) is essentially a repeat of

the provision found at § 1404.10(a). In

stating that the issuance of a panel—or

a direct appointment—is nothing more

than a response to a request, the text

adds new language setting that such

actions also do not signify the adoption

of any position in regard to arbitrability.

This additional language aligns the text

with the wording that appears at the

bottom of FMCS Form R–43, Request for

Arbitration Services.

Paragraph (c). This is a new service

which will allow parties to receive the

names and biographical sketches of

arbitrators and deal directly with the

arbitrator. This is a cost-savings measure

for those parties with frequent need for

arbitrators and whose relationship is

such that they can select and deal with

the arbitrators without FMCS

appointment and tracking services.

Paragraph (d). This new provision

allows FMCS to refuse to supply

arbitration services if the request crates

difficult operational problems. For

example, if FMCS received a request for

100 panels, it might be refused because

of the workload imposed. In such case

the OAS might contact the requestor to

see if some less burdensome

arrangements could be made or if FMCS

could design an alternative solution. It

also allows FMCS to deny services to

parties who abuse the process by

habitually failing to pay arbitrator fees

or other such actions.

Paragraph (e). This provision changes

the text found in § 1404.10 (b) and (d)

and replaces those two subsections.

While the current language urges parties

to use FMCS Form R–43 to make

requests for arbitration services, it also

allows the use of letters as a substitute.

The revised text mandates that only

Form R–43 be used and states that a

failure to do so may result in the request

being returned to the sender. This

change to mandatory use of Form R–43

is required because OAS has converted

its operations from a manual system to

computer system, and the receipt of

typed requests on Form R–43 is

necessary in order to obtain prompt

entry and storage of data. Although

approximately 80% of all requests are

now received on Form R–43, FMCS will

(1) allow for a phase-in period for this

new requirement, (2) conduct a

campaign of notification and education

to make requesters aware of the

requirement, and (3) make Form R–43

available in quantity to all labor

organizations and employers dealing

with FMCS. This change is a product of

a lengthy reinvention effort by the staff

of OAS. It is their collective opinion

that even if this presents a small burden

to some of our customers, it will provide

a greater benefit to all concerned by

streamlining our processing of requests.

Paragraph (f). This is a new provision.

It is based on the experience of the OAS,

that a significant increase has taken

place in incidents involving procedural

quarrels between the parties. These

clashes concern such matters as (1)

whether or not one party or the other

has refused to cooperate in striking

names from a panel of arbitrators, (2)

whether or not the grievance issues have

been determined in a previous

arbitration award, (3) whether

arbitrators on a panel should or should

not have special expertise, (4) whether

arbritators should or should not come

from a particular geographic area, and

(5) whether a local contract or a national

contract governs the parties.

The OAS has found itself increasingly

entangled in such procedural disputes

and therefore has decided on the

following changes:

(1) The OAS will no longer receive or

review the terms contained in the

parties collective bargaining agreements,

and will make determinations as to the

meaning or effect of such agreements.

Accordingly, the second sentence of the

text now appearing at § 1404.10(c)—
11800 Federal Register / Vol. 62, No. 49 / Thursday, March 13, 1997 / Proposed Rules

calling for submissions of contract

language—has been deleted. Also, since

there is no longer a requirement that a

brief statement describing each issue in

dispute accompany the request, the first

sentence of the current § 1404.10(c) has

similarly been deleted, thus negating the

entire text of this section.

(2) For unilateral requests—except

those asking for a list or standard panel

of seven names—the requestor will

certify that one of the following

conditions applies:

(a) The other party has agreed to the

request, or

(b) There is no conflict with the

parties collective bargaining agreement.

FMCS Form R–43, Request for

Arbitration Services, has been modified

to allow requestors to so certify in a

simple and convenient way. The OAS

will consider all statements as made in

good faith and will honor all requests as

submitted. A failure to supply the

information required in (a) or (b) above

disqualifies the request.

While the OAS realizes that a

unilateral request, under the conditions

set out above, may be subject to abuse

by one party or the other, the following

policy considerations have let to the

adoption of the proposed new language.

As to the issuance of panels.

If the OAS were to require that all

requests—except for a standard 7 person

panel—be submitted on the basis of

mutual consent, the arbitration process

would be frustrated by the quarrels of

the parties. That is, there would be no

agreement, no submission of a request,

and recourse would have to be sought

through the relatively lengthy

procedures of the National Labor

Relations Board, the Federal Labor

Relations Authority or the courts.

By placing a burden of good faith on

the party submitting the unilateral

request, and by acting promptly to

honor it, the OAS acts to further the

arbitration process. Moreover, receiving

the OAS panel establishes no obligation

on any party to use it, or to arbitrate any

issue. The panel simply permits the

option of moving further on the path of

arbitration.

As to direct direct appointments.

In the case of a unilateral request for

appointment of an arbitrator, the result

may cause a burden to be placed on a

party. That is, a party may be either

obliged to appear before an appointed

arbitrator to argue that arbitration is not

warranted, or risk the result of an ex

parte award. While OAS is mindful of

this possible result, it has proposed the

new procedure for the following

reasons.

