Vol. 80 Tuesday, No. 120 June 23, 2015

Pages 35829–36230

OFFICE OF THE FEDERAL REGISTER

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Contents Federal Register Vol. 80, No. 120

Tuesday, June 23, 2015

Agriculture Department Drug Enforcement Administration See Food and Nutrition Service NOTICES See Forest Service Importer of Controlled Substances Application: Midas Pharmaceuticals, Inc., Parsippany, NJ, 35974– Army Department 35975 NOTICES Wildlife Laboratories, Inc., Windsor, CO, 35975 Real Property for Public Health Purposes, Including Research; the Former Walter Reed Army Medical Education Department Center, 35939–35940 NOTICES Agency Information Collection Activities; Proposals, Bonneville Power Administration Submissions, and Approvals: NOTICES Income Based Repayment Notifications, 35946–35947 Agency Information Collection Activities; Proposals, Submissions, and Approvals: Energy Department Badge Replacement Request Form, 35948 See Bonneville Power Administration Landowner Release for Poles Removed from BPA See Federal Energy Regulatory Commission Transmission System, 35947–35948 PROPOSED RULES Energy Conservation Programs: Coast Guard Test Procedures for Commercial Prerinse Spray Valves, RULES 35874–35886 Regattas and Marine Parades: Energy Efficiency Programs for Consumer Products: Great Lakes Annual Marine Events, 35843–35844 Energy Conservation Standards for Fluorescent Lamp Safety Zones: Ballasts, 35886–35888 Black River Kayak-a-thon; Black River, Lorain, OH, Environmental Protection Agency 35844–35846 Fireworks Events in Captain of the Port New York Zone, NOTICES 35847 Agency Information Collection Activities; Proposals, PROPOSED RULES Submissions, and Approvals: Special Local Regulations: Regulation of Fuels and Fuel Additives; RFS Pathways II, Recurring Marine Events in Captain of the Port Long and Technical Amendments to the RFS Standards Island Sound Zone, 35892–35898 and E15 Misfueling Mitigation Requirements, 35950– 35951 Commerce Department Proposed Consent Decree, Clean Air Act Citizen Suit, See Foreign-Trade Zones Board 35951–35952 See International Trade Administration Farm Credit Administration PROPOSED RULES Committee for Purchase From People Who Are Blind or Regulatory Capital, Implementation of Tier 1/Tier 2 Severely Disabled Framework, 35888–35889 RULES Military Resale Commodities; Correction, 35847–35848 Federal Aviation Administration RULES Commodity Futures Trading Commission Establishment of Class E Airspace: NOTICES Cloverdale, CA, 35833–35834 Agency Information Collection Activities; Proposals, PROPOSED RULES Submissions, and Approvals, 35938 Amendments of Class E Airspace: Douglas, WY, 35889–35890 Consumer Product Safety Commission Tracy, CA, 35890–35892 NOTICES NOTICES Estimated Phthalate Exposure and Risk to Pregnant Women Policy for Discontinuance of World Aeronautical Chart and Women of Reproductive Age as Assessed Using Series, 36035–36036 Four NHANES Biomonitoring Data Sets, 35938–35939 Federal Communications Commission Defense Department RULES See Army Department Carriage of Digital Television Broadcast Signals, 35854– NOTICES 35858 Agency Information Collection Activities; Proposals, Shared Commercial Operations in the 3550–3650 MHz Submissions, and Approvals: Band, 36164–36230 Independent Review Panel on Military Medical NOTICES Construction Standards, 35943–35944 Meetings: Arms Sales, 35941–35946 Task Force on Optimal Public Safety Answering Point Privacy Act; Systems of Records, 35940–35941 Architecture, 35952–35953

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Federal Deposit Insurance Corporation Food and Drug Administration NOTICES RULES Terminations of Receivership: Infant Formula: Community Capital Bank, Jonesboro, GA, 35953 Addition of Minimum and Maximum Levels of Selenium to Infant Formula and Related Labeling Federal Election Commission Requirements, 35834–35841 NOTICES Medical Devices: Meetings; Sunshine Act, 35953 Gastroenterology-Urology Devices; Classification of the Vibrator for Climax Control of Premature Ejaculation, Federal Emergency Management Agency 35842–35843 RULES Veterinary Feed Directive; Corrections, 35841–35842 Suspension of Community Eligibility, 35851–35854 NOTICES NOTICES Agency Information Collection Activities; Proposals, Major Disaster Declarations: Submissions, and Approvals: Oklahoma; Amendment No. 5, 35967 New Animal Drugs for Investigational Uses, 35956–35957 Texas; Amendments, 35966–35967 Postmarketing Adverse Drug Experience Reporting and Recordkeeping Biological Products, 35957–35958 Federal Energy Regulatory Commission Determinations that Products Were Not Withdrawn from NOTICES Sale for Reasons of Safety or Effectiveness: Applications: ABILIFY (Aripiprazole), 35959 Bynum Hydro Co.; PK Ventures I LP, 35950 Combined Filings, 35949–35950 Food and Nutrition Service Petitions for Declaratory Orders: NOTICES NORCO Pipe Line Company, LLC, 35948–35949 Requests for Information: SNAP and WIC Seeking Input Regarding Procurement Federal Highway Administration and Implementation of Electronic Benefit Transfer NOTICES Services, 35932–35934 Agency Information Collection Activities; Proposals, Submissions, and Approvals, 36036–36037, 36039– Foreign-Trade Zones Board 36040 NOTICES Environmental Impact Statements; Availability, etc.: Production Activity Authorizations: Cities of Newport News and Hampton to the Cities of Thyssenkrupp Presta Danville, LLC, Foreign-Trade Zone Norfolk, Portsmouth, Suffolk, and Chesapeake, VA, 245, Decatur, IL, 35935 36038–36039 Final Federal Agency Actions on Proposed Highways in Forest Service Colorado, 36037 NOTICES Environmental Impact Statements; Availability, etc.: Federal Reserve System Forest Plan Amendment, Tongass National Forest, AK; NOTICES Corrections, 35934–35935 Agency Information Collection Activities; Proposals, Submissions, and Approvals, 35953–35956 Health and Human Services Department See Food and Drug Administration Federal Transit Administration See Health Resources and Services Administration PROPOSED RULES See National Institutes of Health Bus Testing: RULES Establishment of Performance Standards, Bus Model National Vaccine Injury Compensation Program: Scoring System, Pass/Fail Standard and other Addition of Intussusception as Injury for Rotavirus Program Updates, 36112–36161 Vaccines to the Vaccine Injury Table, 35848–35851 PROPOSED RULES Fish and Wildlife Service Medical Screening Process: RULES Medical Examination of Aliens, 35899–35916 Endangered and Threatened Wildlife and Plants: NOTICES 54 Wildlife and Plant Species; Technical Corrections, Guidance for Industry and Staff: 35860–35869 Department of Health and Human Services Guidance on PROPOSED RULES Procedures for the Provision of Marijuana for Endangered and Threatened Wildlife and Plants: Medical Research; Revision, 35960–35961 Leona’s Little Blue Butterfly; 12-Month Finding on Petition to List, 35916–35931 Health Resources and Services Administration NOTICES NOTICES Agency Information Collection Activities; Proposals, Meetings: Submissions, and Approvals: Centers for Disease Control and Prevention/Health National Wildlife Refuge Visitor Check-In Permit and Use Resources and Services Administration Advisory Report, 35969–35970 Committee on HIV, Viral Hepatitis and Sexually Permit Applications: Transmitted Diseases Prevention and Treatment, Endangered and Threatened Wildlife and Plants, 35968– 35959–35960 35969 Endangered Species; Recovery Applications, 35970– Homeland Security Department 35971 See Coast Guard

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See Federal Emergency Management Agency National Park Service See U.S. Immigration and Customs Enforcement NOTICES Environmental Impact Statements; Availability, etc.: Interior Department Ozark National Scenic Riverway, MO, 35972–35973 See Fish and Wildlife Service White-Tailed Deer Management Plan; Cuyahoga Valley See National Park Service National Park, Ohio, 35973 NOTICES Agency Information Collection Activities; Proposals, National Science Foundation Submissions, and Approvals: NOTICES Donor Certification Form, 35971–35972 Agency Information Collection Activities; Proposals, International Trade Administration Submissions, and Approvals, 35976 NOTICES Antidumping or Countervailing Duty Investigations, Orders, Nuclear Regulatory Commission or Reviews: RULES Certain Frozen Warmwater Shrimp from the People’s List of Approved Spent Fuel Storage Casks: Republic of China, 35935–35936 Holtec International HI–STORM UMAX Canister Storage Certain Pasta from Italy, 35936–35938 System, Certificate of Compliance No. 1040, Amendment No. 1, 35829–35833 International Trade Commission PROPOSED RULES NOTICES Linear No-threshold Model and Standards for Protection Complaints: against Radiation, 35870–35872 Certain Resealable Packages with Slider Devices, 35973– List of Approved Spent Fuel Storage Casks: 35974 Holtec International HI–STORM UMAX Canister Storage System, Certificate of Compliance No. 1040, Justice Department Amendment No. 1, 35872–35874 See Drug Enforcement Administration NOTICES Agency Information Collection Activities; Proposals, Maritime Administration Submissions, and Approvals: NOTICES Environmental Protection Regulations for Domestic Requests for Administrative Waivers of the Coastwise Trade Licensing and Related Regulatory Functions, 35991– Laws: 35992 Vessel FORCE, 36041 NRC Request for Sodium Iodide I–131 Treatment and Vessel PARADIGM SHIFT, 36041–36042 Patient Release Information, 35990–35991 Vessel SIREN, 36042 Physical Protection of Category 1 and Category 2 Vessel VELA ANDATO, 36040–36041 Quantities of Radioactive Material, 35995–35996 Rules of General Applicability to Domestic Licensing of National Archives and Records Administration Byproduct Material, 35977–35978 NOTICES Applications: Office of Presidential Libraries; Disposal of Presidential Browns Ferry Nuclear Plant, Units 1, 2, and 3, Tennessee Records, 35975–35976 Valley Authority; Withdrawal, 35996 Exemptions: National Highway Traffic Safety Administration Entergy Nuclear Operations, Inc., Vermont Yankee RULES Nuclear Power Station, 35992–35995 Federal Motor Vehicle Safety Standards: Facility Operating Licenses: Electronic Stability Control Systems for Heavy Vehicles, Applications and Amendments Involving Proposed No 36050–36110 Significant Hazards Considerations, etc., 35978– Hybrid III 10-Year-Old Child Test Dummy; Corrections, 35990 Incorporation by Reference, 35858–35860 National Institutes of Health Pipeline and Hazardous Materials Safety Administration NOTICES NOTICES Meetings: Pipeline Safety: Center for Scientific Review, 35962–35963, 35965–35966 Potential for Damage to Pipeline Facilities Caused by the Eunice Kennedy Shriver National Institute of Child Passage of Hurricanes, 36042–36044 Health and Human Development, 35961–35963 National Cancer Institute, 35964 Postal Regulatory Commission National Center for Complementary and Integrative PROPOSED RULES Health, 35961, 35966 Periodic Reporting, 35898–35899 National Heart, Lung, and Blood Institute, 35962 National Institute of Environmental Health Sciences, Securities and Exchange Commission 35961–35962 NOTICES National Institute of Neurological Disorders and Stroke, Agency Information Collection Activities; Proposals, 35964 Submissions, and Approvals, 36013–36014, 36030– National Institute on Aging, 35963–35964 36031 National Library of Medicine, 35965 Applications: Prospective Grant of Start-up Exclusive Evaluation Option Academy Funds Trust and Innovator Management, LLC, License: 36019–36021 A Novel HIV–1 Entry Inhibitor, 35964–35965 American Funds Insurance Series, et al., 36008–36013

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Joint Industry Plans: See Surface Transportation Board BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange, LLC, et al., 36006–36008, 36028– U.S. Immigration and Customs Enforcement 36030 NOTICES Meetings; Sunshine Act, 36014–36015 Agency Information Collection Activities; Proposals, Self-Regulatory Organizations; Proposed Rule Changes: Submissions, and Approvals, 35967–35968 Chicago Board Options Exchange, Inc., 36021–36024 NASDAQ OMX PHLX, LLC, 35997–36006 Veterans Affairs Department NYSE Arca, Inc., 36015–36019 NOTICES NYSEMKT LLC, 36024–36028 Funding Availability: Homeless Providers Grant and Per Diem Program, 36044– Small Business Administration 36047 NOTICES Conflict of Interest Exemptions: Boathouse Capital II, LP, 36031 Separate Parts In This Issue

Social Security Administration Part II NOTICES Transportation Department, National Highway Traffic Agency Information Collection Activities; Proposals, Safety Administration, 36050–36110 Submissions, and Approvals, 36031–36035 Part III Surface Transportation Board Transportation Department, Federal Transit Administration, NOTICES 36112–36161 Quarterly Rail Cost Adjustment Factor, 36044 Part IV Tennessee Valley Authority Federal Communications Commission, 36164–36230 NOTICES Charter Renewals: Regional Energy Resource Council, 36035 Reader Aids Transportation Department Consult the Reader Aids section at the end of this page for See Federal Aviation Administration phone numbers, online resources, finding aids, reminders, See Federal Highway Administration and notice of recently enacted public laws. See Federal Transit Administration To subscribe to the Federal Register Table of Contents See Maritime Administration LISTSERV electronic mailing list, go to http:// See National Highway Traffic Safety Administration listserv.access.gpo.gov and select Online mailing list See Pipeline and Hazardous Materials Safety archives, FEDREGTOC-L, Join or leave the list (or change Administration settings); then follow the instructions.

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CFR PARTS AFFECTED IN THIS ISSUE

A cumulative list of the parts affected this month can be found in the Reader Aids section at the end of this issue.

10 CFR 72...... 35829 Proposed Rules: 20...... 35870 72...... 35872 429...... 35874 430...... 35886 431...... 35874 12 CFR Proposed Rules: 607...... 35888 614...... 35888 615...... 35888 620...... 35888 628...... 35888 14 CFR 71...... 35833 Proposed Rules: 71 (2 documents) ...... 35889, 35890 21 CFR 107...... 35834 558...... 35841 876...... 35842 33 CFR 100...... 35843 165 (2 documents) ...... 35844, 35847 Proposed Rules: 100...... 35892 39 CFR Proposed Rules: 3050...... 35898 41 CFR 51–6...... 35847 42 CFR 100...... 35848 Proposed Rules: 34...... 35899 44 CFR 64...... 35851 47 CFR 0...... 36164 1...... 36164 2...... 36164 76...... 35854 90...... 36164 95...... 36164 96...... 36164 49 CFR 571...... 36050 572...... 35858 Proposed Rules: 665...... 36112 50 CFR 17...... 35860 Proposed Rules: 17...... 35916

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Rules and Regulations Federal Register Vol. 80, No. 120

Tuesday, June 23, 2015

This section of the FEDERAL REGISTER DATES: The direct final rule is effective (301) 415–3781; email: Solomon.Sahle@ contains regulatory documents having general September 8, 2015, unless significant nrc.gov. applicability and legal effect, most of which adverse comments are received by July SUPPLEMENTARY INFORMATION: are keyed to and codified in the Code of 23, 2015. If the direct final rule is Federal Regulations, which is published under withdrawn as a result of such Table of Contents: 50 titles pursuant to 44 U.S.C. 1510. comments, timely notice of the withdrawal will be published in the I. Obtaining Information and Submitting The Code of Federal Regulations is sold by Comments. the Superintendent of Documents. Prices of Federal Register. Comments received II. Procedural Background. new books are listed in the first FEDERAL after this date will be considered if it is III. Background. REGISTER issue of each week. practical to do so, but the Commission IV. Discussion of Changes. is able to ensure consideration only for V. Voluntary Consensus Standards. comments received on or before this VI. Agreement State Compatibility. NUCLEAR REGULATORY date. Comments received on this direct VII. Plain Writing. COMMISSION final rule will also be considered to be VIII. Environmental Assessment and Finding comments on a companion proposed of No Significant Environmental Impact. 10 CFR Part 72 rule published in the Proposed Rules IX. Paperwork Reduction Act Statement. X. Regulatory Flexibility Certification. [NRC–2015–0067] section of this issue of the Federal XI. Regulatory Analysis. Register. RIN 3150–AJ58 XII. Backfitting and Issue Finality. ADDRESSES: You may submit comments XIII. Congressional Review Act. List of Approved Spent Fuel Storage by any of the following methods (unless XIV. Availability of Documents. Casks: Holtec International HI–STORM this document describes a different I. Obtaining Information and UMAX Canister Storage System, method for submitting comments on a Submitting Comments Certificate of Compliance No. 1040, specific subject): Amendment No. 1 • Federal Rulemaking Web site: Go to A. Obtaining Information http://www.regulations.gov and search Please refer to Docket ID NRC–2015– AGENCY: Nuclear Regulatory for Docket ID NRC–2015–0067. Address Commission. 0067 when contacting the NRC about questions about NRC dockets to Carol the availability of information for this ACTION: Direct final rule. Gallagher, telephone: (301) 415–3463; action. You may obtain publicly- email: [email protected]. For SUMMARY: The U.S. Nuclear Regulatory available information related to this technical questions, contact the Commission (NRC) is amending its action by any of the following methods: individual listed in the FOR FURTHER • spent fuel storage regulations by Federal Rulemaking Web site: Go to INFORMATION CONTACT section of this revising the Holtec International, Inc. http://www.regulations.gov and search document. for Docket ID NRC–2015–0067. (Holtec), HI–STORM (Holtec • International Storage Module) Email comments to: • NRC’s Agencywide Documents Underground Maximum Capacity [email protected]. If you Access and Management System (UMAX) Canister Storage System listing do not receive an automatic email reply (ADAMS): You may obtain publicly- within the ‘‘List of approved spent fuel confirming receipt, then contact us at available documents online in the (301) 415–1677. ADAMS Public Documents collection at storage casks’’ to add Amendment No. 1 • to Certificate of Compliance (CoC) No. Fax comments to: Secretary, U.S. http://www.nrc.gov/reading-rm/ 1040. Amendment No. 1 provides a Nuclear Regulatory Commission at (301) adams.html. To begin the search, select 415–1101. ‘‘ADAMS Public Documents’’ and then seismically enhanced version of the HI– • STORM UMAX Canister Storage Mail comments to: Secretary, U.S. select ‘‘Begin Web-based ADAMS System, identified as the ‘‘Most Severe Nuclear Regulatory Commission, Search.’’ For problems with ADAMS, Earthquake (MSE)’’ version, that could Washington, DC 20555–0001, ATTN: please contact the NRC’s Public be used in areas with higher seismic Rulemakings and Adjudications Staff. Document Room (PDR) reference staff at • demands than those analyzed Hand deliver comments to: 11555 1–800–397–4209, (301) 415–4737, or by previously. Amendment No. 1 also Rockville Pike, Rockville, Maryland email to [email protected]. For the includes minor physical design changes 20852, between 7:30 a.m. and 4:15 p.m. convenience of the reader, instructions to help ensure structural integrity of the (Eastern Time) Federal workdays; about obtaining materials referenced in amended system. These are the addition telephone: (301) 415–1677. this document are provided in the of a hold-down system to the closure For additional direction on obtaining ‘‘Availability of Documents’’ section. lid; replacing the fill material in the information and submitting comments, • NRC’s PDR: You may examine and interstitial spaces between the cavity see ‘‘Obtaining Information and purchase copies of public documents at enclosure containers (CECs) Submitting Comments’’ in the the NRC’s PDR, Room O1–F21, One surrounding the casks with 3000 psi SUPPLEMENTARY INFORMATION section of White Flint North, 11555 Rockville concrete; strengthening the multi- this document. Pike, Rockville, Maryland 20852. purpose canister (MPC) guides; and FOR FURTHER INFORMATION CONTACT: B. Submitting Comments engineering the guides’ nominal gap Solomon Sahle, Office of Nuclear with the MPC to be tighter than the Material Safety and Safeguards, U.S. Please include Docket ID NRC–2015– original HI–STORM UMAX Canister Nuclear Regulatory Commission, 0067 in the subject line of your Storage System design. Washington, DC 20555–0001, telephone: comment submission.

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The NRC cautions you not to include response to clarify or complete the IV. Discussion of Changes identifying or contact information that record; or By letter dated July 11, 2014, and as you do not want to be publicly (c) The comment raises a relevant disclosed in your comment submission. supplemented on October 31, 2014, issue that was not previously addressed Holtec submitted an application to the The NRC will post all comment or considered by the NRC staff. submissions at http:// NRC to amend the HI–STORM UMAX www.regulations.gov as well as enter the (2) The comment proposes a change Canister Storage System, CoC No. 1040, comment submissions into ADAMS. or an addition to the rule, and it is under subpart K of 10 CFR part 72. The NRC does not routinely edit apparent that the rule would be Amendment No. 1 to CoC No. 1040 comment submissions to remove ineffective or unacceptable without provides a seismically enhanced version identifying or contact information. incorporation of the change or addition. of the HI–STORM UMAX Canister If you are requesting or aggregating (3) The comment causes the NRC staff Storage System, identified as the ‘‘Most comments from other persons for to make a change (other than editorial) Severe Earthquake (MSE)’’ version, that could be used in areas with higher submission to the NRC, then you should to the rule, CoC, or Technical seismic demands than those analyzed inform those persons not to include Specifications (TSs). identifying or contact information that previously. Amendment No. 1 also they do not want to be publicly For detailed instructions on includes minor physical design changes disclosed in their comment submission. submitting comments, please see the to help ensure structural integrity of the Your request should state that the NRC ADDRESSES section of this document. amended system. These are the addition does not routinely edit comment III. Background of a hold-down system to the closure submissions to remove such information lid; replacing the fill material in the before making the comment Section 218(a) of the Nuclear Waste interstitial spaces between the CECs submissions available to the public or Policy Act (NWPA) of 1982, as surrounding the casks with 3000 psi entering the comment into ADAMS. amended, requires that ‘‘the Secretary concrete; strengthening the MPC guides; [of the U.S. Department of Energy] shall and engineering the guides’ nominal gap II. Procedural Background establish a demonstration program, in with the MPC to be tighter than the This rule is limited to the changes cooperation with the private sector, for original HI–STORM UMAX Canister contained in Amendment No. 1 to CoC the dry storage of spent nuclear fuel at Storage System design. No. 1040 and does not include other civilian nuclear power reactor sites, As documented in the NRC staff’s aspects of the HI–STORM UMAX with the objective of establishing one or Safety Evaluation Report (SER) Canister Storage System. The NRC is more technologies that the [U.S. Nuclear (ML15070A149), the NRC staff using the ‘‘direct final rule’’ procedure Regulatory] Commission may, by rule, performed a detailed safety evaluation to issue this amendment because it approve for use at the sites of civilian of the proposed CoC amendment represents a limited and routine change nuclear power reactors without, to the request. This amendment does not to an existing CoC that is expected to be maximum extent practicable, the need reflect a significant change in design or noncontroversial. The amendment to for additional site-specific approvals by fabrication of the HI–STROM UMAX the rule will become effective on the Commission.’’ Section 133 of the Canister Storage System cask design September 8, 2015. However, if the NRC NWPA states, in part, that ‘‘[t]he previously approved by the NRC (see 80 receives significant adverse comments Commission shall, by rule, establish FR 12073, as corrected 80 FR 15679). on this direct final rule by July 23, 2015, procedures for the licensing of any Considering the specific design the NRC will publish a document that technology approved by the requirements for accident conditions, withdraws this action, and will Commission under Section 219(a) [sic: the NRC staff determined that the design subsequently address the comments 218(a)] for use at the site of any civilian of the cask would continue to prevent received in a final rule as a response to nuclear power reactor.’’ loss of confinement, shielding, and the companion proposed rule published criticality control. in the Proposed Rule section of this To implement this mandate, the This direct final rule revises the issue of the Federal Register. Absent Commission approved dry storage of Holtec HI–STORM UMAX Canister significant modifications to the spent nuclear fuel in NRC-approved Storage System listing in 10 CFR 72.214 proposed revisions requiring casks under a general license by by adding Amendment No. 1 to CoC No. republication, the NRC will not initiate publishing a final rule which added a 1040. The amendment consists of the a second comment period on this action. new subpart K in part 72 of Title 10 of A significant adverse comment is a the Code of Federal Regulations (10 changes previously described, as set comment where the commenter CFR) entitled ‘‘General License for forth in the revised CoC and TSs. The explains why the rule would be Storage of Spent Fuel at Power Reactor revised TSs are identified in the SER. inappropriate, including challenges to Sites’’ (55 FR 29181; July 18, 1990). This The amended Holtec HI–STORM the rule’s underlying premise or rule also established a new subpart L UMAX Canister Storage System, when approach, or would be ineffective or within 10 CFR part 72 entitled, used under the conditions specified in unacceptable without a change. A ‘‘Approval of Spent Fuel Storage the CoC, the TSs, and the NRC’s comment is adverse and significant if: Casks,’’ which contains procedures and regulations, will meet the requirements (1) The comment opposes the rule and criteria for obtaining NRC approval of of 10 CFR part 72; therefore, adequate provides a reason sufficient to require a spent fuel storage cask designs. The protection of public health and safety substantive response in a notice-and- NRC subsequently issued a final rule on will continue to be ensured. When this comment process. For example, a March 6, 2015 (80 FR 12073), as direct final rule becomes effective, substantive response is required when: corrected on March 25, 2015 (80 FR persons who hold a general license (a) The comment causes the NRC staff 15679), that approved the HI–STORM under 10 CFR 72.210 may load spent to reevaluate (or reconsider) its position UMAX Canister Storage System design nuclear fuel into Holtec HI–STORM or conduct additional analysis; and added it to the list of NRC-approved UMAX Canister Storage Systems that (b) The comment raises an issue cask designs in 10 CFR 72.214 as CoC meet the criteria of Amendment No. 1 serious enough to warrant a substantive No. 1040. to CoC No. 1040 under 10 CFR 72.212.

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V. Voluntary Consensus Standards ‘‘Environmental Protection Regulations operating license would store spent fuel The National Technology Transfer for Domestic Licensing and Related in casks in accordance with 10 CFR part and Advancement Act of 1995 (Pub. L. Regulatory Functions,’’ the NRC has 72, include tornado winds and tornado- 104–113) requires that Federal agencies determined that this rule, if adopted, generated missiles, a design basis use technical standards that are would not be a major Federal action earthquake, a design basis flood, an developed or adopted by voluntary significantly affecting the quality of the accidental cask drop, lightning effects, consensus standards bodies unless the human environment and, therefore, an fire, explosions, and other incidents. use of such a standard is inconsistent environmental impact statement is not Considering the specific design with applicable law or otherwise required. The NRC has made a finding requirements for accident conditions, impractical. In this direct final rule, the of no significant impact on the basis of the design of the storage system would NRC will amend the Holtec HI–STORM this environmental assessment. prevent loss of containment, shielding, UMAX Canister Storage System design B. The Need for the Action and criticality control. If there is no loss of containment, shielding, or criticality listed in 10 CFR 72.214, ‘‘List of This direct final rule amends the CoC approved spent fuel storage casks.’’ This control, the environmental impacts for the Holtec HI–STORM UMAX would be insignificant. There are no action does not constitute the Canister Storage System design within significant changes to cask design establishment of a standard that the list of approved spent fuel storage requirements in the proposed CoC contains generally applicable casks that power reactor licensees can amendment. In addition, because there requirements. use to store spent fuel at reactor sites are no significant design or process under a general license. Specifically, VI. Agreement State Compatibility changes, any resulting occupational Amendment No. 1 to CoC No. 1040 Under the ‘‘Policy Statement on exposure or offsite dose rates from the provides a seismically enhanced version Adequacy and Compatibility of implementation of Amendment No.1 of the HI–STORM UMAX Canister Agreement State Programs’’ approved by would remain well within the 10 CFR Storage System, identified as the ‘‘Most the Commission on June 30, 1997, and part 20 limits. Therefore, the proposed Severe Earthquake (MSE)’’ version that published in the Federal Register on could be used in areas with higher CoC amendment will not result in any September 3, 1997 (62 FR 46517), this seismic demands than those analyzed radiological or non-radiological direct final rule is classified as previously. Amendment No. 1 also environmental impacts that significantly Compatibility Category ‘‘NRC.’’ includes minor physical design changes differ from the environmental impacts Compatibility is not required for to help ensure the structural integrity of evaluated in the environmental Category ‘‘NRC’’ regulations. The NRC the amended system. These are the assessment supporting the July 18, 1990, program elements in this category are addition of a hold-down system to the final rule. There will be no significant those that relate directly to areas of closure lid; replacing the fill material in change in the types or significant regulation reserved to the NRC by the the interstitial spaces between the CECs revisions in the amounts of any effluent Atomic Energy Act of 1954, as amended, surrounding the casks with 3000 psi released, no significant increase in the or the provisions of 10 CFR. Although concrete; strengthening MPC guides; individual or cumulative radiation an Agreement State may not adopt and engineering the guides’ nominal gap exposure, and no significant increase in program elements reserved to the NRC, with the MPC to be tighter than the the potential for or consequences from it may wish to inform its licensees of original HI–STORM UMAX Canister radiological accidents. The NRC staff certain requirements via a mechanism Storage System. documented its safety findings in the that is consistent with the particular SER for this amendment. State’s administrative procedure laws, C. Environmental Impacts of the Action D. Alternative to the Action but does not confer regulatory authority On July 18, 1990 (55 FR 29181), the on the State. NRC issued an amendment to 10 CFR The alternative to this action is to VII. Plain Writing part 72 to provide for the storage of deny approval of Amendment No. 1 and spent fuel under a general license in terminate the direct final rule. The Plain Writing Act of 2010 (Pub. cask designs approved by the NRC. The Consequently, any 10 CFR part 72 L. 111–274) requires Federal agencies to potential environmental impact of using general licensee that seeks to load spent write documents in a clear, concise, NRC-approved storage casks was nuclear fuel into Holtec HI–STORM well-organized manner. The NRC has initially analyzed in the environmental UMAX Canister Storage Systems in written this document to be consistent assessment for the 1990 final rule. The accordance with the changes described with the Plain Writing Act as well as the environmental assessment for this in proposed Amendment No. 1 would Presidential Memorandum, ‘‘Plain amendment tiers off of the have to request an exemption from the Language in Government Writing,’’ environmental assessment for the July requirements of 10 CFR 72.212 and published June 10, 1998 (63 FR 31883). 18, 1990, final rule. Tiering on past 72.214. Under this alternative, VIII. Environmental Assessment and environmental assessments is a standard interested licensees would have to Finding of No Significant process under the National prepare, and the NRC would have to Environmental Impact Environmental Policy Act. review, a separate exemption request, Holtec HI–STORM UMAX Canister thereby increasing the administrative A. The Action Storage Systems are designed to mitigate burden upon the NRC and the costs to The action is to amend 10 CFR 72.214 the effects of design basis accidents that each licensee. Therefore, the to amend the Holtec HI–STORM UMAX could occur during storage. Design basis environmental impacts of the alternative Canister Storage System listing within accidents account for human-induced to the action would be the same or more the ‘‘List of approved spent fuel storage events and the most severe natural than the impacts of the action. casks’’ to include Amendment No. 1 to phenomena reported for the site and E. Alternative Use of Resources CoC No. 1040. Under the National surrounding area. Postulated accidents Environmental Policy Act of 1969, as analyzed for an Independent Spent Fuel Approval of Amendment No.1 to CoC amended, and the NRC’s regulations in Storage Installation, the type of facility No. 1040 would result in no irreversible subpart A of 10 CFR part 51, at which a holder of a power reactor commitments of resources.

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F. Agencies and Persons Contacted licensee can use NRC-approved cask apply to this direct final rule. Therefore, No agencies or persons outside the designs to store spent nuclear fuel if it a backfit analysis is not required. This NRC were contacted in connection with notifies the NRC in advance, the spent direct final rule amends CoC No. 1040 the preparation of this environmental fuel is stored under the conditions for the Holtec HI–STORM UMAX assessment. specified in the cask’s CoC, and the Canister Storage System, as currently conditions of the general license are listed in 10 CFR 72.214, ‘‘List of G. Finding of No Significant Impact met. A list of NRC-approved cask approved spent fuel storage casks.’’ The environmental impacts of the designs is contained in 10 CFR 72.214. Amendment No. 1 provides a action have been reviewed under the On March 6, 2015 (80 FR 12073), as seismically enhanced version of the HI– requirements in 10 CFR part 51. Based corrected on March 25, 2015 (80 FR STORM UMAX Canister Storage on the foregoing environmental 15679), the NRC issued an amendment System, identified as the ‘‘Most Severe assessment, the NRC concludes that this to 10 CFR part 72 that approved the Earthquake (MSE)’’ version that could direct final rule entitled, ‘‘List of Holtec HI–STORM UMAX Canister be used in areas with higher seismic Storage System design by adding it to Approved Spent Fuel Storage Casks: demands than those analyzed the list of NRC-approved cask designs in Holtec International HI–STORM UMAX previously. It also includes minor 10 CFR 72.214. On July 11, 2014, and Canister Storage System, Certificate of physical design changes to help ensure Compliance No. 1040, Amendment No. as supplemented on October 31, 2014, Holtec submitted an application to structural integrity of the amended 1,’’ will not have a significant effect on system. the human environment. Therefore, the amend the HI–STORM UMAX Canister NRC has determined that an Storage System as described in Section Amendment No. 1 of CoC No. 1040 environmental impact statement is not IV, ‘‘Discussion of Changes,’’ of this for the Holtec HI–STORM UMAX necessary for this direct final rule. document. Canister Storage System was initiated by The alternative to this action is to Holtec and was not submitted in IX. Paperwork Reduction Act withhold approval of Amendment No.1 response to new NRC requirements, or Statement and to require any 10 CFR part 72 an NRC request for amendment. Holtec, This direct final rule does not contain general licensees seeking to load spent as the CoC holder, is not protected by any information collection requirements nuclear fuel into the Holtec HI–STORM the backfitting provisions under 10 CFR and, therefore, is not subject to the UMAX Canister Storage System under 72.62. the changes described in Amendment Paperwork Reduction Act of 1995 (44 In addition, the changes in U.S.C. 3501 et seq.). Public Protection No. 1 to request an exemption from the Amendment No. 1 do not apply to casks Notification. requirements of 10 CFR 72.212 and The NRC may not conduct or sponsor, 72.214. Under this alternative, each which were manufactured to the initial and a person is not required to respond interested 10 CFR part 72 licensee CoC 1040. Amendment No. 1 applies to a request for information or an would have to prepare, and the NRC only to new casks fabricated and used information collection requirement would have to review, a separate under Amendment No. 1. Therefore, unless the requesting document exemption request, thereby increasing these changes do not affect existing displays a currently valid OMB control the administrative burden upon the users of the Holtec UMAX Canister number. NRC and the costs to each licensee. Storage System. For these reasons, Approval of this direct final rule is Amendment No. 1 to CoC No. 1040 does X. Regulatory Flexibility Certification consistent with previous NRC actions. not constitute backfitting under 10 CFR Under the Regulatory Flexibility Act Further, as documented in the SER and 72.62, 10 CFR 50.109(a)(1), or otherwise of 1980 (5 U.S.C. 605(b)), the NRC the environmental assessment, the represent an inconsistency with the certifies that this rule will not, if issued, direct final rule will have no adverse issue finality provisions applicable to have a significant economic impact on effect on public health and safety or the combined licenses in 10 CFR part 52. a substantial number of small entities. environment. This direct final rule has Accordingly, no backfit analysis or This direct final rule affects only no significant identifiable impact or additional documentation addressing nuclear power plant licensees and benefit on other Government agencies. the issue finality criteria in 10 CFR part Holtec. These entities do not fall within Based on this regulatory analysis, the 52 has been prepared by the staff. the scope of the definition of small NRC concludes that the requirements of entities set forth in the Regulatory the direct final rule are commensurate XIII. Congressional Review Act Flexibility Act or the size standards with the NRC’s responsibilities for This action is not a rule as defined in established by the NRC (10 CFR 2.810). public health and safety and the the Congressional Review Act (5 U.S.C. common defense and security. No other XI. Regulatory Analysis 801–808). available alternative is believed to be as On July 18, 1990 (55 FR 29181), the satisfactory, and therefore, this action is XIV. Availability of Documents NRC issued an amendment to 10 CFR recommended. part 72 to provide for the storage of The documents identified in the spent nuclear fuel under a general XII. Backfitting and Issue Finality following table are available to license in cask designs approved by the The NRC has determined that the interested persons through one or more NRC. Any nuclear power reactor backfit rule (10 CFR 72.62) does not of the following methods, as indicated.

ADAMS Accession No./ Document Web link/ Federal Register citation

Proposed CoC No. 1040, Amendment No. 1 ...... ML15070A151 Appendix A of Proposed TSs ...... ML15070A153 Appendix B of Proposed TS ...... ML15070A152

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ADAMS Accession No./ Document Web link/ Federal Register citation

Preliminary SER ...... ML15070A149 Request for Amendment Application dated July 11, 2014 ...... ML14202A029 Supplemental Information for Proposed Action, dated October 31, 2014 ...... ML14308A164

The NRC may post materials related Section 72.44(g) also issued under Nuclear SUMMARY: This action establishes Class to this document, including public Waste Policy Act secs. 142(b) and 148(c), (d) E airspace at Cloverdale Municipal comments, on the Federal Rulemaking (42 U.S.C. 10162(b), 10168(c), (d)). Airport, Cloverdale CA. to accommodate Web site at http://www.regulations.gov Section 72.46 also issued under Atomic Area Navigation (RNAV) Global Energy Act sec. 189 (42 U.S.C. 2239); Nuclear under Docket ID NRC–2015–0067. The Waste Policy Act sec. 134 (42 U.S.C. 10154). Positioning System (GPS) standard Federal Rulemaking Web site allows Section 72.96(d) also issued under Nuclear instrument approach procedures at you to receive alerts when changes or Waste Policy Act sec. 145(g) (42 U.S.C. Cloverdale Municipal Airport. This additions occur in a docket folder. To 10165(g)). action enhances the safety and subscribe: (1) Navigate to the docket Subpart J also issued under Nuclear Waste management of IFR operations at the folder (NRC–2015–0067); (2) click the Policy Act secs. 117(a), 141(h) (42 U.S.C. airport. 10137(a), 10161(h)). ‘‘Sign up for Email Alerts’’ link; and (3) DATES: Effective 0901 UTC, August 20, enter your email address and select how Subpart K also issued under Nuclear Waste Policy Act sec. 218(a) (42 U.S.C. 10198). 2015. The Director of the Federal frequently you would like to receive Register approves this incorporation by ■ emails (daily, weekly, or monthly). 2. In § 72.214, Certificate of reference action under title 1, Code of Compliance No. 1040 is revised to read List of Subjects in 10 CFR Part 72 Federal Regulations, part 51, subject to as follows: the annual revision of FAA Order Administrative practice and 7400.9 and publication of conforming procedure, Criminal penalties, § 72.214 List of approved spent fuel storage casks. amendments. Manpower training programs, Nuclear materials, Occupational safety and * * * * * ADDRESSES: FAA Order 7400.9Y, health, Penalties, Radiation protection, Certificate Number: 1040. Airspace Designations and Reporting Initial Certificate Effective Date: April Reporting and recordkeeping Points, and subsequent amendments can 6, 2015. requirements, Security measures, Spent be viewed on line at http:// Amendment No. 1 Effective Date: fuel, Whistleblowing. www.faa.gov/airtraffic/publications/. September 8, 2015. The Order is also available for For the reasons set out in the SAR Submitted by: Holtec inspection at the National Archives and preamble and under the authority of the International, Inc. Records Administration (NARA). For Atomic Energy Act of 1954, as amended; SAR Title: Final Safety Analysis information on the availability of this the Energy Reorganization Act of 1974, Report for the Holtec International HI– material at NARA, call 202–741–6030, as amended; the Nuclear Waste Policy STORM UMAX Canister Storage or go to http://www.archives.gov/ Act of 1982, as amended; and 5 U.S.C. System. federal_register/code_of_federal- 552 and 553; the NRC is adopting the Docket Number: 72–1040. _ Certificate Expiration Date: April 6, regulations/ibr locations.html. following amendments to 10 CFR part FAA Order 7400.9, Airspace 72. 2035. Model Number: MPC–37, MPC–89. Designations and Reporting Points, is PART 72—LICENSING published yearly and effective on Dated at Rockville, Maryland, this 11th day September 15. For further information, REQUIREMENTS FOR THE of June, 2015. INDEPENDENT STORAGE OF SPENT you can contact the Airspace Policy and For the Nuclear Regulatory Commission. ATC Regulations Group, Federal NUCLEAR FUEL, HIGH-LEVEL Mark A. Satorius, RADIOACTIVE WASTE, AND Aviation Administration, 800 Executive Director for Operations. REACTOR-RELATED GREATER THAN Independence Avenue SW., CLASS C WASTE [FR Doc. 2015–15476 Filed 6–22–15; 8:45 am] Washington, DC 29591; telephone: 202– BILLING CODE 7590–01–P 267–8783. ■ 1. The authority citation for part 72 FOR FURTHER INFORMATION CONTACT: continues to read as follows: Richard Roberts, Federal Aviation DEPARTMENT OF TRANSPORTATION Administration, Operations Support Authority: Atomic Energy Act secs. 51, 53, Group, Western Service Center, 1601 57, 62, 63, 65, 69, 81, 161, 182, 183, 184, 186, Federal Aviation Administration 187, 189, 223, 234, 274 (42 U.S.C. 2071, 2073, Lind Avenue SW., Renton, WA 98057; 2077, 2092, 2093, 2095, 2099, 2111, 2201, telephone (425) 203–4517. 14 CFR Part 71 2232, 2233, 2234, 2236, 2237, 2239, 2273, SUPPLEMENTARY INFORMATION: 2282, 2021); Energy Reorganization Act secs. [Docket No. FAA–2014–0457; Airspace 201, 202, 206, 211 (42 U.S.C. 5841, 5842, Docket No. 14–AWP–4] Authority for This Rulemaking 5846, 5851); National Environmental Policy The FAA’s authority to issue rules Act sec. 102 (42 U.S.C. 4332); Nuclear Waste Establishment of Class E Airspace; regarding aviation safety is found in Policy Act secs. 131, 132, 133, 135, 137, 141, Cloverdale, CA 148 (42 U.S.C. 10151, 10152, 10153, 10155, Title 49 of the United States Code. 10157, 10161, 10168); Government AGENCY: Federal Aviation Subtitle I, Section 106 describes the Paperwork Elimination Act sec. 1704 (44 Administration (FAA), DOT. authority of the FAA Administrator. Subtitle VII, Aviation Programs, U.S.C. 3504 note); Energy Policy Act of 2005, ACTION: Final rule. Pub. L. 109–58, 119 Stat. 788 (2005). describes in more detail the scope of the

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agency’s authority. This rulemaking is comments. It, therefore, (1) is not a 2 miles either side of the 152° radial from the promulgated under the authority ‘‘significant regulatory action’’ under 3.5-mile radius to 6.3 miles south of the described in Subtitle VII, Part A, Executive Order 12866; (2) is not a airport. Subpart I, Section 40103. Under that ‘‘significant rule’’ under DOT Issued in Seattle, Washington, on June 15, section, the FAA is charged with Regulatory Policies and Procedures (44 2015. prescribing regulations to assign the use FR 11034; February 26, 1979); and (3) Christopher Ramirez, of airspace necessary to ensure the does not warrant preparation of a Acting Manager, Operations Support Group, safety of aircraft and the efficient use of Regulatory Evaluation as the anticipated Western Service Center. airspace. This regulation is within the impact is so minimal. Since this is a scope of that authority as it establishes routine matter that only affects air traffic [FR Doc. 2015–15315 Filed 6–22–15; 8:45 am] controlled airspace at Cloverdale procedures and air navigation, it is BILLING CODE 4910–13–P Municipal Airport, Cloverdale, CA. certified that this rule, when promulgated, does not have a significant History economic impact on a substantial DEPARTMENT OF HEALTH AND On September 2, 2014 the FAA number of small entities under the HUMAN SERVICES published in the Federal Register a criteria of the Regulatory Flexibility Act. notice of proposed rulemaking (NPRM) Food and Drug Administration to establish Class E airspace extending Environmental Review upward from 700 feet above the surface The FAA has determined that this 21 CFR Part 107 at Cloverdale Municipal Airport, action qualifies for categorical exclusion [Docket No. FDA–2013–N–0067] Cloverdale, CA. (79 FR 51919). under the National Environmental Interested parties were invited to Policy Act in accordance with FAA Infant Formula: The Addition of participate in this rulemaking effort by Order 1050.1E, ‘‘Environmental Minimum and Maximum Levels of submitting written comments on the Impacts: Policies and Procedures,’’ Selenium to Infant Formula and proposal to the FAA. No comments paragraph 311a. This airspace action is Related Labeling Requirements were received. not expected to cause any potentially AGENCY: Class E airspace designations are Food and Drug Administration, significant environmental impacts, and HHS. published in paragraph 6005, of FAA no extraordinary circumstances exist Order 7400.9Y, dated August 6, 2014, that warrant preparation of an ACTION: Final rule. and effective September 15, 2014, which environmental assessment. SUMMARY: The Food and Drug is incorporated by reference in 14 CFR Lists of Subjects in 14 CFR Part 71: Administration (FDA or we) is 71.1. The Class E airspace designation amending the regulations on nutrient Airspace, Incorporation by reference, listed in this document will be specifications and labeling for infant Navigation (air). published subsequently in the Order. formula to add the mineral selenium to Availability and Summary of Adoption of the Amendment: the list of required nutrients and to Documents for Incorporation by In consideration of the foregoing, the establish minimum and maximum Reference Federal Aviation Administration levels of selenium in infant formula. This document amends FAA Order amends 14 CFR part 71 as follows: DATES: This final rule is effective June 7400.9Y, airspace Designations and 22, 2016. See section VII of this Reporting Points, dated August 6, 2014, PART 71—DESIGNATION OF CLASS A, document for information on the filing and effective September 15, 2014. FAA B, C, D, AND E AIRSPACE AREAS; AIR of objections. Submit either electronic Order 7400.9Y is publicly available as TRAFFIC SERVICE ROUTES; AND or written objections and requests for a listed in the ADDRESSES section of this REPORTING POINTS hearing by July 23, 2015. final rule. FAA Order 7400.9Y lists ADDRESSES: You may submit either ■ Class A, B, C, D, and E airspace areas, 1. The authority citation for Part 71 electronic or written objections and/or air traffic service routes, and reporting continues to read as follows: requests for a hearing, identified by points. Authority: 49 U.S.C. 106(f), 106(g); 40103, Docket No. FDA–2013–N–0067, by any 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, of the following methods: The Rule 1959–1963 Comp., p. 389. Electronic Submissions This amendment to Title 14, Code of § 71.1 [Amended] Federal Regulations (14 CFR) part 71 Submit electronic objections in the establishes Class E airspace extending ■ 2. The incorporation by reference in following way: upward from 700 feet above the surface 14 CFR 71.1 of FAA Order 7400.9Y, • Federal eRulemaking Portal: http:// at Cloverdale, CA, with a segment that Airspace Designations and Reporting www.regulations.gov. Follow the extends 6.3 miles south of the airport. Points, dated August 6, 2014, and instructions for submitting comments. Controlled airspace is needed for the effective September 15, 2014, is Written Submissions RNAV (GPS) standard instrument amended as follows: approaches and departures at the Submit written objections in the airport. Paragraph 6005 Class E airspace areas following ways: extending upward from 700 feet or more • Mail/Hand delivery/Courier (for Regulatory Notices and Analyses above the surface of the earth. paper submissions): Division of Dockets The FAA has determined that this * * * * * Management (HFA–305), Food and Drug regulation only involves an established AWP CA E5 Cloverdale, CA [New] Administration, 5630 Fishers Lane, Rm. body of technical regulations for which Cloverdale Municipal Airport, CA 1061, Rockville, MD 20852. frequent and routine amendments are (lat. 38°46′34″ N., long. 122°59′33″ W.) Instructions: All submissions received necessary to keep them operationally That airspace extending upward from 700 must include the Docket No. FDA– current, is non-controversial and feet above the surface within a 3.5-mile 2013–N–0067 for this rulemaking. All unlikely to result in adverse or negative radius of Cloverdale Municipal Airport and objections received may be posted

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without change to http:// formulas and 7.0 mg/100 kcal as the special dietary uses to fully inform www.regulations.gov, including any maximum level of selenium in infant purchasers as to the value of the food for personal information provided. For formulas. such uses. As such, FDA has the additional information on submitting Scientific evidence from multiple authority to revise the statement of the objections, see the ‘‘Objections’’ heading sources supported the proposed levels. amounts of nutrients required for infant of the SUPPLEMENTARY INFORMATION Specifically, for the proposed formula labeling in § 107.10(a)(2) under section of this document. requirements, we considered scientific sections 201(z), 403(j), 412(i), and 701(e) Docket: For access to the docket to evidence in: (1) The Institute of of the FD&C Act. read background documents, comments, Medicine’s (IOM) ‘‘Dietary Reference or objections received, go to http:// Intakes for Vitamin C, Vitamin E, II. What issues did the comments raise? www.regulations.gov and insert the Selenium, and Carotenoids’’ (Ref. 2); (2) What are FDA’s responses to the docket number, found in brackets in the the Life Sciences Research Office’s comments? heading of this document, into the ‘‘Assessment of Nutrient Requirements We invited public comment on the ‘‘Search’’ box and follow the prompts for Infant Formulas’’ by Raiten et al. proposed rule. The comment period and/or go to the Division of Dockets (Ref. 3); (3) ‘‘Global Standard for the closed on July 1, 2013. We received Management, 5630 Fishers Lane, Rm. Composition of Infant Formula. fewer than 20 comments. Overall, the 1061, Rockville, MD 20852. Recommendations of an ESPGHAN comments supported the addition of FOR FURTHER INFORMATION CONTACT: [European Society for Paediatric selenium to infant formula and agreed Leila Beker, Center for Food Safety and Gastroenterology, Hepatology and that selenium is an essential nutrient. Applied Nutrition (HFS–850), Food and Nutrition] Coordinated International We summarize and respond to the Drug Administration, 5100 Paint Branch Expert Group’’ by Koletzko et al. (Ref. comments on the proposed rule and Pkwy., College Park, MD 20740, 240– 4); and (4) ‘‘Selenium Status of Term describe the final rule in this section. 402–1451. Infants Fed Selenium-Supplemented For ease of reading, we preface each SUPPLEMENTARY INFORMATION: Formula in a Randomized Dose- comment discussion with a numbered Response Trial’’ by Daniels et al. (Ref. ‘‘Comment,’’ and each response by a I. What is the background and legal 5). We also searched the scientific corresponding numbered ‘‘Response.’’ authority of this final rule? literature from 1998 through 2012 for We have numbered each comment to A. Background published studies not included in these help distinguish among different topics. reports. The number assigned is for Section 412(i) of the Federal Food, In addition, we proposed to amend organizational purposes only and does Drug, and Cosmetic Act (the FD&C Act) the labeling requirements for infant not signify the comment’s value, (21 U.S.C. 350a(i)) establishes formula in § 107.10(a)(2) to add importance, or the order in which it was requirements for the nutrient content of selenium to the list of nutrients along received. infant formulas. Under section 412(i)(2) with the requirement to list the amount of the FD&C Act, the Secretary of Health of selenium per 100 kcal in the formula. A. The Addition of Selenium to the and Human Services (the Secretary) is Statement of the Amounts of Nutrients authorized to revise the list of required B. Legal Authority (§ 107.10(a)(2)) nutrients and the required level for any Section 412(i) of the FD&C Act The proposed rule would amend the required nutrient. This authority has contains a table of nutrients (including infant formula nutrient labeling and been delegated to the Commissioner of minimum and, in some cases, maximum nutrient specification regulations at Food and Drugs (the Commissioner). levels for nutrients) that are required to §§ 107.10 and 107.100, respectively. The table in section 412(i) of the FD&C be in an infant formula. Section Proposed § 107.10(a)(2) would add Act, and in FDA regulations at 412(i)(2) of the FD&C Act authorizes the selenium to the statement of the § 107.100(a) (21 CFR 107.100(a)), Secretary to revise the statutory table of amounts of nutrients required for infant specifies that infant formulas must nutrients and to revise the level of any formula labeling. contain 29 nutrients; minimum levels required nutrient. The Secretary has We did not receive any comments on for each nutrient and maximum levels delegated this authority to the proposed § 107.10(a)(2). However, we for 9 of the nutrients are also specified. Commissioner. Our regulations note that we have revised § 107.10(a)(2) In 1989, the Food and Nutrition Board establishing the table of nutrients are in this final rule to correspond to of the National Research Council codified at § 107.100. changes resulting from an interim final established a Recommended Dietary The final rule amends § 107.100 to rule that appeared in the Federal Allowance for selenium for infants 0 to add selenium to the list of nutrients Register on February 10, 2014 (79 FR 6 months of age of 10.0 micrograms per required for infant formula. The legal 7934), and later affirmed in a final rule day (mg/day), a level extrapolated from authority for the amendment to that appeared in the Federal Register on adult values on the basis of body weight § 107.100 comes from section 412(i)(2) June 10, 2014 (79 FR 33057). In brief, and with a factor allowed for growth of the FD&C Act. § 107.10(a)(2) was reworded by (Ref. 1). The final rule also requires adding replacing ‘‘A statement of the amount of In the Federal Register of April 16, selenium to the statement of the each of the following nutrients supplied 2013 (78 FR 22442), we proposed to amounts of nutrients required for infant by 100 kilocalories’’ with ‘‘A statement amend the nutrient specifications for formula labeling in § 107.10(a)(2). of the amount, supplied by 100 infant formula to include selenium as a ‘‘Infant formula’’ is defined as a food for kilocalories, of each of the following required nutrient in § 107.100(a). We ‘‘special dietary use’’ under section nutrients and of any other nutrient also proposed to establish minimum 201(z) of the FD&C Act (21 U.S.C. added by the manufacturer.’’ and maximum levels for selenium in 321(z)). Under sections 403(j) and 701(e) infant formulas because evidence exists of the FD&C Act (21 U.S.C. 343(j) and B. Minimum and Maximum Levels of for both deficiency and toxicity of 21 U.S.C. 371(e)), the Secretary, and by Selenium (§ 107.100) selenium. We proposed 2.0 mg selenium delegation the Commissioner, may Proposed § 107.100(a) would add per 100 kilocalories (/100 kcal) as the prescribe regulations concerning the selenium to the list of required nutrients minimum level of selenium in infant vitamin and mineral content of foods for in infant formula. The proposal also

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would establish minimum and Daniels et al. (2008). The comment the data from the human milk-fed maximum levels for selenium in infant continued, saying it was not aware of infants as reference data, with the direct formula because evidence exists for both any reports of selenium deficiency in comparators being the indicators of deficiency and toxicity of selenium, and breast-fed infants or at this selenium status of infants fed the there is no room for error in production concentration of selenium in infant formulas containing the three levels of of a food that serves as the sole source formula. The comment also stated that selenium. The plasma and erythrocyte of nutrition for infants. We proposed to we did not consider the data from the indicators of selenium status for both set 2.0 mg selenium/100 kcal as the breast-fed control group in the Daniels test formulas did not differ from each minimum level of selenium in infant et al. study. other but differed with statistical formulas and 7.0 mg/100 kcal as the (Response 2) With regard to this significance from the control formula. maximum level of selenium in infant comment suggesting that the selenium Compared to the infants fed the formula formulas. Since the publication of the concentration in human milk (and more containing 1.9 mg selenium/100 kcal, proposed rule, we have conducted a specifically, the level of 1.6 mg/100 kcal infants fed the formula containing 3.1 mg search of the scientific literature to reported in the Daniels et al. study) be selenium/100 kcal excreted more identify whether additional studies on used as the basis for the required selenium in the urine. This increase in selenium requirements of infants were minimum selenium level in infant urinary selenium was found to be published after we issued our proposal. formula, the scientific evidence we statistically significant. Combined with We did not find any relevant studies in discussed in the proposed rule (78 FR the finding of no dose-related changes our search. 22442 at 22444) was more broadly in the circulating indicators of selenium (Comment 1) One comment suggested based. The discussion in the proposed status in infants fed formulas containing we decrease the minimum level of rule considered the levels of selenium 1.9 mg selenium/100 kcal or 3.1 mg selenium to 1.6 mg/100 kcal. The in human milk from the studies used to selenium/100 kcal, this dose-related comment pointed to analytical establish the adequate intake (AI) for increase in urinary selenium suggests variability that can occur between selenium by the IOM and the levels of that infants fed the formula containing laboratories when testing the levels of selenium in infant formulas fed in the a level of 1.9 mg selenium/100 kcal selenium. According to the comment, randomized and double-blinded dose- received sufficient selenium to meet due to this analytical variability, a response study in infants by Daniels et their nutritional needs. Much of the minimum selenium level of 1.6 mg/100 al. (2008). selenium intake above the level of 1.9 mg kcal will likely result in manufacturers’ Specifically, as discussed in the selenium/100 kcal was apparently formulating to deliver selenium levels proposed rule (78 FR 22442 at 22444), eliminated from the body through the close to 2.0 mg/100 kcal to ensure the IOM established an AI for selenium body’s homeostatic mechanisms. products do not fall below the of 15.0 mg/day (approximately 2.1 mg/kg As effects on indicators of selenium minimum. body weight/day) for infants 0 to 6 status have not been evaluated in (Response 1) We decline to lower the months of age based on the average infants fed formulas with concentrations minimum level of selenium in infant concentration of selenium in human of selenium between 0.9 mg selenium/ formula to 1.6 mg/100 kcal to milk from healthy women from 2 to 6 100 kcal and 1.9 mg selenium/100 kcal, accommodate analytical variability that months of lactation as reported in four there are no data to support lowering can occur between laboratories as the studies. The study by Daniels et al. was the minimum level of selenium in infant comment suggested. The level of any published after the IOM established the formula from 2.0 mg/100 kcal to 1.6 mg/ substance (including nutrients, food AI for selenium for infants 0 to 6 100 kcal. The scientific evidence additives, or contaminants) established months of age, and the concentration of discussed previously and in section for regulatory purposes must be a value selenium in human milk reported in III.A. of the proposed rule (78 FR 22442 that is based on and true to the available that study was not among the studies at 22443) continues to justify 2.0 mg scientific evidence. We recognize that considered in the establishment of the selenium/100 kcal as the minimum analytical variability is always present AI. We note that the mean concentration level for selenium in infant formulas. and manage this matter under our of selenium in human milk in the (Comment 3) In support of a lower compliance program. We also note that studies included by the IOM in setting minimum level for selenium in infant lowering the minimum level of the AI for infants 0 to 6 months of age formula, one comment pointed out that selenium would not change the was 18 mg/L and that reported by the Codex Alimentarius infant formula analytical variability, and the tested Daniels et al. was 10.7 mg/L. standard and the European Union level of selenium might fall below The study by Daniels et al. provides Directive on Infant Formulae and whatever minimum level is set, due to direct evidence of the effect of selenium Follow-On Formulae recommend a analytical variability. For example, if concentration of infant formula on the minimum level of selenium in infant the minimum level was lowered to 1.6 circulating biochemical indicators of formula of 1.0 mg selenium/100 kcal. mg/100 kcal, the tested level of selenium selenium status in infants. As described (Response 3) The level of 1.0 mg/100 might fall below 1.6 mg/100 kcal due to in the proposed rule (78 FR 22442 at kcal as the minimum level for selenium analytical variability. However, on our 22444), this study included a control in infant formula was adopted by the own initiative we have revised proposed formula that contained 0.9 mg selenium/ Codex Alimentarius in 2007 for its § 107.100(a) to insert the word ‘‘level’’ 100 kcal (considered by the Standard for Infant Formula and between the words ‘‘minimum’’ and investigators to be a low-selenium Formulas for Special Medical Purposes ‘‘specified’’ in light of an inadvertent formula) and two test formulas that Intended for Infants (Codex Stan 72– omission in the proposed rule. contained 1.9 mg selenium/100 kcal or 1981) (Ref. 6) based on recommendation (Comment 2) One comment said that 3.1 mg selenium/100 kcal. The level of of this level by an International Expert the minimum level of selenium should selenium in the formula containing 1.9 Group (IEG) of the ESPGHAN (Ref. 4). be in the range reported in breast milk mg/100 kcal was somewhat higher than The IEG recommended 1.0 mg selenium/ and specifically recommended the level the level in human milk reported in the 100 kcal for infant formula based on the of 1.6 mg selenium/100 kcal, consistent Daniels et al. study and close to the AI median selenium content of human with the mean concentration of set by the IOM. In our consideration of milk and an established history of selenium in breast milk reported by the study by Daniels et al., we regarded apparent safe use. However, as

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described in the proposed rule (78 FR Special Medical Purposes Intended for selenium/100 kcal. Other comments 22442 at 22444), no information was Infants (Codex Stan 72–1981). The level indicated that any formula changes provided regarding the details of how of 9.0 mg selenium/100 kcal was also could be made in a cost effective and such information was used in making listed in the European Union Directive timely manner with an effective date 12 the recommendation for 1.0 mg on Infant Formulae and Follow-on months after publication of the final selenium/100 kcal in infant formula. In Formulae. We considered the level of rule (see comment 7). addition, the recommendation of the 9.0 mg selenium/100 kcal; however, we If some manufacturers who currently IEG was made in 2005 before the dose- could not determine the scientific basis meet the 8.0 mg selenium/100 kcal level response study of Daniels et al. was for this level. need to reformulate their products to published in 2008, and data from that Although we expressly invited avoid exceeding a selenium level of 7.0 study suggest that a level of 1.9 mg comment regarding the proposed mg/100 kcal, such a reformulation would selenium/100 kcal in infant formula maximum level in infant formula of 7.0 involve only a small reduction in the meets infants’ selenium needs. Further, mg selenium/100 kcal, including amount of selenium added to the although, as noted in the comment, the whether such a maximum level is formula. Manufacturers routinely make level of 1.0 mg/100 kcal was also needed and the scientific data or such small changes in the rates of adopted as the minimum level for information that form the basis of any addition of ingredients (which may or selenium by the European Union in comments (78 FR 22442 at 22445), we may not result in the need for label 2006 for its Directive on Infant did not receive any comments that changes) as a fundamental part of their Formulae and Follow-On Formulae disagreed with the need for a maximum current good manufacturing practices (Commission Directive 2006/141/EC), level or that provided a scientific basis and quality control programs to ensure identification of a scientific basis for the that would support a change from the the consistent production of infant selection of 1.0 mg selenium/100 kcal proposed level. The report of the IOM, formulas of high quality. These types of was not included in the European which we relied upon to propose the changes are generally not considered to Union Commission Directive. maximum level of 7.0 mg selenium/100 be major changes and are reported to (Comment 4) One comment suggested kcal, identified the data (concentration FDA in a ‘‘before first processing’’ raising the maximum level of selenium of selenium in human milk not submission by the manufacturers if the added to infant formula to 9.0 mg/100 associated with known adverse effects) change may adulterate the product, as kcal. The comment said that the 9.0 mg and the method of calculation used to required by section 412(d)(3) of the selenium/100 kcal would align the estimate a Tolerable Upper Intake Level FD&C Act and our regulations in 21 CFR maximum level of selenium with the (UL) of 7.0 mg/kg body weight/day for 106.140. upper levels recommended in the Codex selenium intake of infants from 0 to 6 C. Allowance for Analytical Variability Alimentarius Standard for Infant months of age. (As explained in the Formula and Formulas for Special proposed rule (78 FR 22442 at 22444), (Comment 6) One comment suggested Medical Purposes Intended for Infants, a level of intake expressed as mg/kg body that, in the absence of setting a higher and with the European Union Directive weight/day is consistent with an infant maximum selenium level, FDA would on Infant Formulae and Follow-on formula concentration expressed in mg/ need to establish a specific allowance Formulae. The comment also stated that 100 kcal.) for method bias to ensure that 9.0 mg selenium/100 kcal is more With regard to the use of 8.0 mg/100 manufacturers can meet both the aligned with the use of 8.0 mg/100 kcal kcal as a maximum in our CPGM, this minimum and maximum selenium as the maximum value for selenium in level was incorporated into the CPGM levels. The comment suggested an the FDA Compliance Program Guidance when infant formula manufacturers in allowance of 30 percent to account for Manual (CPGM). the United States began adding analytical variability. (Response 4) We decline to increase selenium to infant formulas starting as (Response 6) As noted in the response the maximum level of selenium in early as 1990 and preceded the to comment 4, the maximum level of infant formula to 9.0 mg selenium/100 establishment of the UL for infants 0 to any substance must be a value that is kcal as the comment suggested. As 6 months of age by the IOM. We will based on and true to the available noted in the response to comment 1 update the minimum and maximum scientific evidence. For this reason, we concerning the minimum level of values for selenium in infant formula in are not setting a higher maximum value selenium in infant formula, the our CPGM to align with the final rule. that would include an allowance for maximum level of any substance (Comment 5) One comment said that analytical variability or method bias. We (including nutrients, food additives, or setting 7.0 mg selenium/100 kcal as the are not aware of method bias (consistent contaminants) established for regulatory maximum level of selenium, which is over- or under-measurement of the purposes must also be a value that is the amount we proposed, would mean actual concentration) in the analysis of based on and true to the available some manufacturers would need to selenium in infant formula. We scientific evidence. reformulate their products that currently acknowledge that analytical variability The level of 9.0 mg selenium/100 kcal meet the 8.0 mg selenium/100 kcal level occurs between laboratories when suggested in the comment is the that is listed in the FDA CPGM. testing the levels of nutrients in infant maximum level recommended by the (Response 5) Although the comment formula, and we manage this matter ESPGHAN IEG for infant formula. The said that some manufacturers whose under our compliance program as report of the IEG stated that its products currently meet the 8.0 mg necessary. Further, we decline to set a recommendation was based on a history selenium/100 kcal level listed in the 30 percent allowance for analytical of safe use (not further described) and FDA CPGM would need to reformulate, variation for the chemical analysis of did not identify scientific data or other it did not specify how many selenium in infant formula. The information relied upon for its manufacturers or products would likely comment did not provide a reason for recommendation for a maximum level be affected or whether label changes setting such a high allowance for of 9.0 mg selenium/100 kcal that was would be required following any analytical variation, and 30 percent subsequently adopted by Codex reformulations. It also did not provide variability is much higher than Alimentarius in 2007 for its Standard estimates of possible costs resulting performance requirements for for Infant Formula and Formulas for from establishing a maximum of 7.0 mg commonly used methods for chemical

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analysis of minerals in infant formula, information that indicates that any almost exclusively in children) (see 78 which typically is about 10 to 15 specific source of selenium should be FR 22442 at 22443). percent. used in infant formula. Our recently III. What is the environmental impact published current good manufacturing D. Effective Date of this final rule? practices for infant formulas require that In the Regulatory Impact Analysis of ingredients used in infant formulas be FDA has determined under 21 CFR the proposed rule, we analyzed three safe and suitable for use in infant 25.32(n) that this action is of a type that options with respect to an effective date: formula. Specifically, under § 106.40(a), does not individually or cumulatively (1) Take no new regulatory action the only substances that may be used in have a significant effect on the human (baseline); (2) require the provisions of an infant formula are substances that are environment. Therefore, neither an this proposed rule and make the safe and suitable for use in infant environmental assessment nor an provisions of the rule effective 180 days formula under the applicable food safety environmental impact statement is after publication; and (3) require the provisions of the FD&C Act; that is, a required. provisions of this proposed rule, but substance is used in accordance with make the provisions of the rule effective the Agency’s food additive regulations, IV. Federalism 12 months after publication (78 FR is generally recognized as safe for such FDA has analyzed this final rule in 22442 at 22446). use, or is authorized by a prior sanction. accordance with the principles set forth (Comment 7) Two comments (Comment 9) One comment agreed in Executive Order 13132. We have supported FDA’s option 3 in the with the proposed selenium levels determined that the rule does not proposed rule to make the final rule ‘‘unless a pediatrician otherwise contain policies that have substantial effective 12 months after publication to recommends an alternative dosage direct effects on the States, on the allow for cost effective and timely because of a peculiar deficiency of relationship between the National changes with no anticipated impact on selenium.’’ The comment did not Government and the States, or on the infant health. One comment explained explain the circumstances under which distribution of power and that because there have been no reports a pediatrician would recommend an responsibilities among the various of full-term, breast-fed infants in the ‘‘alternative dosage.’’ levels of government. Accordingly, we (Response 9) The final rule adds United States with evidence of selenium have concluded that the rule does not selenium to the list of required nutrients deficiency, there would be no contain policies that have federalism in infant formula and establishes anticipated impact to infant health due implications as defined in the Executive minimum and maximum levels of to a 6-month delay in the rule’s effective order and, consequently, a federalism selenium in infant formula. date (from 6 months in option 2 to 12 summary impact statement is not Manufacturers will be required to add months in option 3 of the Regulatory required. Impact Analysis of the proposed rule). selenium to infant formula within the (Response 7) The final rule will be established bounds as of the effective V. Executive Order 12866 and effective 12 months after publication of date of this rule. The rule does not Executive Order 13563: Cost Benefit this document (see DATES). This will apply to what physicians may do within Analysis allow the industry to make any needed the practice of medicine. Thus, matters On April 16, 2013, we proposed to reformulations and label changes to pertaining to the practice of pediatric amend our regulations on nutrient their infant formula products in the 12- medicine are outside the scope of this specifications and labeling for infant month period that the comment rulemaking. formula to add the mineral selenium to identified as cost effective and timely (Comment 10) Another comment the list of required nutrients and to for needed changes. suggested that FDA consider establishing a higher maximum for establish minimum and maximum E. Miscellaneous Comments vitamin D based on recent American levels of selenium in infant formula (78 Several comments addressed matters Academy of Pediatrics and IOM FR 22442). The Economic Impact that were not specific to a particular recommendations. Analysis in the proposed rule explained provision in the proposed rule and/or (Response 10) The final rule adds the economic impact of the changes to that were not covered by the rule. We selenium to the list of required nutrients regulations at part 107. We did not summarize and address those comments in infant formula and establishes receive any comments on the economic here. minimum and maximum levels of analysis of the proposed rule. (Comment 8) One comment suggested selenium in infant formula. With FDA has examined the impacts of this that FDA recommend or encourage the respect to vitamin D and infant formula, final rule under Executive Order 12866, use of the organic form of selenium, we may, as resources permit, reevaluate Executive Order 13563, the Regulatory selenomethionine, rather than the all the minimum and maximum Flexibility Act (5 U.S.C. 601–612), and inorganic forms, sodium selenite or required nutrient levels for infant the Unfunded Mandates Reform Act of sodium selenate. The comment formula in separate rulemakings. 1995 (Pub. L. 104–4). Executive Orders explained that selenomethionine is the (Comment 11) One comment 12866 and 13563 direct Agencies to selenium compound incorporated into supported the proposal to require the assess all costs and benefits of available body proteins and is available in dietary addition of selenium in infant formula. regulatory alternatives and, when supplements or from brewer’s yeast. The comment stated that a child that regulation is necessary, to select (Response 8) FDA’s specifications for does not receive enough selenium in the regulatory approaches that maximize infant formula composition in § 107.100 diet is at risk of developing Keshan net benefits (including potential identify nutrients that must be included disease. economic, environmental, public health in the formula. The regulations do not (Response 11) FDA agrees that Keshan and safety, and other advantages; specify ingredients that can serve as disease is linked to selenium deficiency. distributive impacts; and equity). FDA sources of the nutrients, except for The preamble to the proposed rule has developed a regulatory impact vitamin K in § 107.100(c). We decline to discussed the known biological analysis that presents the benefits and specify the form of selenium in infant functions of selenium and Keshan costs of this proposed rule (Ref. 7). We formula because we do not have disease (a cardiomyopathy that occurs believe that the final rule will not be a

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significant regulatory action as defined Description of Respondents: The information collection associated with by Executive Order 12866. respondents to this information the present version of § 107.10(a)(2) by VI. Paperwork Reduction Act of 1995 collection are manufacturers of infant adding 23 hours to the burden formula marketed in the United States. associated with the collection. A This final rule contains information manufacturer not in compliance with collection provisions that are subject to Description: The final rule revises § 107.10(a)(2) to require that selenium the new minimum and maximum levels review by the Office of Management and for selenium in infant formula would be Budget (OMB) under the Paperwork be listed in the nutrient list on the label for all infant formulas. In particular, in required to make a one-time change to Reduction Act of 1995 (PRA) (44 U.S.C. the nutrient list information disclosed to 3501–3520). The title, description, and the nutrient list, selenium must be listed between iodine and sodium and the consumers on the label of its infant respondent description of the formula, to account for the required information collection provisions are amount per 100 calories declared; and because selenium is a required change in the amount of selenium in its shown in the following paragraphs with products. The nutrient information an estimate of the annual third-party ingredient in infant formula, selenium is disclosed by manufacturers on the disclosure burden. Included in the required to be declared in the formula’s infant formula label is necessary to estimate is the time for reviewing ingredient statement by its common or inform purchasers of the value of the instructions, searching existing data usual name and positioned according to infant formula. As discussed previously sources, gathering and maintaining the the descending order of its in this document, FDA has the authority data needed, and completing and predominance in the formula, under reviewing each collection of § 101.4 (21 CFR 101.4). The present to revise the statement of the amounts information. version of § 107.10(a)(2) is approved by of nutrients required for infant formula Title: Third-Party Disclosure OMB in accordance with the PRA and labeling in § 107.10(a)(2). Requirements for Selenium in Infant has been assigned OMB control number FDA estimates the burden of this Formula 0910–0256. This final rule modifies the collection of information as follows:

TABLE 1—ESTIMATED ANNUAL THIRD-PARTY DISCLOSURE BURDEN 1

Number of Number of disclosures Total annual Average burden Total capital 21 CFR section respondents per disclosures per disclosure Total hours cost respondent

§ 107.10(a)(2)—Nutrient labeling for 1 46 46 0.5 (30 minutes) 23 $792,439 infant formula. 1 There are no operating and maintenance costs associated with this collection of information.

FDA concludes that there will be no relabeling. The one-time third-party VII. Objections additional burden associated with the disclosure burden is estimated in table This rule is effective as shown in the requirement to disclose selenium in the 1 of this document. ingredient statement as required under DATES section, except as to any The final column of table 1 gives the provisions that may be stayed by the § 101.4 because all infant formula estimated capital cost associated with manufacturers currently add selenium filing of proper objections. If you will be relabeling. This is the cost of designing as an ingredient to their infant formula adversely affected by one or more a revised label and incorporating it into products that are sold in the United provisions of this regulation, you may States, and all manufacturers currently the manufacturing process. The cost file with the Division of Dockets disclose selenium in the ingredient stated in table 1, $792,439, is estimated Management (see ADDRESSES) either statement, as specified by § 101.4. based on an effective date of 1 year after electronic or written objections. You Additionally, all manufacturers publication. These costs are based on must number each objection separately, currently disclose selenium in the the cost model estimate that, over a and, within each numbered objection, nutrient list, as required by longer period of time, any labeling you must specify with particularity the § 107.10(b)(5). Under § 107.10(a)(2), change is more likely to be coordinated provision(s) to which you object, and only one manufacturer would need to with a change in a label that may the grounds for your objection. Within make a one-time labeling change to already be scheduled, and will diminish each numbered objection, you must modify the amount of selenium shown the need to, for example, purchase and specifically state whether you are in the nutrient list on the labels of its apply stickers to packages affected by requesting a hearing on the particular infant formula. the change. provision that you specify in that numbered objection. If you do not The third-party disclosure burden The information collection provisions consists of the setup time required to request a hearing for any particular in this final rule have been submitted to design a revised label and incorporate it objection, we will consider the absence OMB for review as required by section into the manufacturing process. Based of such a request as waiving the right to 3507(d) of the PRA. The requirements upon our knowledge of food and dietary a hearing on that objection. If you supplement labeling, we estimate that were approved and assigned OMB request a hearing, your objection should the affected manufacturer would require control number 0910–0256. This include a detailed description and less than 0.5 hour per product to modify approval expires on 04/30/2018. analysis of the specific factual the label’s nutrient list to reflect the An Agency may not conduct or information you intend to present in addition of more selenium to the sponsor, and a person is not required to support of the objection in the event product. We estimate that this respond to, a collection of information that a hearing is held. manufacturer produces 46 separate unless it displays a currently valid OMB It is only necessary to send one set of infant formulas that would require control number. documents. Identify documents with the

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docket number found in brackets in the Academies Press, pp. 21–33; 292–299; 315– ReportsManualsForms/Reports/ heading of this document. Any 316, 2000. EconomicAnalyses/. 3. Raiten, D. J., J. M. Talbot, and J. H. objections received in response to the List of Subjects in 21 CFR Part 107 regulation may be seen in the Division Waters, ‘‘Assessment of Nutrient of Dockets Management between 9 a.m. Requirements for Infant Formulas,’’ Journal Food labeling, Infants and children, of Nutrition, 128:2059S–2249S, 1998. Nutrition, Reporting and recordkeeping and 4 p.m., Monday through Friday, and 4. Koletzko, B., S. Baker, G. Cleghorn, U.F. will be posted to the docket at http:// requirements, Signs and symbols. Neto, et al., ‘‘Global Standard for the For the reasons discussed in the www.regulations.gov. We will publish Composition of Infant Formula. notice of the objections that we have Recommendations of an ESPGHAN preamble, under the Federal Food, Drug, received or lack thereof in the Federal Coordinated International Expert Group,’’ and Cosmetic Act, and under authority Register. Journal of Pediatric Gastroenterology and delegated to the Commissioner of Food Nutrition, 41:584–599, 2005. and Drugs, the Food and Drug VIII. References 5. Daniels, L., R. A. Gibson, K. Simmer, P. Administration amends 21 CFR part 107 Van Dael, and M. Makrides, ‘‘Selenium as follows: The following references have been Status of Term Infants Fed Selenium- placed on display in the Division of Supplemented Formula in a Randomized PART 107—INFANT FORMULA Dockets Management (see ADDRESSES) Dose-Response Trial,’’ American Journal of and may be seen by interested persons Clinical Nutrition, 88:70–76, 2008. ■ 1. The authority citation for 21 CFR between 9 a.m. and 4 p.m., Monday 6. Codex Alimentarius Commission, part 107 continues to read as follows: through Friday, and are available ‘‘Standard for Infant Formula and Formulas electronically at http:// for Special Medical Purposes Intended for Authority: 21 U.S.C. 321, 343, 350a, 371. www.regulations.gov. Infants, Codex Stan 72–1981,’’ 1981. Revised ■ 2. In § 107.10, revise paragraph (a)(2) 2007. to read as follows: 1. Food and Nutrition Board, National 7. FDA/Center for Food Safety and Applied Research Council, ‘‘Recommended Dietary Nutrition, ‘‘Infant Formula: The Addition of § 107.10 Nutrient information. Allowances,’’ 10th ed., Washington, DC: The Minimum and Maximum Levels of Selenium National Academies Press, p. 221, 1989. to Infant Formula and Related Labeling (a) * * * 2. Food and Nutrition Board, Institute of Requirements, Final Regulatory Impact (2) A statement of the amount, Medicine, ‘‘Dietary Reference Intakes for Analysis and Regulatory Flexibility supplied by 100 kilocalories, of each of Vitamin C, Vitamin E, Selenium, and Analysis,’’ 2015. Available at: http:// the following nutrients and of any other Carotenoids,’’ Washington, DC: The National www.fda.gov/AboutFDA/ nutrient added by the manufacturer:

Nutrients Unit of measurement

Protein ...... Grams Fat ...... Do. Carbohydrate ...... Do. Water ...... Do. Linoleic acid ...... Milligrams

Vitamins

Vitamin A ...... International Units Vitamin D ...... Do. Vitamin E ...... Do. Vitamin K ...... Micrograms Thiamine (Vitamin B1) ...... Do. Riboflavin (Vitamin B2) ...... Do. Vitamin B6 ...... Do. Vitamin B12 ...... Do. Niacin ...... Do. Folic acid (Folacin) ...... Do. Pantothenic acid ...... Do. Biotin ...... Do. Vitamin C (Ascorbic acid) ...... Milligrams Choline ...... Do. Inositol ...... Do.

Minerals

Calcium ...... Milligrams Phosphorus ...... Do. Magnesium ...... Do. Iron ...... Do. Zinc ...... Do. Manganese ...... Micrograms Copper ...... Do. Iodine ...... Do. Selenium ...... Do. Sodium ...... Milligrams Potassium ...... Do. Chloride ...... Do.

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* * * * * § 107.100 Nutrient specifications. specified for each 100 kilocalories of the (a) An infant formula shall contain the infant formula in the form prepared for ■ 3. In § 107.100, revise paragraph (a) to following nutrients at a level not less consumption as directed on the read as follows: than the minimum level specified and container: not more than the maximum level

Nutrients Unit of measurement Minimum level Maximum level

Protein ...... Grams ...... 1.8 4.5 Fat ...... Do...... 3.3 6.0 Percent calories ...... 30 54 Linoleic acid ...... Milligrams ...... 300 ...... Percent calories ...... 2.7 ......

Vitamins

Vitamin A ...... International Units ...... 250 750 Vitamin D ...... Do...... 40 100 Vitamin E ...... Do...... 0.7 ...... Vitamin K ...... Micrograms ...... 4 ...... Thiamine (Vitamin B1) ...... Do...... 40 ...... Riboflavin (Vitamin B2) ...... Do...... 60 ...... Vitamin B6 ...... Do...... 35 ...... Vitamin B12 ...... Do...... 0.15 ...... Niacin 1 ...... Do...... 250 ...... Folic acid (Folacin) ...... Do...... 4 ...... Pantothenic acid ...... Do...... 300 ...... Biotin 2 ...... Do...... 1.5 ...... Vitamin C (Ascorbic acid) ...... Milligrams ...... 8 ...... Choline 2 ...... Do...... 7 ...... Inositol 2 ...... Do...... 4 ......

Minerals

Calcium ...... Do...... 60 ...... Phosphorus ...... Do...... 30 ...... Magnesium ...... Do...... 6 ...... Iron ...... Do...... 0.15 3.0 Zinc ...... Do...... 0.5 ...... Manganese ...... Micrograms ...... 5 ...... Copper ...... Do...... 60 ...... Iodine ...... Do...... 5 75 Selenium ...... Do...... 2 7 Sodium ...... Milligrams ...... 20 60 Potassium ...... Do...... 80 200 Chloride ...... Do...... 55 150 1 The generic term ‘‘niacin’’ includes niacin (nicotinic acid) and niacinamide (nicotinamide). 2 Required only for non-milk-based infant formulas.

* * * * * ACTION: Final rule; correction. in the Federal Register of Wednesday, Dated: June 17, 2015. June 3, 2015, the following corrections SUMMARY: The Food and Drug are made: Leslie Kux, Administration (FDA) is correcting a Associate Commissioner for Policy. final rule entitled ‘‘Veterinary Feed § 558.6 [Corrected] [FR Doc. 2015–15394 Filed 6–22–15; 8:45 am] Directive’’ that appeared in the Federal ■ BILLING CODE 4164–01–P Register of June 3, 2015 (80 FR 31708). 1. On page 31734, in the second The rule amended FDA’s animal drug column, in § 558.6 Veterinary feed regulations regarding veterinary feed directive drugs, in paragraph (b)(5), DEPARTMENT OF HEALTH AND directive (VFD) drugs. The document remove ‘‘(b)(2)(vi),’’ and add in its place HUMAN SERVICES published with typographical and ‘‘(b)(3)(vi),’’. formatting errors. This document ■ Food and Drug Administration 2. On page 31734, in the third column, corrects those errors. in § 558.6 Veterinary feed directive 21 CFR Part 558 DATES: Effective: October 1, 2015. drugs, the introductory text of paragraph FOR FURTHER INFORMATION CONTACT: (c) ‘‘Responsibilities of any person who [Docket No. FDA–2010–N–0155] Sharon Benz, Center for Veterinary distributes an animal feed containing a Medicine (HFV–220), Food and Drug VFD drug or a combination VFD drug:’’ RIN 0910–AG95 Administration, 7519 Standish Pl., is corrected as a paragraph heading to Rockville, MD 20855, 240–402–5939, read ‘‘Responsibilities of any person Veterinary Feed Directive; Correction email: [email protected]. who distributes an animal feed AGENCY: Food and Drug Administration, SUPPLEMENTARY INFORMATION: In FR Doc. containing a VFD drug or a combination HHS. 2015–13393, appearing on page 31708 VFD drug.’’

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Dated: June 18, 2015. commercial distribution before May 28, by section 513(f)(2) of the FD&C Act, Leslie Kux, 1976 (the date of enactment of the FDA will classify the device by written Associate Commissioner for Policy. Medical Device Amendments of 1976), order within 120 days. This [FR Doc. 2015–15388 Filed 6–22–15; 8:45 am] generally referred to as postamendments classification will be the initial BILLING CODE 4164–01–P devices, are classified automatically by classification of the device. On statute into class III without any FDA November 21, 2013, Auris Medtech rulemaking process. These devices Europe, Ltd., submitted a request for DEPARTMENT OF HEALTH AND remain in class III and require classification of the ProlongTM under HUMAN SERVICES premarket approval, unless and until section 513(f)(2) of the FD&C Act. The the device is classified or reclassified manufacturer recommended that the Food and Drug Administration into class I or II, or FDA issues an order device be classified into class II (Ref. 1). finding the device to be substantially On June 17, 2014, the request for 21 CFR Part 876 equivalent, in accordance with section classification of ProlongTM was [Docket No. FDA–2015–N–1297] 513(i) of the FD&C Act, to a predicate transferred from Auris Medtech Europe, device that does not require premarket Ltd., to Ergon Medical, Ltd., through an Medical Devices; Gastroenterology- approval. The Agency determines amendment to the request (Ref. 2). Urology Devices; Classification of the whether new devices are substantially In accordance with section 513(f)(2) of Vibrator for Climax Control of equivalent to predicate devices by the FD&C Act, FDA reviewed the Premature Ejaculation; Republication means of premarket notification procedures in section 510(k) of the request in order to classify the device AGENCY: Food and Drug Administration, FD&C Act (21 U.S.C. 360(k)) and part under the criteria for classification set HHS. 807 (21 CFR part 807) of the regulations. forth in section 513(a)(1). FDA classifies ACTION: Final order; republication. Section 513(f)(2) of the FD&C Act, as devices into class II if general controls amended by section 607 of the Food and by themselves are insufficient to SUMMARY: The Food and Drug Drug Administration Safety and provide reasonable assurance of safety Administration (FDA) is republishing in Innovation Act (Pub. L. 112–144), and effectiveness, but there is sufficient its entirety a final order entitled provides two procedures by which a information to establish special controls ‘‘Medical Devices; Gastroenterology- person may request FDA to classify a to provide reasonable assurance of the Urology Devices; Classification of the device under the criteria set forth in safety and effectiveness of the device for Vibrator for Climax Control of section 513(a)(1). Under the first its intended use. After review of the Premature Ejaculation’’ that published procedure, the person submits a information submitted in the request, in the Federal Register on May 28, 2015 premarket notification under section FDA determined that the device can be (80 FR 30353). FDA is republishing to 510(k) of the FD&C Act for a device that classified into class II with the correct an inadvertent omission of has not previously been classified and, establishment of special controls. FDA information. FDA is classifying the within 30 days of receiving an order believes these special controls, in vibrator for climax control of premature classifying the device into class III addition to general controls, will ejaculation into class II (special under section 513(f)(1) of the FD&C Act, provide reasonable assurance of the controls). The special controls that will the person requests a classification safety and effectiveness of the device. apply to the device are identified in this under section 513(f)(2). Under the Therefore, on March 20, 2015, FDA order and will be part of the codified second procedure, rather than first issued an order to the requestor language for the classification of the submitting a premarket notification classifying the device into class II. FDA vibrator for climax control of premature under section 510(k) of the FD&C Act is codifying the classification of the ejaculation. The Agency is classifying and then a request for classification device by adding 21 CFR 876.5025. the device into class II (special controls) under the first procedure, the person in order to provide a reasonable determines that there is no legally Following the effective date of this assurance of safety and effectiveness of marketed device upon which to base a final classification order, any firm the device. determination of substantial submitting a premarket notification DATES: This order is effective June 23, equivalence and requests a classification (510(k)) for a vibrator for climax control 2015. The classification was applicable under section 513(f)(2) of the FD&C Act. of premature ejaculation will need to on March 20, 2015. If the person submits a request to comply with the special controls named FOR FURTHER INFORMATION CONTACT: classify the device under this second in this final order. The device is Tuan Nguyen, Center for Devices and procedure, FDA may decline to assigned the generic name vibrator for Radiological Health, Food and Drug undertake the classification request if climax control of premature ejaculation, Administration, 10903 New Hampshire FDA identifies a legally marketed device and it is identified as a device used for Ave., Bldg. 66, Rm. G118, Silver Spring, that could provide a reasonable basis for males who suffer from premature MD 20993–0002, 301–796–5174, review of substantial equivalence with ejaculation. It is designed to increase the [email protected]. the device or if FDA determines that the time between arousal and ejaculation using the stimulating vibratory effects of SUPPLEMENTARY INFORMATION: device submitted is not of ‘‘low- moderate risk’’ or that general controls the device on the penis. I. Background would be inadequate to control the risks FDA has identified the following risks In accordance with section 513(f)(1) of and special controls to mitigate the risks to health associated specifically with the Federal Food, Drug, and Cosmetic cannot be developed. this type of device, as well as the Act (the FD&C Act) (21 U.S.C. In response to a request to classify a measures required to mitigate these 360c(f)(1)), devices that were not in device under either procedure provided risks in table 1.