(i) Reliance by the OAS on contract

interpretation, as the basis for a direct

appointment, means becoming

entangled in the parties’ quarrels. One

side or the other may dispute the

reading of the contract made by the

OAS, and thus make OAS interpretation

one more obstacle to arbitration.

(ii) Reliance by the OAS, on mutual

assent by the parties, as the basis for a

direct appointment, again means

frustrating the arbitration process. Thus,

the quarreling parties will refuse to

agree, and a solution will have to be

sought through the relatively time

consuming procedures of the National

Labor Relations Board, the Federal

Labor Relations Authority, or the courts.

(iii) By instead placing a burden of

good faith on the party making the

unilateral request, and simply honoring

it, the OAS will promptly place the

matter of proper jurisdiction before a

neutral decision maker—the arbitrator.

If the arbitrator finds that one party or

the other has acted improperly in

pursuing arbitration, the arbitrator may

provide redress in the terms of the

remedy awarded, or the arbitrator’s

finding may be used as the basis for

redress before another tribunal.

Section 1404.10

This provision follows the language

which currently appears a § 1404.11. No

significant change has been made.

Section 1404.11

This section—made up of four

subsections—replaces the current

§ 1404.12.

Paragraph (a) describes the content of

lists and standard panels. It deletes the

reference to the parties’ contract, as

contracts will no longer be reviewed, (ii)

deletes the reference to requests by

parties for a number of arbitrators

different than 7, as joint requests for

services other than a standard panel are

described in the last sentence of the new

text, and (iii) adds the statement that

requests for standard panels—made

jointly or unilaterally—will be honored

without the need for compliance with

§ 1404.9(f), and (iv) paragraph (a) adds

language explaining the new ‘‘list of

arbitrators’’ service offered by OAS.

Paragraph (b) describes non-standard

panels, and states, in conformance with

the new policy of FMCS, that unilateral

requests for a non-standard panel must

comply with the requirement of

§ 1404.9(f). This subsection serves as a

replacement for the language now

appearing at § 1404.12(c)(4).

Paragraph (c) This provision describes

the assignment OAS case numbers and

is essentially the same as that now

found at § 1404.12(b).

Paragraph (d) describes the factors

involved in selecting names for panels

now found at § 1404.12(c). The current

statement—that the agreed upon wishes

of the parties are paramount—is deleted,

as this concept is expressed in

subsections (d)(2) and (d)(3) which

follow immediately below.

Paragraph (d)(1) is a new provision

which explain that unless the parties

jointly request otherwise, the site of the

dispute serves as the geographical basis

for the selection of the arbitrators.

Paragraph (d)(2) is a repeat of the text

of § 1404.12(c)(1), with one change. The

phrase for valid reasons is omitted

because the OAS will not pass judgment

on the validity of the reasons given—if

any—that persons be included or

omitted from panels of arbitrators. This

position corresponds to the FMCS

policy that its arbitration services

constitute a response to a request and

nothing more.

Paragraph (d)(3). This language

replaces the current text at

§ 1404.12(c)(3). While the current

language prohibits a single party from

including or omitting names from a

panel, the revised text permits one party

to do so, if the conditions as to numbers,

and compliance with § 1404.9(f), are

met.

Section (e) replaces the language now

found at § 1404.12(c)(5). The new text

eliminates reference to the terms of

agreement in the parties’ contract—as

the OAS will no longer receive or

review such terms—and places a fixed

ceiling—of three—on the number of

panels which will be successively

issued. Under the current language no

fixed ceiling is established, and instead

the matter is left open ended with

consideration to be made on a case by

case basis. After the issuance of three

panels, FMCS will make a direct

appointment.

Section 1404.12

This section, consisting of three

paragraphs, replaces the current

§ 1404.13.

Paragraph (a). The current language—

in § 1404.13(a)—says that parties should

not notify the OAS of their selection of

an arbitrator. The new text makes this

requirements mandatory and states that

the parties must do so. The new text

also adds a requirement—not present in

the current § 1404.13(c)—that parties

must notify the arbitrator as well as

OAS if they decide not to proceed to

arbitration. As to both of these

mandatory provisions there is also new

penalty language stating that a

consistent failure to comply may led to

denial of OAS services. These changes

will assist FMCS in implementing these

regulation.
Federal Register / Vol. 62, No. 49 / Thursday, March 13, 1997 / Proposed Rules 11801

The portion of the revised text

directing the arbitrator to notify the

OAS of his or her selection remains the

same, except for (i) the added word

stating that the arbitrator must do so

promptly, and (ii) the added statement

that the arbitrator is expected to

communicate with the parties within 14

days of notification of appointment by

OAS. This added statement replaces the

current § 1404.13(d) which requires the

arbitrator to communicate immediately.

This notification to OAS by the

arbitrator is only necessary following

the selection of a panel by FMCS. It is

not necessary or wanted if the parties

have elected to work off a list of all

aribitrators in their area as described in

section 1404.11(a).

Paragraph (c). The current text—

found at § 1404.13(b)—is mostly

unchanged.

Paragraph (d) describes direct

appointments. The revised text removes

the phrase referring to the applicable

collective bargaining agreement, as such

agreements will no longer be considered

by the OAS. Once more, if a unilateral

request for a direct appointment is

made, the unilateral request must

comply with § 1404.9(f). In other

respects, the revised text is basically the

same as the current provisions in

§ 1404.13(c).

Section 1404.13

The revised text is similar to that now

found at § 1404.14, except as follows:

(i) The current text says that an

arbitrator is expected to conduct all

proceedings in conformity with

§ 1404.4(b). The revised text states that

the arbitrator shall do so.

(ii) The current text says that the

arbitrator’s decision is to be based upon

the evidence and testimony presented.

The revised text states that the decision

shall be so based.

Section 1404.14

The revised text is similar to that now

found at 1404.15, except as follows:

Paragraph (a),

(i) The current text of § 1404.15(a)

says that arbitrators are encouraged to

render awards not later than 60 days

from the date of the closing of the

record. The revised text at § 1404.14(a),

states that arbitrators shall make awards

no later than 60 days from the same

date.

(ii) In the current text, at § 1404.15(a),

the date of the closing of the record is

described as determined by the

arbitrator, unless otherwise agreed upon

by the parties or specified by law. The

revised text, at § 1404(a), adds to this

description by inserting the phrase—or

specified by the corrective bargaining

agreement.

(iii) The current text as § 1404.15(a)

says that the issuance of untimely

awards by an arbitrator may lead to his

removal from the FMCS roster. The

revised text, at § 1404.14(a), removes the

word his, thus deleting any reference to

whether the arbitrator is male or female.

Paragraph (b). The current text states

that an arbitrator should inform the

OAS concerning a delay in issuing an

award, and in describing the

circumstances when the arbitrator

should do so, say that this should

happen when the aribtrator cannot

schedule, hear and determine issues

promptly. The revised text changes the

phrase ‘‘determine issues’’ to ‘‘render

decisions,’’ as the new phrase is more

complete and encompasses within it the

inability to determine issues.

Section 1404.15

The revised text is similar to that now

found at § 1404.1b, except as follows:

Paragraph (a),

(i) The current text requires that fees

charges by arbitrators be certified in

advance to the Service. The revised text

requires only that they be provided in

advance.

(ii) The revised text adds two

requirements, not contained in the

current provisions at § 1404.16(a), as

follows:

(A) Arbitrators with dual business

addresses shall bill the parties for

expenses from the nearest business

address to the hearing site. This

provision has been added in order to

prevent excessive billing charges.

(B) Arbitrators shall submit their

schedule of fees to both parties when

accepting arbitration appointments.

This provision has been added because

biographical sketches state only the per

diem fee charged by the arbitrator. Other

fees involved in the arbitrator’s service

must therefore be made known to the

parties when accepting an appointment.

(C) A reference is once again made to

charging arbitrators an annual listing

fee.

Paragaph (d). While the current text,

at § 1404.16(d), states that the Service

will not attempt to resolve any fee

dispute, the revised text states that the

Service does not resolve such disputes.

The language also notifies the public

that FMCS will file complaints about

excessive charges and that repeated

complaints will be forwarded to the

Arbitrator Review Board.

Section 1404.16

There are no major changes in this

section.

Executive Order 12291

This proposed rule is not a ‘‘major

rule’’ under Executive Order 12291

because it is not likely to result in (1)

an annual effect on the economy of $100

million or more (2) a major increase in

costs or prices for consumers,

individual industries, Federal, State, or

local government agencies, or

geographic regions; or (3) a significant

decline in productivity, innovation, or

on the ability of the United States-based

enterprises to compete with foreignbased enterprises in domestic or export

markets. Accordingly, no regulatory

impact analysis is required.

Regulatory Flexibility Act Certification

The FMCS finds that this proposed

rule will have no significant economic

impact upon a substantial number of

small entities within the meaning of

section 3(a) of the Regulatory Flexibility

Act, Pub. L. 96–354, 94 Stat. 164 (5

U.S.C. 605(g)), and will so certify to the

Chief Counsel for Advocacy of the Small

Business Administration. This

conclusion has been reached because

the proposed rule does not, in itself,

impose any additional economic

requirements upon small entities.

Accordingly, no regulatory flexibility

analysis is required.

List of Subjects in 29 CFR Part 1404

Administrative practice and

procedure, Labor management relations.

For the reasons stated in the

preamble, the Federal Mediation and

Conciliation Service proposes to revise

29 CFR Part 1404 to read as follows:

PART 1404—ARBITRATION SERVICES

Subpart A—Arbitration Policy;

Administration of Roster

Sec.

1404.1 Scope and authority.

1404.2 Policy.

1404.3 Administrative responsibilities.

Subpart B—Roster of Arbitrators;

Admission and Retention

1404.4 Roster and status of members.

1404.5 Listing on the roster, criteria for

listing and retention.