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TABLE 1—VIBRATOR FOR CLIMAX CONTROL OF PREMATURE EJACULATION RISKS AND MITIGATION MEASURES

Identified risk Mitigation measures

Pain or Discomfort due to Misuse of Device ...... Labeling. Burns ...... Electrical and Thermal Safety Testing Labeling. Electrical Shock ...... Electrical Safety Testing Labeling. Adverse Skin Reactions ...... Biocompatibility Testing. Patient Injury due to Device Breakage or Failure ...... Mechanical Safety Testing Labeling. Interference With Other Devices/Electrical Equipment ...... Electromagnetic Compatibility Testing Labeling.

FDA believes that the following found in other FDA regulations. These vibratory effects of the device on the special controls, in combination with collections of information are subject to penis. the general controls, address these risks review by the Office of Management and (b) Classification. Class II (special to health and provide reasonable Budget (OMB) under the Paperwork controls). The special controls for this assurance of the safety and Reduction Act of 1995 (44 U.S.C. 3501– device are: effectiveness: 3520). The collections of information in (1) The labeling must include specific • The labeling must include specific part 807, subpart E, regarding premarket instructions regarding the proper instructions regarding the proper notification submissions have been placement and use of the device. placement and use of the device. approved under OMB control number (2) The portions of the device that • The portions of the device that 0910–0120, and the collections of contact the patient must be contact the patient must be information in 21 CFR part 801, demonstrated to be biocompatible. demonstrated to be biocompatible. regarding labeling have been approved (3) Appropriate analysis/testing must • Appropriate analysis/testing must under OMB control number 0910–0485. demonstrate electromagnetic compatibility safety, electrical safety, demonstrate electromagnetic IV. References compatibility safety, electrical safety, and thermal safety of the device. and thermal safety of the device. The following references have been (4) Mechanical safety testing must • Mechanical safety testing must placed on display in the Division of demonstrate that the device will demonstrate that the device will Dockets Management (HFA–305), Food withstand forces encountered during withstand forces encountered during and Drug Administration, 5630 Fishers use. Lane, rm. 1061, Rockville, MD 20852, use. Dated: June 16, 2015. and may be seen by interested persons Section 510(m) of the FD&C Act Leslie Kux, provides that FDA may exempt a class between 9 a.m. and 4 p.m., Monday Associate Commissioner for Policy. II device from the premarket notification through Friday, and are available requirements under section 510(k) of the electronically at http:// [FR Doc. 2015–15328 Filed 6–22–15; 8:45 am] FD&C Act, if FDA determines that www.regulations.gov. BILLING CODE 4164–01–P premarket notification is not necessary 1. DEN130047: De Novo Request per to provide reasonable assurance of the 513(f)(2) from Auris Medtech Europe Ltd., safety and effectiveness of the device. dated November 21, 2013. DEPARTMENT OF HOMELAND For this type of device, FDA has 2. Amendment to De Novo Request from SECURITY determined that premarket notification Auris Medtech Europe Ltd., dated June 17, 2014. is necessary to provide reasonable Coast Guard assurance of the safety and effectiveness List of Subjects in 21 CFR Part 876 33 CFR Part 100 of the device. Therefore, this device Medical devices. type is not exempt from premarket Therefore, under the Federal Food, [Docket No. USCG–2013–0103] notification requirements. Persons who Drug, and Cosmetic Act and under RIN 1625–AA08 intend to market this type of device authority delegated to the Commissioner must submit to FDA a premarket of Food and Drugs, 21 CFR part 876 is Regattas and Marine Parades; Great notification, prior to marketing the amended as follows: Lakes Annual Marine Events device, which contains information about the vibrator for climax control of PART 876—GASTROENTEROLOGY– AGENCY: Coast Guard, DHS. premature ejaculation they intend to UROLOGY DEVICES ACTION: Notice of enforcement of market. regulation. ■ 1. The authority citation for 21 CFR II. Environmental Impact part 876 continues to read as follows: SUMMARY: The Coast Guard will enforce The Agency has determined under 21 Authority: 21 U.S.C. 351, 360, 360c, 360e, various special local regulations for CFR 25.34(b) that this action is of a type 360j, 360l, 371. annual regattas and marine parades in that does not individually or ■ 2. Republish § 876.5025 to read as the Captain of the Port Detroit zone from cumulatively have a significant effect on follows: 9 a.m. on June 26, 2015 through 7 p.m. the human environment. Therefore, on August 23, 2015. Enforcement of neither an environmental assessment § 876.5025 Vibrator for climax control of these regulations is necessary and nor an environmental impact statement premature ejaculation. intended to ensure safety of life on the is required. (a) Identification. A vibrator for navigable waters immediately prior to, climax control of premature ejaculation during, and immediately after these III. Paperwork Reduction Act of 1995 is used for males who suffer from regattas or marine parades. During the This final order establishes special premature ejaculation. It is designed to aforementioned period, the Coast Guard controls that refer to previously increase the time between arousal and will enforce restrictions upon, and approved collections of information ejaculation using the stimulating control movement of, vessels in a

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specified area immediately prior to, located at position 42°7.7′ N; 083°10.7′ for the full duration stated in this during, and immediately after regattas W, and along the shoreline to the point document, he may suspend such or marine parades. of origin. This area is in the Trenton enforcement and notify the public of the DATES: The regulations in 33 CFR Channel between Trenton and Grosse suspension via a Broadcast Notice to 100.914, 100.915, 100.918, 100.919, and Isle, MI. Mariners. (4) § 100.915 St. Clair River Classic 100.920 will be enforced at specified Dated: June 8, 2015. Offshore Race, St. Clair, MI. This special dates and times between June 26, 2015 Scott B. Lemasters, and August 23, 2015. local regulation will be enforced from 10 a.m. to 7 p.m. each day from July 20, Captain, U. S. Coast Guard, Captain of the FOR FURTHER INFORMATION CONTACT: If Port Detroit. you have questions on this document, 2015 through July 26, 2015. A regulated area is established to include all waters [FR Doc. 2015–15408 Filed 6–22–15; 8:45 am] call or email Petty Officer First Class BILLING CODE 9110–04–P Todd Manow, Prevention Department, of the St. Clair River, St. Clair, Michigan, bounded by latitude U.S. Coast Guard Sector Detroit, 110 ° ′ ″ Mount Elliot Ave., Detroit MI, 48207; 42 52 00 N to the north; latitude 42°49′00″ N to the south; the shoreline DEPARTMENT OF HOMELAND telephone (313)568–9580, email SECURITY [email protected]. of the St. Clair River on the west; and the international boundary line on the SUPPLEMENTARY INFORMATION: Coast Guard The Coast east. Guard will enforce the following special Special Local Regulations: 33 CFR Part 165 local regulations listed in 33 CFR part (1) In accordance with § 100.901, 100, Safety of Life on Navigable Waters, entry into, transiting, or anchoring [Docket Number USCG–2015–0496] on the following dates and times, which within these regulated areas is are listed in chronological order: prohibited unless authorized by the RIN 1625–AA00 (1) § 100.919 International Bay City Coast Guard patrol commander River Roar, Bay City, MI. This special Safety Zone; Black River Kayak-a-thon; (PATCOM). The PATCOM may restrict Black River, Lorain, OH local regulation will be enforced from 9 vessel operation within the regulated a.m. to 6 p.m. on June 26, 27, and 28, area to vessels having particular AGENCY: Coast Guard, DHS. 2015. A regulated area is established to operating characteristics. ACTION: Temporary final rule. include all waters of the Saginaw River (2) Vessels permitted to enter this bounded on the north by the Liberty regulated area must operate at a no wake SUMMARY: The Coast Guard is ° ′ ° ′ Bridge, located at 43 36.3 N, 083 53.4 speed and in a manner that will not establishing a temporary safety zone on W, and bounded on the south by the endanger race participants or any other Black River, Lorain, OH. This safety Veterans Memorial Bridge, located at craft. zone is intended to restrict vessels from ° ′ ° ′ 43 35.8 N, 083 53.6 W. In case of rain (3) The PATCOM may direct the a portion of the Black River during the on any of the race days, this special anchoring, mooring, or movement of Black River Kayak-a-thon. This local regulation may be enforced an any vessel within this regulated area. A temporary safety zone is necessary to additional day on June 29, 2015 from 9 succession of sharp, short signals by protect participants and mariners from a.m. until 6 p.m. whistle or horn from vessels patrolling the navigational hazards associated with (2) § 100.920 Tug Across the River, the area under the direction of the a paddle sport regatta. Detroit, MI. This special local regulation PATCOM shall serve as a signal to stop. DATES: This rule is effective from 7:45 will be enforced from 6 p.m. to 6:45 Vessels so signaled shall stop and shall a.m. until 2:15 p.m. on June 27, 2015. p.m. on July 10, 2015. A regulated area comply with the orders of the PATCOM. ADDRESSES: Documents mentioned in is established to include all waters of Failure to do so may result in expulsion this preamble are part of docket [USCG– the Detroit River, Detroit, Michigan, from the area, a Notice of Violation for 2015–0496]. To view documents bounded on the south by the failure to comply, or both. International boundary, on the west by (4) If it is deemed necessary for the mentioned in this preamble as being 083°03′ W, on the east by 083°02′ W, protection of life and property, the available in the docket, go to http:// and on the north by the U.S. shoreline. PATCOM may terminate at any time the www.regulations.gov, type the docket This position is located on the Detroit marine event or the operation of any number in the ‘‘SEARCH’’ box and click River in front of Hart Plaza, Detroit, MI. vessel within the regulated area. ‘‘SEARCH.’’ Click on Open Docket (3) § 100.914 Trenton Rotary Roar on (5) In accordance with the general Folder on the line associated with this the River, Trenton, MI. This special regulations in § 100.35 of this part, the rulemaking. You may also visit the local regulation will be enforced from 8 Coast Guard will patrol the regatta area Docket Management Facility in Room a.m. to 8 p.m. on July 17, 18, and 19, under the direction of a designated W12–140 on the ground floor of the 2015. The regulated area is established Coast Guard Patrol Commander Department of Transportation West to include all waters of the Detroit (PATCOM). The PATCOM may be Building, 1200 New Jersey Avenue SE., River, Trenton, Michigan, bounded by contacted on Channel 16 (156.8 MHz) Washington, DC 20590, between 9 a.m. an east/west line beginning at a point of by the call sign ‘‘Coast Guard Patrol and 5 p.m., Monday through Friday, land at the northern end of Elizabeth Commander.’’ except Federal holidays. Park in Trenton, MI, located at position (6) The rules in this section shall not FOR FURTHER INFORMATION CONTACT: If 42°8.2′ N; 083°10.6′ W, extending east to apply to vessels participating in the you have questions on this rule, call LT a point near the center of the Trenton event or to government vessels Stephanie Pitts, Chief of Waterways Channel located at position 42°8.2′ N; patrolling the regulated area in the Management, U.S. Coast Guard Marine 083°10.4′ W, extending south along a performance of their assigned duties. Safety Unit Cleveland; telephone 216– north/south line to a point at the Grosse This document is issued under 937–0128. If you have questions on Ile Parkway Bridge located at position authority of 33 CFR 100.35 and 5 U.S.C. viewing the docket, call Ms. Cheryl 42°7.7′ N; 083°10.5′ W, extending west 552(a). If the Captain of the Port Collins, Program Manager, Docket along a line bordering the Grosse Ile determines that any of these special Operations, telephone 202–366–9826 or Parkway Bridge to a point on land local regulations need not be enforced 1–800–647–5527.

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SUPPLEMENTARY INFORMATION: hazards include vessels restricted in that particular area are expected to be maneuverability, vessels with low minimal. Under certain conditions, Table of Acronyms visibility, and high traffic congestion moreover, vessels may still transit DHS Department of Homeland Security within a narrow channel. through the safety zone when permitted by the Captain of the Port. FR Federal Register C. Discussion of the Final Rule NPRM Notice of Proposed Rulemaking 2. Impact on Small Entities TFR Temporary Final Rule With the aforementioned hazards in mind, the Captain of the Port Buffalo Under the Regulatory Flexibility Act A. Regulatory History and Information has determined that this temporary (5 U.S.C. 601–612), we have considered safety zone is necessary to ensure the the impact of this rule on small entities. The Coast Guard is issuing this safety of spectators and vessels during The Coast Guard certifies under 5 U.S.C. temporary final rule without prior the Black River Kayak-a-thon. This zone 605(b) that this rule will not have a notice and opportunity to comment will be enforced from 7:45 a.m. until significant economic impact on a pursuant to authority under section 4(a) 2:15 p.m. on June 27, 2015. This zone substantial number of small entities. of the Administrative Procedure Act will encompass all waters of Black The Coast Guard certifies under 5 U.S.C. (APA) (5 U.S.C. 553(b)). This provision River; Lorain, OH from position 605(b) that this rule will not have a authorizes an agency to issue a rule 41°27′28″ N and 082°06′10″ W (NAD 83) significant economic impact on a without prior notice and opportunity to in the vicinity of French Creek at river substantial number of small entities. comment when the agency for good mile marker 5.0 to position 41°28′11″ N This rule will affect the following cause finds that those procedures are and 082°10′32″ W (NAD 83) in the entities, some of which might be small ‘‘impracticable, unnecessary, or contrary vicinity of the Bascule Bridge at river entities: The owners or operators of to the public interest.’’ Under 5 U.S.C. mile marker 0.3. vessels intending to transit or anchor in 553(b)(B), the Coast Guard finds that Entry into, transiting, or anchoring a portion of Black River on the morning good cause exists for not publishing a within the safety zone is prohibited of June 27, 2015. notice of proposed rulemaking (NPRM) unless authorized by the Captain of the This safety zone will not have a with respect to this rule because doing Port Buffalo or his designated on-scene significant economic impact on a so would be impracticable. The final representative. The Captain of the Port substantial number of small entities for details for this event were not known to or his designated on-scene the following reasons: This safety zone the Coast Guard until there was representative may be contacted via would be effective, and thus subject to insufficient time remaining before the VHF Channel 16. enforcement, for only six and a half event to publish an NPRM. Thus, hours. Traffic may be allowed to pass delaying the effective date of this rule to D. Regulatory Analyses through the zone with the permission of wait for a comment period to run would We developed this rule after the Captain of the Port. The Captain of be impracticable because it would considering numerous statutes and the Port can be reached via VHF inhibit the Coast Guard’s ability to executive orders related to rulemaking. channel 16. Before the enforcement of protect spectators and vessels from the Below we summarize our analyses the zone, we would issue local hazards associated with a paddle sport based on these statutes and executive Broadcast Notice to Mariners. regatta. Therefore, under 5 U.S.C. orders. 553(d)(3), the Coast Guard finds that 3. Assistance for Small Entities good cause exists for making this 1. Regulatory Planning and Review Under section 213(a) of the Small temporary rule effective less than 30 This rule is not a significant Business Regulatory Enforcement days after publication in the Federal regulatory action under section 3(f) of Fairness Act of 1996 (Pub. L. 104–121), Register. For the same reasons Executive Order 12866, Regulatory we want to assist small entities in discussed in the preceding paragraph, Planning and Review, as supplemented understanding this rule. If the rule waiting for a 30 day notice period to run by Executive Order 13563, Improving would affect your small business, would be impracticable. Regulation and Regulatory Review, and organization, or governmental does not require an assessment of jurisdiction and you have questions B. Basis and Purpose potential costs and benefits under concerning its provisions or options for The legal basis and authorities for this section 6(a)(3) of Executive Order 12866 compliance, please contact the person rule are found in 33 U.S.C. 1231, 46 or under section 1 of Executive Order listed in the FOR FURTHER INFORMATION U.S.C. Chapter 701, 3306, 3703; 50 13563. The Office of Management and CONTACT section above. U.S.C. 191, 195; 33 CFR 1.05–1, 6.04–1, Budget has not reviewed it under those Small businesses may send comments 6.04–6, and 160.5; Public Law 107–295, Orders. on the actions of Federal employees 116 Stat. 2064; and Department of We conclude that this rule is not a who enforce, or otherwise determine Homeland Security Delegation No. significant regulatory action because we compliance with, Federal regulations to 0170.1, which collectively authorize the anticipate that it will have minimal the Small Business and Agriculture Coast Guard to establish and define impact on the economy, will not Regulatory Enforcement Ombudsman regulatory safety zones. interfere with other agencies, will not and the Regional Small Business Between 7:45 a.m. and 2:15 p.m. on adversely alter the budget of any grant Regulatory Fairness Boards. The June 27, 2015, a paddle sport regatta or loan recipients, and will not raise any Ombudsman evaluates these actions will be held on the Black River, Lorain, novel legal or policy issues. The safety annually and rates each agency’s OH, from French Creek at river mile zone created by this rule will be responsiveness to small business. If you marker 5.0 to the Bascule Bridge at river relatively small and enforced for a wish to comment on actions by mile marker 0.3. It is anticipated that up relatively short time. Also, the safety employees of the Coast Guard, call 1– to 75 paddle craft will participate in the zone is designed to minimize its impact 888–REG–FAIR (1–888–734–3247). The event. The Captain of the Port Buffalo on navigable waters. Furthermore, the Coast Guard will not retaliate against has determined that such a gathering of safety zone has been designed to allow small entities that question or complain watercraft poses a significant risk to vessels to transit around it. Thus, about this rule or any policy or action public safety and property. Such restrictions on vessel movement within of the Coast Guard.

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4. Collection of Information health or risk to safety that may PART 165—REGULATED NAVIGATION disproportionately affect children. AREAS AND LIMITED ACCESS AREAS This rule will not call for a new collection of information under the 11. Indian Tribal Governments Paperwork Reduction Act of 1995 (44 ■ 1. The authority citation for part 165 U.S.C. 3501–3520). This rule does not have tribal continues to read as follows: implications under Executive Order 5. Federalism Authority: 33 U.S.C. 1231; 46 U.S.C. 13175, Consultation and Coordination Chapters 701, 3306, 3703; 50 U.S.C. 191, 195; A rule has implications for federalism with Indian Tribal Governments, 33 CFR 1.05–1, 6.04–1, 6.04–6, and 160.5; under Executive Order 13132, because it does not have a substantial Pub. L. 107–295, 116 Stat. 2064; Department Federalism, if it has a substantial direct direct effect on one or more Indian of Homeland Security Delegation No. 0170.1. effect on the States, on the relationship tribes, on the relationship between the ■ 2. Add temporary § 165.T09–0496 to between the national government and Federal Government and Indian tribes, read as follows: the States, or on the distribution of or on the distribution of power and power and responsibilities among the responsibilities between the Federal § 165.T09–0496 Safety Zone; Black River various levels of government. We have Government and Indian tribes. Kayak-a-thon; Black River, Lorain, OH. analyzed this rule under that Order and 12. Energy Effects (a) Location. This zone will determined that this rule does not have encompass all waters of Black River; implications for federalism. This action is not a ‘‘significant Lorain, OH from position 41°27′28″ N. 6. Protest Activities energy action’’ under Executive Order and 082°06′10″ W. (NAD 83) in the 13211, Actions Concerning Regulations vicinity of French Creek at river mile The Coast Guard respects the First That Significantly Affect Energy Supply, marker 5.0 to position 41°28′11″ N. and Amendment rights of protesters. Distribution, or Use. 082°10′32″ W. (NAD 83) in the vicinity Protesters are asked to contact the of the Bascule Bridge at river mile FOR FURTHER 13. Technical Standards person listed in the marker 0.3. INFORMATION CONTACT section to coordinate protest activities so that your This rule does not use technical (b) Enforcement period. This message can be received without standards. Therefore, we did not regulation will be enforced on June 27, jeopardizing the safety or security of consider the use of voluntary consensus 2015 from 7:45 a.m. until 2:15 p.m. standards. people, places, or vessels. (c) Regulations. (1) In accordance with 7. Unfunded Mandates Reform Act 14. Environment the general regulations in § 165.23 of this part, entry into, transiting, or The Unfunded Mandates Reform Act We have analyzed this rule under anchoring within this safety zone is of 1995 (2 U.S.C. 1531–1538) requires Department of Homeland Security prohibited unless authorized by the Federal agencies to assess the effects of Management Directive 023–01 and Captain of the Port Buffalo or his their discretionary regulatory actions. In Commandant Instruction M16475.lD, designated on-scene representative. particular, the Act addresses actions which guide the Coast Guard in (2) This safety zone is closed to all that may result in the expenditure by a complying with the National vessel traffic, except as may be State, local, or tribal government, in the Environmental Policy Act of 1969 permitted by the Captain of the Port aggregate, or by the private sector of (NEPA) (42 U.S.C. 4321–4370f), and Buffalo or his designated on-scene $100,000,000 (adjusted for inflation) or have determined that this action is one representative. more in any one year. Though this rule of a category of actions that do not will not result in such an expenditure, individually or cumulatively have a (3) The ‘‘on-scene representative’’ of we do discuss the effects of this rule significant effect on the human the Captain of the Port Buffalo is any elsewhere in this preamble. environment. This rule involves the Coast Guard commissioned, warrant or establishment of a safety zone and, petty officer who has been designated 8. Taking of Private Property therefore it is categorically excluded by the Captain of the Port Buffalo to act This rule will not cause a taking of from further review under paragraph on his behalf. private property or otherwise have 34(g) of Figure 2–1 of the Commandant (4) Vessel operators desiring to enter taking implications under Executive Instruction. An environmental analysis or operate within the safety zone must Order 12630, Governmental Actions and checklist supporting this determination contact the Captain of the Port Buffalo Interference with Constitutionally and a Categorical Exclusion or his on-scene representative to obtain Protected Property Rights. Determination are available in the permission to do so. The Captain of the docket where indicated under 9. Civil Justice Reform Port Buffalo or his on-scene ADDRESSES. We seek any comments or representative may be contacted via This rule meets applicable standards information that may lead to the VHF Channel 16. Vessel operators given in sections 3(a) and 3(b)(2) of Executive discovery of a significant environmental permission to enter or operate in the Order 12988, Civil Justice Reform, to impact from this rule. safety zone must comply with all minimize litigation, eliminate List of Subjects in 33 CFR Part 165 directions given to them by the Captain ambiguity, and reduce burden. of the Port Buffalo, or his on-scene 10. Protection of Children Harbors, Marine safety, Navigation representative. (water), Reporting and record keeping We have analyzed this rule under Dated: June 8, 2015. requirements, Security measures, B.W. Roche, Executive Order 13045, Protection of Waterways. Children from Environmental Health Captain, U.S. Coast Guard, Captain of the Risks and Safety Risks. This rule is not For the reasons discussed in the Port Buffalo. an economically significant rule and preamble, the Coast Guard amends 33 [FR Doc. 2015–15409 Filed 6–22–15; 8:45 am] does not create an environmental risk to CFR parts 165 as follows: BILLING CODE 9110–04–P

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DEPARTMENT OF HOMELAND SUMMARY: The Coast Guard will enforce be enforced on the dates and times SECURITY various safety zones within the Captain listed in the table below. of the Port New York Zone on the FOR FURTHER INFORMATION CONTACT: If Coast Guard specified dates and times. This action is you have questions on this notice, call necessary to ensure the safety of vessels or email Lieutenant Douglas Neumann, 33 CFR Part 165 and spectators from hazards associated Coast Guard; telephone 718–354–4154, [Docket No. USCG–2015–0393] with fireworks displays. During the email [email protected]. enforcement period, no person or vessel SUPPLEMENTARY INFORMATION: The Coast Safety Zones; Fireworks Events in may enter the safety zones without Guard will enforce the safety zones Captain of the Port New York Zone permission of the Captain of the Port listed in 33 CFR 165.160 on the AGENCY: Coast Guard, DHS. (COTP). specified dates and times as indicated in Table 1 below. This regulation was ACTION: Notice of enforcement of DATES: The regulation for the safety published in the Federal Register on regulation. zones described in 33 CFR 165.160 will November 9, 2011 (76 FR 69614).

TABLE 1

1. Brooklyn Law School, Ellis Island Safety Zone, 33 CFR 165.160(2.2) • Launch site: A barge located between Federal Anchorages 20–A and 20–B, in approximate position 40°41′45″ N. 074°02′09″ W. (NAD 1983) about 365 yards east of Ellis Island. This Safety Zone is a 360-yard radius from the barge. • Date: June 11, 2015. • Time: 10:10 p.m.–11:20 p.m. 2. Bronx Salutes America, Orchard Beach, The Bronx Safety Zone, 33 • Launch site: All waters of Long Island Sound in an area bound by CFR 165.160(3.11). the following points: 40°51′43.5″ N. 073°47′36.3″ W.; thence to 40°52′12.2″ N. 073°47′13.6″ W.; thence to 40°52′02.5″ N. 073°46′47.8″ W.; thence to 40°51′32.3″ N. 073°47′09.9″ W. (NAD 1983), thence to the point of origin. • Date: June 25, 2015. • Time: 08:50 p.m.–10:10 p.m. 3. City of Poughkeepsie Independence Day Celebration, Pough- • Launch site: A barge located in approximate position 41°42′24.50″ keepsie, NY, Hudson River Safety Zone, 33 CFR 165.160(5.13). N. 073°56′44.16″ W. (NAD 1983), approximately 420 yards north of the Mid Hudson Bridge. This Safety Zone is a 300-yard radius from the barge. • Date: July 04, 2015. • Time: 9:00 p.m.–10:00 p.m. 4. City of Yonkers July 4th Celebration, Yonkers, NY, Hudson River • Launch site: A barge located in approximate position 40°56′14.5″ N. Safety Zone, 33 CFR 165.160(5.5). 073°54′33″ W. (NAD 1983), approximately 475 yards northwest of the Yonkers Municipal Pier, New York. This Safety Zone is a 360- yard radius from the barge. • Date: July 04, 2015. • Time: 08:45 p.m.–10:15 p.m. 5. Peekskill July 4th Celebration, Peekskill Bay, Hudson River Safety • Launch site: A barge located in approximate position 41°17′16″ N. Zone, 33 CFR 165.160(5.10). 073°56′18″ W. (NAD 1983), approximately 670 yards north of Travis Point. This Safety Zone is a 360-yard radius from the barge. • Date: July 04, 2015. • Rain Date: July 05, 2015. • Time: 08:30 p.m.–10:30 p.m.

Under the provisions of 33 CFR determines that a safety zone need not COMMITTEE FOR PURCHASE FROM 165.160, vessels may not enter the safety be enforced for the full duration stated PEOPLE WHO ARE BLIND OR zones unless given permission from the in this notice, a Broadcast Notice to SEVERELY DISABLED COTP or a designated representative. Mariners may be used to grant general Spectator vessels may transit outside the permission to enter the safety zone. 41 CFR 51–6 safety zones but may not anchor, block, loiter in, or impede the transit of other Dated: May 11, 2015. Military Resale (MR) Commodities; vessels. The Coast Guard may be G. Loebl, Correction assisted by other Federal, State, or local Captain, U.S. Coast Guard, Captain of the AGENCY: Committee for Purchase From law enforcement agencies in enforcing Port New York. People Who Are Blind or Severely this regulation. [FR Doc. 2015–15410 Filed 6–22–15; 8:45 am] Disabled. This notice is issued under authority BILLING CODE 9110–04–P ACTION: Correcting amendments. of 33 CFR 165.160(a) and 5 U.S.C. 552(a). In addition to this notice in the SUMMARY: The Committee published a Federal Register, the Coast Guard will Final Rule in the Federal Register of provide mariners with advanced June 5, 2015, adding MR numbers to a notification of enforcement periods via series of MR numbers that already exist. the Local Notice to Mariners and marine In the Final Rule, new MR series 11000 information broadcasts. If the COTP and 12000 were designated as

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‘‘Exclusive’’. This document removes for this change is consistent with the the vaccine; or that the alleged injury MR series 11000 and 12000 from being Secretary’s findings that resulted in inpatient hospitalization and designated as ‘‘Exclusive’’. All other intussusceptions can reasonably be surgical intervention. Section parameters of the Final Rule remain the determined in some circumstances to be 2111(c)(1)(D) of the PHS Act. If the same as published on June 5, 2015. caused by rotavirus vaccines. The petitioner can prove a Table injury, off- DATES: Effective June 23, 2015. Secretary is now making this Table injury, or significant aggravation FOR FURTHER INFORMATION CONTACT: amendment to the Table and to the of a pre-existing condition, the Barry S. Lineback, Telephone: (703) Qualifications and Aids to petitioner is entitled to compensation 603–2118. Interpretation (QAI), described below unless it is affirmatively shown that the injury was caused by some factor SUPPLEMENTARY INFORMATION: This under Background Information, as unrelated to the vaccination. document corrects § 51–6.4 by removing proposed in the NPRM. These regulations will apply only to petitions Under section 2114(e)(2) of the PHS MR series 11000 and 12000 from Act, when the Centers for Disease paragraphs (b), (c)(4), and (d) so the for compensation under the VICP filed after this final rule becomes effective. Control and Prevention (CDC) series are no longer designated as recommends a vaccine for routine ‘‘Exclusive’’. All other parameters of the DATES: This final rule is effective July 23, 2015. administration to children, the Secretary Final Rule remain the same as is required to amend the Table to FOR FURTHER INFORMATION CONTACT: Dr. published on June 5, 2015. include such vaccine. Coverage becomes Avril M. Houston, Director, Division of effective when an excise tax is imposed List of Subjects in 41 CFR Part 51–6 Injury Compensation Programs, on the vaccine. Additionally, the Procurement procedures. Healthcare Systems Bureau, HRSA, Secretary is authorized to include For the reasons set out in the Parklawn Building, Room 11C–06, 5600 specific injuries on the Table with preamble, the Committee amends 41 Fishers Lane, Rockville, MD 20857, or respect to each covered vaccine, CFR part 51–6 as follows: by telephone: (800) 338–2382. This is a including the timeframe when the first toll-free number. symptom or manifestation of the onset PART 51–6—PROCUREMENT SUPPLEMENTARY INFORMATION: PROCEDURES of such adverse event may occur. The I. Background Information Secretary may also define such injuries ■ through the QAI. Under section 2114(c) 1. The authority citation for part 51– Under Title XXI of the Public Health 6 continues to read as follows: of the PHS Act, the Secretary may make Service Act, as amended (PHS Act), such modifications to the Table by Authority: 41 U.S.C. 8501–8506. individuals who demonstrate a vaccine- promulgating regulations, with notice related injury or death may receive § 51–6.4 [Amended] and opportunity for a public hearing, compensation through the VICP. To be ■ 2. In § 51–6.4, in paragraphs (b), (c)(4), and at least 180 days of public eligible for compensation from the comment. and (d), remove ‘‘, 11000 (11000– VICP, a petitioner must demonstrate 11999); 12000 (12000–12999)’’. that the injured or deceased individual II. Discussion of the Final Rule Dated: June 17, 2015. received a vaccine set forth in the Table As discussed in the NPRM (78 FR Barry S. Lineback, (a ‘‘covered vaccine’’) and sustained a 44512, July 24, 2013), the Secretary has Director, Business Operations. vaccine-related injury or death. A reviewed the currently available data petitioner can prove a vaccine-related [FR Doc. 2015–15284 Filed 6–22–15; 8:45 am] regarding the Rotarix and RotaTeq injury or death in three ways. First, the BILLING CODE 6353–01–P vaccines and the risk of intussusception. petitioner can show, by a The background of the RotaShield preponderance of the evidence, that the experience in the U.S. and the vaccine recipient suffered an injury DEPARTMENT OF HEALTH AND published literature from Mexico, listed in the Table corresponding with Brazil, Australia, and the U.S. supports HUMAN SERVICES the vaccine received, that the onset of a small attributable risk of 42 CFR Part 100 such injury occurred within the intussusception after the first and timeframe specified in the Table, and second doses of Rotarix and RotaTeq RIN 0906–AB00 that the injury meets the requirements (with a greater amount of data set forth in the Table’s QAI. A Table supporting an association with the first National Vaccine Injury Compensation injury or death is given the legal dose of both vaccines). Evidence shows Program: Addition of Intussusception presumption that it was caused by the the increased risk within the 1–7 days as Injury for Rotavirus Vaccines to the vaccination. Sections 2111(c)(1)(C)(i), following immunization with peaks in Vaccine Injury Table 2113(a)(1)(B), and 2114(a) of the PHS the fourth and fifth days. As a AGENCY: Health Resources and Services Act. Second, if the petitioner cannot consequence, the Secretary is amending Administration (HRSA), Department of demonstrate a Table injury, the the Table to add the injury of Health and Human Services (HHS). petitioner can prevail by proving, by a intussusception to the general Table ACTION: Final rule. preponderance of the evidence, that the category of ‘‘rotavirus vaccines’’ to vaccine caused the injury or death (off- allow a presumption of causation for SUMMARY: On July 24, 2013, the Table injury). Third, a petitioner can claims that meet the requirements set Secretary of Health and Human Services prevail by proving, by a preponderance forth in the Table for that injury. To (the Secretary) published in the Federal of the evidence, that the vaccine allow for a generous timeframe that will Register a Notice of Proposed significantly aggravated a pre-existing capture any cases related to the vaccine Rulemaking (NPRM) proposing changes condition. In all three cases, a petitioner after day 7, the Secretary has assigned to the regulations governing the must also show that the injury was an onset interval of 1–21 days under National Vaccine Injury Compensation sufficiently severe by demonstrating sections 2114(c) and (e) of the PHS Act. Program (VICP). Specifically, the that such person suffered the residual The Secretary will stay informed of Secretary proposed revisions to the effects of the injury for more than 6 new information in the scientific and Vaccine Injury Table (Table). The basis months; died from the administration of medical field about intussusception and

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rotavirus vaccines and may propose intestinal blood vessels (such as Henoch proposal to add intussusception as an changes in the future if such Scholein purpura, hematoma, or injury for rotavirus vaccines to the information warrants changes to the hemangioma); or in a person with Table, and the overwhelming majority Table. In addition, the Secretary underlying conditions or systemic of commenters expressed their support recognizes that one goal of the VICP is diseases associated with for the proposal. In addition, to provide compensation to petitioners intussusception (such as cystic fibrosis, commenters raised four additional harmed by vaccines through a less celiac disease, or Kawasaki disease) points. Below is a summary of those adversarial system. Therefore, the would not qualify as a Table injury. points and the Secretary’s responses to Secretary feels that adding the Table Petitioners may be eligible for them. injury of intussusception after the first compensation for vaccine-related cases and second doses of rotavirus vaccines of intussusception in which the onset is 1. Notice to Potential Petitioners with a window of 1–21 days is before 1 day or beyond 21 days, or COMMENT: A commenter suggested appropriate. where the condition does not satisfy the that the Secretary make additional The QAI section of the Table defines criteria under the QAI for efforts to increase public awareness the injury of ‘‘intussusception’’ as the intussusception (an ‘‘off-Table’’ claim); about expanding the Table and to invagination of a segment of intestine however, the petitioners will be increase the general public awareness into the next segment of intestine, required to prove causation-in-fact. about the VICP. resulting in bowel obstruction, Regardless of whether the claim satisfies RESPONSE: The Secretary will diminished arterial blood supply, and the criteria in the Table, all petitioners continue efforts to increase the general blockage of the venous blood flow. This must demonstrate sufficient severity of public’s awareness about the VICP, is characterized by a sudden onset of the injury by proving that the injured including revisions to the Table. abdominal pain that may be manifested person: 1) suffered the residual effects 2. Demonstrating Severity of Injury by anguished crying, irritability, or complications of the alleged vaccine- vomiting, abdominal swelling, and/or related injury for more than 6 months COMMENT: One commenter passing of stools mixed with blood and after vaccine’s administration; 2) died suggested that the definition of surgical mucus. The definition for presumption from administration of the vaccine; or 3) intervention be broadened to include of vaccine causation only applies to the sustained inpatient hospitalization and therapeutic enema treatment. first and second dose of vaccine, and surgery as a result of the alleged RESPONSE: Defining the term excludes intussusception occurring with vaccine-related injury. Section ‘‘surgical intervention’’ is beyond the or after the third dose. The third dose 2111(c)(1)(D), PHS Act (42 U.S.C. scope of the Table amendments. While of rotavirus vaccines lacks sufficient 300aa–11(c)(1)(D)). In the case of the preamble to both the NPRM and evidence showing risk. rotavirus vaccine administration and final rule includes the Secretary’s view The definition also delineates the subsequent intussusception, the that a reduction of intussusception with alternative causes of intussusception Secretary does not consider a reduction an enema is not a ‘‘surgical which, if present in a case, would of intussusception with therapeutic intervention,’’ such language is not prevent it from qualifying as a Table enemas to be ‘‘surgical intervention.’’ included in the regulatory text. Further, injury. The alternative causes were Petitions must also be filed within the the definition of ‘‘surgical intervention’’ classified into four categories: infectious applicable statute of limitations. The is decided by the court. diseases; anatomic lead points; general statute of limitations applicable 3. Onset Time Frame anatomic bowel abnormalities; and to petitions filed with the VICP, set forth underlying gastrointestinal or systemic in section 2116(a) of the PHS Act (42 COMMENT: A commenter stated that diseases. Cases of intussusception U.S.C. 300aa–16(a)), continues to apply. none of the data for either vaccine where the onset was within 14 days In addition, section 2116(b) of the PHS supports an association with after an infectious disease secondary to Act identifies a specific exception to intussusception for days 8–21 after dose non-enteric or enteric adenovirus, other this statute of limitations that applies 2 and suggested that the Secretary enteric viruses (such as Enterovirus), when the effect of a revision to the consider revising the time frame for enteric bacteria (such as Campylobacter Table makes a previously ineligible qualification as a Table injury after dose jejuni), or enteric parasites (such as person eligible to receive compensation 2 to 1–7 days. Ascaris lumbricoides) would not qualify or when an eligible person’s likelihood RESPONSE: The Secretary has as a Table injury. Proof of these of obtaining compensation significantly considered the approach suggested by alternate causes may be demonstrated increases. Under this section, the commenter and also the by clinical signs and symptoms and individuals who may be eligible to file recommendation of the Advisory need not be confirmed by culture or petitions based on the revised Table Commission on Childhood Vaccines serologic testing. may file a petition for compensation not (ACCV). The ACCV unanimously Cases of intussusception in a person later than two years after the effective recommended the proposed change of with a pre-existing condition identified date of the revision if the injury or death 1–21 days for all rotavirus vaccines. as the lead point for intussusception, occurred not more than eight years The ACCV’s ‘‘Guiding Principles for such as intestinal masses and cystic before the effective date of the revision Recommending Changes to the Vaccine structures (e.g., polyps; tumors; of the Table (42 U.S.C. 300aa–16(b)). Injury Table,’’ consist of two Meckel’s diverticulum; lymphoma; or overarching principles: (1) the Table duplication cysts), would not qualify as III. Comments and Responses should be scientifically and medically a Table injury. Additionally, cases of The comment period for this credible; and (2) where there is credible intussusception in a person with regulation ran for 6 months (July 24, scientific and medical evidence both to abnormalities of the bowel, including 2013–January 21, 2014) and included support and to reject a proposed change congenital anatomic abnormalities, two public hearings that were held on (addition or deletion) to the Table, the anatomic changes after abdominal January 13, 2014, and April 28, 2014. change should, whenever possible, be surgery, and other anatomic bowel The Secretary received ten comments as made to the benefit of petitioners. The abnormalities caused by mucosal a result of this process. None of the Guiding Principles were established in hemorrhage, trauma, or abnormal commenters objected to the Secretary’s 2006 to assist the ACCV in evaluating

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proposed Table revisions and effect of a rule on small entities and This rule is not being treated as a determining whether to recommend analyze regulatory options that could ‘‘significant regulatory action’’ under Table changes to the Secretary. The lessen the impact of the rule. section 3(f) of Executive Order 12866. ACCV followed these Guiding Executive Order 12866 requires that Accordingly, the rule has not been Principles in making its all regulations reflect consideration of reviewed by the Office of Management recommendations to the Secretary for alternatives, costs, benefits, incentives, and Budget. As stated above, this rule revising this Table. Therefore, the equity, and available information. would modify the Table based on legal Secretary has decided that the 1–21 day Regulations must meet certain authority. timeframe for both vaccines is the best standards, such as avoiding an Impact of the New Rule approach to capture any cases related to unnecessary burden. Regulations that the vaccine after day 7. are ‘‘significant’’ because of cost, This rule will have the effect of 4. Published Studies since the adverse effects on the economy, making it easier for future VICP Publication of the NPRM inconsistency with other agency actions, petitioners alleging the injury of effects on the budget, or novel legal or intussusception as the result of a COMMENT: A commenter identified policy issues, require special analysis. rotavirus vaccine that meets the criteria studies that have been published since The Secretary has determined that no in the Table to receive the Table’s the initial NPRM was published. resources are required to implement the presumption of causation (which RESPONSE: The Secretary has requirements in this rule. Compensation relieves them of having to prove that the reviewed these studies and found that will be made in the same manner used vaccine actually caused or significantly the most recent data have shown a small prior to the revisions of this final rule. aggravated the injury). but statistically significant increased The only purpose of this rule is to Paperwork Reduction Act of 1995 risk of intussusception within 7 days lessen the burden of proof for potential after the first and second doses of the petitioners. Therefore, in accordance This final rule has no information licensed rotavirus vaccines. However, as with the Regulatory Flexibility Act of collection requirements. discussed above, following the Guiding 1980 (RFA) and the Small Business Principles, the ACCV unanimously List of Subjects in 42 CFR Part 100 Regulatory Enforcement Act of 1996, recommended the proposed change of which amended the RFA, the Secretary Biologics, Health insurance, and 1–21 days for all rotavirus vaccines. certifies that this rule will not have a Immunization. Therefore, the Secretary has decided significant impact on a substantial that the 1–21 day timeframe for both Dated: May 27, 2015. number of small entities. vaccines is the best approach to capture James Macrae, The Secretary has also determined any cases related to the vaccine after Acting Administrator, Health Resources and day 7. that this rule does not meet the criteria Services Administration. for a major rule as defined by Executive Approved: June 5, 2015. IV. Regulatory Impact Analysis Order 12866, and it would not have a major effect on the economy or federal Sylvia M. Burwell, HHS has examined the impact of this Secretary. rulemaking as required by Executive expenditures. The Secretary has Order 12866 on Regulatory Planning determined that this rule is not a ‘‘major Therefore, for the reasons stated in the and Review, Executive Order 13563 on rule’’ within the meaning of the statute preamble, the Department of Health and Improving Regulation and Regulatory providing for Congressional Review of Human Services amends 42 CFR part Review, the Congressional Review Act Agency Rulemaking, 5 U.S.C. 801. 100 as follows: (5 U.S.C. 804(2)), the Regulatory Similarly, it will not have effects on State, local, and tribal governments, or PART 100—VACCINE INJURY Flexibility Act (RFA), section 202 of the COMPENSATION Unfunded Mandates Reform Act of on the private sector such as to require consultation under the Unfunded 1995, section 654(c) of the Treasury and ■ 1. The authority citation for part 100 Mandates Reform Act of 1995. General Government Appropriations is revised to read as follows: Act of 1999, and Executive Order 13132 The Secretary finds that the on Federalism. provisions of this rule will not have an Authority: Secs. 312 and 313 of Public Executive Order 12866 directs adverse effect on family well-being, Law 99–660 (42 U.S.C. 300aa–1 note); 42 agencies to assess all costs and benefits because this rule does not affect the U.S.C. 300aa–10 to 300aa–34; 26 U.S.C. 4132(a); and sec. 13632(a)(3) of Public Law of available regulatory alternatives and, following family elements: family 103–66. when rulemaking is necessary, to select safety; family stability; marital regulatory approaches that provide the commitment; parental rights in the ■ 2. Amend § 100.3 as follows: greatest net benefits (including potential education, nurture, and supervision of ■ a. Amend paragraph (a) by revising economic, environmental, public health, their children; family functioning; Item XI in the table. safety, distributive, and equity effects). disposable income or poverty; or the ■ b. Add paragraph (b)(3). In addition, under the Regulatory behavior and personal responsibility of The revision and addition read as Flexibility Act, if a rule has a significant youth, as determined under section follows: economic effect on a substantial number 654(c) of the Treasury and General of small entities, the Secretary must Government Appropriations Act of § 100.3 Vaccine injury table. specifically consider the economic 1999. (a) * * *

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Time period for first symptom or manifestation Vaccine Illness, disability, injury or condition covered of onset or of significant aggravation after vaccine administration

******* XI. Rotavirus vaccines ...... A. Intussusception ...... 1–21 days B. Any acute complication or sequela (includ- Not applicable ing death) of an illness, disability, injury, or condition referred to above which illness, disability, injury, or condition arose within the time period prescribed.

*******

(b) * * * cystic fibrosis, celiac disease, or particular community was suspended (3) Intussusception. (i) For purposes Kawasaki disease). on the suspension date or for further of paragraph (a) of this section, * * * * * information, contact Bret Gates, Federal intussusception means the invagination [FR Doc. 2015–14771 Filed 6–22–15; 8:45 am] Insurance and Mitigation of a segment of intestine into the next BILLING CODE 4165–15–P Administration, Federal Emergency segment of intestine, resulting in bowel Management Agency, 500 C Street SW., obstruction, diminished arterial blood Washington, DC 20472, (202) 646–4133. supply, and blockage of the venous DEPARTMENT OF HOMELAND SUPPLEMENTARY INFORMATION: The NFIP blood flow. This is characterized by a SECURITY enables property owners to purchase sudden onset of abdominal pain that Federal flood insurance that is not may be manifested by anguished crying, Federal Emergency Management otherwise generally available from irritability, vomiting, abdominal Agency private insurers. In return, communities swelling, and/or passing of stools mixed agree to adopt and administer local with blood and mucus. 44 CFR Part 64 floodplain management measures aimed (ii) For purposes of paragraph (a) of at protecting lives and new construction this section, the following shall not be [Docket ID FEMA–2015–0001; Internal Agency Docket No. FEMA–8385] from future flooding. Section 1315 of considered to be a Table the National Flood Insurance Act of intussusception: Suspension of Community Eligibility 1968, as amended, 42 U.S.C. 4022, (A) Onset that occurs with or after the prohibits the sale of NFIP flood third dose of a vaccine containing AGENCY: Federal Emergency insurance unless an appropriate public rotavirus; Management Agency, DHS. body adopts adequate floodplain (B) Onset within 14 days after an ACTION: Final rule. management measures with effective infectious disease associated with enforcement measures. The intussusception, including viral disease SUMMARY: This rule identifies communities listed in this document no (such as those secondary to non-enteric communities where the sale of flood longer meet that statutory requirement or enteric adenovirus, or other enteric insurance has been authorized under for compliance with program viruses such as Enterovirus), enteric the National Flood Insurance Program regulations, 44 CFR part 59. bacteria (such as Campylobacter jejuni), (NFIP) that are scheduled for Accordingly, the communities will be or enteric parasites (such as Ascaris suspension on the effective dates listed suspended on the effective date in the lumbricoides), which may be within this rule because of third column. As of that date, flood demonstrated by clinical signs and noncompliance with the floodplain insurance will no longer be available in symptoms and need not be confirmed management requirements of the the community. We recognize that some by culture or serologic testing; program. If the Federal Emergency of these communities may adopt and (C) Onset in a person with a pre- Management Agency (FEMA) receives submit the required documentation of existing condition identified as the lead documentation that the community has legally enforceable floodplain point for intussusception such as adopted the required floodplain management measures after this rule is intestinal masses and cystic structures management measures prior to the published but prior to the actual (such as polyps, tumors, Meckel’s effective suspension date given in this suspension date. These communities diverticulum, lymphoma, or duplication rule, the suspension will not occur and will not be suspended and will continue cysts); a notice of this will be provided by to be eligible for the sale of NFIP flood (D) Onset in a person with publication in the Federal Register on a insurance. A notice withdrawing the abnormalities of the bowel, including subsequent date. Also, information suspension of such communities will be congenital anatomic abnormalities, identifying the current participation published in the Federal Register. anatomic changes after abdominal status of a community can be obtained In addition, FEMA publishes a Flood surgery, and other anatomic bowel from FEMA’s Community Status Book Insurance Rate Map (FIRM) that abnormalities caused by mucosal (CSB). The CSB is available at http:// identifies the Special Flood Hazard hemorrhage, trauma, or abnormal www.fema.gov/fema/csb.shtm. Areas (SFHAs) in these communities. intestinal blood vessels (such as Henoch DATES: The effective date of each The date of the FIRM, if one has been Scholein purpura, hematoma, or community’s scheduled suspension is published, is indicated in the fourth hemangioma); or the third date (‘‘Susp.’’) listed in the column of the table. No direct Federal (E) Onset in a person with underlying third column of the following tables. financial assistance (except assistance conditions or systemic diseases FOR FURTHER INFORMATION CONTACT: If pursuant to the Robert T. Stafford associated with intussusception (such as you want to determine whether a Disaster Relief and Emergency

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Assistance Act not in connection with a National Environmental Policy Act. federalism implications under Executive flood) may be provided for construction This rule is categorically excluded from Order 13132. or acquisition of buildings in identified the requirements of 44 CFR part 10, Executive Order 12988, Civil Justice SFHAs for communities not Environmental Considerations. No Reform. This rule meets the applicable participating in the NFIP and identified environmental impact assessment has standards of Executive Order 12988. for more than a year on FEMA’s initial been prepared. FIRM for the community as having Regulatory Flexibility Act. The Paperwork Reduction Act. This rule does not involve any collection of flood-prone areas (section 202(a) of the Administrator has determined that this information for purposes of the Flood Disaster Protection Act of 1973, rule is exempt from the requirements of Paperwork Reduction Act, 44 U.S.C. 42 U.S.C. 4106(a), as amended). This the Regulatory Flexibility Act because 3501 et seq. prohibition against certain types of the National Flood Insurance Act of Federal assistance becomes effective for 1968, as amended, Section 1315, 42 List of Subjects in 44 CFR Part 64 the communities listed on the date U.S.C. 4022, prohibits flood insurance shown in the last column. The coverage unless an appropriate public Flood insurance, Floodplains. body adopts adequate floodplain Administrator finds that notice and Accordingly, 44 CFR part 64 is management measures with effective public comment procedures under 5 amended as follows: U.S.C. 553(b), are impracticable and enforcement measures. The communities listed no longer comply unnecessary because communities listed PART 64—[AMENDED] in this final rule have been adequately with the statutory requirements, and after the effective date, flood insurance notified. will no longer be available in the ■ 1. The authority citation for Part 64 Each community receives 6-month, communities unless remedial action continues to read as follows: 90-day, and 30-day notification letters takes place. Authority: 42 U.S.C. 4001 et seq.; addressed to the Chief Executive Officer Regulatory Classification. This final Reorganization Plan No. 3 of 1978, 3 CFR, stating that the community will be rule is not a significant regulatory action 1978 Comp.; p. 329; E.O. 12127, 44 FR 19367, suspended unless the required under the criteria of section 3(f) of 3 CFR, 1979 Comp.; p. 376. floodplain management measures are Executive Order 12866 of September 30, § 64.6 [Amended] met prior to the effective suspension 1993, Regulatory Planning and Review, date. Since these notifications were 58 FR 51735. ■ 2. The tables published under the made, this final rule may take effect Executive Order 13132, Federalism. authority of § 64.6 are amended as within less than 30 days. This rule involves no policies that have follows:

Date certain Federal Community Effective date authorization/cancellation of Current effective assistance State and location No. sale of flood insurance in community map date no longer available in SFHAs

Region I Maine: Belfast, City of, Waldo County ...... 230129 July 8, 1975, Emerg; May 3, 1990, Reg; July 6, 2015 ...... July 6, 2015 July 6, 2015, Susp. Brooks, Town of, Waldo County ...... 230253 July 23, 1975, Emerg; September 18, 1985, ...... do ...... Do. Reg; July 6, 2015, Susp. Burnham, Town of, Waldo County ...... 230130 November 3, 1977, Emerg; June 3, 1991, Reg; July 6, 2015, Susp. Frankfort, Town of, Waldo County ...... 230254 June 5, 1975, Emerg; May 17, 1990, Reg; ...... do ...... Do. July 6, 2015, Susp. Freedom, Town of, Waldo County ...... 230255 October 1, 1975, Emerg; September 27, ...... do ...... Do. 1985, Reg; July 6, 2015, Susp. Isleboro, Town of, Waldo County ...... 230256 May 30, 1975, Emerg; May 15, 1991, Reg; ...... do ...... Do. July 6, 2015, Susp. Knox, Town of, Waldo County ...... 230258 July 30, 1975, Emerg; September 27, 1985, ...... do ...... Do. Reg; July 6, 2015, Susp. Liberty, Town of, Waldo County ...... 230259 July 23, 1975, Emerg; September 27, 1985, ...... do ...... Do. Reg; July 6, 2015, Susp. Lime Island, Waldo County ...... 230985 April 4, 1979, Emerg; April 30, 1984, Reg; ...... do ...... Do. July 6, 2015, Susp. Lincolnville, Town of, Waldo County ..... 230172 October 1, 1975, Emerg; May 3, 1990, Reg; ...... do ...... Do. July 6, 2015, Susp. Little Bermuda Island, Waldo County .... 230984 April 4, 1979, Emerg; April 30, 1984, Reg; ...... do ...... Do. July 6, 2015, Susp. Monroe, Town of, Waldo County ...... 230260 May 22, 1975, Emerg; September 27, 1985, ...... do ...... Do. Reg; July 6, 2015, Susp. Montville, Town of, Waldo County ...... 230261 October 2, 2008, Emerg; April 1, 2009, ...... do ...... Do. Reg; July 6, 2015, Susp. Morrill, Town of, Waldo County ...... 230262 July 16, 1975, Emerg; September 18, 1985, ...... do ...... Do. Reg; July 6, 2015, Susp. Northport, Town of, Waldo County ...... 230179 July 23, 1975, Emerg; May 15, 1991, Reg; ...... do ...... Do. July 6, 2015, Susp. Palermo, Town of, Waldo County ...... 230263 July 15, 1975, Emerg; March 1, 1987, Reg; ...... do ...... Do. July 6, 2015, Susp.

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Date certain Federal Community Effective date authorization/cancellation of Current effective assistance State and location No. sale of flood insurance in community map date no longer available in SFHAs

Searsmont, Town of, Waldo County ..... 230265 July 16, 1975, Emerg; September 27, 1985, ...... do ...... Do. Reg; July 6, 2015, Susp. Searsport, Town of, Waldo County ...... 230185 July 2, 1975, Emerg; May 17, 1990, Reg; ...... do ...... Do. July 6, 2015, Susp. Stockton Springs, Town of, Waldo 230266 July 30, 1975, Emerg; February 4, 1987, ...... do ...... Do. County. Reg; July 6, 2015, Susp. Swanville, Town of, Waldo County ...... 230267 June 11, 1975, Emerg; February 4, 1987, ...... do ...... Do. Reg; July 6, 2015, Susp. Thorndike, Town of Waldo County...... 230268 June 14, 1976, Emerg; September 27, ...... do ...... Do. 1985, Reg; July 6, 2015, Susp. Troy, Town of, Waldo County ...... 230269 March 15, 1976, Emerg; April 17, 1987, ...... do ...... Do. Reg; July 6, 2015, Susp. Unity, Town of, Waldo County ...... 230131 July 15, 1975, Emerg; September 27, 1985, ...... do ...... Do. Reg; July 6, 2015, Susp. Winterport, Town of, Waldo County ...... 230271 October 1, 1975, Emerg; May 3, 1990, Reg; ...... do ...... Do. July 6, 2015, Susp. Region III Virginia: Charles City County, Unincorporated 510198 October 20, 1975, Emerg; September 5, ...... do ...... Do. Areas. 1990, Reg; July 6, 2015, Susp. Region IV Florida: Clewistown, City of, Hendry County...... 120108 September 29, 1972, Emerg; March 15, ...... do ...... Do. 1977, Reg; July 6, 2015, Susp. Hendry County, Unincorporated Areas 120107 August 27, 1974, Emerg; May 17, 1982, ...... do ...... Do. Reg; July 6, 2015, Susp. LaBelle, City of, Hendry County ...... 120109 July 30, 1974, Emerg; January 20, 1982, ...... do ...... Do. Reg; July 6, 2015, Susp. Region V Michigan: Fruitland, Township of, Muskegon 260265 December 11, 1973, Emerg; September 1, ...... do ...... Do. County. 1986, Reg; July 6, 2015, Susp. Montague, City of, Muskegon County ... 260160 April 12, 1974, Emerg; May 1, 1978, Reg; ...... do ...... Do. July 6, 2015, Susp. Muskegon, Charter Township, Mus- 260163 September 6, 1974, Emerg; August 1, ...... do ...... Do. kegon County. 1977, Reg; July 6, 2015, Susp. Muskegon, City of, Muskegon County .. 260161 May 25, 1973, Emerg; June 1, 1977, Reg; ...... do ...... Do. July 6, 2015, Susp. Muskegon Heights, City of, Muskegon 260162 May 9, 1975, Emerg; February 18, 1981, ...... do ...... Do. County. Reg; July 6, 2015, Susp. North Muskegon, City of, Muskegon 260164 December 11, 1973, Emerg; May 2, 1977, ...... do ...... Do. County. Reg; July 6, 2015, Susp. Norton Shores, City of, Muskegon 260162 May 9, 1975, Emerg; February 18, 1981, ...... do ...... Do. County. Reg; July 6, 2015, Susp. Muskegon Heights, City of, Muskegon 260162 May 9, 1975, Emerg; February 18, 1981, ...... do ...... Do. County. Reg; July 6, 2015, Susp. North Muskegon, City of, Muskegon 260164 December 11, 1973, Emerg; May 2, 1977, ...... do ...... Do. County. Reg; July 6, 2015, Susp. Norton Shores, City of, Muskegon 260165 April 6, 1973, Emerg; September 15, 1977, ...... do ...... Do. County. Reg; July 6, 2015, Susp. Ravenna, Township of, Muskegon 260731 October 6, 1982, Emerg; May 17, 1989, ...... do ...... Do. County. Reg; July 6, 2015, Susp. White River, Township of, Muskegon 260299 June 21, 1974, Emerg; January 16, 1981, ...... do ...... Do. County. Reg; July 6, 2015, Susp. Whitehall, City of, Muskegon County .... 260166 May 13, 1975, Emerg; October 15, 1980, ...... do ...... Do. Reg; July 6, 2015, Susp. Region VI Arkansas: Alexander, Town of, Pulaski and Saline 050377 September 26, 1980, Emerg; January 20, ...... do ...... Do. Counties.. 1982, Reg; July 6, 2015, Susp. Jacksonville, City of, Pulaski County .... 050180 November 26, 1973, Emerg; September 29, ...... do ...... Do. 1978, Reg; July 6, 2015, Susp. Little Rock, City of, Pulaski County ...... 050181 March 16, 1973, Emerg; March 4, 1980, ...... do ...... Do. Reg; July 6, 2015, Susp. Maumelle, City of, Pulaski County ...... 050577 March 6, 1979, Emerg; February 29, 1988, ...... do ...... Do. Reg; July 6, 2015, Susp.

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Date certain Federal Community Effective date authorization/cancellation of Current effective assistance State and location No. sale of flood insurance in community map date no longer available in SFHAs

North Little Rock, City of, Pulaski Coun- 050182 January 17, 1974, Emerg; July 16, 1980, ...... do ...... Do. ty. Reg; July 6, 2015, Susp. Pulaski County, Unincorporated Areas 050179 March 6, 1979, Emerg; July 16, 1981, Reg; ...... do ...... Do. July 6, 2015, Susp. Sherwood, City of, Pulaski County...... 050235 February 15, 1974, Emerg; October 17, ...... do ...... Do. 1978, Reg; July 6, 2015, Susp. Louisiana: Campti, Town of, 220401 August 28, 1992, Emerg; July 3, 2003, Reg; ...... do ...... Do. Natchitoches Parish. July 6, 2015, Susp. Clarence, Village of, Natchitoches Par- 220130 March 8, 1976, Emerg; September 18, ...... do ...... Do. ish. 1987, Reg; July 6, 2015, Susp. Goldonna, Village of, Natchitoches Par- 220290 April 2, 1981, Emerg; June 29, 1982, Reg; ...... do ...... Do. ish. July 6, 2015, Susp. Natchez, Village of, Natchitoches Par- 220370 September 29, 1975, Emerg; September ...... do ...... Do. ish. 18, 1987, Reg; July 6, 2015, Susp. Natchitoches, City of, Natchitoches Par- 220131 April 17, 1974, Emerg; September 18, ...... do ...... Do. ish. 1987, Reg; July 6, 2015, Susp. Natchitoches Parish, Unincorporated 220129 May 10, 1973, Emerg; September 18, 1987, ...... do ...... Do. Areas. Reg; July 6, 2015, Susp. Provencal, Village of, Natchitoches Par- 220132 June 27, 1975, Emerg; November 1, 1992, ...... do ...... Do. ish.. Reg; July 6, 2015, Susp. Robeline, Village of, Natchitoches Par- 220133 August 11, 1975, Emerg; August 5, 1985, ...... do ...... Do. ish.. Reg; July 6, 2015, Susp. Region VIII Montana: Missoula, City of, Missoula County ...... 300049 March 14, 1975, Emerg; January 6, 1983, ...... do ...... Do. Reg; July 6, 2015, Susp. Missoula County, Unincorporated Areas 300048 January 15, 1975, Emerg; August 15, 1983, ...... do ...... Do. Reg; July 6, 2015, Susp. * do = Ditto. Code for reading third column: Emerg.—Emergency; Reg.—Regular; Susp.—Suspension.

Dated: April 22, 2015. of 1934, as amended (‘‘the Act’’) that the http://fjallfoss.fcc.gov/ecfs/. Documents Roy E. Wright, Commission granted to certain small will be available electronically in ASCII, Deputy Associate Administrator, Federal cable systems in 2012 (‘‘HD carriage Microsoft Word, and/or Adobe Acrobat. Insurance and Mitigation Administration, exemption’’). Alternative formats are available for Department of Homeland Security, Federal DATES: Effective July 23, 2015, except people with disabilities (Braille, large Emergency Management Agency. for the requirement described in print, electronic files, audio format), by [FR Doc. 2015–15346 Filed 6–22–15; 8:45 am] paragraph III.4.b of the Supplementary sending an email to [email protected] or BILLING CODE 9110–12–P Information. That paragraph contains calling the Commission’s Consumer and information collection requirements that Governmental Affairs Bureau at (202) have not been approved by the Office of 418–0530 (voice), (202) 418–0432 FEDERAL COMMUNICATIONS Management and Budget (OMB). The (TTY). COMMISSION Commission will publish a document in the Federal Register announcing OMB Paperwork Reduction Act of 1995 47 CFR Part 76 approval and the effective date of that Analysis [CS Docket No. 98–120; FCC 15–65] paragraph. This document contains new FOR FURTHER INFORMATION CONTACT: information collection requirements Carriage of Digital Television Raelynn Remy, [email protected], subject to the Paperwork Reduction Act Broadcast Signals Federal Communications Commission, Media Bureau, (202) 418–2936. of 1995, Public Law 104–13. It will be AGENCY: Federal Communications submitted to OMB for review under SUPPLEMENTARY INFORMATION: This is a Commission. Section 3507(d) of the PRA. OMB, the ACTION: Final rule. summary of the Commission’s Sixth Report and Order, CS Docket No. 98– general public, and other Federal SUMMARY: The Federal Communications 120, FCC 15–65, which was adopted agencies are invited to comment on the Commission (Commission) adopts a and released on June 10, 2015. The full new information collection proposal filed jointly by the American text of this document is available for requirements contained in this Cable Association and the National public inspection and copying during proceeding. In addition, we note that Association of Broadcasters that regular business hours in the FCC pursuant to the Small Business modifies and extends the exemption Reference Center, Federal Paperwork Relief Act of 2002, Public from the requirement to carry high Communications Commission, 445 12th Law 107–198, see 44 U.S.C. 3506(c)(4), definition (‘‘HD’’) broadcast signals Street SW., Room CY–A257, we previously sought specific comment under ‘‘material degradation’’ Washington, DC 20554. This document on how the Commission might further provisions of the Communications Act will also be available via ECFS at reduce the information collection

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burden for small business concerns with cable systems. In particular, the any objection to the joint proposal. We, fewer than 25 employees. Commission applied the exemption to therefore, find that the public interest small cable systems with 2,500 or fewer would be served by adopting ACA and I. Introduction subscribers that are not affiliated with a NAB’s joint proposal, as set forth 1. In this Sixth Report and Order, we cable operator serving more than 10 below: 6 adopt a proposal filed jointly by the percent of all MVPD subscribers, and a. HD Carriage Exemption Eligibility American Cable Association (‘‘ACA’’) those with an activated channel after June 12, 2015: A small cable and the National Association of capacity of 552 MHz or less. In 2012, the system not offering any programming in Broadcasters (‘‘NAB’’) 1 that modifies Commission extended the HD carriage HD is exempt from the HD carriage and extends the exemption from the exemption for those cable systems until requirement. Beginning December 12, requirement to carry high definition June 12, 2015. 2016, a system utilizing the HD carriage (‘‘HD’’) broadcast signals under 3. In January 2015, ACA filed a exemption shall no longer be eligible to ‘‘material degradation’’ provisions of the Petition for Rulemaking asking the use it once the system offers any Communications Act of 1934, as Commission: (i) To commence a programming in HD. 2 amended (‘‘the Act’’) that the rulemaking proceeding to extend for an b. Notice: Beginning December 12, Commission granted to certain small additional three years the HD carriage 2016, at the time a small cable system cable systems in 2012 (‘‘HD carriage exemption; and (ii) to clarify that utilizing the HD carriage exemption 3 exemption’’). As discussed below, we analog-only cable systems are not offers any programming in HD, the find that the joint proposal strikes a subject to the HD carriage requirement system must give notice that it is reasonable balance between the interests because carriage of HD signals by such offering HD programming to all of broadcast stations in having their HD systems is not ‘‘technically feasible’’ broadcast stations in its market that are signals transmitted without material under Section 614(b)(4)(A) of the Act. carried on its system. degradation and the technical and On March 12, 2015, the Commission c. Transition for Some Systems: A financial constraints that some small issued a Fifth Further Notice of cable system utilizing the HD carriage cable operators continue to experience. Proposed Rulemaking in this proceeding exemption on June 12, 2015 that does We set forth below a brief history of the that, among other things, proposed to not qualify for the HD carriage HD carriage exemption and explain the extend the HD carriage exemption for exemption on or after June 13, 2015 4 basis for our decision. three more years. In their initial must come into compliance by pleadings responsive to the Fifth II. Background December 12, 2016. A cable system that Further Notice, multichannel video becomes ineligible for the HD carriage 2. Sections 614(b)(4)(A) and 615(g)(2) programming distributors (‘‘MVPDs’’) exemption after December 12, 2016 of the Act require that cable operators supported the Commission’s proposal to would be expected to come into carry signals of commercial and extend the HD carriage exemption and compliance promptly. noncommercial broadcast television broadcasters opposed it. After a series of d. Revisions to Definition of ‘‘Small’’ stations, respectively, ‘‘without material discussions aimed at resolving their Cable System: ‘‘Small’’ cable systems degradation.’’ In the context of the differences, ACA and NAB, on May 14, eligible for the HD carriage exemption carriage of digital signals, the 2015, filed the joint proposal with the would be redefined as those: (i) Serving Commission has interpreted this 5 Commission. 1,500 (rather than 2,500) or fewer requirement: (i) To prohibit cable subscribers, and not affiliated with a operators from discriminating in their III. Discussion cable operator serving more than 2 carriage between broadcast and non- 4. We conclude that it would serve percent (rather than 10 percent) of all broadcast signals; and (ii) to require the public interest to adopt the joint MVPD subscribers, or (ii) having an cable operators to carry HD broadcast proposal put forth by ACA and NAB. activated channel capacity of 552 MHz signals to their viewers in HD. To Throughout the course of this or less. address concerns expressed by small proceeding, ACA and NAB have cable operators about cost and technical expressed differing views about the IV. Procedural Matters capacity, the Commission in 2008 appropriate scope and duration of the A. Regulatory Flexibility Act granted a three-year exemption from the HD carriage exemption, among other HD carriage requirement to certain small issues. We find that the compromise 5. Final Regulatory Flexibility reached by ACA and NAB as reflected Analysis. As required by the Regulatory 1 See Letter from Ross Lieberman, Senior Vice in the joint proposal reasonably Flexibility Act of 1980, as amended President of Government Affairs, American Cable balances the interest of broadcast (‘‘RFA’’) 7 an Initial Regulatory Association and Erin L. Dozier, Senior Vice stations in having their HD signals President and Deputy General Counsel, National Flexibility Act Analysis (‘‘IRFA’’) was Association of Broadcasters, to Marlene H. Dortch, transmitted in HD and the interest of incorporated in the Fifth Further Notice Secretary, FCC, in CS Docket No. 98–120 (filed May small cable operators in upgrading their 14, 2015) (‘‘Joint Proposal’’); Letter from Ross systems to carry HD broadcast signals in 6 See Joint Proposal; Joint Clarification. We need Lieberman, Senior Vice President of Government a manner that is cost efficient. We note not resolve in this order the issue whether analog- Affairs, American Cable Association and Erin L. only cable systems are subject to the HD carriage Dozier, Senior Vice President and Deputy General that no industry commenter has lodged requirement under Section 614(b)(4)(A) of the Act Counsel, National Association of Broadcasters, to because under the terms of the joint proposal, cable Marlene H. Dortch, Secretary, FCC, in CS Docket 4 See Carriage of Digital Television Broadcast systems that do not offer any programming in HD, No. 98–120 (filed May 27, 2015) (clarifying two Signals: Amendment to Part 76 of the Commission’s including analog-only systems, will be exempt from points in the joint proposal) (‘‘Joint Clarification’’). Rules, CS Docket No. 98–120, Fifth Further Notice the HD carriage requirement. See Joint Proposal at 2 See 47 U.S.C. 534(b)(4)(A), 535(g)(2) (material of Proposed Rulemaking, 80 FR 16347 (2015) (‘‘Fifth 1. Thus, our adoption of the joint proposal renders degradation requirements relating to signals of local Further Notice’’). this issue moot. commercial and noncommercial television stations, 5 See Joint Proposal. See also Joint Clarification; 7 See 5 U.S.C. 603. The RFA, see 5 U.S.C. 601– respectively). Letter from Erin L. Dozier, Senior Vice President 612, has been amended by the Small Business 3 See Carriage of Digital Television Broadcast and Deputy General Counsel, National Association Regulatory Enforcement Fairness Act of 1996 Signals: Amendment to Part 76 of the Commission’s of Broadcasters, and Ross Lieberman, Senior Vice (‘‘SBREFA’’), Pub. L. 104–121, Title II, 110 Stat. 847 Rules, CS Docket No. 98–120, Fifth Report and President of Government Affairs, American Cable (1996). The SBREFA was enacted as Title II of the Order, 77 FR 36178 (2012) (‘‘Fifth Report and Association, to Marlene H. Dortch, Secretary, FCC, Contract With America Advancement Act of 1996 Order’’). in CS Docket No. 98–120 (filed May 13, 2015). (‘‘CWAAA’’).

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in this proceeding.8 The Commission • Transition for Some Systems: A well as an estimate of the number of sought written public comment on the cable system utilizing the HD carriage such small entities, is provided below. proposals in the Fifth Further Notice, exemption on June 12, 2015 that does 11. Cable Companies and Systems. including comment on the IRFA. The not qualify for the HD carriage The Commission has developed its own Commission received no comments on exemption on or after June 13, 2015 small business size standards for the the IRFA. This Final Regulatory must come into compliance by purpose of cable rate regulation. Under Flexibility Act Analysis (‘‘FRFA’’) December 12, 2016. A cable system that the Commission’s rules, a ‘‘small cable conforms to the RFA.9 becomes ineligible for the HD carriage company’’ is one serving 400,000 or exemption after December 12, 2016 fewer subscribers nationwide.14 1. Need for, and Objectives of, the Sixth Industry data indicate that there are Report and Order would be expected to come into compliance promptly. currently 660 cable operators.15 Of this 6. This proceeding stems from a • Revisions to Definition of ‘‘Small’’ total, all but ten cable operators Petition for Rulemaking filed by the Cable System: ‘‘Small’’ cable systems nationwide are small under this size American Cable Association in January eligible for the HD carriage exemption standard.16 In addition, under the 2015 principally requesting that the would be redefined as those: (i) Serving Commission’s rate regulation rules, a Commission extend the exemption from 1,500 (rather than 2,500) or fewer ‘‘small system’’ is a cable system serving the requirement to carry high definition subscribers, and not affiliated with a 15,000 or fewer subscribers.17 Current (‘‘HD’’) broadcast signals under the cable operator serving more than 2 Commission records show 4,629 cable ‘‘material degradation’’ provisions of the percent (rather than 10 percent) of all systems nationwide.18 Of this total, Communications Act of 1934, as MVPD subscribers, or (ii) having an 4,057 cable systems have less than amended, that it granted to certain small activated channel capacity of 552 MHz 20,000 subscribers, and 572 systems cable systems in the 2012 Fifth Report or less. have 20,000 or more subscribers, based and Order (‘‘HD carriage exemption’’). on the same records. Thus, under this The HD carriage exemption will expire 2. Summary of Significant Issues Raised standard, we estimate that most cable on June 12, 2015 without action by the by Public Comments in Response to the systems are small entities. Commission. IRFA 12. Cable System Operators (Telecom 7. In the accompanying Sixth Report 9. The Commission did not receive Act Standard). The Communications and Order, the Commission adopts a any comments in response to the IRFA. Act of 1934, as amended, also contains proposal filed jointly by the American a size standard for small cable system 3. Description and Estimate of the Cable Association (‘‘ACA’’) and the operators, which is ‘‘a cable operator Number of Small Entities to Which the National Association of Broadcasters that, directly or through an affiliate, Rules Will Apply (‘‘NAB’’) that modifies and extends the serves in the aggregate fewer than 1 HD carriage exemption. The joint 10. The RFA directs the Commission percent of all subscribers in the United proposal reflects a compromise between to provide a description of and, where States and is not affiliated with any ACA and NAB on issues concerning, feasible, an estimate of the number of entity or entities whose gross annual among other things, the appropriate small entities that will be affected by the revenues in the aggregate exceed scope and duration of the HD carriage proposed actions if adopted.10 The RFA $250,000,000.’’ 19 There are exemption. The Sixth Report and Order generally defines the term ‘‘small approximately 54 million cable video concludes that the joint proposal strikes entity’’ as having the same meaning as subscribers in the United States today.20 a reasonable balance between the the terms ‘‘small business,’’ ‘‘small Accordingly, an operator serving fewer interests of broadcast stations in having organization,’’ and ‘‘small governmental than 540,000 subscribers shall be their HD signals transmitted without jurisdiction.’’ 11 In addition, the term deemed a small operator if its annual material degradation and the interests of ‘‘small business’’ has the same meaning revenues, when combined with the total small cable operators in upgrading their as the term ‘‘small business concern’’ annual revenues of all its affiliates, do systems to provide HD broadcast signals under the Small Business Act.12 A not exceed $250 million in the in a manner that is cost efficient. ‘‘small business concern’’ is one which: aggregate.21 Based on available data, we 8. In particular, the Sixth Report and (1) Is independently owned and find that all but ten incumbent cable Order adopts the following provisions operated; (2) is not dominant in its field operators are small entities under this that are set forth in the joint proposal: of operation; and (3) satisfies any size standard.22 We note that the • HD Carriage Exemption Eligibility additional criteria established by the after June 12, 2015: A small cable Small Business Administration (SBA).13 14 47 CFR 76.901(e). system not offering any programming in The action taken in the accompanying 15 NCTA, Industry Data, Number of Cable HD is exempt from the HD carriage Sixth Report and Order will affect small Operators and Systems, http://www.ncta.com/ requirement. Beginning December 12, cable system operators and small Statistics.aspx (visited October 13, 2014). 16 See SNL Kagan, ‘‘Top Cable MSOs—12/12 Q’’; 2016, a system utilizing the HD carriage television broadcast stations. A available at http://www.snl.com/InteractiveX/Top exemption shall no longer be eligible to description of these small entities, as CableMSOs.aspx?period=2012Q4&sortcol= use it once the system offers any subscribersbasic&sortorder=desc. programming in HD. 10 5 U.S.C. 603(b)(3). 17 47 CFR 76.901(c). • Notice: Beginning December 12, 11 5 U.S.C. 601(b). 18 The number of active, registered cable systems 2016, at the time a small cable system 12 5 U.S.C. 601(3) (incorporating by reference the comes from the Commission’s Cable Operations and Licensing System (COALS) database on October 10, utilizing the HD carriage exemption definition of ‘‘small-business concern’’ in the Small Business Act, 15 U.S.C. 632). Pursuant to 5 U.S.C. 2014. A cable system is a physical system integrated offers any programming in HD, the 601(3), the statutory definition of a small business to a principal headend. system must give notice that it is applies ‘‘unless an agency, after consultation with 19 47 U.S.C. 543(m)(2); see 47 CFR 76.901(f) & nn. offering HD programming to all the Office of Advocacy of the Small Business 1–3. broadcast stations in its market that are Administration and after opportunity for public 20 See NCTA, Industry Data, Cable’s Customer comment, establishes one or more definitions of Base, http://www.ncta.com/industry-data (visited carried on its system. such term which are appropriate to the activities of October 13, 2014). the agency and publishes such definition(s) in the 21 47 CFR 76.901(f). 8 See Fifth Further Notice, Appendix. Federal Register.’’ 22 See NCTA, Industry Data, Top 25 Multichannel 9 See 5 U.S.C. 604. 13 15 U.S.C. 632. Video Service Customers (2012), http://

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Commission neither requests nor had fewer than 100 employees, and 248 we do not include or aggregate revenues collects information on whether cable firms had 100 or more employees.29 from affiliated companies in system operators are affiliated with Therefore, under this size standard, we determining whether an entity meets the entities whose gross annual revenues estimate that the majority of these revenue threshold noted above, our exceed $250 million.23 Although it businesses can be considered small estimate of the number of small entities seems certain that some of these cable entities. affected is likely overstated. In addition, system operators are affiliated with 14. Television Broadcasting. This we note that one element of the entities whose gross annual revenues economic Census category ‘‘comprises definition of ‘‘small business’’ is that an exceed $250,000,000, we are unable at establishments primarily engaged in entity not be dominant in its field of this time to estimate with greater broadcasting images together with operation. We are unable at this time to precision the number of cable system sound.’’ 30 The SBA has created the define or quantify the criteria that operators that would qualify as small following small business size standard would establish whether a specific cable operators under the definition in for such businesses: those having $38.5 television broadcast station is dominant the Communications Act. million or less in annual receipts.31 The in its field of operation. Accordingly, 13. Open Video Systems. The open 2007 U.S. Census indicates that 808 our estimate of small television stations video system (OVS) framework was firms in this category operated in that potentially affected by the proposed established in 1996, and is one of four year. Of that number, 709 had annual rules includes those that could be statutorily recognized options for the receipts of $25,000,000 or less, and 99 dominant in their field of operation. For provision of video programming this reason, such estimate likely is over- 24 had annual receipts of more than services by local exchange carriers. $25,000,000.32 Because the Census has inclusive. The OVS framework provides no additional classifications that could opportunities for the distribution of 4. Description of Projected Reporting, serve as a basis for determining the Recordkeeping, and Other Compliance video programming other than through number of stations whose receipts cable systems. Because OVS operators Requirements for Small Entities 25 exceeded $38.5 million in that year, we provide subscription services, OVS conclude that the majority of television 17. In this section, we describe the falls within the SBA small business size broadcast stations were small under the reporting, recordkeeping, and other standard covering cable services, which applicable SBA size standard. compliance requirements that the is ‘‘Wired Telecommunications Commission adopts in the Sixth Report Carriers.’’ 26 The SBA has developed a 15. Apart from the U.S. Census, the Commission has estimated the number and Order. small business size standard for this 18. Reporting Requirements. The category, which is: all such businesses of licensed commercial television 33 27 stations to be 1,387 stations. Of this Sixth Report and Order does not adopt having 1,500 or fewer employees. reporting requirements. Census data for 2007 shows that there total, 1,221 stations (or about 88 19. Recordkeeping Requirements. The were 3,188 firms that operated for that percent) had revenues of $38.5 million joint proposal adopted in the Sixth entire year.28 Of this total, 2,940 firms or less, according to Commission staff review of the BIA Kelsey Inc. Media Report and Order requires that, ‘‘[b]eginning December 12, 2016, at the www.ncta.com/industry-data (visited Aug. 30, Access Pro Television Database (BIA) on 2013). July 2, 2014. In addition, the time a small cable system utilizing the 23 The Commission does receive such information Commission has estimated the number HD carriage exemption offers any on a case-by-case basis if a cable operator appeals of licensed noncommercial educational programming in HD, the system must a local franchise authority’s finding that the 34 give notice that it is offering HD operator does not qualify as a small cable operator (NCE) television stations to be 395. pursuant to 76.901(f) of the Commission’s rules. See NCE stations are non-profit, and programming to all broadcast stations in 47 CFR 76.901(f). therefore considered to be small its market that are carried on its 24 47 U.S.C. 571(a)(3)–(4). entities.35 Based on these data, we system.’’ This requirement obligates 25 See 47 U.S.C. 573. estimate that the majority of television certain small cable operators to notify 26 See 13 CFR 121.201, 2012 NAICS code 517110. broadcast stations, and thus, to make This category of Wired Telecommunications broadcast stations are small entities. Carriers is defined in part as follows: ‘‘This industry 16. We note, however, that in and keep records of such notification. comprises establishments primarily engaged in assessing whether a business concern 20. Other Compliance Requirements. operating and/or providing access to transmission The joint proposal adopted in the Sixth facilities and infrastructure that they own and/or qualifies as ‘‘small’’ under the above definition, business (control) Report and Order: lease for the transmission of voice, data, text, • sound, and video using wired telecommunications affiliations 36 must be included. Because Requires ‘‘[a] cable system utilizing networks. Transmission facilities may be based on the HD carriage exemption on June 12, a single technology or a combination of 29 Id. 2015 that does not qualify for the HD technologies. Establishments in this industry use 30 U.S. Census Bureau, 2012 NAICS Definitions, the wired telecommunications network facilities carriage exemption on or after June 13, ‘‘515120 Television Broadcasting,’’ at http:// that they operate to provide a variety of services, 2015 [to] come into compliance [with www.census.gov./cgi-bin/sssd/naics/naicsrch. such as wired telephony services, including VoIP the HD carriage requirement] by 31 13 CFR 121.201; 2012 NAICS code 515120. services; wired (cable) audio and video December 12, 2016. A cable system that programming distribution; and wired broadband 32 U.S. Census Bureau, Table No. EC0751SSSZ4, Internet services.’’ U.S. Census Bureau, 2012 NAICS Information: Subject Series—Establishment and becomes ineligible for the HD carriage Definitions, ‘‘517110 Wired Telecommunications Firm Size: Receipts Size of Firms for the United exemption after December 12, 2016 Carriers,’’ at http://www.census.gov/cgi-bin/sssd/ States: 2007 (515120), http://factfinder2.census.gov/ would be expected to come into naics/naicsrch. faces/tableservices/jsf/pages/productview.xhtml? _ _ _ compliance promptly.’’ 27 13 CFR 121.201; 2012 NAICS code 517110. pid=ECN 2007 US 51SSSZ4&prodType=table. 33 • Requires that ‘‘[b]eginning 28 U.S. Census Bureau, 2007 Economic Census. See Broadcast Station Totals as of June 30, See U.S. Census Bureau, American FactFinder, 2014, Press Release (MB rel. July 9, 2014) December 12, 2016, a system utilizing (Broadcast Station Totals) at https://apps.fcc.gov/ the HD carriage exemption shall no ‘‘Information: Subject Series—Estab and Firm Size: _ Employment Size of Establishments for the United edocs public/attachmatch/DOC-328096A1.pdf. longer be eligible to use it once the 34 See Broadcast Station Totals, supra. States: 2007—2007 Economic Census,’’ NAICS code system offers any programming in HD.’’ 517110, Table EC0751SSSZ5; available at http:// 35 See generally 5 U.S.C. 601(4), (6). factfinder2.census.gov/faces/tableservices/jsf/ 36 ‘‘[Business concerns] are affiliates of each other pages/productview.xhtml?pid=ECN_2007_US_ when one concern controls or has the power to or has the power to control both.’’ 13 CFR 51SSSZ5&prodType=table. control the other or a third party or parties controls 21.103(a)(1).