1401.6 Inactive status.

1401.7 Listing fee.

Subpart C—Procedures for Arbitration

Services

1404.8 Freedom of choice.

1404.9 Procedures for requesting arbitration

panels.

1404.10 Arbitrability.

1404.11 Nominations of arbitrators;

Standard and non-standard panels.

1404.12 Selection by parties and

appointment of arbitrators.

1404.13 Conducts of hearings.

1404.14 Decision and awards.
11802 Federal Register / Vol. 62, No. 49 / Thursday, March 13, 1997 / Proposed Rules

1404.15 Fees and charges of arbitrators.

1404.16 Reports and biographical sketches.

Authority: 29 U.S.C. 172 and 29 U.S.C. 173

et seq.

Subpart A—Arbitration Policy;

Administration of Roster

§ 1404.1 Scope and authority.

This chapter is issued by the Federal

Mediation and Conciliation Service

(FMCS) under Title II of the Labor

Management Relations Act of 1947

(Public Law 80–101) as amended. It

applies to all arbitrators listed on the

FMCS Roster of Arbitrators, to all

applicants for listing on the Roster, and

to all persons or parties seeking to

obtain from FMCS either names or

panels of names of arbitrators listed on

the Roster in connection with disputes

which are to be submitted to arbitration

or factfinding.

§ 1404.2 Policy.

The labor policy of the United States

promotes and encourages the use of

voluntary arbitration to resolve disputes

over the interpretation or application of

collective bargaining agreements.

Voluntary arbitration and factfinding are

important features of constructive

employment relations as alternatives to

economic strife.

§ 1401.3 Administrative responsibilities.

(a) Director. The Director of FMCS has

responsibility for all aspects of FMCS

arbitration activities and is the final

agency authority on all questions

concerning the Roster and FMCS

arbitration procedures.

(b) Office of Arbitration Services. The

Office of Arbitration Services (OAS)

maintains a Roster of Arbitrators (the

Roster); administers Subpart C of this

part (Procedures for Arbitration

Services); assists, promotes, and

cooperates in the establishment of

programs for training and developing

new arbitrators; and provides names or

panels of names of listed arbitrators to

parties requesting them.

(c) Arbitrator Review Board. The

Arbitrator Review Board shall consist of

a chairman and members appointed by

the Director who shall serve at the

Director’s pleasure. The Board shall be

composed entirely of full-time officers

or employees of the Federal Government

and shall establish procedures for

carrying out its duties.

(1) Duties of the Board. The Board

shall:

(i) Review the qualifications of all

applicants for listing on the Roster,

interpreting and applying the criteria set

forth in § 1401.5;

(ii) Review the status of all persons

whose continued eligibility for listing

on the Roster has been questioned under

§ 1404.5;

(iii) Recommend to the Director the

acceptance or rejection of applicants for

listing on the Roster, or the withdrawal

of listing on the Roster for any of the

reasons set forth in this part;

(iv) At the request of the Director of

FMCS, review arbitration policies and

procedures, including all regulations

and written guidance regarding the use

of the FMCS arbitrators, and make

recommendations regarding such

policies and procedures to the Director.

(2) [Reserved]

Subpart B—Roster of Arbitrators;

Admission and Retention

§ 1404.4 Roster and status of members.

(a) The Roster. FMCS shall maintain

a Roster of labor arbitrators consisting of

persons who meet the criteria for listing

contained in § 1404.5 and who remain

in good standing.

(b) Adherence of standards and

requirements. Persons listed on the

Roster shall comply with FMCS rules

and regulations pertaining to arbitration

and with such guidelines and

procedures as may be issued by the OAS

pursuant to subpart C of this part.

Arbitrators shall conform to the ethical

standards and procedures set forth in

the Code of Professional Responsibility

for Arbitrators of Labor Management

Disputes, as approved by the National

Academy of Arbitrators, Federal

Mediation and Conciliation Service, and

the American Arbitration Association.

(c) Status of arbitrators. Persons who

are listed on the Roster and are selected

or appointed to hear arbitration matters

or to serve as factfinders do not become

employees of the Federal Government

by virtue of their selection or

appointment. Following selection or

appointment, the arbitrator’s

relationship is solely with the parties to

the dispute, except that arbitrators are

subject to certain reporting requirements

and to standards of conduct as set forth

in this part.

(d) Role of FMCS. FMCS has no power

to:

(1) Compel parties to appear before an

arbitrator;]

(2) Enforce an agreement to arbitrate;

(3) Compel parties to arbitrate any

issue;

(4) Influence, alter, or set aside

decisions of arbitrators on the Roster;

(5) Compel, deny, or modify payment

of compensation to an arbitrator.

(e) Nominations and panels. On

request of the parties to an agreement to

arbitrate or engage in factfinding, or

where arbitration or factfinding may be

provided for by statue, OAS, will

provide names or panels of names for a

nominal fee. Procedures for obtaining

these services are outlined in subpart C

of this part. Neither the submission of

a nomination or panel nor the

appointment of an arbitrator constitutes

a determination by FMCS that an

agreement to arbitrate or enter

factfinding proceedings exists; nor does

such action constitute a ruling that the

matter in controversy is arbitrable under

any agreement.