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5. Steps Taken To Minimize Significant B. Paperwork Reduction Act this Sixth Report and Order in CS Economic Impact on Small Entities, and 24. This Sixth Report and Order Docket No. 98–120, including the Final Significant Alternatives Considered contains new information collection Regulatory Flexibility Act Analysis, to 21. The RFA requires an agency to requirements subject to the Paperwork the Chief Counsel for Advocacy of the describe any significant alternatives that Reduction Act of 1995. It will be Small Business Administration. it has considered in reaching its submitted to the Office of Management Federal Communications Commission. proposed approach, which may include and Budget (OMB) for review under Marlene H. Dortch, the following four alternatives (among Section 3507(d) of the PRA. OMB, the Secretary. others): (1) The establishment of general public, and other Federal [FR Doc. 2015–15251 Filed 6–22–15; 8:45 am] differing compliance or reporting agencies are invited to comment on the BILLING CODE 6712–01–P requirements or timetables that take into new or modified information collection account the resources available to small requirements contained in this entities; (2) the clarification, proceeding. In addition, pursuant to the DEPARTMENT OF TRANSPORTATION consolidation, or simplification of Small Business Paperwork Relief Act of compliance or reporting requirements 2002, Public Law 107–198, see 44 U.S.C. National Highway Traffic Safety under the rule for small entities; (3) the 3506(c)(4), we previously sought Administration use of performance, rather than design, specific comment on how the standards; and (4) an exemption from Commission might further reduce the 49 CFR Part 572 coverage of the rule, or any part thereof, information collection burden for small for small entities.37 We seek comment business concerns with fewer than 25 [Docket No. NHTSA–2011–0175] on the applicability of any of these employees. RIN 2127–AJ49 alternatives to affected small entities. C. Congressional Review Act 22. The HD carriage exemption, as Hybrid III 10-Year-Old Child Test modified in the Sixth Report and Order, 25. The Commission will send a copy Dummy; Corrections; Incorporation by provides continued regulatory relief to of this Sixth Report and Order in a Reference operators of certain small cable systems, report to be sent to Congress and the i.e., those that (i) serve 1,500 or fewer Government Accountability Office, AGENCY: National Highway Traffic subscribers and are not affiliated with a pursuant to the Congressional Review Safety Administration (NHTSA), cable operator serving more than two Act.40 Department of Transportation (DOT). ACTION: percent of all MVPD subscribers; or (ii) D. Additional Information Technical amendments. have an activated channel capacity of 552 MHz or less. Although some eligible 26. For more information, contact SUMMARY: NHTSA published a cable systems will no longer qualify for Raelynn Remy, [email protected], document in the Federal Register on the exemption as a result of the Sixth Policy Division, Media Bureau, (202) February 27, 2012 (77 FR 11651), Report and Order, the joint proposal 418–2936. establishing specifications and qualification requirements for a Hybrid adopted in the order gives such systems V. Ordering Clauses until December 12, 2016 to come into III 10-year-old child size test dummy. compliance with the HD carriage 27. Accordingly, it is ordered that, The regulatory text adopted by that requirement. We note that the pursuant to the authority found in document contained errors, as did some modifications made to the exemption in sections 4, 303, 614, and 615 of the of the drawings of the test dummy and the Sixth Report and Order were an Communications Act of 1934, as other materials incorporated by outgrowth of discussions between ACA amended, 47 U.S.C. 154, 303, 534, and reference pertaining to the test dummy. and NAB and thus reflect the interests 535, this Sixth Report and Order is This document corrects those errors by of both small cable operators and adopted and will become effective July revising regulatory text and broadcasters (including small 23, 2015, except that the requirement incorporating by reference a corrected broadcasters), respectively. The HD described in paragraph III.4.b of the drawing package. We have also made carriage exemption has a positive Supplementary Information, which conforming changes to the parts list and economic impact on any cable system contains new or modified information users’ manual for the dummy, which operator that takes advantage of the collection requirements subject to the this document also incorporates by exemption, and imposes no significant Paperwork Reduction Act of 1995, reference. Public Law 104–13, will not become burdens on small television stations. DATES: effective until the Federal Effective date: June 23, 2015. The 6. Report to Congress Communications Commission publishes incorporation by reference of the publications listed in this document has 23. The Commission will send a copy a notice in the Federal Register announcing OMB approval and the been approved by the Director of the of this Sixth Report and Order, Federal Register as of June 23, 2015. including this FRFA, in a report to be effective date of that rule. FOR FURTHER INFORMATION CONTACT: sent to Congress pursuant to the 28. It is further ordered that, pursuant SBREFA.38 In addition, the Commission to the Congressional Review Act, 5 Peter Martin, NHTSA Office of will send a copy of this Sixth Report U.S.C. 801(a)(1)(A), the Commission will Crashworthiness Standards, 1200 New and Order, including the FRFA, to the send a copy of this Sixth Report and Jersey Avenue SE., Washington, DC Chief Counsel for Advocacy of the SBA. Order in CS Docket No. 98–120 in a 20590, telephone (202) 366–5668, fax A copy of this Sixth Report and Order report to Congress and the Government (202) 493–2990, or Deirdre Fujita, and the FRFA (or summaries thereof) Accountability Office. NHTSA Office of Chief Counsel, 1200 also will be published in the Federal 29. It is further ordered that the New Jersey Avenue SE., Washington, Register.39 Commission’s Consumer and DC 20590, telephone (202) 366–2992, Governmental Affairs Bureau, Reference fax (202) 366–3820. 37 5 U.S.C. 603(c)(1)–(c)(4). Information Center, will send a copy of SUPPLEMENTARY INFORMATION: 38 See id. 801(a)(1)(A). This document corrects 49 CFR part 39 See id. 604(b). 40 See 5 U.S.C. 801(a)(1)(A). 572, ‘‘Anthropomorphic Test Devices,’’

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Subpart T, ‘‘Hybrid III 10-Year-Old c. The February 2012 final rule Drawing 420–1001, Skull, Machining, 6- Child Test Dummy (HIII–10C).’’ NHTSA inadvertently excluded a specification Axis published a final rule on February 27, for the filter class used for the knee 2012 (77 FR 11651), establishing probe acceleration and for the thorax The drawing package incorporated by Subpart T, which contains probe acceleration. The filter class used the February 2012 final rule had specifications and qualification for the knee probe acceleration is SAE drawing 880105–102, which had an requirements for the HIII–10C. The International (SAE) Channel Frequency error with respect to the dimensions regulatory text adopted by that Class (CFC) 600. CFC 600 has called out for the center of gravity (CG) document contains errors, as do some of historically been applied to other location of the skull. The correct CG the drawings and other materials dummy knee probe accelerations and dimensions for the head assembly are in incorporated by reference pertaining to NHTSA used CFC 600 in developmental drawing 420–0000, Sheet 4 of 5, as the test dummy. This document corrects follows: CGx = 2.330 ± 0.100 inch and testing of the HIII–10C. The filter class ± those errors by revising regulatory text used for the thorax probe acceleration is CGz = 1.200 0.100 inch. We have and incorporating by reference a CFC 180. NHTSA specifies the CFC 180 removed drawing 880105–102 and have corrected drawing package, parts list filter class with other test dummies and revised drawing 420–1001 (Rev D) to and users’ manual. used it in developing the HIII–10C. add information on the CG location. Need for Correction Accordingly, NHTSA corrects 49 CFR Revisions Relating to Shoulder 572.177(c) by adding the filter classes Corrected Regulatory Text Assembly Drawings for the knee and thorax probe The following corrections are made to accelerations. Some of the drawings of the HIII– the regulatory text. 10C’s shoulder area are incorrect a. Sections 572.170 and 572.171 of Corrected Drawings because they depict the design of the subpart T incorporate by reference a Drawing 420–5120, Upper Leg Flesh dummy at the time of our publication of drawings and inspection package, a the notice of proposed rulemaking parts/drawing list, and a users’ manual In the revisions table for this drawing, (NPRM) 1 preceding the February 2012 (‘‘Procedures for Assembly, Disassembly in Rev F, the overall Upper Leg Flesh final rule, and not the design of the and Inspection’’ (‘‘PADI’’)) for the HIII– height dimension is correctly specified HIII–10C as it was adopted by the final 10C by name and by date. NHTSA is as ‘‘4.50 +.06/¥.18 (was 4.5 +.16/ rule. As adopted by the final rule, the correcting several drawings in the ¥.13).’’ Elsewhere on the drawing, the HIII–10C has a shoulder assembly package, and is making conforming height dimension next to the part does design that can be modified by changes to the parts list and to several not match this value in the table. We switching a part of the shoulder figures in the PADI. For ease of use, have corrected the height dimension assembly (the shoulder yoke), to enable rather than switch out individual next to the part to match that of the the dummy shoulder to accommodate drawings from the previous drawings table. either a load cell or a structural package and individual pages from the replacement (SR) in place of a load cell. original PADI and risk confusion by In Drawing 420–5120, the dimension The drawings adopted by the final rule users in the future about which for the overall Upper Leg Flesh width is show the shoulder yoke that drawings and pages were replaced, correctly listed, next to the part, as accommodates an SR, but we NHTSA is incorporating by reference a ‘‘4.92 +.05/¥.20.’’ In the revisions table, inadvertently did not include drawings new set of materials. We are referencing Rev F, the width dimension is different a new drawings and inspection package and incorrect. We have corrected the showing the HIII–10C with the shoulder that has the corrected drawings, a new revisions table to match the dimension yoke assembly that accommodates a parts/drawing list, and a new PADI. All listed next to the part. load cell. We have corrected this oversight by including in the new these new materials are dated March Drawing 420–4300, Abdomen 2015. We are amending § 572.170 and drawing package drawings of the alternate shoulder yoke assembly that § 572.171 to reference the new versions In the revision history table, Rev F, accommodates a load cell, and drawings of the materials. the width of the abdomen pocket is of the load cell and assorted hardware. b. The February 2012 final rule correctly stated as (3.77) and the depth incorrectly specifies in 49 CFR is correctly stated as (2.14). Elsewhere Corrected PADI 572.177(a)(1) that the thorax impact on the drawing, the dimensions listed ± probe mass is 6.89 0.012 kilograms for those parts do not match those We have revised various figures in the ± (kg) (15.2 0.05 pounds (lb)). Figure T4 correct dimensions in the revision PADI to conform the manual to the of subpart T correctly lists the thorax history table. We have corrected the changes discussed above. Most of the impact probe mass as ‘‘6.89 ± 0.05 kg revisions relate to using the shoulder ± drawing to match the correct (15.2 0.1 lb).’’ We are correcting the dimensions in the table. yoke assembly when using the HIII–10C second sentence of 49 CFR 572.177(a)(1) with a shoulder load cell. The revised In the revision history table, Rev E, so that it refers to ‘‘6.89 ± 0.05 kg (15.2 figures are: 12, 21, 22, 24, 29, 82 and 83. ± 0.1 lb).’’ Note #2 had read: ‘‘All Dimensional Likewise, the February 2012 final rule Tolerances Are ±0.12 inch.’’ The note List of Subjects in 49 CFR Part 572 incorrectly specifies in § 572.177(a)(2) was incorrectly removed, and in Rev F, Motor vehicle safety, Incorporation by that the knee impact probe mass is 1.91 a ±0.06 inch tolerance was incorrectly reference. ± 0.01 kg (4.21 ± 0.02 lb). Figure T6 of added to two dimensions (0.75 ±0.06 subpart T correctly lists the knee impact and 0.62 ±0.06). The ±0.06 inch Accordingly, 49 CFR part 572 is probe mass as ‘‘1.91 ± 0.05 kg (4.2 ± 0.1 tolerance is in error; it is an unrealistic corrected by making the following lb).’’ We are correcting the second dimensional requirement for a molded correcting amendments: sentence of 49 CFR 572.177(a)(2) to part. We have revised the drawing to ± ± reference a mass of 1.91 0.05 kg (4.21 reestablished the 0.12 inch tolerance 1 70 FR 40281, July 13, 2005, Docket No. NHTSA– ± 0.1 lb). for this part. 2004–21247.

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PART 572—ANTHROPOMORPHIC ■ 4. Section 572.177 is amended by comment is received regarding TEST DUMMIES revising the second sentence in taxonomic changes for any of these paragraph (a)(1) and the second species, we will publish in the Federal ■ 1. The authority citation for Part 572 sentence in paragraph (a)(2), and by Register a timely withdrawal of the rule. is revised to read as follows: adding paragraphs (c)(18) and (c)(19), to ADDRESSES: You may submit comments Authority: 49 U.S.C. 322, 30111, 30115, read as follows: by one of the following methods: 30117 and 30166; delegation of authority at • Electronically: Go to the Federal § 572.177 Test conditions and 49 CFR 1.95 instrumentation. eRulemaking Portal: http:// www.regulations.gov. Follow the Subpart T—Hybrid III 10-Year-Old Child (a) * * * instructions for submitting comments to Test Dummy (HIII–10C) (1) * * * It has a mass of 6.89 ± 0.05 ± FWS–R1–ES–2015–0031, which is the kg (15.2 0.1 lb) and a minimum mass docket number for this rulemaking. ■ 2. Section 572.170 is amended by 2 moment of inertia of 2040 kg-cm (1.81 • By hard copy: Submit comments by revising paragraph (b)(1), the 2 lbf-in-sec ) in yaw and pitch about the U.S. mail or hand-delivery to: Public introductory text of paragraph (b)(2), CG. * * * Comments Processing, Attn: FWS–R1– and paragraph (b)(3), to read as follows: ± (2) * * * It has a mass of 1.91 0.05 ES–2015–0031; Division of Policy, ± § 572.170 Incorporation by reference. kg (4.21 0.1 lb) and a minimum mass Performance, and Management 2 moment of inertia of 140 kg-cm (0.124 Programs; U.S. Fish and Wildlife * * * * * lbf-in-sec2) in yaw and pitch about the (b) * * * Service; 5275 Leesburg Pike MS: BPHC, CG. * * * Falls Church, VA 22041–3803. (1) A parts/drawing list entitled, (c) * * * See Public Comments in SUPPLEMENTARY ‘‘Parts/Drawing List, Part 572 Subpart T, (18) Thorax probe acceleration, CFC Hybrid III 10 Year Old Child Test INFORMATION for more information about 180, submitting comments. Dummy (HIII–10C), March, 2015,’’ IBR (19) Knee probe acceleration, CFC FOR FURTHER INFORMATION CONTACT: approved for § 572.171. 600. (2) A drawings and inspection Marilet Zablan, Program Manager for * * * * * package entitled, ‘‘Parts List and Restoration and Endangered Species Drawings, Part 572 Subpart T, Hybrid III Issued May 22, 2015. Classification, U.S. Fish and Wildlife 10 Year Old Child Crash Dummy (HIII– Raymond R. Posten, Service, Pacific Regional Office, 10C), March 2015,’’ IBR approved for Associate Administrator For Rulemaking. Ecological Services, 911 NE 11th § 572.171, including: [FR Doc. 2015–15279 Filed 6–22–15; 8:45 am] Avenue, Portland, OR 97232; telephone * * * * * BILLING CODE 4910–59–P 503–231–6131. Individuals who are (3) A procedures manual entitled hearing impaired or speech impaired ‘‘Procedures for Assembly, Disassembly, may call the Federal Relay Service at 800–877–8337 for TTY (telephone and Inspection (PADI) of the Hybrid III DEPARTMENT OF THE INTERIOR 10 Year Old Child Test Dummy (HIII– typewriter or teletypewriter) assistance 10C), March 2015’’; IBR approved for Fish and Wildlife Service 24 hours a day, 7 days a week. §§ 572.171 and 572.177. SUPPLEMENTARY INFORMATION: * * * * * 50 CFR Part 17 Purpose of Direct Final Rule and Final ■ 3. Section 572.171 is amended by [Docket No. FWS–R1–ES–2015–0031; Action revising paragraphs (a)(1) and (a)(2), and FXES11130900000C6–156–FF09E42000] The purpose of this direct final rule the introductory text of paragraph (a)(3), RIN 1018–BA89 is to notify the public that we are to read as follows: revising the List of Endangered and § 572.171 General description. Endangered and Threatened Wildlife Threatened Wildlife in title 50 of the and Plants; Technical Corrections for Code of Federal Regulations (50 CFR (a) * * * 54 Wildlife and Plant Species on the 17.11(h)) and the List of Endangered (1) The parts enlisted in ‘‘Parts/ List of Endangered and Threatened and Threatened Plants (50 CFR 17.12(h)) Drawing List, Part 572 Subpart T, Wildlife and Plants to reflect the scientifically accepted Hybrid III 10 Year Old Child Test taxonomy and nomenclature of 4 Dummy (HIII–10C), March, 2015’’ AGENCY: Fish and Wildlife Service, wildlife species and 50 plant species (incorporated by reference, see Interior. listed under section 4 of the Act (16 § 572.170), ACTION: Direct final rule. U.S.C. 1531 et seq.). These changes to (2) The engineering drawings and the List of Endangered and Threatened specifications contained in ‘‘Parts List SUMMARY: We, the U.S. Fish and Wildlife and the List of Endangered and and Drawings, Part 572 Subpart T, Wildlife Service (Service), announce the Threatened Plants reflect the most Hybrid III 10 Year Old Child Crash revised taxonomy of 4 wildlife species recently accepted scientific names in Dummy (HIII–10C), March 2015,’’ and 50 plant species under the accordance with 50 CFR 17.11(b) and 50 which includes the engineering Endangered Species Act of 1973, as CFR 17.12(b). drawings and specifications described amended (Act). We are revising the List We are publishing this rule without a in Drawing 420–0000, the titles of the of Endangered and Threatened Wildlife prior proposal because this is a assemblies of which are listed in Table and the List of Endangered and noncontroversial action that is in the A, and, Threatened Plants to reflect the current best interest of the public and should be (3) A manual entitled ‘‘Procedures for scientifically accepted taxonomy and undertaken in as timely a manner as Assembly, Disassembly, and Inspection nomenclature of these species. possible. This rule will be effective, as (PADI) of the Hybrid III 10 Year Old DATES: This rule is effective September published in this document, on the Child Test Dummy (HIII–10C), March 21, 2015 without further action, unless effective date specified in DATES, unless 2015.’’ significant adverse comment is received we receive significant adverse * * * * ** * * by July 23, 2015. If significant adverse comments on or before the comment

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due date specified in DATES. Significant commercial information you include. will be available for public inspection adverse comments are comments that We will not consider comments sent by on the Internet at http:// provide strong justifications as to why email or fax, or to an address not listed www.regulations.gov or by appointment, this rule should not be adopted or why in ADDRESSES. during normal business hours at the it should be changed. We will post all comments on U.S. Fish and Wildlife Service office If we receive significant adverse http://www.regulations.gov. Before listed in the ADDRESSES section. Please comments regarding the taxonomic including your address, phone number, note that comments posted to http:// changes for any of these species, we will email address, or other personal www.regulations.gov are not publish a document in the Federal information in your comment, you immediately viewable. When you Register withdrawing this rule before should be aware that your entire submit a comment, the system receives the effective date, and we will publish comment—including your personal it immediately. However, the comment a proposed rule to initiate promulgation identifying information—may be made will not be publicly viewable until we of those changes to 50 CFR 17.11 or 50 publicly available at any time. While CFR 17.12. post it, which might not occur until you can ask us in your comment to several days after submission. Public Comments withhold your personal identifying Information regarding this rule is You may submit your comments and information from public review, we available in alternative formats upon materials regarding this direct final rule cannot guarantee that we will be able to request (see FOR FURTHER INFORMATION by one of the methods listed in do so. CONTACT). For information pertaining to ADDRESSES. Please include sufficient Comments and materials we receive, specific species, please contact our information with your comments that as well as supporting documentation we Ecological Services field offices as allows us to verify any scientific or use in preparing this direct final rule, follows:

Species Contact person, phone, Email Contact address

Hawaiian plants ...... Kristi Young, Fish and Wildlife Biologist; 808– Pacific Islands Fish and Wildlife Office, U.S. 792–9400, [email protected]. Fish and Wildlife Service, 300 Ala Moana Blvd., Room 3–122, Honolulu, HI 96813. Guam and Hawaiian birds ...... Kristi Young, Fish and Wildlife Biologist; 808– Pacific Islands Fish and Wildlife Office, U.S. 792–9400, [email protected]. Fish and Wildlife Service, 300 Ala Moana Blvd., Room 3–122, Honolulu, HI 96813. Willamette daisy and large-flowered woolly Jeff Dillon, Fish and Wildlife Biologist; 503– Oregon Fish and Wildlife Office, U.S. Fish meadowfoam. 231–6179, [email protected]. and Wildlife Service, 2600 SE 98th Avenue, Portland, OR 97266. Northern Idaho ground squirrel ...... Kim Garner, Fish and Wildlife Biologist; 208– Idaho Fish and Wildlife Office, U.S. Fish and 378–5243, [email protected]. Wildlife Service, 1387 S. Vinnell Way, Room 368, Boise, ID 83709.

Background decumbens (Willamette daisy); List of Endangered and Threatened Euphorbia celastroides var. kaenana Wildlife and the List of Endangered and Sections 17.11(b) and 17.12(b) of title (‘akoko); Euphorbia deppeana (‘akoko); Threatened Plants to reflect the most 50 of the Code of Federal Regulations Euphorbia eleanoriae (‘akoko); recently accepted scientific names in (CFR) requires us to use the most Euphorbia halemanui (‘akoko); accordance with 50 CFR 17.11(b) and 50 recently accepted scientific name of any Euphorbia herbstii (‘akoko); Euphorbia CFR 17.12(b). wildlife or plant species that we have kuwaleana (‘akoko); Euphorbia remyi determined to be an endangered or var. kauaiensis (‘akoko); Euphorbia Additionally, common names of 3 threatened species. Using the best remyi var. remyi (‘akoko); Euphorbia additional species (Cyanea platyphylla available scientific information, this rockii (‘akoko); Euphorbia skottsbergii (‘aku‘aku), Dubautia latifolia direct final rule documents taxonomic var. skottsbergii (‘Ewa Plains ‘akoko); (koholapehu), and Geranium arboreum changes of the scientific names to 4 Kadua cookiana (‘awiwi); Kadua st- (nohoanu)) are revised to reflect entries on the List of Endangered and johnii (no common name); Limnanthes currently accepted usage. And family Threatened Wildlife (50 CFR 17.11(h)) pumila ssp. grandiflora (large-flowered assignments of 16 species (Flueggea and 31 entries on the List of Endangered woolly meadowfoam); Lobelia neowawraea (mehamehame), and Threatened Plants (50 CFR koolauensis (no common name); Korthalsella degeneri (hulumoa), 17.12(h)). The basis for these taxonomic Polyscias bisattenuata (no common Lysimachia daphnoides (lehua changes is supported by published name); Polyscias flynnii (no common makanoe), L. iniki (no common name), studies in peer-reviewed journals. name); Polyscias gymnocarpa L. pendens (no common name), L. Accordingly, we revise the scientific (‘ohe‘ohe); Polyscias lydgatei (no scopulensis (no common name), L. names of these species under section 4 common name); Polyscias racemosa (no venosa (no common name), Myrsine of the Act (16 U.S.C. 1531 et seq.) as common name); Pritchardia maideniana juddii (kolea), M. knudsenii (kolea), M. follows: northern Idaho ground squirrel (lo‘ulu); Schiedea lychnoides linearifolia (kolea), M. mezii (kolea), M. (Urocitellus brunneus); Hawaiian (kuawawaenohu); Schiedea viscosa (no vaccinioides (kolea), Pleomele common gallinule (Gallinula galeata common name); Sicyos albus (‘anunu); hawaiiensis (hala pepe), Xylosma sandvicensis); Guam kingfisher Asplenium dielfalcatum (no common crenatum (no common name), (Todiramphus cinnamominus); name); Asplenium dielmannii (no Adenophorus periens (pendent kihi Hawaiian petrel (Pterodroma common name); Asplenium fern), and Diplazium molokaiense (no sandwichensis); Cyanea crispa (haha); dielpallidum (no common name); and common name)) are also revised. Cyanea rivularis (haha); Cyperus fauriei Asplenium unisorum (no common (no common name); Erigeron name). We make these changes to the

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Taxonomic Classification ‘‘Hawaiian common moorhen’’. as cited in Moyle 2006, p. 496; Howard However, more recent research indicates and Moore 1991, pp. 168–169). The Northern Idaho ground squirrel that the New World and Old World Australasian and Pacific species within The northern Idaho ground squirrel populations are separate species, based this group are distinctive based on was originally listed as threatened on on differences in vocalizations and plumage pattern, myology, osteology, April 5, 2000, under the scientific name morphology of the bill and frontal feather proteins, and DNA hybridization Spermophilus brunneus brunneus (65 shield (Constantine and the Sound data (Sibley and Monroe 1990, pp. 89– FR 17779). At that time this taxon and Approach 2006, pp. 138–139) and 90; Woodall 2001; Christidis and Boles the southern Idaho ground squirrel (S. b. mitochondrial DNA (Groenenberg et al. 2008, p. 169). Analysis of nuclear and endemicus) were both considered to be 2008, pp. 1–8). Based on this research, mitochondrial DNA (Moyle 2006, pp. subspecies of the Idaho ground squirrel, AOU accepts the two populations as 487–499) further indicates that the Spermophilus brunneus (Thorington distinct species (Chesser et al. 2011, p. group of species originally classified and Hoffmann 2005, p. 805). Helgen et 603), splitting them into the common under the genus Halcyon is not al. (2009, pp. 270–305) split the genus gallinule (Gallinula galeata) of North monophyletic (a monophyletic group Spermophilus into eight genera: and South America and the common consists of an ancestral species and all Urocitellus (including the Idaho ground moorhen (Gallinula chloropus) of its descendants, typically being squirrel), Notocitellus, Eurasia. Chesser et al. (2011, p. 603) characterized by shared derived Otospermophilus, Callospermophilus, includes the Hawaiian Islands within characteristics). Consequently most Spermophilus, Ictidomys, Poliocitellus, the range of the common gallinule. Data recent authorities (e.g., Woodall 2001, p. and Xerospermophilus, based on skull from Hawaiian birds were not analyzed 134; Dickinson 2003) have restricted morphology, pelage characteristics, and by Constantine and the Sound Halcyon to the African species; other mitochondrial DNA analyses (Herron et Approach (2006, pp. 138–139) or species in the group have been al. 2004, pp. 1015–1030). The northern Groenenberg et al. (2008, pp. 1–8); classified under the genera Idaho ground squirrel and the southern however, specimens from the Hawaiian Todiramphus (including the Idaho ground squirrel differ in pelage, Islands are similar to New World birds Micronesian kingfisher), Pelargopsis, life-history timing, and skull and in frontal shield morphology, and a and Syma. When the Micronesian bacular morphology (Yensen and mitochondrial DNA sequence from a kingfisher was classified within Sherman 1997, pp. 1–3), and analysis of Hawaiian specimen is identical to those Todiramphus, its specific epithet was microsatellite and mitochondrial DNA of New World specimens (T. Chesser in changed to cinnamominus for shows no evidence of recent genetic litt. 2012). Consequently, the Hawaiian consistency with the gender of the new exchange between the two taxa subspecies is now classified as genus name. Del Hoyo et al. (2014, p. (Hoisington-Lopez et al. 2012, pp. 589– Gallinula galeata sandvicensis, and 606) reviewed the three subspecies of 604). Consequently, Hoisington-Lopez et returns to its original common name of Micronesian kingfisher (T. al. (2012, pp. 595–599) elevated both ‘‘Hawaiian common gallinule’’. The cinnamominus on Guam, T. pelewensis taxa to species rank, as Urocitellus taxonomic change does not affect the on Palau, and T. reichenbachi on brunneus and U. endemicus. This range or endangered status of the Pohnpei) under the species delimitation taxonomic change does not affect the Hawaiian common gallinule. criteria of Tobias et al. (2010, pp. 1–23), range or threatened status of the The taxonomic position of the and concluded that they were distinct at northern Idaho ground squirrel. The Mariana common moorhen, listed as the species level based on differences in Service has used the updated scientific endangered on August 27, 1984 (49 FR plumage pattern, wing and tail name U. endemicus for the southern 33881) under the scientific name of proportions, body size, and voice. Idaho ground squirrel (currently a Gallinula chloropus guami, has not been Consequently, the listed population on candidate for listing under the studied in detail; however, its frontal Guam is now classified as a full species, Endangered Species Act) since shield morphology appears more similar Guam kingfisher (Todiramphus publication of the candidate notice of to Old World specimens (T. Chesser in cinnamominus). The taxonomic change review on November 22, 2013 (78 FR litt. 2012). Consequently, the best does not affect the range or endangered 70104). available information indicates that its status of the taxon. common and scientific names are still Hawaiian common gallinule Hawaiian petrel appropriate. This subspecies was originally listed This bird was originally listed as as endangered on March 11, 1967, under Guam kingfisher endangered on March 11, 1967, under the name of Hawaiian common gallinule This bird was originally listed as the name of Hawaiian dark-rumped (Gallinula chloropus sandvicensis) (32 endangered within its range on Guam petrel (Pterodroma phaeopygia FR 4001). At that time, the range of on August 27, 1984, under the name of sandwichensis) (32 FR 4001). At that Gallinula chloropus was considered to Micronesian kingfisher (Halcyon time, the dark-rumped petrel include both the Old World and New cinnamomina cinnamomina) (49 FR (Pterodroma phaeopygia) was World, with the common name of 33881). The Service’s critical habitat considered to include two subspecies: P. ‘‘common gallinule’’ in American usage designation (69 FR 62944; October 28, sandwichensis, which breeds on the (American Ornithologists’ Union [AOU] 2004) revised the common name of this Hawaiian Islands; and P. phaeopygia, 1957, pp. 160–161) and ‘‘moorhen’’ or taxon in the List of Endangered and which breeds on the Galapagos Islands ‘‘common moorhen’’ in British usage Threatened Wildlife to ‘‘Guam and is not known to occur in the United (e.g., Dudley et al. 2006, p. 537). Micronesian kingfisher’’, given that two States (AOU 1983, p. 16). More recently, Subsequently the AOU (1982, p. 5CC) other subspecies of Micronesian study of the morphology and changed the common name of the kingfisher occur outside Guam. vocalizations of these two taxa species to ‘‘common moorhen’’ for At the time this taxon was listed, the (Tomkins and Milne 1991, pp. 1–35; consistency with international usage. genus Halcyon encompassed several Browne et al. 1997, pp. 812–815) The current List of Endangered and dozen kingfisher species ranging from indicates that they are distinct at a level Threatened Wildlife is consistent with Africa to Australasia and the Pacific comparable to other species in the this approach, listing the species as islands (Forshaw 1983; Fry et al. 1992, genus. Consequently, the AOU has split

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them into two species, the Hawaiian (2010, pp. 1–121) and Chambers and Oahu and northwestern Molokai. petrel (Pterodroma sandwichensis) and Meyers (2011, pp. 621–622) reclassified Morden and Gregoritza (2005, pp. 969– the Galapagos petrel (Pterodroma ssp. grandiflora and ssp. pumila within 979) found that the Oahu and Molokai phaeopygia) (Banks et al. 2002, p. 898). a separate species L. pumila. This populations of var. skottsbergii differed On January 5, 2010, the Galapagos petrel treatment has been adopted by the genetically, and recommended treating was also listed (as threatened), under Oregon Flora Project (Cook et al. 2014b, them as separate varieties: var. audens the now accepted scientific name of pp. 1–2). Consequently, the current on Molokai, and var. skottsbergii on Pterodroma phaeopygia (75 FR 235). scientific name of the large-flowered Oahu (including the same range as the The taxonomic change does not affect woolly meadowfoam is Limnanthes originally listed entity). Consequently, the range or endangered status of the pumila ssp. grandiflora. This taxonomic the Service revised the List of Hawaiian petrel, nor does it affect the change does not affect the range or Endangered and Threatened Plants to range or threatened status of the endangered status of the large-flowered refer to the ‘Ewa Plains ‘akoko as Galapagos petrel. woolly meadowfoam. Chamaesyce skottsbergii var. skottsbergii when critical habitat was Erigeron decumbens (Willamette daisy) Schiedea species designated on September 18, 2012 (77 The Willamette daisy was listed as The Hawaiian plants Alsinidendron FR 57648); however, current research endangered on January 25, 2000, under lychnoides (kuawawaenohu) and A. supports classifying this plant in the the scientific name Erigeron decumbens viscosum (no common name) were genus Euphorbia as discussed below. var. decumbens (65 FR 3875). At that listed as endangered on October 10, Several other endangered Hawaiian time E. decumbens was considered to 1996 (61 FR 53070). At that time plants are classified in the genus include two varieties, decumbens and Alsinidendron was considered to be a Chamaesyce as recognized by Degener robustior. Nesom (2004, pp. 19–39) genus of four species distinct from and Degener (1959). Chamaesyce elevated var. robustior to full species Schiedea (Wagner et al. 1999, pp. 499– celastroides var. kaenana and C. status, finding that the taxon was 502). However, analysis of nuclear DNA kuwaleana were listed as endangered on distinctive in morphology (involucre sequence data and morphology by October 29, 1991 (56 FR 55770); C. size, shape of phyllaries, length of Wagner et al. (2005, pp. 1–169) showed halemanui was listed as endangered on corollas and cypselae) and soil habitat that the Alsinidendron clade is nested May 13, 1992 (57 FR 20580); C. preference at a level similar to that of within Schiedea, as a sister group to deppeana was listed as endangered on other species of Erigeron. Since var. Schiedea verticillata; thus the species in March 28, 1994 (59 FR 14482); C. decumbens was thus the only remaining Alsinidendron were reassigned to herbstii and C. rockii were listed as variety within the species, rendering Schiedea. The specific epithet viscosum endangered on October 10, 1996 (61 FR designation of a nominate variety was changed to viscosa to conform to 53089); C. eleanoriae, C. remyi var. superfluous, the taxon was renamed as the gender of the new generic name. kauaiensis, and C. remyi var. remyi were the full species E. decumbens. This These changes have been accepted in listed as endangered on April 13, 2010 treatment has been adopted by the Flora the most recent update to the Manual of (75 FR 18960). No common name was of North America (Nesom 2006, pp. the Flowering Plants of Hawaii (Wagner given for Chamaesyce halemanui when 274–279) and the Oregon Flora Project et al. 2012, p. 26). Consequently, the it was listed; the other species above (Cook et al. 2014a, p. 64). Consequently, current scientific names of these species were listed with the common name of the current scientific name of the are Schiedea lychnoides and Schiedea ‘akoko. Willamette daisy is Erigeron viscosa. This taxonomic change does Phylogenetic analysis of nuclear and decumbens. This taxonomic change not affect the range or endangered status chloroplast DNA sequence data for does not affect the range or endangered of either of these species. species in the tribe Euphorbieae status of the Willamette daisy. The scientific names of Alsinidendron (Steinmann and Porter 2002, pp. 453– trinerve and A. obovatum (listed as 490; Yang and Berry 2011, pp. 1486– Limnanthes pumila ssp. grandiflora endangered on October 29, 1991 (56 FR 1503) indicate that the genus Euphorbia (large-flowered woolly meadowfoam) 55770)), were revised on the List of was paraphyletic (i.e., consisting of all The large-flowered woolly Endangered and Threatened Plants to the descendants of the last common meadowfoam was listed as endangered their updated names of Schiedea ancestor of the group’s members except on November 7, 2002, under the trinervis and S. obovata when critical for a small number of monophyletic scientific name Limnanthes floccosa habitat was designated on September groups of descendants), with ssp. grandiflora (67 FR 68004). At that 18, 2012 (77 FR 57648); thus no further Chamaesyce and several other genera time the species L. floccosa was changes in nomenclature are needed for nested within it. Steinman and Porter considered to include five subspecies: L. these two species. (2002, pp. 479–480) recommended f. ssp. bellingeriana, L. f. ssp. expanding Euphorbia to include californica, L. f. ssp. floccosa, L. f. ssp. Euphorbia species (‘akoko) Chamaesyce and the other genera in the grandiflora, and L. f. ssp. pumila The ‘Ewa Plains ‘akoko, a plant subtribe Euphorbiinae. This approach (Arroyo 1973, pp. 177–191; Ornduff endemic to southwestern Oahu, was has been accepted in the most recent 1993, pp. 736–738; Morin 2010, pp. originally listed under the scientific update to the Manual of the Flowering 174–183). Meyers (2010) analyzed name Euphorbia skottsbergii var. Plants of Hawaii (Wagner et al. 2012, chloroplast, mitochondrial, and nuclear kalaeloana on August 24, 1982 (47 FR pp. 31–34). Consequently, the current DNA of these subspecies and found they 36846), based on the taxonomy of Sherff scientific names of the listed represented two clades: ssp. grandiflora (1938, pp. 1–94). Degener and Degener Chamaesyce species are now Euphorbia and ssp. pumila in one, and ssp. (1959, page unnumbered) moved this celastroides var. kaenana, E. deppeana, bellingeriana, ssp. californica, and ssp. species to the genus Chamaesyce, as C. E. eleanoriae, E. halemanui, E. herbstii, floccosa in the other; moreover, ssp. skottsbergii var. kalaeloana. Koutnik E. kuwaleana, E. remyi var. kauaiensis, grandiflora and ssp. floccosa showed (1987, pp. 356–360; 1999, pp. 614–615) E. remyi var. remyi, E. rockii, and E. pre- and post-zygotic reproductive synonymized var. kalaeloana with var. skottsbergii var. skottsbergii. Although isolation from one another when skottsbergii, treating var. skottsbergii no common name was designated for E. crossed by hand. Consequently, Meyers with a range including southwestern halemanui when it was listed, the

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common name of ‘akoko is also coriacea than to species in Delissea and, South Pacific Hedyotis species and appropriate for this species (Wagner et therefore, recommended transferring the found that they were distinct from the al. 1999, p. 607). These taxonomic species to Cyanea. This change has been Asian and North American species, changes do not affect the range or accepted in the most recent update to reassigning them to the genus Kadua. endangered status of any of these the Manual of the Flowering Plants of This change has been accepted in the species. Hawaii (Wagner et al. 2012, p. 23). most recent update to the Manual of the Euphorbia haeleeleana (‘akoko), Consequently, the current scientific Flowering Plants of Hawaii (Wagner et which was listed as endangered on name of this species is Cyanea rivularis. al. 2012, pp. 63–65). Consequently, the October 10, 1996 (61 FR 53108), is not The common name is also changed to current scientific names of these species a member of the Chamaesyce group haha to correspond with the generally are Kadua cookiana and Kadua st.- (Wagner et al. 1999, p. 619), and its used common name for other species in johnii. The common name given for K. taxonomy has not changed. Cyanea (Wagner et al. 1999, p. 437). st.-johnii in the List of Endangered and Cyanea species (haha) This taxonomic change does not affect Threatened Plants, Na Pali Beach the range or endangered status of the hedyotis, was not historically used prior The Hawaiian plant Rollandia crispa species. to listing of the species. Because Wagner (haha) was listed as endangered on On June 11, 2012, a proposed critical et al. (1999, p. 1150) did not identify an March 28, 1994 (59 FR 14482). habitat rule for multiple Hawaiian independently accepted common name Phylogenetic analyses of chloroplast species (77 FR 34464) also included for this species, we are revising the List DNA indicated that the species proposed scientific name changes for of Endangered and Threatened Plants to classified in Rollandia were nested two additional Cyanea species: Cyanea indicate that no common name exists. within the paraphyletic genus Cyanea dunbarii (changed to C. dunbariae) and These taxonomic changes do not affect (Lammers et al. 1993, pp. 437–441), and C. macrostegia ssp. gibsonii (changed to the range or endangered status of either the species in Rollandia were, therefore, C. gibsonii). We expect these changes to of these species. merged into Cyanea; however, Wagner be finalized when the final critical On June 11, 2012, a proposed critical et al. (1999, pp. 480–481) continued to habitat rule is published. habitat rule for multiple Hawaiian recognize Rollandia as a genus, species (77 FR 34464) also included including Rollandia crispa. When the Dubautia latifolia (koholapehu) proposed scientific name changes for Service designated critical habitat for The Hawaiian plant Dubautia latifolia two additional Hedyotis species: the species on June 17, 2003 (68 FR was listed as endangered on May 13, Hedyotis schechtendahliana var. remyi 35950), the scientific name in the List of 1992 (57 FR 20580), with the common (changed to Kadua cordata ssp. remyi) Endangered and Threatened Plants was name of na‘ena‘e. Although this and Hedyotis mannii (changed to Kadua revised to read ‘‘Cyanea (=Rollandia) common name is generally used for laxiflora). We expect these changes to be crispa’’. The merger of Rollandia into species in the genus Dubautia, Wagner finalized when the final critical habitat Cyanea has since been accepted in the et al. (1999, p. 299) specifically rule is published. most recent update to the Manual of the identified koholapehu as the Lobelia koolauensis Flowering Plants of Hawaii (Wagner et appropriate common name for D. al. 2012, p. 24); because Rollandia is no latifolia. This change in common name The Hawaiian plant Lobelia longer a recognized genus, the does not affect the range or endangered gaudichaudii ssp. koolauensis (no parenthetical reference to it as an status of the species. common name) was listed as alternative name is unnecessary. endangered on October 10, 1996 (61 FR Consequently the current scientific Geranium arboreum (nohoanu) 53089). While Wagner et al. (1999, p. name of the species, as it should read in The Hawaiian plant Geranium 476) recognized two subspecies of L. the List of Endangered and Threatened arboreum was listed as endangered on gaudichaudii (ssp. koolauensis and ssp. Plants, is Cyanea crispa. The current May 13, 1992 (57 FR 20589), with the gaudichaudii), differing in corolla color listing of ‘‘Cyanea (=Rollandia) crispa’’ common name of Hawaiian red- and branching of inflorescences, indicates that no common name exists; flowered geranium. This common name Lammers (2007, p. 797) determined that this is erroneous as the common name was not historically used prior to listing they do not interbreed where sympatric is haha. Therefore, we are correcting of the species; however, Wagner et al. and elevated both taxa to full species this error in this rule. These changes do (1999, p. 729) identified nohoanu or status. This change has been accepted in not affect the range or endangered status hinahina as accepted common names the most recent update to the Manual of of the species. for native Hawaiian species of the Flowering Plants of Hawaii (Wagner Cyanea platyphylla was listed as Geranium, including G. arboreum. Use et al. 2012, p. 24). Consequently, the endangered on October 10, 1996 (61 FR of the common name nohoanu is current scientific name of this species is 53137), with the common name of haha. consistent with Service practice for Lobelia koolauensis. This taxonomic Although this common name is other listed species of Hawaiian change does not affect the range or generally used for species in the genus Geranium. This change in common endangered status of the species. Cyanea, Wagner et al. (1999, p. 459) name does not affect the range or Cyperus fauriei specifically identified ‘aku‘aku as the endangered status of the species. appropriate common name for Cyanea The Hawaiian sedge species Mariscus platyphylla. This change in common Kadua species fauriei (no common name) was listed as name does not affect the range or The Hawaiian plant Hedyotis endangered on March 4, 1994 (59 FR endangered status of the species. cookiana (‘awiwi) was listed as 10305). Historically, the genus Mariscus Delissea rivularis (oha) was listed as endangered on February 25, 1994 (59 FR has also been recognized as a subgenus endangered on October 10, 1996 (61 FR 9304). Hedyotis st.-johnii (Na Pali Beach of Cyperus, but taxonomists have noted 53070). However, Lammers (2005, p. 13) hedyotis) was listed as endangered on that no consistent characters (e.g., leaf found that the morphology of its leaves, September 30, 1991 (56 FR 49639). anatomy, spikelet structure, flowers, and seeds is more similar to Terrell et al. (2005, pp. 818–833) photosynthetic metabolism type) Cyanea and that molecular data indicate reviewed seed and fruit morphology and separate the Mariscus group from other it is more closely related to Cyanea floral characteristics of Hawaiian and species in Cyperus, and recommend