(f) Rights of persons listed on the

Roaster. No person shall have any right

to be listed or to remain listed on the

Roster. FMCS retains its authority and

responsibility to assure that the needs of

the parties using its services are served.

To accomplish this purpose, FMCS may

establish procedures for the preparation

of panels or the appointment of

arbitrators or factfinders which include

consideration of such factors as

background and experience, availability,

acceptability, geographical location, and

the expressed preferences of the parties.

FMCS may also establish procedures for

the suspension and removal from the

Roster of those arbitrators who fail to

adhere to provisions contained in this

part.

§ 1404.5 Listing on the Roster; criteria for

listing and retention.

Persons seeking to be listed on the

Roster must complete and submit an

application form which may be obtained

from OAS. Upon receipt of an executed

application, OAS will review the

application, assure that it is complete,

make such inquiries as are necessary,

and submit the application to the Board.

The Board will review the completed

application under the criteria in

paragraphs (a), (b), and (c) of this

section, and will forward to the FMCS

Director its recommendation whether or

not the applicant meets the criteria for

listing on the Roster. The Director shall

make all final decisions as to whether

an applicant may be listed on the

Roster. Each applicant shall be notified

in writing of the Director’s decision and

the reasons therefor.

(a) General criteria. Applicants for the

Roster will be listed on the Roster upon

a determination that they are

experienced, competent, and acceptable

in decision-making roles in the

resolution of labor relations disputes.

(b) Proof of qualification. The

qualifications for recommending listing

on the Roster shall be demonstrated by

submission of a least five (5) actual

arbitration awards prepared by the

applicant while serving as an impartial

arbitrator of record chosen by the parties

to disputes arising under collective

bargaining agreements. The Board may
Federal Register / Vol. 62, No. 49 / Thursday, March 13, 1997 / Proposed Rules 11803

consider experience in relevant

positions in collective bargaining or as

a judge or hearing examiner in labor

relations controversies as a substitute

for such awards.

(c) Advocacy. No person who at the

time of application is an advocate as

defined in paragraph (c)(1) of this

section, may be recommended for listing

on the Roster by the Board. Except in

the case of persons listed on the Roster

as advocates before November 17, 1976,

any person who did not divulge his or

her advocacy at the time of listing, or

who has become an advocate while

listed on the Roster, shall be

recommended for removal by the Board

after the fact of advocacy is revealed.

(1) Definition of advocacy. An

advocate is a person who represents

employers, labor organizations, or

individuals as an employee, attorney, or

consultant, in matters of labor relations,

including but not limited to the subjects

of union representation and recognition

matters, collective bargaining,

arbitration, unfair labor practices, equal

employment opportunity, and other

areas generally recognized as

constituting labor relations. The

definition includes representatives of

employers or employees in individual

cases or controversies involving

workmen’s compensation, occupational

health or safety, minimum wage, or

other labor standards matters. This

definition of advocate also includes a

person who is directly associated with

an advocate in a business or

professional relationship as, for

example, partners or employees of a law

firm.

(2) [Reserved]

(d) Duration of listing, retention.

Listing on the Roster shall be by

decision of the Director of FMCS based

upon the recommendations of the

Arbitrator Review Board. The Board

may recommend, and the Director may

remove, any person listed on the Roster,

for violation of this part and/or the Code

of Professional Responsibility. Notice of

cancellation or suspension shall be

given to a person listed on the Roster

whenever a Roster member:

(1) No longer meets the criteria for

admission;

(2) Has become an advocate as

defined in paragraph (c) of this section;

(3) Has been repeatedly or flagrantly

delinquent in submitting awards;

(4) Has refused to make reasonable

and periodic reports in a timely manner

to FMCS, as required in subpart C of

this part, concerning activities

pertaining to arbitration;

(5) Has been the subject of complaints

by parties who use FMCS services, and

the Board after appropriate inquiry,

concludes that reasonable cause for

cancellation has been shown.

(6) Is determined by the Director to be

unacceptable to the parties who use

FMCS arbitration services; the Director

may base a determination of

unacceptability on FMCS records which

show the number of times the

arbitrator’s name has been proposed to

the parties and the number of times it

has been selected.

(e) The Board may, at its discretion,

direct an inquiry into the facts of any

proposed removal from the Roster. An

arbitrator listed on the Roster may only

be removed after 60-day notice and an

opportunity to submit a response or

information showing why the listing

should not be canceled. The Board shall

recommend to the Director whether to

remove an arbitrator from the Roster. All

determinations to remove an arbitrator

from the Roster shall be made by the

Director.

(f) The director of OAS may suspend

for a period not to exceed 180 days any

person listed on the Roster who has

violated any of the criteria in paragraph

(d) of this section. Arbitrators shall be

promptly notified of a suspension. They

may appeal a suspension to the

Arbitrator Review Board, which shall

make a recommendation to the Director

of FMCS. The decision of the Director

of FMCS shall constitute the final action

of the agency.

§ 1404.6 Inactive status.

A member of the Roster who

continues to meet the criteria for listing

on the Roster may request that he or she

be put in an inactive status on a

temporary basis because of ill health,

vacation, schedule, etc.

§ 1404.7 Listing fee.

All arbitrators will be required to pay

an annual fee for listing on the Roster.

The schedule of fees will be published

separately.

Subpart C—Procedures for Arbitration

Services

§ 1404.8 Freedom of choice.

Nothing contained in this part should

be construed to limit the rights of

parties who use FMCS arbitration

services to jointly select any arbitrator

or arbitration procedure acceptable to

them. Once a request is made to OAS,

all parties are subject to the procedures

contained in this part.

§ 1404.9 Procedures for requesting

arbitration panels.

(a) The Office of Arbitration Service

(OAS) has been delegated the

responsibility for administering all

requests for arbitration services.

Requests should be addressed to the

Federal Mediation and Conciliation

Service, Office of Arbitration Services,

Washington, DC 20427.

(b) The OAS will refer a panel of

arbitrators to the parties upon request.

The parties are encouraged to make joint

requests. In the event, however, that the

request is made by only one party, the

OAS will submit a panel of arbitrators.

However, the issuance of a panel—

pursuant to either a joint or unilateral

request—is nothing more than a

response to a request. It does not signify

the adoption of any position by FMCS

regarding the arbitrability of any dispute

or the terms of the parties’ contract.

(c) As an alternative to a request for

a panel of names, OAS will, upon

request, submit a list of all arbitrators

and their biographical sketches from a

specific geographical area. The parties

may then select and deal directly with

an arbitrator of their choice, with no

further involvement by FMCS with the

parties or the arbitrator.

(d) The OAS reserves the right to

decline to submit a panel or make

appointments of arbitrators if the

request submitted is overly burdensome

or otherwise impracticable. The OAS, in

such circumstances, may refer the

parties to an FMCS mediator to help in

the design of an alternative solution.

The OAS may also decline to service

any requests from parties with a history

of non-payment of arbitrator fees or

other behavior which constrains the

spirit or operation of the arbitration

process.

(e) The parties are required to use the

Request for Arbitration Panel Form (R–

43), which has been prepared by the

OAS and is available in quantity upon

request to the Federal Mediation and

Conciliation Service, Office of

Arbitration Services, Washington, DC

20427, or by calling (202) 606–5111.

Requests that do not contain all required

information requested on the R–43 in

typewritten form may be rejected.

(f)(1) When a request is made by only

one party for a service other than the

furnishing of a standard list or panel of

seven (7) arbitrators, the requestor must

certify that one of the following

conditions applies:

(i) Both parties agree to the request, or

(ii) There is no conflict with the

parties’ collective bargaining agreement.

(2) The party making such a request

must copy the certification to the other

party. The OAS will consider all

statements as having been made in good

faith and will honor requests as

submitted. Absent statements

conforming to the requirements of this

paragraph, the unilateral request will

not be honored.
11804 Federal Register / Vol. 62, No. 49 / Thursday, March 13, 1997 / Proposed Rules

(g) The OAS will charge a nominal fee

for all requests for lists, panels, and

other major services. Payments for these

services must be received before the

service is delivered. A schedule of fees

will be published separately.

§ 1404.10 Arbitrability.

The OAS will not decide the merits of

such a claim by either party that a

dispute is not subject to arbitration.

§ 1404.11 Nominations of arbitrators:

Standard and non-standard panels.

(a) The parties may request a list and

biographic sketches of some or all

arbitrators in one or more specific

geographical areas. If the parties can

agree on the selection of an arbitrator,

they may appoint their own arbitrator

directly without any further case

tracking by FMCS. The parties may also

request a randomly selected panel

containing the names of seven (7)

arbitrators accompanied by a

biographical sketch for each member of

the panel. This sketch states the

background, qualification, experience,

and per diem fee, as furnished to the

OAS by the arbitrator. It also states that

other fees may exist, such as

cancellation, postponement,

rescheduling, or administrative fees, as

furnished by the arbitrator, but does not

state the amounts of such other fees.

Requests for a panel of seven (7)

arbitrators, whether joint or unilateral,

will be honored without the need for

compliance with § 1404.9(f). Joint

requests for a panel of other than seven

(7) names, a direct appointment of an

arbitrator, or other service will also be

honored without compliance with

§ 1404.9(f) so long as the request does

not otherwise conflict with the

regulations in subpart C of this part.

(b) Unilateral requests for a panel of

arbitrators with special qualifications or

other than a list of seven (7) arbitrators,

must conform to the requirements of

§ 1404.9(f).

(c) All panels submitted to the parties

by the OAS, and all letters issued by the

OAS making a direct appointment, will

have an assigned FMCS case number.

All future communications between the

parties and the OAS must refer to this

case number.

(d) The OAS will provide a randomly

selected panel of arbitrators located in

state(s) in proximity to the hearing site.