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merging it within Cyperus subg. additional varieties (var. gracilis, var. previously been described under the Cyperus (Lye 1981, p. 57; Tucker 1994, halophila, and var. rhopalocarpa) from names A. falcatum, A. mannii, and A. p. 10; Strong and Wagner 1997, p. 39). localities on the island of Hawai‘i. pallidum, these names were not This change has been accepted in the Previously, Beccari (1913, pp. 213–216) available to designate the respective most recent update to the Manual of the had described P. maideniana from Hawaiian species after the generic Flowering Plants of Hawaii (Wagner et cultivated plants in the Royal Botanic change (Viane and Reichstein 1991; al. 2012, p. 81). Consequently, the Gardens, Sydney, Australia, although Snow et al. 2011, p. 12). Consequently, current scientific name of this species is the geographic origin of those D. falcata has been renamed A. Cyperus fauriei. This taxonomic change individuals was unclear and no wild dielfalcatum; D. mannii has been does not affect the range or endangered specimens had been located (Beccari renamed A. dielmannii; and D. pallida status of the species. and Rock 1921, p. 23). Hodel (2007, pp. has been renamed A. dielpallidum S26–S27) examined an extant cultivated (Viane and Reichstein 1991, pp. 159– Polyscias species plant at the Royal Botanic Gardens, 160; Snow et al. 2011, p. 12). Diellia The Hawaiian plant Munroidendron plants in Hawaii grown from its seeds, unisora was also renamed A. unisorum, racemosum (no common name) was living plants within the native range of with the specific epithet changing to listed as endangered on February 25, P. affinis on the island of Hawai‘i, and conform to the gender of the new genus 1994 (59 FR 9304). Tetraplasandra photographs of type specimens name (Viane and Reichstein 1991, p. gymnocarpa (‘ohe‘ohe) was listed as attributed to both species, and found no 163; Snow et al. 2011, p. 12). These endangered on March 28, 1994 (59 FR differences between P. affinis and P. changes have been accepted in the most 14482). Tetraplasandra bisattenuata (no maideniana. Because P. affinis was the recent update to Hawaii’s Ferns and common name) and T. flynnii (no more recently described, Hodel Fern Allies (Wagner et al. 2012, pp. common name) were listed as reassigned the species (including all 103–104). These taxonomic changes do endangered on April 13, 2010 (75 FR varieties) to P. maideniana. This change not affect the range or endangered status 18960). Tetraplasandra lydgatei (no has been accepted in the most recent of any of these species. common name) was listed as update to the Manual of the Flowering On June 11, 2012, a proposed critical endangered on September 18, 2012 (77 Plants of Hawai‘i (Wagner et al. 2012, p. habitat rule for multiple Hawaiian FR 57648). 76). Consequently, the current scientific species (77 FR 34464) also included Lowry and Plunkett (2010, pp. 55–84) name of this species is P. maideniana. proposed scientific name changes for determined, based on molecular This taxonomic change does not affect two additional fern species: Asplenium phylogenetic studies (phylogenetics is the range in the wild or the endangered fragile var. insulare (changed to A. the study of evolutionary relationships status of the species. peruvianum var. insulare) and Diellia among groups of organisms that are erecta (changed to A. dielerectum). We discovered through molecular Sicyos albus (‘anunu) expect these changes to be finalized sequencing data and morphological data The Hawaiian plant Sicyos alba when the final critical habitat rule is matrices) (Plunkett et al. 2001, pp. 213– (‘anunu) was listed as endangered on published. 230; 2004, pp. 861–873), that the genus October 10, 1996 (61 FR 53137). The Polyscias, as previously circumscribed, most recent update to the Manual of the Family reassignments is paraphyletic, with six traditionally Flowering Plants of Hawai‘i (Wagner et Several genera of Hawaiian plants recognized genera (Arthrophyllum, al. 2012, p. 30) corrected the specific have been recently reassigned to Cuphocarpus, Gastonia, epithet to albus, making it consistent different families (Wagner et al. 2012, Munroidendron, Reynoldsia, and with the gender of the genus name. pp. 108–109), based on phylogenetic Tetraplasandra) nested within it. They Consequently, the current scientific research summarized by Smith et al. recommended combining all of these name of the species is Sicyos albus. This (2006, pp. 705–731), Mabberley (2008, genera into Polyscias. Species in the correction does not affect the range or pp. 14, 278, 341, 457, 508, 568, 916), the genera Munroidendron and endangered status of the species. Angiosperm Phylogeny Group (2009, Tetraplasandra were thus assigned to pp. 105–121), and Stevens (2015). These the genus Polyscias, subgenus Asplenium species changes have resulted in a need for Tetraplasandra. The specific epithet The Hawaiian fern Diellia falcata was revisions in the List of Endangered and racemosum was changed to racemosa to listed as endangered on October 29, Threatened Plants where the family conform with the gender of the new 1991 (56 FR 55770). Diellia pallida was reassignments were not reflected in the genus name. These changes have been listed as endangered on February 25, original listing rules. Flueggea accepted in the most recent update to 1994 (59 FR 9304). Diellia unisora was neowawraea (mehamehame) is listed as the Manual of the Flowering Plants of listed as endangered on June 27, 1994 a member of the family Euphorbiaceae; Hawai‘i (Wagner et al. 2012, pp. 7–8). (59 FR 32932). Diellia mannii was listed this should be revised to Consequently, the current scientific as endangered on April 13, 2010 (75 FR Phyllanthaceae. Korthalsella degeneri names of these species are P. racemosa, 18960). (hulumoa) is listed as a member of the P. gymnocarpa, P. bisattenuata, P. Kramer and Viane (1990, p. 55) and family Viscaceae; this should be revised flynnii, and P. lydgatei. These Viane and Reichstein (1991, p. 157) to Santalaceae. Lysimachia daphnoides taxonomic changes do not affect the classified all species within the family (lehua makanoe), L. iniki (no common range or endangered status of any of Aspleniaceae, including the above name), L. pendens (no common name), these species. species of Diellia, under the genus L. scopulensis (no common name), L. Asplenium. Analysis of molecular data venosa (no common name), Myrsine Pritchardia maideniana (lo‘ulu) by Schneider et al. (2005, pp. 455–460) juddii (kolea), M. knudsenii (kolea), M. The Hawaiian palm tree Pritchardia indicated that Asplenium is linearifolia (kolea), M. mezii (kolea), and affinis (lo‘ulu) was listed as endangered paraphyletic and Diellia is a Hawaiian M. vaccinioides (kolea) are listed as on March 4, 1994 (59 FR 10305). This endemic clade nested within it. members of the family Myrsinaceae; this listing followed the taxonomy of Beccari Therefore, Snow et al. (2011, p. 12) should be revised to Primulaceae. and Rock (1921, pp. 37–41), who merged Diellia with Asplenium. Pleomele hawaiiensis (hala pepe) is described P. affinis, including three Because different species had listed as a member of the family

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Liliaceae; this should be revised to defined under the authority of the List of Subjects in 50 CFR Part 17 Asparagaceae. Xylosma crenatum (no National Environmental Policy Act of Endangered and threatened species, common name) is listed as a member of 1969 (42 U.S.C. 4321 et seq.), need not Exports, Imports, Reporting and the family Flacourtiaceae; this should be be prepared in connection with recordkeeping requirements, revised to Salicaceae. Adenophorus regulations issued pursuant to section Transportation. periens (pendent kihi fern) is listed as 4(a) of the Act. We published a notice a member of the family Grammitidaceae; outlining our reasons for this Regulation Promulgation this should be revised to Polypodiaceae. determination in the Federal Register For the reasons given in the preamble, Diplazium molokaiense (no common on October 25, 1983 (43 FR 49244). we amend part 17, subchapter B of name) is listed as a member of the Clarity of the Rule chapter I, title 50 of the Code of Federal family Aspleniaceae; this should be Regulations, as set forth below: revised to Woodsiaceae. These We are required by Executive Orders taxonomic changes do not affect the 12866 and 12988 and by the PART 17—[AMENDED] threatened or endangered status or range Presidential Memorandum of June 1, of any of these species. 1998, to write all rules in plain ■ 1. The authority citation for part 17 language. This means that each rule we continues to read as follows: Required Determinations publish must: Authority: 16. U.S.C. 1361–1407; 1531– Paperwork Reduction Act of 1995 (44 (a) Be logically organized; 1544; 4201–4245; unless otherwise noted. U.S.C. 3501 et seq.) (b) Use the active voice to address readers directly; ■ 2. Amend the List of Endangered and This rule does not contain any new (c) Use clear language rather than Threatened Wildlife in § 17.11(h) by: collections of information that require jargon; ■ a. Revising the entry under approval by the Office of Management (d) Be divided into short sections and MAMMALS for ‘‘Squirrel, northern and Budget (OMB) under the Paperwork sentences; and Idaho ground’’ to read as set forth Reduction Act. This rule will not (e) Use lists and tables wherever below; impose recordkeeping or reporting possible. ■ b. Removing the entries under BIRDS requirements on State or local If you feel that we have not met these for ‘‘Kingfisher, Guam Micronesian’’, governments, individuals, businesses, or requirements, send us comments by one ‘‘Moorhen, Hawaiian common’’, and organizations. An agency may not of the methods listed in ADDRESSES. To ‘‘Petrel, Hawaiian dark-rumped’’; and conduct or sponsor, and a person is not help us to revise this rule, your ■ c. Adding in alphabetic order under required to respond to, a collection of comments should be as specific as BIRDS entries for ‘‘Gallinule, Hawaiian information unless it displays a possible. common’’, ‘‘Kingfisher, Guam’’, and currently valid OMB control number. References Cited ‘‘Petrel, Hawaiian’’ to read as follows: National Environmental Policy Act A complete list of the referenced § 17.11 Endangered and threatened We have determined that materials is available upon request from wildlife. environmental assessments and the U.S. Fish and Wildlife Service (see * * * * * environmental impact statements, as FOR FURTHER INFORMATION CONTACT). (h) * * *

Species Vertebrate population where Critical Special Historic range endangered or Status When listed habitat rules Common name Scientific name threatened

MAMMALS

******* Squirrel, northern Urocitellus brunneus U.S.A. (ID) ...... Entire ...... T 693 NA NA Idaho ground.

******* BIRDS

******* Gallinule, Hawaiian Gallinula galeata U.S.A. (HI) ...... Entire ...... E 1 NA NA common. sandvicensis.

******* Kingfisher, Guam ..... Todiramphus Western Pacific Entire ...... E 156 17.95(b) NA cinnamominus. Ocean, U.S.A. (Guam).

******* Petrel, Hawaiian ...... Pterodroma U.S.A. (HI) ...... Entire ...... E 1 NA NA sandwichensis.

*******

■ 3. Amend the List of Endangered and ■ a. Removing the entries under ‘‘Alsinidendron lychnoides,’’ Threatened Plants in § 17.12(h) by: FLOWERING PLANTS for ‘‘Alsinidendron viscosum,’’

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‘‘Chamaesyce celastroides var. neowawraea’’ and ‘‘Geranium ‘‘Polyscias lydgatei,’’ and ‘‘Polyscias kaenana,’’ ‘‘Chamaesyce deppeana,’’ arboreum’’; racemosa’’; ‘‘Chamaesyce eleanoriae,’’ ■ k. Removing the entries under ■ w. Removing the entry under ‘‘Chamaesyce halemanui,’’ FLOWERING PLANTS for ‘‘Hedyotis FLOWERING PLANTS for ‘‘Pritchardia ‘‘Chamaesyce herbstii,’’ ‘‘Chamaesyce cookiana’’ and ‘‘Hedyotis st-johnii’’; affinis’’; kuwaleana,’’ ‘‘Chamaesyce remyi var. ■ l. Adding entries in alphabetic order ■ x. Adding entries in alphabetic order kauaiensis,’’ ‘‘Chamaesyce remyi var. under FLOWERING PLANTS for under FLOWERING PLANTS for remyi,’’ ‘‘Chamaesyce rockii,’’ ‘‘Kadua cookiana’’ and ‘‘Kadua st- ‘‘Pritchardia maideniana,’’ ‘‘Schiedea ‘‘Chamaesyce skottsbergii var. johnii’’; lychnoides,’’ and ‘‘Schiedea viscosa’’; skottsbergii,’’ and ‘‘Cyanea (=Rollandia) ■ m. Revising the entry under ■ y. Removing the entry under crispa’’; FLOWERING PLANTS for ‘‘Korthalsella FLOWERING PLANTS for ‘‘Sicyos ■ b. Adding an entry in alphabetic order degeneri’’; alba’’; under FLOWERING PLANTS for ■ n. Removing the entry under ■ z. Adding an entry in alphabetic order ‘‘Cyanea crispa’’; FLOWERING PLANTS for ‘‘Limnanthes under FLOWERING PLANTS for ■ c. Revising the entry under floccosa ssp. grandiflora’’; ‘‘Sicyos albus’’; FLOWERING PLANTS for ‘‘Cyanea ■ o. Adding an entry in alphabetic order ■ aa. Removing the entries under platyphylla’’; under FLOWERING PLANTS for FLOWERING PLANTS for ■ d. Adding entries in alphabetic order ‘‘Limnanthes pumila ssp. grandiflora’’; ‘‘Tetraplasandra bisattenuata,’’ under FLOWERING PLANTS for ■ p. Removing the entry under ‘‘Tetraplasandra flynnii,’’ ‘‘Cyanea rivularis’’ and ‘‘Cyperus FLOWERING PLANTS for ‘‘Lobelia ‘‘Tetraplasandra gymnocarpa,’’ and fauriei’’; gaudichaudii ssp. koolauensis’’; ■ e. Removing the entry under ‘‘Tetraplasandra lydgatei’’; ■ q. Adding an entry in alphabetic order ■ FLOWERING PLANTS for ‘‘Delissea bb. Revising the entry under under FLOWERING PLANTS for rivularis’’; FLOWERING PLANTS for ‘‘Xylosma ■ f. Revising the entry under ‘‘Lobelia koolauensis’’; crenatum’’ and the entry under FERNS ■ FLOWERING PLANTS for ‘‘Dubautia r. Revising the entries under AND ALLIES for ‘‘Adenophorus latifolia’’; FLOWERING PLANTS for ‘‘Lysimachia periens’’; ■ g. Adding an entry in alphabetic order daphnoides,’’ ‘‘Lysimachia iniki,’’ ■ cc. Adding entries in alphabetic order under FLOWERING PLANTS for ‘‘Lysimachia pendens,’’ ‘‘Lysimachia under FERNS AND ALLIES for ‘‘Erigeron decumbens’’; scopulensis,’’ and ‘‘Lysimachia venosa’’; ‘‘Asplenium dielfalcatum,’’ ‘‘Asplenium ■ h. Removing the entry under ■ s. Removing the entries under dielmannii,’’ ‘‘Asplenium FLOWERING PLANTS for ‘‘Erigeron FLOWERING PLANTS for ‘‘Mariscus dielpallidum,’’ and ‘‘Asplenium decumbens var. decumbens’’; fauriei’’ and ‘‘Munroidendron unisorum’’; ■ i. Adding entries in alphabetic order racemosum’’; ■ dd. Removing the entries under under FLOWERING PLANTS for ■ t. Revising the entries under FERNS AND ALLIES for ‘‘Diellia ‘‘Euphorbia celastroides var. kaenana,’’ FLOWERING PLANTS for ‘‘Myrsine falcata,’’ ‘‘Diellia mannii,’’ ‘‘Diellia ‘‘Euphorbia deppeana,’’ ‘‘Euphorbia juddii,’’ ‘‘Myrsine knudsenii,’’ ‘‘Myrsine pallida,’’ and ‘‘Diellia unisora’’; and eleanoriae,’’ ‘‘Euphorbia halemanui,’’ linearifolia,’’ ‘‘Myrsine mezii,’’ and ■ ee. Revising the entry under FERNS ‘‘Euphorbia herbstii,’’ ‘‘Euphorbia ‘‘Myrsine vaccinioides’’; AND ALLIES for ‘‘Diplazium kuwaleana,’’ ‘‘Euphorbia remyi var. ■ u. Revising the entry under molokaiense’’. kauaiensis,’’ ‘‘Euphorbia remyi var. FLOWERING PLANTS for ‘‘Pleomele The additions and revisions read as remyi,’’ ‘‘Euphorbia rockii,’’ and hawaiiensis’’; follows: ‘‘Euphorbia skottsbergii var. ■ v. Adding entries in alphabetic order skottsbergii’’; under FLOWERING PLANTS for § 17.12 Endangered and threatened plants. ■ j. Revising the entries under ‘‘Polyscias bisattenuata,’’ ‘‘Polyscias * * * * * FLOWERING PLANTS for ‘‘Flueggea flynnii,’’ ‘‘Polyscias gymnocarpa,’’ (h) * * *

Species Historic range Family Status When listed Critical Special Scientific name Common name habitat rules

FLOWERING PLANTS

******* Cyanea crispa ...... Haha ...... U.S.A. (HI) ...... Campanulaceae ..... E 536 17.99(i) NA

******* Cyanea platyphylla .. ‘Aku‘aku ...... U.S.A. (HI) ...... Campanulaceae ..... E 595 17.99(k) NA

******* Cyanea rivularis ...... Haha ...... U.S.A. (HI) ...... Campanulaceae ..... E 590 17.99(a)(1) NA

******* Cyperus fauriei ...... None ...... U.S.A. (HI) ...... Cyperaceae ...... E 532 17.99(c) NA and (k)

******* Dubautia latifolia ...... Koholapehu ...... U.S.A. (HI) ...... Asteraceae ...... E 464 17.99(a)(1) NA

******* Erigeron decumbens Willamette daisy ..... U.S.A. (OR) ...... Asteraceae ...... E 679 17.96(a) NA

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Species Historic range Family Status When listed Critical Special Scientific name Common name habitat rules

******* Euphorbia ‘Akoko ...... U.S.A. (HI) ...... Euphorbiaceae ...... E 448 17.99(i) NA celastroides var. kaenana. Euphorbia deppeana ‘Akoko ...... U.S.A. (HI) ...... Euphorbiaceae ...... E 536 17.99(i) NA Euphorbia eleanoriae ‘Akoko ...... U.S.A. (HI) ...... Euphorbiaceae ...... E 765 17.99(a) NA

******* Euphorbia halemanui ‘Akoko ...... U.S.A. (HI) ...... Euphorbiaceae ...... E 464 17.99(a)(1) NA Euphorbia herbstii .... ‘Akoko ...... U.S.A. (HI) ...... Euphorbiaceae ...... E 591 17.99(i) NA Euphorbia ‘Akoko ...... U.S.A. (HI) ...... Euphorbiaceae ...... E 448 17.99(i) NA kuwaleana. Euphorbia remyi var. ‘Akoko ...... U.S.A. (HI) ...... Euphorbiaceae ...... E 765 17.99(a) NA kauaiensis. Euphorbia remyi var. ‘Akoko ...... U.S.A. (HI) ...... Euphorbiaceae ...... E 765 17.99(a) NA remyi. Euphorbia rockii ...... ‘Akoko ...... U.S.A. (HI) ...... Euphorbiaceae ...... E 591 17.99(i) NA Euphorbia ‘Ewa Plains ‘akoko U.S.A. (HI) ...... Euphorbiaceae ...... E 120 17.99(i) NA skottsbergii var. skottsbergii.

******* Flueggea Mehamehame ...... U.S.A. (HI) ...... Phyllanthaceae ...... E 559 17.99(a)(1), NA neowawraea. (c), (e)(1), (i) and (k)

******* Geranium arboreum Nohoanu ...... U.S.A. (HI) ...... Geraniaceae ...... E 465 17.99(e)(1) NA

******* Kadua cookiana ...... ‘Awiwi ...... U.S.A. (HI) ...... Rubiaceae ...... E 530 17.99(a)(1) NA

******* Kadua st.-johnii ...... None ...... U.S.A. (HI) ...... Rubiaceae ...... E 441 17.99(a)(1) NA

******* Korthalsella degeneri Hulumoa ...... U.S.A. (HI) ...... Santalaceae ...... E 806 17.99(i) NA

******* Limnanthes pumila Large-flowered U.S.A. (OR) ...... Limnanthaceae ...... E 733 17.96(a) NA ssp. Grandiflora. woolly meadowfoam.

******* Lobelia koolauensis None ...... U.S.A. (HI) ...... Campanulaceae ..... E 591 17.99(i) NA

******* Lysimachia Lehua makanoe ...... U.S.A. (HI) ...... Primulaceae ...... E 765 17.99(a) NA daphnoides.

******* Lysimachia iniki ...... None ...... U.S.A. (HI) ...... Primulaceae ...... E 765 17.99(a) NA

******* Lysimachia pendens None ...... U.S.A. (HI) ...... Primulaceae ...... E 765 17.99(a) NA Lysimachia None ...... U.S.A. (HI) ...... Primulaceae ...... E 765 17.99(a) NA scopulensis. Lysimachia venosa .. None ...... U.S.A. (HI) ...... Primulaceae ...... E 765 17.99(a) NA

******* Myrsine juddii ...... Kolea ...... U.S.A. (HI) ...... Primulaceae ...... E 591 17.99(i) NA Myrsine knudsenii .... Kolea ...... U.S.A. (HI) ...... Primulaceae ...... E 765 17.99(a) NA Myrsine linearifolia ... Kolea ...... U.S.A. (HI) ...... Primulaceae ...... T 590 17.99(a)(1) NA Myrsine mezii ...... Kolea ...... U.S.A. (HI) ...... Primulaceae ...... E 765 17.99(a) NA Myrsine vaccinioides Kolea ...... U.S.A. (HI) ...... Primulaceae ...... E 815 NA NA

******* Pleomele Hala pepe ...... U.S.A. (HI) ...... Asparagaceae ...... E 595 17.99(k) NA hawaiiensis.

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Species Historic range Family Status When listed Critical Special Scientific name Common name habitat rules

******* Polyscias None ...... U.S.A. (HI) ...... Araliaceae ...... E 765 17.99(a) NA bisattenuata. Polyscias flynnii ...... None ...... U.S.A. (HI) ...... Araliaceae ...... E 765 17.99(a) NA Polyscias ‘Ohe‘ohe ...... U.S.A. (HI) ...... Araliaceae...... E 536 17.99(i) NA gymnocarpa. Polyscias lydgatei .... None ...... U.S.A. (HI) ...... Araliaceae ...... E 806 17.99(i) NA Polyscias racemosa None ...... U.S.A. (HI) ...... Araliaceae ...... E 530 17.99(a)(1) NA

******* Pritchardia Lo‘ulu ...... U.S.A. (HI) ...... Arecaceae ...... E 532 NA NA maideniana.

******* Schiedea lychnoides Kuawawaenohu ...... U.S.A. (HI) ...... Caryophyllaceae ..... E 590 17.99(a)(1) NA

******* Schiedea viscosa ..... None ...... U.S.A. (HI) ...... Caryophyllaceae ..... E 590 17.99(a)(1) NA

******* Sicyos albus ...... ‘Anunu ...... U.S.A. (HI) ...... Cucurbitaceae ...... E 595 17.99(k) NA

******* Xylosma crenatum ... None ...... U.S.A. (HI) ...... Salicaceae ...... E 464 17.99(a)(1) NA

******* FERNS AND ALLIES Adenophorus periens Pendent kihi fern .... U.S.A. (HI) ...... Polypodiaceae ...... E 559 17.99(a)(1), NA (c), (i), and (k)

******* Asplenium None ...... U.S.A. (HI) ...... Aspleniaceae ...... E 448 17.99(i) NA dielfalcatum. Asplenium dielmannii None ...... U.S.A. (HI) ...... Aspleniaceae ...... E 765 17.99(a) NA Asplenium None ...... U.S.A. (HI) ...... Aspleniaceae ...... E 530 17.99(a)(1) NA dielpallidum. Asplenium unisorum None ...... U.S.A. (HI) ...... Aspleniaceae ...... E 541 17.99(i) NA

******* Diplazium None ...... U.S.A. (HI) ...... Woodsiaceae ...... E 553 17.99(a)(1), NA molokaiense. (c), (e)(1), and (i)

*******

Dated: June 9, 2015. Stephen Guertin, Acting Director, U.S. Fish and Wildlife Service. [FR Doc. 2015–15212 Filed 6–22–15; 8:45 am] BILLING CODE 4310–55–P

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Proposed Rules Federal Register Vol. 80, No. 120

Tuesday, June 23, 2015

This section of the FEDERAL REGISTER DATES: Submit comments by September • Federal rulemaking Web site: Go to contains notices to the public of the proposed 8, 2015. Comments received after this http://www.regulations.gov and search issuance of rules and regulations. The date will be considered if it is practical for Docket ID NRC–2015–0057. purpose of these notices is to give interested to do so, but the NRC is able to assure • NRC’s Agencywide Documents persons an opportunity to participate in the consideration only for comments Access and Management System rule making prior to the adoption of the final (ADAMS): You may obtain publicly- rules. received on or before this date. ADDRESSES: You may submit comments available documents online in the by any of the following methods (unless ADAMS Public Documents collection at NUCLEAR REGULATORY this document describes a different http://www.nrc.gov/reading-rm/ COMMISSION method for submitting comments on a adams.html. To begin the search, select specific subject): ‘‘ADAMS Public Documents’’ and then 10 CFR Part 20 • Federal Rulemaking Web site: Go to select ‘‘Begin Web-based ADAMS http://www.regulations.gov and search Search.’’ For problems with ADAMS, [Docket Nos. PRM–20–28, PRM–20–29, and for Docket ID NRC–2015–0057. Address please contact the NRC’s Public PRM–20–30; NRC–2015–0057] questions about NRC dockets to Carol Document Room (PDR) reference staff at Gallagher; telephone: 301–415–3463; 1–800–397–4209, 301–415–4737, or by Linear No-Threshold Model and email: [email protected]. For email to [email protected]. The Standards for Protection Against technical questions contact the ADAMS accession number for each Radiation individual listed in the FOR FURTHER document referenced (if it is available in AGENCY: Nuclear Regulatory INFORMATION CONTACT section of this ADAMS) is provided the first time that Commission. document. it is mentioned in the SUPPLEMENTARY • Email comments to: INFORMATION section. ACTION: Petition for rulemaking; notice [email protected]. If you • NRC’s PDR: You may examine and of docketing and request for comment. do not receive an automatic email reply purchase copies of public documents at SUMMARY: The U.S. Nuclear Regulatory confirming receipt, then contact us at the NRC’s PDR, Room O1–F21, One 301–415–1677. White Flint North, 11555 Rockville Commission (NRC) has received three • petitions for rulemaking (PRM) Fax comments to: Secretary, U.S. Pike, Rockville, Maryland 20852. requesting that the NRC amend its Nuclear Regulatory Commission at 301– B. Submitting Comments ‘‘Standards for Protection Against 415–1101. • Mail comments to: Secretary, U.S. Please include Docket ID NRC–2015– Radiation’’ regulations and change the 0057 in the subject line of your basis of those regulations from the Nuclear Regulatory Commission, Washington, DC 20555–0001, ATTN: comment submission. Linear No-Threshold (LNT) model of Rulemakings and Adjudications Staff. The NRC cautions you not to include radiation protection to the radiation • Hand deliver comments to: 11555 identifying or contact information that hormesis model. The radiation hormesis Rockville Pike, Rockville, Maryland you do not want to be publicly model provides that exposure of the 20852, between 7:30 a.m. and 4:15 p.m. disclosed in your comment submission. human body to low levels of ionizing (Eastern Time) Federal workdays; The NRC will post all comment radiation is beneficial and protects the telephone: 301–415–1677. submissions at http:// human body against deleterious effects For additional direction on obtaining www.regulations.gov as well as enter the of high levels of radiation. Whereas, the information and submitting comments, comment submissions into ADAMS. LNT model provides that radiation is see ‘‘Obtaining Information and The NRC does not routinely edit always considered harmful, there is no Submitting Comments’’ in the comment submissions to remove safety threshold, and biological damage SUPPLEMENTARY INFORMATION section of identifying or contact information. caused by ionizing radiation (essentially this document. If you are requesting or aggregating the cancer risk) is directly proportional FOR FURTHER INFORMATION CONTACT: comments from other persons for to the amount of radiation exposure to Solomon Sahle, Office of Nuclear submission to the NRC, then you should the human body (response linearity). Material Safety and Safeguards, U.S. inform those persons not to include The petitions were submitted by Carol Nuclear Regulatory Commission, identifying or contact information that S. Marcus, Mark L. Miller, and Mohan Washington DC 20555–0001; telephone: they do not want to be publicly Doss (the petitioners), dated February 9, 301–415–3781, email: Solomon.Sahle@ disclosed in their comment submission. 2015, February 13, 2015, and February nrc.gov. Your request should state that the NRC 24, 2015, respectively. These petitions does not routinely edit comment SUPPLEMENTARY INFORMATION: were docketed by the NRC on February submissions to remove such information 20, 2015, February 27, 2015, and March I. Obtaining Information and before making the comment 16, 2015, and have been assigned Submitting Comments submissions available to the public or Docket Numbers. PRM–20–28, PRM– entering the comment into ADAMS. 20–29, and PRM–20–30, respectively. A. Obtaining Information The NRC is examining the issues raised Please refer to Docket ID NRC–2015– II. The Petitioners in these petitions to determine whether 0057 when contacting the NRC about On February 9, 2015, Dr. Carol S. they should be considered in the availability of information for this Marcus, a Professor of Radiation rulemaking. The NRC is requesting action. You may obtain publicly- Oncology, of Molecular and Medical public comments on these petitions for available information related to this Pharmacology (Nuclear Medicine), and rulemaking. action by any of the following methods: of Radiological Sciences at the David

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Geffen School of Medicine at the IV. Discussion of the Petitions (3) Public doses should be raised to University of California-Los Angeles, worker doses. The petitioner notes that A. PRM–20–28 filed a petition for rulemaking with the ‘‘these low doses may be hormetic. The Commission, PRM–20–28 (ADAMS The petitioner, Dr. Carol S. Marcus, petitioner goes on to ask, ‘‘why deprive Accession No. ML15051A503). Dr. requests that the NRC amend its the public of the benefits of low dose Marcus was a member of the NRC’s regulations in 10 CFR part 20 that are radiation?’’ Advisory Committee on the Medical based on the LNT hypothesis. The (4) End differential doses to pregnant Uses of Isotopes from 1990 to 1994. The petitioner states that ‘‘[t]his ultra- women, embryos and fetuses, and petitioner indicated that ‘‘[t]here has simplistic concept assumes that all children under 18 years of age. never been scientifically valid support radiation absorbed doses, no matter how B. PRM–20–29 for this LNT hypothesis since its use small, have a finite probability of Similarly, the petitioner, Mr. Mark L. was recommended by the U.S. National causing a fatal cancer.’’ The petitioner Miller, requests that the NRC amend its Academy of Sciences Committee on further indicates that the ‘‘[u]se of the regulations in 10 CFR part 20 that are Biological Effects of Atomic Radiation LNT assumption enables regulators to based on the LNT hypothesis. The (BEAR I)/Genetics Panel in 1956’’ and feel justified in ratcheting down petitioner used much of the same that ‘‘[t]he costs of complying with these permissible worker and public radiation information used in Dr. Marcus’ petition LNT based regulations are enormous.’’ levels, either through actual dose limits or use of the ‘as low as reasonably for rulemaking. However, Mr. Miller On February 13, 2015, Mr. Mark L. achievable’ (ALARA) principle, giving only requests that the following changes Miller, a Certified Health Physicist, filed the illusion that they are making be made to 10 CFR part 20: a petition for rulemaking with the everyone safer (and creating ever (1) Worker doses should remain at Commission, PRM–20–29 (ADAMS increasing workload for themselves and present levels, with allowance of up to Accession No. ML15057A349). The their licensees).’’ However, the 100 mSv (10 rem) effective dose per year petitioner indicated that ‘‘[t]here has petitioner suggests that ‘‘there has never if the doses are chronic. (2) ALARA should be removed never been scientifically valid support been scientifically valid support for this entirely from the regulations. The for this LNT hypothesis’’ and that ‘‘[t]he LNT hypothesis since its use was petitioner argues that ‘‘it makes no sense costs of complying with these LNT- recommended by the U.S. National to decrease radiation doses that are not based regulations are incalculable.’’ In Academy of Sciences Committee on only harmless but may be hormetic.’’ addition, the petitioner suggests that the Biological Effects of Atomic Radiation (3) Public doses should be raised to use of the LNT hypothesis has ‘‘led to (BEAR I)/Genetics Panel in 1956’’ and worker doses. The petitioner notes that persistent radiophobia [radiation- that the ‘‘costs of complying with these ‘‘these low doses may be hormetic. The phobia].’’ LNT based regulations are enormous.’’ petitioner states, ‘‘[l]ow-dose limits for On February 24, 2015, Dr. Mohan The petitioner suggests that there is the public perpetuates radiophobia.’’ Doss, filed a petition for rulemaking ‘‘vast literature’’ that demonstrates that with the Commission, PRM–20–30 low doses of radiation have no C. PRM–20–30 (ADAMS Accession No. ML15075A200). deleterious effect, and some studies The petition for rulemaking was Dr. Doss filed this petition on behalf of even suggest that low doses of radiation submitted by Dr. Mohan Doss, on behalf Scientist for Accurate Radiation may have protective effects. The of Scientist for Accurate Radiation Information, whose mission is to ‘‘help petitioner writes, ‘‘[t]he literature Information, and ‘‘supports and prevent unnecessary, radiation-phobia- showing protective effects supports the supplements’’ petition PRM–20–28. related deaths, morbidity, and injuries concept of hormesis, in which low This petitioner provides additional associated with distrust of radio- levels of potentially stressful agents, information suggesting that ‘‘low-dose medical diagnostics/therapies and from such as toxins, other chemicals, ionizing radiation reduces cancer risk’’ (i.e., has nuclear/radiological emergencies radiation, etc., protect against the a hormetic [beneficial] effect) and through countering phobia-promoting deleterious effects that high levels of suggests that the ‘‘LNT model is no misinformation spread by alarmists via these stressors produce and result in longer justifiable.’’ The petitioner the news and other media including beneficial effects (e.g., lower cancer further states that the use of the LNT journal publications.’’ rates).’’ On May 16, 2015, the petitioner hypothesis in the NRC’s regulations has submitted an additional reference to the III. The Petition ‘‘had a major detrimental effect on NRC providing technical information public health, since they have prevented The petitioners request that the NRC supporting her requests.1 the study of LDR [low-dose radiation] amend part 20 of title 10 of the Code of The petitioner recommends the for controlling aging-related diseases Federal Regulations (10 CFR), following changes to 10 CFR part 20: such as cancer, Alzheimer’s disease, ‘‘Standards for Protection Against (1) Worker doses should remain at Parkinson’s disease, etc. in spite of Radiation,’’ based on new science and present levels, with allowance of up to studies showing the promise of LDR for evidence that contradicts the LNT 100 mSv (10 rem) effective dose per year the diseases.’’ The petitioner suggests hypothesis and request that the NRC if the doses are chronic. that ‘‘urgency of action on this petition’’ greatly simplify and change 10 CFR part (2) ALARA should be removed is necessary because ‘‘any potential 20 to take into account the ‘‘vast entirely from the regulations. The future accident involving release of literature demonstrating no effects or petitioner argues that ‘‘it makes no sense radioactive materials in the USA would protective effects at relatively low doses to decrease radiation doses that are not likely result in panic evacuation of radiation.’’ The NRC has determined only harmless but may be hormetic.’’ because of the LNT—model-based that the petitions met the threshold cancer fears and concerns, resulting in sufficiency requirements for a petition 1 Siegel, Jeffry A., and Welsh, James S.: Does considerable casualties and economic for rulemaking under § 2.802, ‘‘Petition Imaging Technology Cause Cancer? Debunking the damage such as have occurred in Linear No-Threshold Model of Radiation for rulemaking,’’ and the petitions have Carcinogenesis. Technology in Cancer Research & Fukushima.’’ The petitioner further been docketed as PRM–20–28, PRM–20– Treatment 1533034615578011, first published on suggests that the ‘‘recognition of a 29, and PRM–20–30. March 30, 2015 doi:10.1177/1533034615578011. threshold dose by NRC would obviate

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the need for such panic evacuations, enclosure containers (CECs) the availability of information for this associated casualties, and economic surrounding the casks with plain action. You may obtain publicly- harm’’ when radiation is released in the concrete with a minimum available information related to this environment. comprehensive strength of 3000 psi action by any of the following methods: For additional information, see the concrete; strengthening the multi- • Federal Rulemaking Web Site: Go to filed petitions for rulemaking in purpose canister (MPC) guides; and http://www.regulations.gov and search ADAMS under Accession Nos. engineering the guides’ nominal gap for Docket ID NRC–2015–0067. ML15051A503, ML15057A349, and with the MPC to be tighter than the • NRC’s Agencywide Documents ML15075A200. original HI–STORM UMAX Canister Access and Management System Storage System design. (ADAMS): You may access publicly- V. Conclusion DATES: Submit comments by July 23, available documents online in the The NRC will examine the issues 2015. Comments received after this date ADAMS Public Documents collection at raised in PRM–20–28, PRM–20–29, and will be considered if it is practical to do http://www.nrc.gov/reading-rm/ PRM–20–30 to determine whether they so, but the Commission is able to ensure adams.html. To begin the search, select should be considered in rulemaking. consideration only for comments ‘‘ADAMS Public Documents’’ and then The NRC is requesting public comments received on or before this date. select ‘‘Begin Web-based ADAMS on these petitions for rulemaking. ADDRESSES: You may submit comments Search.’’ For problems with ADAMS, Dated at Rockville, Maryland, this 16th day by any of the following methods (unless please contact the NRC’s Public of June, 2015. this document describes a different Document Room (PDR) reference staff at For the Nuclear Regulatory Commission. method for submitting comments on a 1–800–397–4209, (301) 415–4737, or by Annette L. Vietti-Cook, specific subject): email to [email protected]. For the • convenience of the reader, instructions Secretary of the Commission. Federal Rulemaking Web Site: Go to about obtaining materials referenced in [FR Doc. 2015–15441 Filed 6–22–15; 8:45 am] http://www.regulations.gov and search for Docket ID NRC–2015–0067. Address this document are provided in the BILLING CODE 7590–01–P questions about NRC dockets to Carol ‘‘Availability of Documents’’ section. • Gallagher; telephone: (301) 415–3463; NRC’s PDR: You may examine and purchase copies of public documents at NUCLEAR REGULATORY email: [email protected]. For the NRC’s PDR, Room O1–F21, One COMMISSION technical questions, contact the individual listed in the FOR FURTHER White Flint North, 11555 Rockville 10 CFR Part 72 INFORMATION CONTACT section of this Pike, Rockville, Maryland 20852. document. B. Submitting Comments [NRC–2015–0067] • Email comments to: Please include Docket ID NRC–2015– RIN 3150–AJ58 [email protected]. If you do not receive an automatic email reply 0067 in the subject line of your List of Approved Spent Fuel Storage confirming receipt, then contact us at comment submission. The NRC cautions you not to include Casks: Holtec International HI–STORM (301) 415–1677. UMAX Canister Storage System, • Fax comments to: Secretary, U.S. identifying or contact information that Certificate of Compliance No. 1040, Nuclear Regulatory Commission at (301) you do not want to be publicly Amendment No. 1 415–1101. disclosed in your comment submission. • Mail comments to: Secretary, U.S. The NRC will post all comment AGENCY: Nuclear Regulatory Nuclear Regulatory Commission, submissions at http:// Commission. Washington, DC 20555–0001, ATTN: www.regulations.gov as well as enter the ACTION: Proposed rule. Rulemakings and Adjudications Staff. comment submissions into ADAMS. • Hand deliver comments to: 11555 The NRC does not routinely edit SUMMARY: The U.S. Nuclear Regulatory Rockville Pike, Rockville, Maryland comment submissions to remove Commission (NRC) is proposing to identifying or contact information. amend its spent fuel storage regulations 20852, between 7:30 a.m. and 4:15 p.m. (Eastern Time) Federal workdays; If you are requesting or aggregating by revising the Holtec International, Inc. comments from other persons for (Holtec), HI–STORM (Holtec telephone: (301) 415–1677. For additional direction on obtaining submission to the NRC, then you should International Storage Module) information and submitting comments, inform those persons not to include Underground Maximum Capacity see ‘‘Obtaining Information and identifying or contact information that (UMAX) Canister Storage System listing Submitting Comments’’ in the they do not want to be publicly within the ‘‘List of approved spent fuel SUPPLEMENTARY INFORMATION section of disclosed in their comment submission. storage casks’’ to add Amendment No. 1 this document. Your request should state that the NRC to Certificate of Compliance (CoC) No. does not routinely edit comment 1040. Amendment No. 1 provides a FOR FURTHER INFORMATION CONTACT: Solomon Sahle, Office of Nuclear submissions to remove such information seismically enhanced version of the HI– before making the comment STORM UMAX Canister Storage Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, submissions available to the public or System, identified as the ‘‘Most Severe entering the comment into ADAMS. Earthquake (MSE)’’ version that could Washington, DC 20555–0001; telephone: be used in areas with higher seismic (301) 415–3781; email: Solomon.Sahle@ II. Procedural Background demands than those analyzed nrc.gov. This proposed rule is limited to the previously. Amendment No. 1 also SUPPLEMENTARY INFORMATION: changes contained in Amendment No. 1 includes minor physical design changes I. Obtaining Information and to CoC No. 1040 and does not include to help ensure structural integrity of the Submitting Comments other aspects of the Holtec HI–STORM amended system. These are the addition UMAX Canister Storage System. of a hold-down system to the closure A. Obtaining Information Because the NRC considers this action lid; replacing the fill material in the Please refer to Docket ID NRC–2015– noncontroversial and routine, the NRC interstitial spaces between the cavity 0067 when contacting the NRC about is publishing this proposed rule

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concurrently with a direct final rule in (2) The comment proposes a change publishing a final rule which added a the Rules and Regulations section of this or an addition to the rule, and it is new subpart K in part 72 of Title 10 of issue of the Federal Register. The direct apparent that the rule would be the Code of Federal Regulations (10 final rule will become effective on ineffective or unacceptable without CFR) entitled, ‘‘General License for September 8, 2015. However, if the NRC incorporation of the change or addition. Storage of Spent Fuel at Power Reactor receives significant adverse comments (3) The comment causes the NRC staff Sites’’ (55 FR 29181; July 18, 1990). This on this proposed rule by July 23, 2015, to make a change (other than editorial) rule also established a new subpart L in then the NRC will publish a document to the rule, CoC, or Technical 10 CFR part 72 entitled, ‘‘Approval of that withdraws the direct final rule. If Specifications (TSs). Spent Fuel Storage Casks,’’ which the direct final rule is withdrawn, the For additional procedural information contains procedures and criteria for NRC will address the comments and the regulatory analysis, see the obtaining NRC approval of spent fuel received in response to these proposed direct final rule published in the Rules storage cask designs. The NRC revisions in a subsequent final rule. and Regulations section of this issue of subsequently issued a final rule on Absent significant modifications to the the Federal Register. March 6, 2015 (80 FR 12073), as proposed revisions requiring corrected on March 25, 2015 (80 FR III. Background republication, the NRC will not initiate 15679), that approved the HI–STORM a second comment period on this action Section 218(a) of the Nuclear Waste UMAX Canister Storage System design in the event the direct final rule is Policy Act (NWPA) of 1982, as and added it to the list of NRC-approved withdrawn. amended, requires that ‘‘the Secretary cask designs in 10 CFR 72.214 as CoC A significant adverse comment is a [of the U.S. Department of Energy] shall No. 1040. establish a demonstration program, in comment where the commenter IV. Plain Writing explains why the rule would be cooperation with the private sector, for inappropriate, including challenges to the dry storage of spent nuclear fuel at The Plain Writing Act of 2010 (Pub. the rule’s underlying premise or civilian nuclear power reactor sites, L. 111–274) requires Federal agencies to approach, or would be ineffective or with the objective of establishing one or write documents in a clear, concise, unacceptable without a change. A more technologies that the [U.S. Nuclear well-organized manner that also follows comment is adverse and significant if: Regulatory] Commission may, by rule, other best practices appropriate to the approve for use at the sites of civilian (1) The comment opposes the rule and subject or field and the intended nuclear power reactors without, to the provides a reason sufficient to require a audience. The NRC has written this maximum extent practicable, the need substantive response in a notice-and- document to be consistent with the for additional site-specific approvals by comment process. For example, a Plain Writing Act as well as the the Commission.’’ Section 133 of the substantive response is required when: Presidential Memorandum, ‘‘Plain NWPA states, in part, that ‘‘[t]he Language in Government Writing,’’ (a) The comment causes the NRC staff Commission shall, by rule, establish published June 10, 1998 (63 FR 31883). to reevaluate (or reconsider) its position procedures for the licensing of any The NRC requests comment on the or conduct additional analysis; technology approved by the proposed rule with respect to clarity (b) The comment raises an issue Commission under Section 219(a) [sic: and effectiveness of the language used. serious enough to warrant a substantive 218(a)] for use at the site of any civilian V. Availability of Documents response to clarify or complete the nuclear power reactor.’’ record; or To implement this mandate, the The documents identified in the (c) The comment raises a relevant Commission approved dry storage of following table are available to issue that was not previously addressed spent nuclear fuel in NRC-approved interested persons through one or more or considered by the NRC staff. casks under a general license by of the following methods, as indicated.

Adams accession No./ Web link/ Document Federal Register citation

Proposed CoC No. 1040, Amendment No. 1 ...... ML15070A151 Appendix A of Proposed TS ...... ML15070A153 Appendix B of Proposed TS ...... ML15070A152 Preliminary SER ...... ML15070A149 Request for Amendment Application dated July 11, 2014 ...... ML14202A029 Supplemental Information for Proposed Action dated October 31, 2014 ...... ML14308A164

The NRC may post materials related frequently you would like to receive For the reasons set out in the to this document, including public emails (daily, weekly, or monthly). preamble and under the authority of the comments, on the Federal Rulemaking Atomic Energy Act of 1954, as amended; List of Subjects in 10 CFR Part 72 Web site at http://www.regulations.gov the Energy Reorganization Act of 1974, under Docket ID NRC–2015–0067. The Administrative practice and as amended; the Nuclear Waste Policy Federal Rulemaking Web site allows procedure, Criminal penalties, Act of 1982, as amended; and 5 U.S.C. you to receive alerts when changes or Manpower training programs, Nuclear 552 and 553; the NRC is proposing to additions occur in a docket folder. To materials, Occupational safety and adopt the following amendments to 10 subscribe: (1) Navigate to the docket health, Penalties, Radiation protection, CFR part 72. folder (NRC–2015–0067); (2) click the Reporting and recordkeeping ‘‘Sign up for Email Alerts’’ link; and (3) requirements, Security measures, Spent enter your email address and select how fuel, Whistleblowing.

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PART 72—LICENSING DEPARTMENT OF ENERGY and/or RIN in the subject line of the REQUIREMENTS FOR THE message. INDEPENDENT STORAGE OF SPENT 10 CFR Parts 429 and 431 3. Mail: Ms. Brenda Edwards, U.S. NUCLEAR FUEL, HIGH-LEVEL Department of Energy, Building RADIOACTIVE WASTE, AND [Docket No. EERE–2014–BT–TP–0055] Technologies office, Mailstop EE–5B, 1000 Independence Avenue SW., REACTOR-RELATED GREATER THAN RIN 1904–AD41 CLASS C WASTE Washington, DC 20585–0121. If Energy Conservation Program: Test possible, please submit all items on a ■ 1. The authority citation for part 72 Procedures for Commercial Prerinse compact disk (CD), in which case it is continues to read as follows: Spray Valves not necessary to include printed copies. Authority: Atomic Energy Act secs. 51, 53, 4. Hand Delivery/Courier: Ms. Brenda AGENCY: 57, 62, 63, 65, 69, 81, 161, 182, 183, 184, 186, Office of Energy Efficiency and Edwards, U.S. Department of Energy, 187, 189, 223, 234, 274 (42 U.S.C. 2071, 2073, Renewable Energy, Department of Building Technologies Office, 950 2077, 2092, 2093, 2095, 2099, 2111, 2201, Energy. L’Enfant Plaza SW., Suite 600, 2232, 2233, 2234, 2236, 2237, 2239, 2273, ACTION: Notice of proposed rulemaking Washington, DC 20024. Telephone: 2282, 2021); Energy Reorganization Act secs. and announcement of public meeting. (202) 586–2945. If possible, please 201, 202, 206, 211 (42 U.S.C. 5841, 5842, submit all items on a CD, in which case 5846, 5851); National Environmental Policy SUMMARY: The U.S. Department of it is not necessary to include printed Act sec. 102 (42 U.S.C. 4332); Nuclear Waste Energy (DOE) proposes to amend the copies. Policy Act secs. 131, 132, 133, 135, 137, 141, test procedures for commercial prerinse For detailed instructions on 148 (42 U.S.C. 10151, 10152, 10153, 10155, spray valves to consider the latest 10157, 10161, 10168); Government submitting comments and additional Paperwork Elimination Act sec. 1704 (44 version of the industry standard that is information on the rulemaking process, U.S.C. 3504 note); Energy Policy Act of 2005, incorporated by reference and to see section V of this document (Public Pub. L. 109–58, 119 Stat. 788 (2005). consider a procedure for measuring the Participation). spray force. DOE also proposes to revise Section 72.44(g) also issued under Nuclear Docket: The docket, which includes Waste Policy Act secs. 142(b) and 148(c), (d) the definition of commercial prerinse Federal Register notices, public meeting (42 U.S.C. 10162(b), 10168(c), (d)). spray valve and the current test attendee lists and transcripts, Section 72.46 also issued under Atomic procedure as they relate to various spray comments, and other supporting Energy Act sec. 189 (42 U.S.C. 2239); Nuclear valves currently on the market, documents/materials, is available for Waste Policy Act sec. 134 (42 U.S.C. 10154). including those with multiple spray review at www.regulations.gov. All Section 72.96(d) also issued under Nuclear patterns. DOE does not believe the documents in the docket are listed in Waste Policy Act sec. 145(g) (42 U.S.C. proposed changes will affect the the regulations.gov index. However, 10165(g)). measured water use. As part of this some documents listed in the index, Subpart J also issued under Nuclear Waste proposal, DOE is announcing a public Policy Act secs. 117(a), 141(h) (42 U.S.C. such as those containing information 10137(a), 10161(h)). meeting to collect comments and data that is exempt from public disclosure, Subpart K also issued under Nuclear Waste on its proposal. may not be publicly available. Policy Act sec. 218(a) (42 U.S.C. 10198). DATES: DOE will hold a public meeting A link to the docket Web page can be on Tuesday, July 28, 2015 from 9:00 found at: www1.eere.energy.gov/ ■ 2. In § 72.214, Certificate of a.m. to 12:00 p.m., in Washington, DC. buildings/appliance_standards/ Compliance No. 1040 is revised to read The meeting will also be broadcast as a product.aspx/productid/54. This Web as follows: webinar. See section V, ‘‘Public page will contain a link to the docket for § 72.214 List of approved spent fuel Participation,’’ for instructions and this notice on the www.regulations.gov storage casks. information concerning meeting site. The www.regulations.gov Web page * * * * * attendance and webinar participation. will contain simple instructions on how to access all documents, including Certificate Number: 1040. DOE will accept comments, data, and information regarding this proposed public comments, in the docket. See Initial Certificate Effective Date: April rulemaking before and after the public section V for information on how to 6, 2015. meeting, but no later than September 8, submit comments through Amendment No. 1 Effective Date: 2015. See section V, ‘‘Public regulations.gov. September 8, 2015. Participation,’’ for details. FOR FURTHER INFORMATION CONTACT: Mr. SAR Submitted by: Holtec ADDRESSES: The public meeting will be James Raba, U.S. Department of Energy, International, Inc. held at the U.S. Department of Energy, Office of Energy Efficiency and SAR Title: Final Safety Analysis Forrestal Building, Room 8E–089, 1000 Renewable Energy, Building Report for the Holtec International HI– Independence Avenue SW., Technologies Office, EE–5B, 1000 STORM UMAX Canister Storage Washington, DC 20585. Independence Avenue SW., System. Any comments submitted must Washington, DC 20585–0121. Docket Number: 72–1040. identify the NOPR for test procedures Telephone: (202) 586–8654. Email: Certificate Expiration Date: April 6, for commercial prerinse spray valves, [email protected]. 2035. and provide docket number EERE– Ms. Johanna Hariharan, U.S. Model Number: MPC–37, MPC–89. 2014–BT–TP–0055 and/or Regulation Department of Energy, Office of the Identifier Number (RIN) number 1904– General Counsel, GC–33, 1000 Dated at Rockville, Maryland, this 11th day AD41. Comments may be submitted Independence Avenue SW., of June, 2015. using any of the following methods: Washington, DC 20585–0121. For the Nuclear Regulatory Commission. 1. Federal eRulemaking Portal: Telephone: (202) 287–6307. Email: Mark A. Satorius, www.regulations.gov. Follow the [email protected]. Executive Director for Operations. instructions for submitting comments. For further information about how to [FR Doc. 2015–15474 Filed 6–22–15; 8:45 am] 2. Email: SprayValves2014TP0055@ submit a comment, review other public BILLING CODE 7590–01–P ee.doe.gov. Include the docket number comments and the docket, or participate

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in the public meeting, contact Ms. VI. Approval of the Office of the Secretary part that any test procedures prescribed Brenda Edwards at (202) 586–2945 or by I. Authority and Background or amended under this section shall be email: [email protected]. reasonably designed to produce test Title III of the Energy Policy and SUPPLEMENTARY INFORMATION: DOE results which measure energy intends to incorporate by reference the Conservation Act of 1975 (42 U.S.C. efficiency, energy use, or estimated following industry standards into 10 6291, et seq.; ‘‘EPCA’’ or, ‘‘the Act’’) sets annual operating cost of a covered CFR part 431: ASTM Standard F2324– forth a variety of provisions designed to product during a representative average improve energy efficiency.1 Part B of 13, (‘‘ASTM F2324–13’’), ‘‘Standard use cycle or period of use and shall not title III, which for editorial reasons was Test Method for Prerinse Spray Valves’’, be unduly burdensome to conduct. (42 redesignated as Part A upon approved June 1, 2013. U.S.C. 6293(b)(3)) Copies of ASTM Standard F2324–13 incorporation into the U.S. Code (42 In addition, if DOE determines that a can be obtained from ASTM U.S.C. 6291–6309, as codified), test procedure amendment is warranted, International, 100 Barr Harbor Drive, establishes the ‘‘Energy Conservation it must publish proposed test Program for Consumer Products Other West Conshohocken, PA 19428, or by procedures and offer the public an Than Automobiles.’’ The Energy Policy going to http://www.astm.org/Standard/ opportunity to present oral and written Act of 2005, Public Law 109–58 (August standards-and-publications.html. comments. (42 U.S.C. 6293(b)(2)) 8, 2005) amended EPCA to add ‘‘Energy For further discussion of this Finally, in any rulemaking to amend a Conservation Standards For Additional standard, see III.B and IV.M of this test procedure, EPCA requires DOE to Products,’’ which includes commercial proposed rule. determine to what extent, if any, the prerinse spray valves (CPSV), and proposed test procedure would alter the Table of Contents provided the definitions under 42 measured energy efficiency of any U.S.C. 6291(33), test procedures under I. Authority and Background covered product as determined under II. Summary of the Notice of Proposed 42 U.S.C. 6293(b)(14), and energy conservation standards for flow rate the existing test procedure. (42 U.S.C. Rulemaking 6293(e)(1)) If DOE determines that the III. Discussion under 42 U.S.C. 6295(dd). A. Definitions Under EPCA, this program consists amended test procedure would alter the 1. Commercial Prerinse Spray Valve essentially of four parts: (1) Testing, (2) measured efficiency of a covered 2. Normally-Closed Valve labeling, (3) Federal energy and water product, DOE must amend the 3. Spray Force conservation standards, and (4) applicable energy conservation standard B. Industry Standards Incorporated by compliance certification and accordingly. (42 U.S.C. 6293(e)(2)) Reference enforcement procedures. The testing EPCA, as amended, sets forth the C. Proposed Additional Test Methods current maximum flow rate of not more 1. Adding Test Method To Measure Spray requirements consist of test procedures Force that manufacturers of covered products than 1.6 gallons per minute for 2. Multiple Spray Patterns: Adding a must use as the basis for (1) certifying commercial prerinse spray valves. (42 Requirement To Measure Flow Rate and to DOE that their products comply with U.S.C. 6295(dd)) EPCA also requires Spray Force of Each Spray Pattern the applicable energy conservation DOE to use the American Society for D. Rounding Requirements standards adopted under EPCA, and (2) Testing and Materials (ASTM) Standard 1. Flow Rate making representations about the F2324 as a basis for the test procedure 2. Spray Force efficiency of those products. (42 U.S.C. for measuring flow rate. (42 U.S.C. E. Certification, Compliance, and 6293(b)(14)) Enforcement 6293(c), 6295(s)) Similarly, DOE uses 1. Selection of Units to Test these test procedures to determine In the December 8, 2006 final rule, 2. Representative Value Formula compliance with relevant standards DOE incorporated by reference ASTM F. Effective and Compliance Date established under EPCA.2 Standard F2324–03 into regulatory text IV. Procedural Issues and Regulatory Review (10 CFR 431.263), and prescribed it as A. Review Under Executive Order 12866 General Test Procedure Rulemaking the uniform test method to measure B. Review Under the Regulatory Flexibility Process flow rate of commercial prerinse spray Act Under 42 U.S.C. 6293, EPCA sets forth valves under 10 CFR 431.264. 71 FR C. Review Under the Paperwork Reduction criteria and procedures that DOE is 71340, 71374. Later, on October 23, Act of 1995 D. Review Under the National required to follow when prescribing or 2013, DOE incorporated by reference Environmental Policy Act of 1969 amending test procedures for covered ASTM Standard F2324–03 (2009) for E. Review Under Executive Order 13132 products. EPCA provides in relevant testing commercial prerinse spray F. Review Under Executive Order 12988 valves, which updated the 2003 version. G. Review Under the Unfunded Mandates 1 All references to EPCA refer to the statute as 78 FR 62970, 62980. Reform Act of 1995 amended through the American Energy H. Review Under the Treasury and General Manufacturing Technical Corrections Act II. Summary of the Notice of Proposed Government Appropriations Act, 1999 (AEMTCA), Public Law 112–210 (December 18, Rulemaking I. Review Under Executive Order 12630 2012). 2 J. Review Under Treasury and General Because Congress included CPSV in Part A of In this notice of proposed rulemaking Title III of EPCA, the consumer product provisions Government Appropriations Act, 2001 (NOPR), DOE proposes to update 10 of Part A (not the industrial equipment provisions CFR 431.264, ‘‘Uniform test method for K. Review Under Executive Order 13211 of Part A–1) apply to commercial prerinse spray L. Review Under Section 32 of the Federal valves. However, because commercial prerinse the measurement of flow rate for Energy Administration Act of 1974 spray valves are more commonly considered to be commercial prerinse spray valves,’’ as M. Description of Materials Incorporated commercial equipment, as a matter of follows: by Reference administrative convenience and to minimize confusion among interested parties, DOE adopted (1) Incorporate by reference certain V. Public Participation provisions (sections: 6.1–6.9, 9.1– A. Attendance at Public Meeting CPSV provisions into subpart O of 10 CFR part 431 B. Procedure for Submitting Prepared [71 FR 71340, 71374 (Dec. 8, 2006)]. Part 431 9.5.3.2, 10.1–10.2.5, 10.3.1–10.3.8, and contains DOE regulations for commercial and 11.3.1) of the current revision to the General Statement for Distribution industrial equipment. The location of provisions C. Conduct of Public Meeting within the CFR does not affect either their applicable industry standard—ASTM D. Submission of Comments substance or applicable procedure, and DOE refers Standard F2324–13, ‘‘Standard Test E. Issues on Which DOE Seeks Comment to CPSV as either ‘‘products’’ or ‘‘equipment.’’ Method for Prerinse Spray Valves’’—

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pertaining to flow rate and spray force would not be likely to result in the dishwasher, which might spray water measurement; unavailability of any covered product on items that are placed inside for the (2) Modify the current definition of type currently available on the market. purpose of removing food residue. This the term ‘‘commercial prerinse spray 42 U.S.C. 6291(33)(B) EPCA also allows would not be covered under this valve,’’ and add definitions for the terms DOE to modify the CPSV definition to definition because it is not a handheld ‘‘normally-closed valve’’ and ‘‘spray exclude products: (1) That are used for device. Only a handheld device that force;’’ special food service applications; (2) sprays water for the purpose of (3) Modify the current test method for that are unlikely to be widely used in removing food residue before cleaning measuring flow rate to reference conjunction with commercial the items would be covered. sections 10.1–10.2.5 and 11.3.1 of dishwashing and ware washing DOE has observed the existence of ASTM Standard F2324–13; equipment; and (3) to which the products distributed in U.S. commerce (4) Add a test method for measuring application of standards would not with brochures describing them as spray force that references sections result in significant energy savings. ‘‘prerinse spray’’ or ‘‘prerinse spray 10.3.1–10.3.8 of ASTM Standard F2324– As a companion to this test procedure valve,’’ and that are marketed (often by 13; rulemaking, on September 11, 2014, third parties) to rinse dishes before (5) Add a requirement for measuring DOE published in the Federal Register washing, to make a difference in flow rate and spray force of each spray a notice of public meeting and washing dirty dishes, to pre-rinse items pattern for commercial prerinse spray availability of the Framework document in a dish room in preparation for valves with multiple spray patterns; to initiate a rulemaking to consider running them through a commercial (6) Modify the rounding requirement amending the energy conservation dishwasher, or to be used with pre-rinse for flow rate measurement and specify standards for commercial prerinse spray assemblies and/or as ware washing the rounding requirement for spray valves. 79 FR 54213 (Sept. 11, 2014).3 In equipment. DOE has also observed force measurement; and the Framework document, DOE products marketed as ‘‘pull-down (7) Modify the current CPSV sampling explained that it was considering kitchen faucet’’ or ‘‘commercial style requirements to remove the provisions modifying the CPSV definition to prerinse,’’ which generally speaking are related to determining represented change the scope of the products subject handheld devices that can be used for values where consumers would favor to regulation. (Framework document, commercial dishwashing or ware higher values. pp. 2–3) DOE received several washing regardless of installation DOE’s proposed actions are addressed comments in response to the Framework location. DOE proposes to modify the in detail in section III of this NOPR. document about potential modifications definition such that these categories of products would meet the definition of III. Discussion to the current CPSV definition. Alliance for Water Efficiency (AWE) commercial prerinse spray valve and The following sections focus on commented that prerinse spray valves would be subject to the associated DOE’s proposed changes to the test are used in non-prerinse activities (e.g., regulations. Installation location is not a procedure, including definitions, supermarket vegetable displays, pet factor in determining whether a given industry standards incorporated by grooming, etc.), and suggested that non- model meets the definition of reference, modifications to the test prerinse applications be considered commercial prerinse spray valve. procedure, additional test separately from the current CPSV Although DOE understands that measurements, rounding requirements, rulemaking. (Docket No. EERE–2014– manufacturers may market different and certification and compliance BT–STD–0027, AWE, No. 8 at p. 2) categories of prerinse spray valves for requirements. Similarly, T&S Brass and Bronze Works, various uses such as cleaning floors or walls or filling glasses, DOE proposes A. Definitions Inc. (T&S Brass) commented that the CPSV definition should remain specific that any such device that is suitable for In this document, DOE proposes to to the commercial applications use in conjunction with commercial amend the existing definition for currently defined, noting that similar dishwashing and ware washing commercial prerinse spray valve and equipment used in non-CPSV equipment to spray water for the add definitions for the terms ‘‘normally applications may not satisfy CPSV purpose of removing food residue, falls closed valve’’ and ‘‘spray force.’’ A performance requirements. (Docket No. within the CPSV definition. This also detailed discussion of these terms EERE–2014–BT–STD–0027, T&S Brass, includes commercial prerinse spray follows. No. 12 at p. 2) As discussed in the valves with multiple spray patterns. However, spray valves used only for 1. Commercial Prerinse Spray Valve following paragraphs, DOE is proposing to modify the CPSV definition to other purposes, such as spray valves According to EPCA, a commercial redefine the scope of coverage for designed and marketed for use only in prerinse spray valve is a handheld equipment used in conjunction with cleaning custodial materials or washing device designed and marketed for use commercial dishwashing and ware walls and floors would not be covered with commercial dishwashing and ware washing, as authorized under 42 U.S.C. under the definition of commercial washing equipment that sprays water on 6291(33)(B). prerinse spray valves, if they are not dishes, flatware, and other food service EPCA’s definition includes three key suitable for using in conjunction with items for the purpose of removing food elements: ‘‘a handheld device,’’ ‘‘sprays dishwashing or ware washing residue before cleaning the items. (42 water,’’ and ‘‘purpose of removing food equipment to remove food residue. Therefore, after reviewing the current U.S.C. 6291(33)(A), 10 CFR 431.262) residue.’’ Consider a commercial EPCA allows DOE to modify the CPSV CPSV definition and products currently definition to include products: (1) That 3 See Notice of Public Meeting and Availability of being distributed in the market as are used extensively in conjunction Framework document, 79 FR 54213 (Sept. 11, appropriate for dishwashing and ware with commercial dishwashing and ware 2014). See also Docket No. EERE–2014–BT–STD– washing applications, DOE is proposing washing equipment; (2) to which the 0027, Framework document, No. 1, available at to replace the phrase ‘‘designed and www.regulations.gov/contentStreamer?objectId= application of standards would result in 0900006481864b06&disposition= marketed for use’’ with the phrase significant energy savings; and (3) to attachment&contentType=pdf (hereinafter ‘‘suitable for use.’’ DOE believes which the application of standards ‘‘Framework document’’). products that are intended for and/or

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actually are used to remove food residue market.4 To the extent that the retain the single product class or to in dishwashing and ware washing definition change would change the establish separate product classes, in applications should be subject to DOE scope of products subject to standards, view of the statutory criteria in 42 standards and certification requirements DOE proposes that any products that U.S.C. 6295(o)(4) and (q). (Framework even if they are marketed without the would be newly within the scope of document, pp. 17–18) term ‘‘commercial dishwashing and coverage would be subject to standards In particular, DOE is considering ware washing equipment.’’ concurrent with the compliance date of using spray force to delineate potential DOE also reviewed the prerinse spray any standards established or revised in product classes when proposing flow valve definition in ASTM Standard the companion standards rulemaking rate standards. As addressed earlier, F2324–13, which defines the term proceeding currently underway. DOE DOE proposes to incorporate by ‘‘prerinse spray valve’’ as ‘‘a handheld seeks comment on the potential for an reference ASTM Standard F2324–13, device containing a release to close expanded scope of coverage resulting which prescribes a test method for mechanism [sic] that is used to spray from this proposed definition and, measuring spray force. water on dishes, flatware, etc.’’ DOE should DOE determine that additional ASTM Standard F2324–13 amends believes that the ‘‘release-to-close’’ products would be subject to standards, ASTM Standard F2324–03 (2009), in mechanism included in the ASTM DOE would include regulatory text in a part, by replacing the cleanability test definition means a manually actuated, final rule in this proceeding making with a spray force test. As previously normally closed valve. DOE believes clear that expanded scope and the mentioned, DOE proposes in this NOPR that this is a typical feature of future compliance date. to incorporate by reference ASTM commercial prerinse spray valves. DOE DOE invites comments from Standard F2324–13 and to add spray has considered whether to include this interested parties about this proposed force testing to the test procedure both feature in the definition or whether this definition. See section V.E.1.a of this to be consistent with current industry would then create a market-incentive to NOPR. practice and support potential amended CPSV standards. The term ‘‘spray force’’ create commercial prerinse spray valves 2. Normally-Closed Valve that do not normally, fully, close. If DOE is defined in ASTM Standard F2324–13 were to include this feature in the If DOE were to adopt a definition of as ‘‘the amount of force exerted onto the definition, DOE prefers the term commercial prerinse spray valve that spray disc.’’ DOE proposes to adopt this ‘‘normally closed,’’ because it refers to included the term ‘‘normally-closed definition. Water measurements for a physical characteristic of the internal valve,’’ DOE would also add a definition force typically use kilogram-force. valve within a CPSV, which is intrinsic of the term ‘‘normally-closed valve.’’ In However, kilograms are not a common to its operation; whereas, ‘‘release-to- the ASTM Standard F2324–13 unit of measurement in the United close’’ refers to a manual action required definition of a commercial prerinse States and are too large for the spray to operate a CPSV, which could create spray valve, the phrase ‘‘. . .containing force exerted by a CPSV. In addition, ambiguity when considering a CPSV a release to close mechanism. . .’’ is ASTM Standard F2324 uses ounce- with an atypical design for manually included. DOE believes that a release to force. Thus, DOE proposes to specify activating the spray valve. Therefore, close mechanism is a common feature of this measurement unit. DOE invites comments about the DOE, in the alternative, proposes to commercial prerinse spray valves that is proposed definition. See section V.E.1.c include the term ‘‘normally closed’’ in better described by the term ‘‘normally- of this NOPR. an amended CPSV definition. closed valve.’’ Unlike the term ‘‘release- In summary, DOE proposes to define to-close,’’ the term ‘‘normally-closed B. Industry Standards Incorporated by ‘‘commercial prerinse spray valve’’ as ‘‘a valve’’ is more commonly used in Reference handheld device suitable for use with hydraulic engineering and characterizes the valve itself, rather than the actuation EPCA prescribes that the test commercial dishwashing and ware procedure for measuring flow rate for washing equipment for the purpose of mechanism. Therefore, DOE proposes to define commercial prerinse spray valves be removing food residue before cleaning ‘‘normally-closed valve’’ as ‘‘a valve that based on ASTM Standard F2324, the items.’’ In the alternative, DOE opens when an external force is exerted ‘‘Standard Test Method for Pre-Rinse would consider defining ‘‘commercial upon it and automatically closes when Spray Valves.’’ (42 U.S.C. 6293(14)) prerinse spray valve’’ as ‘‘a handheld the external force is removed.’’ Pursuant to this statutory requirement, device containing a normally closed DOE invites comments about the DOE incorporated by reference ASTM valve that is suitable for use with proposed definition. See section V.E.1.b Standard F2324–03 in a final rule commercial dishwashing and ware of this NOPR. published on December 8, 2006. 71 FR washing equipment for the purpose of 71340, 71374. DOE last updated its removing food residue before cleaning 3. Spray Force CPSV test procedure to reference the the items.’’ In this NOPR, DOE also proposes to updated ASTM Standard F2324–03 DOE preliminarily concludes that this add a definition for the term ‘‘spray (2009) in a final rule published on proposed definition would satisfy the force.’’ Currently, all commercial October 23, 2013. 78 FR 62970, 62980. requirements at 42 U.S.C. 6291(33)(B) prerinse spray valves belong to one EPCA directs the Secretary of Energy because (1) the products covered by this product class and are subject to a single to review test procedures for all covered definition are used extensively in standard. (10 CFR 431.266) As part of products at least once every 7 years, and conjunction with commercial the ongoing CPSV standards rulemaking either to (1) amend a test procedure if dishwashing and ware washing (Docket No. EERE–2014–BT–STD– the Secretary determines that the equipment; (2) the application of 0027), DOE is considering whether to amended test procedure would more standards to such products would result accurately or fully produce test results in significant energy savings; and (3) the 4 The analyses of the energy savings potential of which measure energy efficiency, application of standards to such standards and the impact of standards on the energy use, water use, or estimated products would not be likely to result in availability of any covered product type currently on the market are being conducted as part of DOE’s annual operating cost during a the unavailability of any covered concurrent energy conservation standards representative average use cycle, and product type currently available on the rulemaking for commercial prerinse spray valves. shall not be unduly burdensome to

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conduct; or (2) publish a notice in the user expectations at locations where commercial prerinse spray valves, and Federal Register of any determination only 40 or 35 psi is available. (Docket higher pressures result in higher flow not to amend a test procedure. (42 No. EERE–2014–BT–STD–0027, rates. Nevertheless, testing at a single U.S.C. 6293(b)(1)(A)) Advocates, No. 11 at p. 2) 7 Similarly, specific supply pressure to demonstrate In 2013, ASTM amended Standard AWE suggested that 50 percent of all compliance with the maximum F2324–03 (2009) to replace the DOE testing of commercial prerinse allowable flow rate would enable a user cleanability test with a spray force test, spray valves be conducted on food to compare different commercial based on research conducted by the U.S. service installations, to account for prerinse spray valves at this pressure, Environmental Protection Agency’s various supply pressures. (Docket No. thus reducing testing burden. DOE has (EPA’s) WaterSense® program.5 Where EERE–2014–BT–STD–0027, AWE, No. 8 also reviewed the American Society of the cleanability test evaluated cleaning at p. 4). Nevertheless, AWE also Mechanical Engineers (ASME) Standard time of a standard dinner plate, the supported use of the ASTM Standard A112.18.1–2012, ‘‘Plumbing Supply current ASTM Standard F2324–13 F2324–13 test procedure and testing at Fittings,’’ which contains testing prescribes spray force, measured in a supply pressure of 60 psi. (Docket No. parameters for other plumbing products, ounce-force (ozf).6 In addition, where EERE–2014–BT–STD–0027, AWE, No. 8 such as faucets and showerheads, and ASTM Standard F2324–03 (2009) at p. 2) found that it requires testing at lower required measuring the prerinse spray DOE understands that supply supply pressures only when valve flow rate at water pressures of pressures vary across the country. Some determining a minimum flow rate. In both 60 ± 1 pounds per square inch (psi) pressures are lower and some are higher contrast, ASTM Standard F2324–13 and 60 ± 2 psi (in sections 4.2 and than the 60 psi test pressure prescribed prescribes the commercial prerinse 10.2.2, respectively), ASTM Standard in ASTM Standard F2324–13. Limited spray valve flow rate to be measured at F2324–13 requires measuring research by DOE suggests that supply a supply pressure of 60 ± 2 psi to commercial prerinse spray valve flow pressures vary at the municipal level determine only the maximum flow rate. rate only at 60 ± 2 psi. across the nation, and at the facility DOE proposes to test commercial In that rulemaking, DOE received a level within a building. Typical range of prerinse spray valves at a flowing number of comments related to the test acceptable water pressure is between 35 supply pressure of 60 ± 2 psi, as procedure in response to the September psi to 80 psi.89 DOE also notes that required by ASTM Standard F2324–13. 2014 Framework document. A joint facilities in a field study conducted by DOE has also identified other comment submitted by the Natural WaterSense in support of their differences between ASTM Standard Resources Defense Council (NRDC), specification for commercial prerinse F2324–03 (2009) and ASTM Standard Appliance Standards Awareness Project spray valves showed a pressure range F2324–13, which include: (1) Minimum (ASAP), and Alliance to Save Energy between 38 psi and 83 psi.10 flow rate of flex tubing, (2) water (ASE) (collectively referred to as DOE understands that supply temperature for testing, and (3) length of ‘‘Advocates’’) expressed concern that pressures affect the flow rate of a water pipe required to be insulated. commercial prerinse spray valves commercial prerinse spray valve once Table III.1 summarizes changes between designed ‘‘to the test’’ to meet efficiency installed. Typically, lower pressures ASTM Standard F2324–03 (2009) and standards at 60 psi may perform below result in lower flow rates of the 2013 that apply to DOE’s test procedure.

TABLE III.1—CHANGES TO ASTM STANDARD F2324

ASTM Standard ASTM Standard F2324–2003 (2009) F2324–2013

Flow rate of flex tubing ...... 7 gpm ...... 3.5 gpm. Water temperature for testing 120 ± 4 °F ...... 60 ± 10 °F. Length of water pipe to be in- Any insulation to have a thermal resistance (R) of 4 °F × ft 2 × h/Btu for the entire length No requirement. sulated. of the water pipe, from the mixing valve to the inlet of the flex tubing.

Section 9.1 of ASTM Standard F2324– rate of the prerinse spray valve. The rate of the tubing should not affect the 13 reduced the minimum required flow required flow rate for commercial measurement of the flow rate of the rate of the flex tubing when no prerinse spray valves under 10 CFR commercial prerinse spray valve. DOE commercial prerinse spray valve is 431.266 is less than the flow rate of the believes that the flex tubing flow rate connected from 7 gpm to 3.5 gpm. flex tubing specified in the ASTM change from 7 gpm to 3.5 gpm (ATSM ASTM Standard F2324–13 includes a standards. Therefore, because the test Standard F2324–2003 (2009) and 2013, note (#3) that a minimum flow rate for procedure measures the flow rate of the respectively) will have no effect on the the tubing is specified to prevent the commercial prerinse spray valve, which measured water consumption under the flexible tubing from dictating the flow is connected after the tubing, the flow DOE test procedure. Accordingly, DOE

5 EPA WaterSense program, September 19, 2013. 7 A notation in this form provides a reference for 8 Friedman et.al. 2010. Criteria for Optimized WaterSense Specification for Commercial Pre-Rinse information that is in the docket of DOE’s Distribution Systems. Water Research Foundation. Spray Valves Supporting Statement, Version 1.0. rulemaking to develop energy conservation Denver, CO. _ (see: www.epa.gov/watersense/partners/prsv standards for commercial prerinse spray valves 9 International Association of Plumbing and final.html). (Docket No. EERE–2014–BT–STD–0027), which is Mechanical Officials. Uniform Plumbing Code. 6 The cleanability test and its results were not maintained at www.regulations.gov. This notation 2012. Ontario, Canada. 10 repeatable and reproducible. There also was low indicates that the statement preceding the reference U.S. Environmental Protection Agency’s user satisfaction with valves that scored well on the is document number 11 in the docket for the CPSV (EPA’s) WaterSense Program. Pre-Rinse Spray cleanability test. Users indicated that spray force Valves Field Study Report. 2011. pp. 16–17. http:// energy conservation standards rulemaking, and may be a better metric for assessing product www.epa.gov/watersense/docs/final_epa_prsv_ effectiveness. appears at page 2 of that document. study_report_033111v2_508.pdf.

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proposes to adopt section 9.1 of ASTM following sections of ASTM Standard one other variable. T&S Brass Standard F2324–13 for a 3.5 gpm flow F2324–13: 6.1–6.9, 9.1–9.5.3.2, 10.1– mentioned that, depending on rate for flex tubing when not connected 10.2.5, 10.3.1–10.3.8, and 11.3.1 application, spray force is a to the CPSV. (replacing the plural ‘‘nozzles’’ with characteristic that is considered when ASTM Standard F2324–03 (2009) ‘‘nozzle’’), and excluding references to determining commercial prerinse spray required the water temperature for the ‘‘Annex.’’ When ASTM Standard valve performance. (Docket No. EERE– testing to be 120 ± 4 °F. ASTM Standard F2324–03 (2009) was updated to the 2014–BT–STD–0027, T&S Brass, Public F2324–13 reduces to 60 °F with an current 2013 version, certain sections Meeting Transcript, No. 6 at p.52) increased tolerance of ± 10 °F. DOE for measuring flow rate were DOE also found through research that believes that this difference may reflect renumbered. To reflect this spray force is related to the utility of removal of the cleanability test because renumbering, DOE is proposing to commercial prerinse spray valves.11 For water temperature affects cleanability update the current flow rate test method example, a high spray force is required under the old approach/standard but to reference the appropriate sections of to clean heavy stains, such as baked-on not measuring force under the new ASTM Standard F2324–13. The foods, from silverware, dishes, pots, and approach/standard. DOE’s research referenced sections describe the testing pans. By contrast, a commercial prerinse indicates that measurements of flow rate apparatus, test method, and calculations spray valve with lower spray force may and spray force will be the same under pertaining to flow-rate measurement. be sufficient for food service either water temperature. Because the establishments where baked-on foods temperature will not affect these C. Proposed Additional Test Methods are less common. T&S Brass stated that measurements, DOE proposes to 1. Adding Test Method To Measure applications of commercial prerinse incorporate the temperature Spray Force spray valves range from light rinsing to requirements from ASTM Standard heavy-duty cleaning. Heavy-duty F2324–13 (section 10.2.2) into the DOE As described previously, ASTM Standard F2324–13 includes a test for cleaning applications require more test procedure for commercial prerinse spray force than light rinsing. (Docket spray valves. measuring the spray force of a commercial prerinse spray valve. The No. EERE–2014–BT–STD–0027, T&S Additionally, ASTM Standard F2324– Brass, Public Meeting Transcript, No. 6 13 removes the ASTM Standard F2324– test is conducted by mounting a 10-inch rigid disc to a force gauge, located eight at p. 40–41) 03 (2009) requirement for any insulation Spray force also is important because ° inches from the prerinse spray valve, as to have a thermal resistance (R) of 4 F a WaterSense field study found that low × 2 × shown in Figure 4 in section 9.5.2 of ft h/Btu for the entire length of the water pressure, or spray force, is a ASTM Standard F2324–13. The plate is water pipe, from the mixing valve to the source of user dissatisfaction. mounted in a vertical orientation inlet of the flex tubing. ASTM Standard WaterSense evaluated 14 commercial ° parallel to the face of the commercial F2324–03 required using 120 F water; prerinse spray valve models and prerinse spray valve. After water flow is however, ASTM Standard F2324–13 collected 56 customer satisfaction ° initiated, the water exits the commercial requires using 60 F water. DOE believes reviews, of which nine were prerinse spray valve and strikes the ASTM removed the insulation unsatisfactory. Seven of the nine disc, creating a force on the disc, which requirement in 2013 in conjunction unsatisfactory scores were attributed, in turn depresses the force gauge. The with the water temperature reduction among other factors, to the pressure average force gauge measurement over a because the insulation is unnecessary (here, the subjective, user-perceived 15-second period is recorded. when the test water temperature is 60 force) of the spray.12 DOE, however, °F. Insulating the water pipe from the During the September 30, 2014 Framework public meeting regarding proposes to measure spray force mixing valve to the inlet of the flex objectively, as in ASTM Standard tubing is not required with 60 °F water the energy conservation standards for commercial prerinse spray valves, DOE F2324–13. because the water is below room In summary, spray force is a invited comment on using spray force as temperature. DOE believes that characteristic essential to evaluating the a potential characteristic by which to removing the requirement to insulate performance of commercial prerinse separate product classes (Framework the water pipe will have no effect on the spray valves because there is a document, pp.17–18; Docket No. EERE– measurement of either the flow rate or relationship between spray force and 2014–BT–STD–0027, Public Meeting spray force because insulation only both the application of a commercial Transcript, No. 6 at p.38). DOE also affects temperature, not water flow rate. prerinse spray valve and user invited comments about an alternative DOE thus proposes to adopt the change satisfaction. As a result, DOE proposes metric for spray force, gallons per not to require insulation. to incorporate by reference the spray Finally, Section 4.1 Summary of Test minute divided by ounce-force (gpm/ force test method contained in sections Method, of ASTM Standard F2324–13 ozf). (Framework Document, p. 3) 10.3.1–10.3.8 of ASTM Standard F2324– states, ‘‘If the measured flow rate is not Comments from interested parties 14 into the DOE commercial prerinse within 5 percent of the rated flow rate, during the Framework public meeting, spray valve test procedure. DOE seeks all further testing ceases and the comments submitted to the EPA manufacturer is contacted. The WaterSense program, and other research 11 EPA WaterSense. Response to Public manufacturer may make appropriate by DOE indicate that spray force is an Comments Received on February 2013 WaterSense changes or adjustments to the prerinse important characteristic in defining the Draft Specification for Commercial Pre-Rinse Spray spray valve.’’ DOE notes that it is not performance of a commercial prerinse Valves, 5–7. September 19, 2013. United States incorporating this section of ASTM spray valve because it relates to the Environmental Protection Agency http:// www.epa.gov/watersense/docs/prsv_finalspec_ Standard F2324–13 into the DOE test product’s application and user publiccommentresponse_09.19.13_final_508.pdf procedure. satisfaction. During the Framework (accessed May. 20, 2015). In view of all the above, to align with public meeting, T&S Brass stated that 12 EPA WaterSense. Pre-Rinse Spray Valves Field current industry practice and to be the maximum technologically feasible Study Report, pages 24–25. March 31, 2011. United States Environmental Protection Agency consistent with test procedure model (max-tech model) performance www.epa.gov/watersense/docs/final_epa_prsv_ requirements under EPCA, DOE should not be evaluated solely based on study_report_033111v2_508.pdf (accessed Oct. 31, proposes to incorporate by reference the flow rate, but should include at least 2014).

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comment on the addition of the spray 2. Spray Force consumption (gpm) rather than water force test method. See section V.E.2 of Section 11.4.2 of the ASTM Standard efficiency, customers would favor a this NOPR. F2324–13 specifies that the spray force lower value. Therefore, the LCL formula in 10 CFR 429.51(a)(2)(ii) is 2. Multiple Spray Patterns: Adding a is rounded to one decimal place. DOE unnecessary. DOE proposes to remove Requirement To Measure Flow Rate and proposes to adopt the same spray force the LCL formula from the sampling plan Spray Force of Each Spray Pattern rounding requirements (i.e., one decimal place) in newly created 10 CFR for the selection of units for testing and DOE has identified several 431.264(b)(2). retain only the provision for a UCL commercial prerinse spray valves on the DOE seeks comment about the under 10 CFR 429.51(a)(2)(i). DOE seeks market with multiple spray patterns. On proposed rounding requirements for comment about amending 10 CFR average, these prerinse spray valves flow rate and spray force. See section 429.51(a)(2)(ii) by removing the formula provide up to three spray patterns. V.E.4 of this NOPR. for LCL. See section V.E.5 of this NOPR. DOE’s research showed a maximum F. Effective and Compliance Date number of five spray patterns for E. Certification, Compliance, and commercial prerinse spray valves. Each Enforcement In view of the above, any amendments spray pattern is obtained by turning the 1. Selection of Units to Test to the commercial prerinse spray valve adjustable spray head to select one of test procedure, under 10 CFR 431.264, DOE proposes to retain the existing the available spray patterns at a time. would become effective 30 days after CPSV sampling plan at 10 CFR For these commercial prerinse spray the date of the final rule. 429.51(a). CPSV testing is subject to Representations would be required to be valves, each spray pattern can be used DOE’s general certification regulations in distinct prerinsing applications. The based on the amended test procedure at 10 CFR 429.11. These require a 180 days after the effective date. applications range from washing off manufacturer to randomly select and baked-on food to light washing, as each test a sample of sufficient size to ensure IV. Procedural Issues and Regulatory spray pattern can provide different flow that the represented value of water Review rates and spray forces. consumption adequately represents A. Review Under Executive Order 12866 Because a commercial prerinse spray performance of all of the units within valve with multiple spray patterns can the basic model, but no fewer than two The Office of Management and Budget give different flow rates and spray units. 429.11(b). The purposes of these (OMB) has determined that test forces, DOE proposes to test each spray requirements are to achieve a realistic procedure rulemakings do not constitute pattern using the flow rate and spray representation of the water consumption ‘‘significant regulatory actions’’ under force test methods described in sections of the basic model and to mitigate the section 3(f) of Executive Order 12866, III.B and III.C.1, respectively. risk of noncompliance, without Regulatory Planning and Review, 58 FR Additionally, section 10.3.7 from ASTM imposing undue test burden. 51735 (Oct. 4, 1993). Accordingly, this Standard F2324–13, which is Section 8.1 of ASTM Standard F2324– action was not subject to review by the incorporated by reference in this NOPR, 13 requires three representative Office of Information and Regulatory also specifies that force shall be tested production units to be selected for all Affairs (OIRA) in the Office of for each mode (i.e. spray pattern). DOE performance testing. DOE is not Management and Budget. seeks comment about whether proposing to adopt this requirement. manufacturers should be required to test B. Review Under the Regulatory DOE is only proposing to adopt the Flexibility Act commercial prerinse spray valves with testing methodology (i.e., applicable to multiple spray patterns in all spray testing of a unit)—not the rating The Regulatory Flexibility Act (5 pattern modes. See section V.E.3 of this methodology (i.e., applicable to a basic U.S.C. 601 et seq.) requires preparation NOPR. model)—found in ASTM Standard of an initial regulatory flexibility analysis (IRFA) for any rule that by law D. Rounding Requirements F2324–13. Accordingly, where ASTM Standard F2324–13 references testing of must be proposed for public comment, 1. Flow Rate multiple units, DOE proposes to unless the agency certifies that the rule, if promulgated, will not have a DOE proposes to change the rounding incorporate by reference the standard significant economic impact on a requirements for recording flow rate subject to the limitation that the DOE substantial number of small entities. As measurements from one decimal place test procedure applies to testing of one required by Executive Order 13272, to two decimal places. Currently, 10 unit in each sample set (e.g., product ‘‘Proper Consideration of Small Entities CFR 431.264(b) requires rounding to one class). in Agency Rulemaking,’’ 67 FR 53461 decimal place. However, the current 2. Representative Value Formula (Aug. 16, 2002), DOE published WaterSense standard for commercial DOE proposes to revise the statistical procedures and policies on February 19, prerinse spray valves is rounded to two methods for certification, compliance, 2003, to ensure that the potential decimal places (1.28 gpm).13 DOE and enforcement for commercial impacts of its rules on small entities are believes that rounding to one decimal prerinse spray valves in 10 CFR properly considered during the DOE place is insufficiently precise for the 429.51(a)(2). Currently, 10 CFR rulemaking process. 68 FR 7990. DOE low magnitude flow rate measurements 429.51(a)(2)(i) and (ii) provide that for has made its procedures and policies that may be needed for the forthcoming any represented value of water available on the Office of the General energy conservation standard. consumption of a basic model for which Counsel’s Web site: http://energy.gov/ Therefore, DOE proposes to amend the consumers would favor lower values, gc/office-general-counsel. flow rate measurement rounding the upper confidence level (UCL) is The potential burden on requirements to two decimal places. used and where consumers would favor manufacturers related to commercial higher values, the lower confidence prerinse spray values has been analyzed 13 U.S. Environmental Protection Agency’s in previous rules. The following (EPA’s) WaterSense program, September 9, 2013. limit (LCL) is used. Where the standard WaterSense Specification for Commercial Pre-Rinse for commercial prerinse spray valves is analysis is informed by previous rules, Spray Valves Supporting Statement, Version 1.0. expressed as a maximum rate of water but also includes additional analysis.