The parties may request arbitrators with

specific qualifications or experienced in

certain issues or industries. The OAS

has no obligation to put an individual

on any given panel, or on a minimum

number of panels in any fixed period. In

general:

(1) The geographical location of

arbitrators placed on panels is governed

by the site of the dispute as stated on

the request received by the OAS.

(2) If at any time both parties request

that a name or names be included or

omitted from a panel, such name or

names will be included or omitted,

unless the number of names is

excessive.

(3) If a unilateral request is made to

omit or include names on a panel, the

request shall be honored if it is in

compliance with § 1404.9(f), unless the

number of names is excessive.

(e) If the parties do not agree on an

arbitrator from the first panel, the OAS

will furnish a second and third panel to

the parties upon joint request. If a

second or third panel is requested by

only one party, the request will be

honored if it conforms with the

procedures stated in § 1404.9(f).

Requests for a second or third panel

should be accompanied by a brief

explanation as to why the previous

panel(s) was inadequate. If parties are

unable to agree on a selection after

having received three panels, the OAS

will make a direct appointment upon

request.

§ 1404.12 Selection by Parties and

appointment of arbitrators.

(a) After receiving a panel of names,

the parties must notify the OAS of their

selection of an arbitrator or of the

decision not to proceed with arbitration.

Upon notification of the selection of an

arbitrator, the OAS will make a formal

appointment of the arbitrator. The

arbitrator, upon notification of

appointment, is expected to

communicate with the parties within 14

days to arrange for preliminary matters,

such as the date and place of hearing.

Should an arbitrator be notified directly

by the parties that he or she has been

selected, the Arbitrator must promptly

notify the OAS of the selection and his

or her willingness to serve. If the parties

settle a case prior to the hearing, parties

must inform the arbitrator as well as the

OAS. Consistent failure to follow these

procedures may lead to a denial of

future OAS services.

(b) If the parties request a list of

names and biographical sketches rather

than a panel, they may choose to

appoint and contact an arbitrator

directly. In this situation, neither the

parties nor the arbitrator is required to

furnish any additional information to

FMCS.

(c) Where the parties’ collective

bargaining agreement is silent on the

manner of selecting arbitrators, the

parties may wish to consider any jointly

determined method or one of the

following methods for selection of an

arbitrator from a panel:

(1) Each party alternately strikes a

name from the submitted panel until

one remains, or

(2) Each party advises the OAS of its

order of preference by numbering each

name on the panel and submitting the

numbered list in writing to the OAS.

The name that has the lowest combined

number will be appointed.

(d) The OAS will make a direct

appointment of an arbitrator either on

joint or unilateral request. If the request

is unilateral,it must be accompanied by

a statement as provided for in 1404.9(f),

certifying that either:

(1) The request is agreed to by both

parties, or

(2) The request does not conflict with

the applicable contract.

(e) The issuance of a panel of names

or a direct appointment in no way

signifies a determination on arbitrability

or an interpretation of the terms and

conditions of the collective bargaining

agreement. The resolution of such

disputes rests solely with the parties.

§ 1404.13 Conduct of hearings.

All proceedings conducted by the

arbitrators shall be in conformity with

the contractual obligations of the

parties. The arbitrator shall comply with

§ 1404.4(b). The conduct of the

arbitration proceeding is under the

arbitrator’s jurisdiction and control, and

the arbitrator’s decision shall be based

upon the evidence and testimony

presented at the hearing or otherwise

incorporated in the record of the

proceeding. The arbitrator may, unless

prohibited by law, proceed in the

absence of any party who, after notice,

fails to be present or to obtain a

postponement. An award rendered in an

ex parte proceeding of this nature must

be based upon evidence presented to the

arbitrator.

§ 1404.14 Decision and awards.

(a) Arbitrators shall make awards no

later than 60 days from the date of the

closing of the record as determined by

the arbitrator, unless otherwise agreed

upon by the parties or specified by the

collective bargaining agreement or law.

A failure to render timely awards

reflects upon the performance of an

arbitrator and may lead to removal from

the FMCS Roster.

(b) The parties should inform the OAS

whenever a decision is unduly delayed.

The arbitrator shall notify the OAS if

and when the arbitrator:

(1) Cannot schedule, hear, and render

decisions promptly, or

(2) Learns a dispute has been settled

by the parties prior to the decision.
Federal Register / Vol. 62, No. 49 / Thursday, March 13, 1997 / Proposed Rules 11805

(c) Within 15 days after an award has

been submitted to the parties, the

arbitrator shall submit an Arbitrator’s

Report and Fee Statement (Form R–19)

to OAS showing a breakdown of the fee

and expense charges so that the OAS

may review conformance with stated

charges under § 1404.12(a). The Form

R–19 is not to be used to invoice the

parties.

(d) While the FMCS encourages the

publication of arbitration awards,

arbitrators should not publicize awards

if objected to by one of the parties.

§ 1404.15 Fees and charges of arbitrators.

(a) FMCS will charge all arbitrators a

fee to be listed on the Roster. All

arbitrators listed on the Roster may

charge a per diem fee and other

predetermined fees for services, if the

amount of such fees have been provided

in advance to the FMCS. Each

arbitrator’s maximum per diem fee and

the existence of other predetermined

fees, if any, are set forth on a

biographical sketch which is sent to the

parties when panels are submitted. The

arbitrator shall not change any fee or

add charges without giving at least 30

days’ advance written notice to the

FMCS. Arbitrators with dual business

addresses must bill the parties for

expenses from the nearest business

address to the hearing site.

(b) In cases involving unusual

amounts of time and expenses relative

to pre-hearing and post-hearing

administration of a particular case, an

administrative charge may be made by

the arbitrator.

(c) Arbitrators shall submit their

schedule of fees to both parties when

accepting arbitration appointments. All

charges other than those specified in

paragraph (a) of this section shall be

divulged to and agreement obtained by

the arbitrator with the parties

immediately after appointment.

(d) The OAS requests that it be

notified of any arbitrator’s deviation

from the policies expressed in this part.

While FMCS will not resolve fee

disputes, repeated complaints

concerning the fees charged by an

arbitrator will be brought to the

attention of the Arbitration Review

Board for further consideration.

§ 1404.16 Reports and biographical

sketches.

(a) arbitrators listed on the Roster

shall executive and return all

documents, forms and reports required

by FMCS. They shall also keep the OAS

informed of changes of address,

telephone number, availability, and of

any business or other connection or

relationship which involves labormanagement relations or which creates

or gives the appearance of advocacy as

defined in § 1404.5(c)(1).

(b) The OAS will provide biographical

sketches on each person admitted to the

Roster from information supplied by

applicants. Arbitrators may request

revision of biographical information at

later dates to reflect changes in fees, the

existence of additional charges, or other

relevant data. The OAS reserves the

right to decide and approve the format

and content of biographical sketches.

Appendix to 29 CFR Part 1404—Arbitration Policy; Schedule of Fees

Annual listing fee for all arbitrators ....................................................... $100 for the first address; $50 for second address.

Request for panel of arbitrators .............................................................. $30 for each panel request (includes subsequent appointment).

Diect appointment of an arbitrator when a panel is not used .............. $20 per appointment.

List and biographic sketches of arbitrators in a specific area .............. $10 per request plus $10 per page.

John Calhoun Wells,

Director.

[FR Doc. 97–6305 Filed 3–12–97; 8:45 am]

BILLING CODE 6732–01–M

DEPARTMENT OF THE INTERIOR

Office of Surface Mining Reclamation

and Enforcement

30 CFR Part 906

[SPATS No. CO–034–FOR]

Colorado Regulatory Program

AGENCY: Office of Surface Mining

Reclamation and Enforcement, Interior.

ACTION: Proposed rule; public comment

period and opportunity for public

hearing on proposed amendment.

Office of Surface Mining Reclamation

and Enforcement (OSM) is announcing

receipt of a proposed amendment to the

Colorado regulatory program

(hereinafter, the ‘‘Colorado program’’)

under the Surface Mining Control and

Reclamation Act of 1977 (SMCRA). The

proposed amendment consists of, in

addition to several nonsubstantive

editorial revisions, revisions to

Colorado’s rules pertaining to (1) the

applicability of Colorado’s rules and

language identifying where referenced

material may be viewed; (2) definitions;

(3) the requirement to repeal any State

rule required by a Federal law or rule

which is repealed; (4) the operations

plan permit application requirements;

(5) experimental practices; (6) the right

of successive permit renewal; (7)

transfer, assignment or sale of permit

rights; (8) terms and conditions of an

irrevocable letter of credit; (9)

performance standards for

sedimentation ponds; (10) embankment

design for sedimentation ponds; (11)

sign and markers for temporary and

permanent cessation of operations; (12)

availability of records; and (13) a

permittee’s failure to abate a violation.

The amendment is intended to revise

the Colorado program to clarify

ambiguities and improve operational

efficiency.

DATES: Written comments must be

received by 4:00 p.m., M.D.T., April 14,

1997. If requested, a public hearing on

the proposed amendment will be held

on April 7, 1997. Requests to present

oral testimony at the hearing must be

received by 4:00 p.m., M.D.T., on March

28, 1997.

ADDRESSES: Written comments should

be mailed or hand delivered to James F.

Fulton at the address listed below.

Copies of the Colorado program, the

proposed amendment, 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 Denver Field

Division.

James F. Fulton, Chief, Denver Field

Division, Office of Surface Mining

Reclamation and Enforcement, 1999

Broadway, Suite 3320, Denver,

Colorado 80202–5733

Michael B. Long, Director, Division of

Minerals and Geology, Department of

Natural Resources, 1313 Sherman St.,

Room 215, Denver, Colorado 80203,

Telephone: (303) 866–3567

FOR FURTHER INFORMATION CONTACT:

James F. Fulton, Telephone: (303) 844–

1424.

SUPPLEMENTARY INFORMATION:

I. Background on the Colorado Program

On December 15, 1980, the Secretary

of the Interior conditionally approved