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When the DOE test procedure was companies that do not offer commercial divided the average by 1,920 hours per initially adopted in 2006, the test prerinse spray valves covered by this year (40 hours per week for 48 weeks procedure was identical to ENERGY rulemaking, (2) do not meet the per year) to develop an hourly rate of STAR’s test procedure. DOE stated in definition of the term ‘‘small business,’’ $25.43. DOE adjusted the hourly rate by the 2006 test procedure final rule that or (3) are foreign owned and operated. 31 percent to account for benefits, many manufacturers had been As a result of its review, DOE identified resulting in an estimated total hourly redesigning the products covered under eight manufacturers that would be rate of $33.31.18 19 DOE used this hourly that final rule. These products were considered small businesses. The rate to assess the labor costs for testing tested for compliance with existing number of small businesses and the units according to the proposed voluntary performance standards such applicable NAICS code 332919 are amendments to the test procedures. as ENERGY STAR program consistent with the Certification, Currently, 10 CFR 431.264 prescribes requirements, using industry-developed Compliance, and Enforcement final rule measurements for a flow rate, but does test procedures that were the basis for at 76 FR 12422, 12488 (March 7, 2011). not address testing flow rate for the test procedures in the Energy Policy Thus, DOE has determined that commercial prerinse spray valves with Act of 2005 (EPAct 2005). DOE stated amending the test procedures under 10 multiple spray patterns. Instead, it that manufacturers would experience no CFR 431.264 would have minimal, if requires testing to be repeated three additional burdens if DOE adopted the any, effect on covered small businesses, times for the same unit. As such, DOE test procedure (ASTM Standard F2324– and that an IRFA was not needed. believes that testing could be completed 03) referenced in EPAct 2005. 71 FR Table IV.1 lists the eight small in less than an hour per commercial 71340, 71363 (Dec. 8, 2006). In the final businesses covered by this proposed prerinse spray valve. To assess the rule that last updated DOE’s test rulemaking, according to the number of potential burden of the proposed procedure, DOE did not adopt any employees. DOE estimated that the amended test procedures, DOE rounds changes to the referenced test average revenue per small business is the current duration for testing up to a procedure, thus DOE determined that approximately $21 million and the whole hour, for cases where the testing there was no incremental cost burden to combined total annual revenues technician needs to document the manufacturers of commercial prerinse associated with these small businesses results or cannot allot his or her labor spray valves. 78 FR 62970, 62983 (Oct. is about $124 million. Further, DOE hours. In view of the foregoing, DOE 23, 2013). Historically, when DOE has analyzed the CPSV industry to believes that the current testing process adopted the industry’s test procedure, it determine what manufacturers would be costs, on average, are $66.62 for labor has not resulted in any incremental cost covered under a test procedure for a total of two basic models to meet burden to manufacturers of commercial rulemaking, and determined that 8 of the testing requirements of 10 CFR prerinse spray valves. the 11 CPSV manufacturers, or 72 429.11 and 429.51. percent, may qualify as a ‘‘small The proposed amendments to the test For this proposed rule, DOE made business’’ under SBA classification procedures include an additional test inquiry into small business guidelines. for spray force. DOE believes that the manufacturers of commercial prerinse additional time required to test spray spray valves. In its market assessment, TABLE IV.1—SMALL BUSINESS SIZE BY force is not significant but, DOE used public information to identify NUMBER OF EMPLOYEES understandably, the number of spray potential small manufacturers. DOE patterns could potentially increase any reviewed the Department of Energy Number of Number of Percentage testing time. DOE’s review of Compliance Database, individual small of small commercial prerinse spray valves employees businesses businesses company Web sites, and various yielded an average of three patterns per marketing research tools (e.g., Dun and commercial prerinse spray valve. DOE Bradstreet reports, Manta) to create a list 1–10 ...... 1 12.5 21–30 ...... 1 12.5 estimates that the time to measure both of companies that import or otherwise 31–40 ...... 1 12.5 flow rate and spray force for all three manufacture commercial prerinse spray 41–50 ...... 2 25 14 spray patterns to be greater than one valves covered by this rulemaking. 61–70 ...... 1 12.5 hour but typically less than two hours. DOE identified 11 distinct 101–150 ...... 2 25 DOE again presumes that testing staff manufacturers of commercial prerinse may not easily apportion their testing DOE estimated the labor burden spray valves—the smallest business had time between product, and rounds the associated with testing, in view of the two employees and the largest had 237 total testing time to two hours per unit 2012 (most recent) median annual pay employees. tested. Thus, DOE estimates the total for (1) environmental engineering In view of the collected data, DOE labor time to test for two basic models technicians ($45,350), (2) mechanical considered what manufacturers met the of commercial prerinse spray valves engineering technicians ($51,980), and Small Business Administration’s each with multiple spray patterns to be (3) plumbers, pipefitters, and (SBA’s) definition of the term ‘‘small $133.24.20 business’’ as it relates to the North steamfitters ($49,140) for an average annual salary of $48,823.16 17 DOE American Industry Classification 18 Obtained from the Bureau of Labor Statistics. System (NAICS) code 332919 (SBA sets News Release: Employer Cost For Employee Standards_Table.pdf (last accessed February 13, Compensation—December 2012, December 2012. the size standard of 500 or fewer 2015). U.S. Department of Labor. www.bls.gov/ 15 employees), and to screen out (1) 16 U.S. Department of Labor Bureau of Labor news.release/ecec.nr0.htm. Statistics. Occupational Outlook Handbook, 19 Additional benefits include paid leave, 14 The Certification Database is part of DOE’s Architecture and Engineering. www.bls.gov/ooh/ supplemental pay, insurance, retirement and Compliance Certification Management System. See Architecture-and-Engineering/home.htm (last savings, Social Security, Medicare, unemployment www.regulations.doe.gov/certification-data/ (last accessed November 4, 2014). insurance, and workers compensation. accessed November 10, 2014). 17 U.S. Department of Labor Bureau of Labor 20 Basic model means all units of a given type of 15 U.S. Small Business Administration Table of Statistics. Occupational Outlook Handbook, covered product (or class thereof) manufactured by Small Business Size Standards Matched to North Construction and Extraction Occupations. one manufacturer, having the same primary energy American Industry Classification System Codes. See www.bls.gov/ooh/construction-and-extraction/ source, and which have essentially identical www.sba.gov/sites/default/files/files/Size_ home.htm (last accessed November 4, 2014). Continued

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DOE examined the CPSV industry to The collection-of-information ensure meaningful and timely input by identify the manufacturers of requirement for the certification and State and local officials in the commercial prerinse spray valves recordkeeping is subject to review and development of regulatory policies that covered in this NOPR, and determined approval by OMB under the Paperwork have Federalism implications. On that 72 percent of all CPSV Reduction Act (PRA). This requirement March 14, 2000, DOE published a manufacturers could be classified as has been approved by OMB under OMB statement of policy describing the small entities according to SBA control number 1910–1400. Public intergovernmental consultation process classification guidelines. Although 72 reporting burden for the certification is it will follow in the development of percent of the market could be estimated to average 30 hours per such regulations. 65 FR 13735. DOE has considered a significant portion of the response, including the time for examined this proposed rule and has overall industry, DOE believes that reviewing instructions, searching determined that it would not have a small manufacturers would not be existing data sources, gathering and substantial direct effect on the States, on substantially affected by the proposed maintaining the data needed, and the relationship between the national amendments to the test procedure, completing and reviewing the collection government and the States, or on the because there would be no significant of information. distribution of power and incremental costs to any entity. The cost Notwithstanding any other provision responsibilities among the various of testing for each small business of the law, no person is required to levels of government. EPCA governs and analyzed was less than or equal to 0.01 respond to, nor shall any person be prescribes Federal preemption of State percent of revenue for a sample size of subject to a penalty for failure to comply regulations as to energy conservation for two commercial prerinse spray valves. with, a collection of information subject the products that are the subject of this The current industry standard used for to the requirements of the PRA, unless proposed rule. States can petition DOE commercial prerinse spray valves that collection of information displays a for exemption from such preemption to (ASTM Standard F2324–13) requires currently valid OMB Control Number. the extent, and based on criteria, set three representative production models D. Review Under the National forth in EPCA. (42 U.S.C. 6297(d)) No be selected for performance testing. Environmental Policy Act of 1969 further action is required by Executive However, the DOE sample size of a Order 13132. In this proposed rule, DOE proposes minimum of two units remains test procedure amendments that it F. Review Under Executive Order 12988 unchanged with this proposed rule. expects will be used to develop and Therefore, DOE concludes that the cost implement future energy conservation Regarding the review of existing effects accruing from the proposed rule standards for commercial prerinse spray regulations and the promulgation of would not have a ‘‘significant economic valves. DOE has determined that this new regulations, section 3(a) of impact on a substantial number of small rule falls into a class of actions that are Executive Order 12988, ‘‘Civil Justice entities,’’ and that the preparation of an categorically excluded from review Reform,’’ 61 FR 4729 (Feb. 7, 1996), IRFA is not warranted. DOE will submit under the National Environmental imposes on Federal agencies the general a certification and supporting statement Policy Act of 1969 (42 U.S.C. 4321 et duty to adhere to the following of factual basis to the Chief Counsel for seq.) and DOE’s implementing requirements: (1) Eliminate drafting Advocacy of the Small Business regulations at 10 CFR part 1021. errors and ambiguity; (2) write Administration for review under 5 Specifically, this proposed rule would regulations to minimize litigation; (3) U.S.C. 605(b). amend the existing test procedures provide a clear legal standard for DOE seeks comments about whether without affecting the amount, quality or affected conduct rather than a general the proposed test procedure distribution of energy usage, and, standard; and (4) promote simplification amendments would have a significant therefore, would not result in any and burden reduction. Section 3(b) of economic impact on a substantial environmental impacts. Thus, this Executive Order 12988 specifically number of small entities. See section rulemaking is covered by Categorical requires that Executive agencies make V.E.6 of this NOPR. Exclusion A5 under 10 CFR part 1021, every reasonable effort to ensure that the C. Review Under the Paperwork subpart D, which applies to any regulation: (1) Clearly specifies the Reduction Act of 1995 rulemaking that interprets or amends an preemptive effect, if any; (2) clearly existing rule without changing the specifies any effect on existing Federal Manufacturers of commercial prerinse environmental effect of that rule. law or regulation; (3) provides a clear spray valves must certify to DOE that Accordingly, neither an environmental legal standard for affected conduct their products comply with any assessment nor an environmental while promoting simplification and applicable energy conservation impact statement is required. burden reduction; (4) specifies the standards. In certifying compliance, retroactive effect, if any; (5) adequately manufacturers must test their products E. Review Under Executive Order 13132 defines key terms; and (6) addresses according to the DOE test procedures for Executive Order 13132, ‘‘Federalism,’’ other important issues affecting clarity commercial prerinse spray valves, 64 FR 43255 (Aug. 4, 1999) imposes and general draftsmanship under any including any amendments adopted for certain requirements on agencies guidelines issued by the Attorney those test procedures. DOE has formulating and implementing policies General. Section 3(c) of Executive Order established regulations for the or regulations that preempt State law or 12988 requires Executive agencies to certification and recordkeeping that have Federalism implications. The review regulations in light of applicable requirements for all covered consumer Executive Order requires agencies to standards in sections 3(a) and 3(b) to products and commercial equipment, examine the constitutional and statutory determine whether they are met or it is including commercial prerinse spray authority supporting any action that unreasonable to meet one or more of valves. (76 FR 12422 (March 7, 2011)). would limit the policymaking discretion them. DOE has completed the required of the States and to carefully assess the review and determined that, to the electrical, physical, and functional (or hydraulic) extent permitted by law, the proposed characteristics that affect energy consumption, necessity for such actions. The energy efficiency, water consumption, or water Executive Order also requires agencies rule meets the relevant standards of efficiency. (10 CFR 431.262) to have an accountable process to Executive Order 12988.

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G. Review Under the Unfunded (March 18, 1988) that this regulation L. Review Under Section 32 of the Mandates Reform Act of 1995 would not result in any takings that Federal Energy Administration Act of Title II of the Unfunded Mandates might require compensation under the 1974 Reform Act of 1995 (UMRA) requires Fifth Amendment to the U.S. Under section 301 of the Department each Federal agency to assess the effects Constitution. of Energy Organization Act (Pub. L. 95– of Federal regulatory actions on State, J. Review Under Treasury and General 91; 42 U.S.C. 7101), DOE must comply local, and Tribal governments and the Government Appropriations Act, 2001 with section 32 of the Federal Energy private sector. Public Law 104–4, sec. Administration Act of 1974, as amended 201 (codified at 2 U.S.C. 1531). For a Section 515 of the Treasury and by the Federal Energy Administration proposed regulatory action likely to General Government Appropriations Authorization Act of 1977. (15 U.S.C. result in a rule that may cause the Act, 2001 (44 U.S.C. 3516 note) provides 788; FEAA) Section 32 essentially expenditure by State, local, and Tribal for agencies to review most provides in relevant part that, where a governments, in the aggregate, or by the disseminations of information to the proposed rule authorizes or requires use private sector of $100 million or more public under guidelines established by of commercial standards, the notice of in any one year (adjusted annually for each agency pursuant to general proposed rulemaking must inform the inflation), section 202 of UMRA requires guidelines issued by OMB. OMB’s public of the use and background of a Federal agency to publish a written guidelines were published at 67 FR such standards. In addition, section statement that estimates the resulting 8452 (Feb. 22, 2002), and DOE’s 32(c) requires DOE to consult with the costs, benefits, and other effects on the guidelines were published at 67 FR Attorney General and the Chairman of national economy. (2 U.S.C. 1532(a), (b)) 62446 (Oct. 7, 2002). DOE has reviewed the Federal Trade Commission (FTC) The UMRA also requires a Federal this proposed rule under the OMB and concerning the impact of the agency to develop an effective process DOE guidelines and has concluded that commercial or industry standards on competition. to permit timely input by elected it is consistent with applicable policies The proposed rule incorporates officers of State, local, and Tribal in those guidelines. governments on a proposed ‘‘significant testing methods contained in the intergovernmental mandate,’’ and K. Review Under Executive Order 13211 following commercial standards: ASTM requires an agency plan for giving notice F2324–13, Standard Test Method for and opportunity for timely input to Executive Order 13211, ‘‘Actions Prerinse Spray Valves, sections 6.1–6.9, potentially affected small governments Concerning Regulations That 9.1–9.5.3.2, 10.1–10.2.5, 10.3.1–10.3.8, before establishing any requirements Significantly Affect Energy Supply, 11.3.1 (replacing ‘‘nozzles’’ with that might significantly or uniquely Distribution, or Use,’’ 66 FR 28355 (May ‘‘nozzle’’), and disregarding references affect small governments. On March 18, 22, 2001), requires Federal agencies to to the Annex. DOE has evaluated these 1997, DOE published a statement of prepare and submit to OMB, a standards and is unable to conclude policy on its process for Statement of Energy Effects for any whether they fully comply with the intergovernmental consultation under proposed significant energy action. A requirements of section 32(b) of the UMRA. 62 FR 12820; also available at ‘‘significant energy action’’ is defined as FEAA, (i.e., that they were developed in http://energy.gov/gc/office-general- any action by an agency that a manner that fully provides for public counsel. DOE examined this proposed promulgated or is expected to lead to participation, comment, and review). rule according to UMRA and its promulgation of a final rule, and that: DOE will consult with the Attorney statement of policy and determined that (1) Is a significant regulatory action General and the Chairman of the FTC the rule contains neither an under Executive Order 12866, or any concerning the impact of these test intergovernmental mandate, nor a successor order; and (2) is likely to have procedures on competition prior to mandate that may result in the a significant adverse effect on the prescribing a final rule. expenditure of $100 million or more in supply, distribution, or use of energy; or M. Description of Materials any year, so these requirements do not (3) is designated by the Administrator of Incorporated by Reference apply. OIRA as a significant energy action. For In this NOPR, DOE proposes to H. Review Under the Treasury and any proposed significant energy action, the agency must give a detailed incorporate by reference the test General Government Appropriations standard published by ASTM, titled, Act, 1999 statement of any adverse effects on energy supply, distribution, or use ‘‘Standard Test Method for Prerinse Section 654 of the Treasury and should the proposal be implemented, Spray Valves,’’ ASTM Standard F2324– General Government Appropriations and of reasonable alternatives to the 2013. ASTM Standard F2324–2013 is an Act, 1999 (Pub. L. 105–277) requires action and their expected benefits on industry-accepted test procedure that Federal agencies to issue a Family energy supply, distribution, and use. measures water flow rate and spray Policymaking Assessment for any rule force for prerinse spray valves, and is that may affect family well-being. This This regulatory action to amend the applicable to product sold in North rule would not have any impact on the test procedure for measuring the energy America. ASTM Standard F2324–2013 autonomy or integrity of the family as efficiency of commercial prerinse spray specifies testing conducted in an institution. Accordingly, DOE has valves is not a significant regulatory accordance with other industry concluded that it is not necessary to action under Executive Order 12866. accepted test procedures (already prepare a Family Policymaking Moreover, it would not have a incorporated by reference). The test Assessment. significant adverse effect on the supply, procedure proposed in this NOPR distribution, or use of energy, nor has it references various sections of ASTM I. Review Under Executive Order 12630 been designated as a significant energy Standard F2324–2013 that address test DOE has determined, under Executive action by the Administrator of OIRA. setup, instrumentation, test conduct, Order 12630, ‘‘Governmental Actions Therefore, it is not a significant energy and calculations. ASTM Standard and Interference with Constitutionally action, and, accordingly, DOE has not F2324–2013 is readily available at Protected Property Rights’’ 53 FR 8859 prepared a Statement of Energy Effects. ASTM’s Web site at www.astm.org/

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Standard/standards-and- systems are compatible with the participants concerning these issues. publications.html. webinar software. DOE representatives may also ask questions of participants concerning V. Public Participation B. Procedure for Submitting Prepared other matters relevant to this General Statement for Distribution A. Attendance at Public Meeting rulemaking. The official conducting the Any person who has plans to present The time, date, and location of the public meeting will accept additional a prepared general statement may comments or questions from those public meeting are listed in the DATES request that copies of his or her attending, as time permits. The and ADDRESSES sections at the beginning statement be made available at the of this document. If you plan to attend presiding official will announce any public meeting. Such persons may further procedural rules or modification the public meeting, please notify Ms. submit requests, along with an advance of the above procedures that may be Brenda Edwards at (202) 586–2945 or electronic copy of their statement in needed for the proper conduct of the [email protected]. portable document format (PDF) Please note that foreign nationals public meeting. (preferred), Microsoft Word or Excel, A transcript of the public meeting will participating in the public meeting are WordPerfect, or text in American be included in the docket, which can be subject to advance security screening Standard Code for Information viewed as described in the DOCKET procedures which require advance Interchange (ASCII) file format, to the section at the beginning of this proposed notice prior to attendance at the public appropriate address shown in the rule. In addition, any person may buy a meeting. Any foreign national wishing ADDRESSES section at the beginning of copy of the transcript from the to participate in the public meeting this document. The request and advance transcribing reporter. should advise DOE as soon as possible copy of statements must be received at by contacting [email protected] to least one week before the public D. Submission of Comments initiate the necessary procedures. Please meeting and may be emailed, hand- DOE will accept comments, data, and also note that any person wishing to delivered, or sent by mail. DOE prefers information regarding this proposed bring a laptop into the Forrestal to receive requests and advance copies rule not later than the date provided in Building will be required to obtain a via email. Please include a telephone the DATES section at the beginning of property pass. Visitors should avoid number to enable DOE staff to make a this proposed rule. Interested parties bringing laptops, or allow an extra 45 follow-up contact, if needed. may submit comments using any of the minutes. Persons may also attend the methods described in the ADDRESSES public meeting via webinar. C. Conduct of Public Meeting section at the beginning of this proposed Because of the REAL ID Act DOE will designate a DOE official to rule. implemented by the Department of preside at the public meeting and may Submitting comments via Homeland Security (DHS), there have also use a professional facilitator to aid regulations.gov. The regulations.gov been recent changes regarding discussion. The meeting will not be a Web page will require you to provide identification (ID) requirements for judicial or evidentiary-type public your name and contact information. individuals wishing to enter Federal hearing, but DOE will conduct it in Your contact information will be buildings from specific States and U.S. accordance with EPCA. (42 U.S.C. 6306) viewable to DOE Building Technologies territories. As a result, driver’s licenses A court reporter will be present to staff only. Your contact information will from the following States or territory record the proceedings and prepare a not be publicly viewable except for your will not be accepted for building entry, transcript. DOE reserves the right to first and last names, organization name and instead, one of the alternate forms schedule the order of presentations and (if any), and submitter representative of ID listed below will be required. to establish the procedures governing name (if any). If your comment is not DHS has determined that regular the conduct of the public meeting. After processed properly because of technical driver’s licenses (and ID cards) from the the public meeting, interested parties difficulties, DOE will use this following jurisdictions are not may submit further comments on the information to contact you. If DOE acceptable for entry into DOE facilities: proceedings as well as on any aspect of cannot read your comment due to Alaska, American Samoa, Arizona, the rulemaking until the end of the technical difficulties and cannot contact Louisiana, Maine, Massachusetts, comment period. you for clarification, DOE may not be Minnesota, New York, Oklahoma, and The public meeting will be conducted able to consider your comment. Washington. Acceptable alternate forms in an informal, conference style. DOE However, your contact information of Photo-ID include: U.S. Passport or will present summaries of comments will be publicly viewable if you include Passport Card; an Enhanced Driver’s received before the public meeting, it in the comment or in any documents License or Enhanced ID-Card issued by allow time for prepared general attached to your comment. Any the States of Minnesota, New York or statements by participants, and information that you do not want to be Washington (Enhanced licenses issued encourage all interested parties to share publicly viewable should not be by these States are clearly marked their views on issues affecting this included in your comment, nor in any Enhanced or Enhanced Driver’s rulemaking. Each participant will be document attached to your comment. License); a military ID or other Federal allowed to make a general statement Persons viewing comments will see only government-issued Photo-ID card. (within time limits determined by DOE), first and last names, organization In addition, you can attend the public before the discussion of specific topics. names, correspondence containing meeting via webinar. Webinar DOE will allow, as time permits, other comments, and any documents registration information, participant participants to comment briefly on any submitted with the comments. instructions, and information about the general statements. Do not submit to regulations.gov capabilities available to webinar At the end of all prepared statements information for which disclosure is participants will be published on DOE’s on a topic, DOE will permit participants restricted by statute, such as trade Web site www1.eere.energy.gov/ to clarify their statements briefly and secrets and commercial or financial buildings/appliance_standards/ comment on statements made by others. information (hereinafter referred to as product.aspx/productid/54. Participants Participants should be prepared to Confidential Business Information are responsible for ensuring that their answer questions by DOE and by other (CBI)). Comments submitted through

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regulations.gov cannot be claimed as one copy of the document marked section III.C.2. CBI. Comments received through the confidential including all the 4. DOE seeks comment on changing the Web site will waive any CBI claims for information believed to be confidential, flow rate measurement rounding the information submitted. For and one copy of the document marked requirements from one decimal information on submitting CBI, see the non-confidential with the information place to two decimal places, see Confidential Business Information believed to be confidential deleted. section III.D. section. Submit these documents via email or on 5. DOE seeks comment on the removal DOE processes submissions made a CD, if feasible. DOE will make its own of 10 CFR 429.51(a)(2)(ii), see through regulations.gov before posting. determination about the confidential section III.E. Normally, comments will be posted status of the information and treat it 6. Small Entities within a few days of being submitted. according to its determination. DOE seeks comments on its reasoning However, if large volumes of comments Factors of interest to DOE when that the proposed test procedures are being processed simultaneously, evaluating requests to treat submitted will not have a significant economic your comment may not be viewable for information as confidential include: (1) impact on a substantial number of up to several weeks. Please keep the A description of the items; (2) whether small entities; see section IV.B. comment tracking number that and why such items are customarily VI. Approval of the Office of the regulations.gov provides after you have treated as confidential within the Secretary successfully uploaded your comment. industry; (3) whether the information is Submitting comments via email, hand generally known by or available from The Secretary of Energy has approved delivery, or postal mail. Comments and other sources; (4) whether the publication of this proposed rule. documents submitted via email, hand information has previously been made List of Subjects delivery, or postal mail also will be available to others without obligation posted to regulations.gov. If you do not concerning its confidentiality; (5) an 10 CFR part 429 want your personal contact information explanation of the competitive injury to Administrative practice and to be publicly viewable, do not include the submitting person which would procedure, Confidential business it in your comment or any result from public disclosure; (6) when information, Energy conservation, accompanying documents. Instead, such information might lose its Household appliances, Reporting and provide your contact information on a confidential character due to the recordkeeping requirements. cover letter. Include your first and last passage of time; and (7) why disclosure names, email address, telephone of the information would be contrary to 10 CFR part 431 number, and optional mailing address. the public interest. Administrative practice and The cover letter will not be publicly It is DOE’s policy that all comments procedure, Confidential business viewable as long as it does not include may be included in the public docket, information, Energy conservation test any comments. without change and as received, procedures, Incorporation by reference, Include contact information each time including any personal information and Reporting and recordkeeping you submit comments, data, documents, provided in the comments (except requirements. and other information to DOE. If you information deemed to be exempt from Issued in Washington, DC, on June 5, 2015. submit via mail or hand delivery, please public disclosure). provide all items on a CD, if feasible. It Kathleen B. Hogan, is not necessary to submit printed E. Issues on Which DOE Seeks Comment Deputy Assistant Secretary for Energy copies. No facsimiles (faxes) will be Although DOE welcomes comments Efficiency, Energy Efficiency and Renewable Energy. accepted. on any aspect of this proposal, DOE is Comments, data, and other particularly interested in receiving For the reasons stated in the information submitted to DOE comments and views of interested preamble, DOE is proposing to amend electronically should be provided in parties concerning the following issues: parts 429 and 431 of Chapter II of Title PDF (preferred), Microsoft Word or 1. Definitions Discussed and Proposed 10, Code of Federal Regulations as set Excel, WordPerfect, or text (ASCII) file a. Commercial Prerinse Spray Valve forth below. format. Provide documents that are not DOE seeks comments on its proposal PART 429—CERTIFICATION, secured, written in English and free of to revise the definition of COMPLIANCE, AND ENFORCEMENT any defects or viruses. Documents ‘‘commercial prerinse spray valve’’ FOR CONSUMER PRODUCTS AND should not contain special characters or in this NOPR; see section III.A.1. any form of encryption and, if possible, b. Normally–Closed Valve DOE seeks COMMERCIAL AND INDUSTRIAL they should carry the electronic comment on its tentative proposal EQUIPMENT signature of the author. to add a definition for ‘‘normally- ■ Campaign form letters. Please submit 1. The authority citation for part 429 closed valve’’ in this NOPR; see continues to read as follows: campaign form letters by the originating section III.A.2. organization in batches of between 50 to c. Spray Force Authority: 42 U.S.C. 6291–6317. 500 form letters per PDF or as one form DOE seeks comments on its proposal ■ 2. In § 429.51, paragraph (a) is revised letter with a list of supporters’ names add the definition of ‘‘spray force’’ to read as follows: compiled into one or more PDFs. This in this NOPR; see section III.A.3. reduces comment processing and 2. DOE seeks comment on the addition § 429.51 Commercial prerinse spray posting time. of the spray force test method; see valves. Confidential Business Information. section III.C.1. (a) Sampling plan for selection of According to 10 CFR 1004.11, any 3. Spray Patterns units for testing. (1) The requirements of person submitting information that he DOE seeks comment on whether § 429.11 apply to commercial prerinse or she believes to be confidential and manufacturers should be required spray valves; and exempt by law from public disclosure to test commercial prerinse spray (2) For each basic model of should submit via email, postal mail, or valves with multiple spray patterns commercial prerinse spray valves, a hand delivery two well-marked copies: in all spray pattern modes, see sample of sufficient size must be

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randomly selected and tested to ensure § 431.263 Materials incorporated by each spray pattern, rounded to one that any represented value of water reference. decimal place. consumption or other measure of water * * * * * [FR Doc. 2015–15376 Filed 6–22–15; 8:45 am] consumption of a basic model for which (b) * * * BILLING CODE 6450–01–P consumers would favor lower values (1) ASTM Standard F2324–13, must be greater than or equal to the (‘‘ASTM F2324–13’’), Standard Test higher of: Method for Prerinse Spray Valves, DEPARTMENT OF ENERGY (i) The mean of the sample, where: approved June 1, 2013; IBR approved as follows, sections: 6.1—6.9, 9.1–9.5.3.2, 10 CFR Part 430 10.1–10.2.5, 10.3.1–10.3.8, and 11.3.1 [Docket No. EERE–2015–BT–STD–0006] (replacing ‘‘nozzles’’ with ‘‘nozzle’’), RIN 1904–AD51 excluding reference to the Annex, IBR and, x¯ is the sample mean; approved for § 431.264. Energy Efficiency Program for n is the number of samples; and * * * * * Consumer Products: Energy xi is the ith sample; Or, ■ 6. Section 431.264 is revised to read Conservation Standards for (ii) The upper 95 percent confidence as follows: Fluorescent Lamp Ballasts limit (UCL) of the true mean divided by 1.10, where: § 431.264 Uniform test method to measure AGENCY: Office of Energy Efficiency and flow rate and spray force of commercial Renewable Energy, Department of prerinse spray valves. Energy. (a) Scope. This section provides the ACTION: Notice of public meeting and and, x¯ is the sample mean; test procedure to measure the water availability of the Framework s is the sample standard deviation; consumption flow rate and spray force Document. n is the number of samples; and of a commercial prerinse spray valve. SUMMARY: t is the t statistic for a 95 percent two- The U.S. Department of 0.95 (b) Testing and Calculations.—(1) Energy (DOE) is initiating this tailed confidence interval with n-1 Flow rate. Test a sample unit in degrees of freedom (from Appendix A of rulemaking and data collection process this subpart). accordance with the requirements of to consider amending energy sections 6.1 through 6.9 (Apparatus) * * * * * conservation standards for fluorescent except 6.4 and 6.7, 9.1 through 9.4 lamp ballasts. To inform interested PART 431—ENERGY EFFICIENCY (Preparation of Apparatus), and 10.1 parties and to facilitate this process, PROGRAM FOR CERTAIN through 10.2.5 (Procedure), and perform DOE has prepared a Framework COMMERCIAL AND INDUSTRIAL calculations in accordance with section Document that details the analytical EQUIPMENT 11.3.1 (Calculation and Report) of approach and scope of coverage for the ASTM F2324–13, (incorporated by rulemaking, and identifies several issues ■ 3. The authority citation for part 431 reference, see § 431.263). Disregard any on which DOE is particularly interested continues to read as follows: references to the Annex. Record flow in receiving comments. DOE will hold Authority: 42 U.S.C. 6291–6317. rate measurements at the resolutions of a public meeting to discuss and receive ■ 4. Section 431.262 is revised to read the test instrumentation. For the sample comments on its planned analytical as follows: unit, calculate the mean of the flow rate approach and issues it will address in measurements. Round the final value for this rulemaking proceeding. DOE § 431.262 Definitions. flow rate to two decimal places. welcomes written comments and Basic model means all units of a given (2) Spray force. Test each sample unit relevant data from the public on any type of covered product (or class in accordance with the test subject within the scope of this thereof) manufactured by one requirements specified in sections 6.2 rulemaking. A copy of the Framework manufacturer, having the same primary and 6.4 through 6.9 (Apparatus), 9.1 Document is available at: http:// energy source, and which have through 9.5.3.2 (Preparation of www1.eere.energy.gov/buildings/ essentially identical electrical, physical, Apparatus), and 10.3.1 through 10.3.8 appliance_standards/ and functional (or hydraulic) (Procedure) of ASTM F2324–13. rulemaking.aspx?ruleid=110. characteristics that affect energy Disregard any references to the Annex. DATES: Comments: DOE will accept consumption, energy efficiency, water Record spray force measurements at the written comments, data, and consumption, or water efficiency. resolution of the test instrumentation. information regarding the Framework Commercial prerinse spray valve For each sample unit, calculate the Document before and after the public means a handheld device, containing a mean of the spray force measurements. meeting, but no later than August 7, normally-closed valve, suitable for use Round the spray force to one decimal 2015. with commercial dishwashing and ware place. Meeting: DOE will hold a public washing equipment for the purpose of (3) Multiple spray patterns. If a removing food residue before cleaning meeting on Friday, July 17, 2015, from sample unit has multiple spray patterns, 9:00 a.m. to 4:00 p.m. in Washington, the items. for each possible spray pattern: Normally-closed valve means a valve DC. Additionally, DOE plans to conduct that opens when an external force is (i) Measure both the flow rate and the public meeting via webinar. You exerted upon it and automatically closes spray force according to paragraphs may attend the public meeting via when the external force is removed. (b)(1) and (b)(2) of this section webinar, and registration information, Spray force means the amount of force (including calculating the mean flow participant instructions, and exerted onto the spray disc, measured in rate and spray force for each spray information about the capabilities ounce-force (ozf). pattern); and available to webinar participants will be ■ 5. Section 431.263 is amended by (ii) Record the mean flow rate for each published on DOE’s Web site at: revising paragraph (b)(1) to read as spray pattern, rounded to two decimal http://www1.eere.energy.gov/buildings/ follows: places. Record the mean spray force for appliance_standards/

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rulemaking.aspx?ruleid=110. [Please note that comments sent by mail Title III, Part Ba of the Energy Policy Participants are responsible for ensuring are often delayed and may be damaged and Conservation Act of 1975 (EPCA or their systems are compatible with the by mail screening processes.] the Act), Public Law 94–163, (42 U.S.C. webinar software. • Hand Delivery/Courier: Ms. Brenda 6291–6309, as codified) sets forth a DOE must receive requests to speak at Edwards, U.S. Department of Energy, variety of provisions designed to the public meeting before 4:00 p.m., July Building Technologies Program, Sixth improve energy efficiency and 6, 2015. DOE must receive an electronic Floor, 950 L’Enfant Plaza SW., established the Energy Conservation copy of the statement with the name Washington, DC 20024. Telephone: Program for Consumer Products Other and, if appropriate, the organization of (202) 586–2945. If possible, please Than Automobiles, a program covering the presenter to be given at the public submit all items on a CD, in which case major household appliances meeting before 4:00 p.m., July 10, 2015. it is not necessary to include printed (collectively referred to as ‘‘covered b ADDRESSES: The public meeting will be copies. products’’). Part C of title III (42 U.S.C. 6311–6317) establishes an energy held at the U.S. Department of Energy, Instructions: All submissions received Forrestal Building, Room 8E–089, 1000 conservation program for certain must include the agency name and industrial and commercial equipment. Independence Avenue SW., docket number and/or RIN for this Washington, DC 20585–0121. Please EPCA authorizes DOE to establish rulemaking. No telefacsimilies (faxes) technologically feasible, economically note that foreign nationals participating will be accepted. in the public meeting are subject to justified energy conservation standards Docket: The docket is available for advance security screening procedures for covered products or equipment that review at http://www.regulations.gov, which require advance notice prior to would be likely to result in significant and will include Federal Register attendance at the public meeting. If a national energy savings. (42 U.S.C. notices, framework document, notice of foreign national wishes to participate in 6295(o)(2)(B)(i)(I)–(VII)) proposed rulemaking, public meeting Additional amendments to EPCA the public meeting, please inform DOE attendee lists and transcripts, have given DOE the authority to regulate as soon as possible by contacting Ms. comments, and other supporting the energy efficiency of several Regina Washington at (202) 586–1214 or documents/materials throughout the products, including certain fluorescent by email: Regina.Washington@ rulemaking process. The regulations.gov lamp ballasts—the products that are the ee.doe.gov so that the necessary Web page contains simple instructions subject of this document. Amendments procedures can be completed. Please on how to access all documents, to EPCA in the National Appliance note that any person wishing to bring a including public comments, in the Energy Conservation Amendments of laptop computer into the Forrestal docket. The docket can be accessed by 1988 (NAECA 1988), Public Law 100– Building will be required to obtain a searching for docket number EERE– 357, established energy conservation property pass. Visitors should avoid 2015–BT–STD–0006 on the standards for fluorescent lamp ballasts. bringing laptops, or allow an extra 45 regulations.gov Web site. All documents (42 U.S.C. 6295(g)(5)) These same minutes. As noted above, persons may in the docket are listed in the amendments also required that DOE: (1) also attend the public meeting via www.regulations.gov index. However, Conduct two rulemaking cycles to webinar. not all documents listed in the index determine whether these standards Interested parties are encouraged to may be publicly available, such as should be amended; and (2) for each submit comments electronically. information that is exempt from public rulemaking cycle, determine whether However, comments may be submitted disclosure. the standards in effect for fluorescent by any of the following methods: • lamp ballasts should be amended so that Federal eRulemaking Portal: FOR FURTHER INFORMATION CONTACT: Ms. they would be applicable to additional www.regulations.gov. Follow the Lucy deButts, U.S. Department of fluorescent lamp ballasts. (42 U.S.C. instructions for submitting comments. Energy, Office of Energy Efficiency and 6295(g)(7)(A)–(B)) DOE completed these • Email: Renewable Energy, Building two rulemaking cycles in 2000 and FluorLampBallast2015STD0006@ Technologies Office, EE–5B, 1000 2011. 65 FR 56740 (Sept. 19, 2000) and ee.doe.gov. Include docket number Independence Avenue SW., 76 FR 70548 (Nov. 14, 2011). EERE–2015–BT–STD–0006 and/or Washington, DC 20585–0121. EPCA mandates that within six years regulatory identification number (RIN) Telephone: (202) 287–1604. Email: of the publication of the previous final _ _ 1904–AD51 in the subject line of the fluorescent lamp [email protected]. rule, DOE is required to publish either message. All comments should clearly Ms. Sarah Butler, U.S. Department of a notice of determination that standards identify the name, address, and, if Energy, Office of the General Counsel, do not need to be amended or a notice appropriate, organization of the GC–33, 1000 Independence Avenue of proposed rulemaking including new commenter. Submit electronic SW., Washington, DC 20585–0121. proposed standards. (42 U.S.C. 6295(m)) comments in WordPerfect, Microsoft Telephone: (202) 586–1777. Email: This notice and the associated public Word, PDF, or ASCII file format, and [email protected]. meeting represent the first step in the avoid the use of special characters or For information on how to submit or process to consider whether to amend any form of encryption. energy conservation standards for • review public comments and on how to Postal Mail: Ms. Brenda Edwards, participate in the public meeting, fluorescent ballasts in that six year U.S. Department of Energy, Building contact Ms. Brenda Edwards, U.S. review process. Technologies Program, Mailstop EE–5B, Department of Energy, Office of Energy DOE has prepared the Framework Framework Document for Fluorescent Efficiency and Renewable Energy, Document to explain the relevant issues, Lamp Ballasts, Docket No. EERE–2015– Building Technologies Office, EE–5B, analyses, and processes it anticipates BT–STD–0006 and/or RIN 1904–AD51, 1000 Independence Avenue SW., a 1000 Independence Avenue SW., Washington, DC 20585–0121. For editorial reasons, upon codification in the Washington, DC 20585–0121. If U.S. Code, Part B was redesignated Part A. Telephone (202) 586–2945. Email: b possible, please submit all items on a All references to EPCA in this document refer [email protected]. to the statute as amended through the American compact disc (CD), in which case it is Energy Manufacturing Technical Corrections Act not necessary to include printed copies. SUPPLEMENTARY INFORMATION: (AEMTCA), Public Law 112–210 (Dec. 18, 2012).

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using when considering new or appliance_standards/ weightings, and additional public amended energy conservation standards rulemaking.aspx?ruleid=110. disclosure requirements. for fluorescent lamp ballasts. The focus After the public meeting and the close DATES: You may send us comments from of the public meeting noted above will of the comment period on the June 26, 2015, through July 10, 2015. be to discuss the information presented Framework Document, DOE will collect ADDRESSES: For accuracy and efficiency and issues identified in the Framework data, conduct the analyses as discussed reasons, please submit comments by Document. At the public meeting, DOE in the Framework Document and at the email or through the FCA’s Web site. will make presentations and invite public meeting, and review the public We do not accept comments submitted discussion on the rulemaking process as comments it receives. by facsimile (fax), as faxes are difficult it applies to fluorescent lamp ballasts. DOE considers public participation to for us to process in compliance with DOE will also solicit comments, data, be a very important part of the process section 508 of the Rehabilitation Act. and information from participants and for determining whether to establish or Please do not submit your comment other interested parties. amend energy conservation standards DOE is planning to conduct in-depth multiple times via different methods. and, if so, in setting those new or You may submit comments by any of technical analyses in the following amended standards. DOE actively areas: (1) Engineering; (2) energy use; (3) the following methods: encourages the participation and • Email: Send us an email at reg- product price; (4) life-cycle cost and interaction of the public during the payback period; (5) national impacts; (6) [email protected]. comment period at each stage of the • FCA Web site: http://www.fca.gov. manufacturer impacts; (7) emission rulemaking process. Beginning with the impacts; (8) utility impacts; (9) Select ‘‘Public Commenters,’’ then Framework Document, and during each ‘‘Public Comments,’’ and follow the employment impacts; and (10) subsequent public meeting and regulatory impacts. DOE will also directions for ‘‘Submitting a Comment.’’ comment period, interactions with and • conduct several other analyses that Federal eRulemaking Portal: http:// among members of the public provide a www.regulations.gov. Follow the support those previously listed, balanced discussion of the issues to including the market and technology instructions for submitting comments. assist DOE in the standards rulemaking • Mail: Barry F. Mardock, Deputy assessment, the screening analysis process. Accordingly, anyone who (which contributes to the engineering Director, Office of Regulatory Policy, wishes to participate in the public Farm Credit Administration, 1501 Farm analysis), and the shipments analysis meeting, receive meeting materials, or (which contributes to the national Credit Drive, McLean, VA 22102–5090. be added to the DOE mailing list to You may review copies of all impact analysis). receive future notices and information DOE encourages those who wish to comments we receive at our office in about this rulemaking should contact McLean, Virginia, or from our Web site participate in the public meeting to Ms. Brenda Edwards at (202) 586–2945, obtain the Framework Document and to at http://www.fca.gov. Once you are in or via email at Brenda.Edwards@ be prepared to discuss its contents. A the Web site, select ‘‘Public ee.doe.gov. copy of the Framework Document is Commenters,’’ then ‘‘Public available at: http:// Issued in Washington, DC, on June 17, Comments,’’ and follow the directions www1.eere.energy.gov/buildings/ 2015. for ‘‘Reading Submitted Public appliance_standards/ Kathleen B. Hogan, Comments.’’ We will show your rulemaking.aspx?ruleid=110. Deputy Assistant Secretary for Energy comments as submitted, but for Public meeting participants need not Efficiency, Energy Efficiency and Renewable technical reasons we may omit items limit their comments to the issues Energy. such as logos and special characters. identified in the Framework Document. [FR Doc. 2015–15383 Filed 6–22–15; 8:45 am] Identifying information you provide, DOE is also interested in comments on BILLING CODE 6450–01–P such as phone numbers and addresses, other relevant issues that participants will be publicly available. However, we believe would affect energy will attempt to remove email addresses conservation standards for these FARM CREDIT ADMINISTRATION to help reduce Internet spam. products, applicable test procedures, or FOR FURTHER INFORMATION CONTACT: the preliminary determination on the 12 CFR Parts 607, 614, 615, 620 and J.C. Floyd, Associate Director, Finance scope of coverage. DOE invites all 628 and Capital Markets Team, Office of interested parties, whether or not they RIN 3052–AC81 Regulatory Policy, Farm Credit participate in the public meeting, to Administration, McLean, VA 22102– submit in writing by August 7, 2015, Regulatory Capital Rules: Regulatory 5090, (720) 213–0924, TTY (703) 883– comments and information on matters Capital, Implementation of Tier 1/Tier 2 4056; addressed in the Framework Document Framework or and on other matters relevant to DOE’s consideration of coverage of and AGENCY: Farm Credit Administration. Rebecca S. Orlich, Senior Counsel, or Jennifer A. Cohn, Senior Counsel, standards for fluorescent lamp ballasts. ACTION: Proposed rule; reopening of Office of General Counsel, Farm The public meeting will be conducted comment period. in an informal, facilitated, conference Credit Administration, McLean, VA style. There shall be no discussion of SUMMARY: The Farm Credit 22102–5090, (703) 883–4020, TTY proprietary information, costs or prices, Administration (FCA or we) is (703) 883–4056. market shares, or other commercial reopening the comment period on the SUPPLEMENTARY INFORMATION: On matters regulated by U.S. antitrust laws. proposed rule that would revise our September 4, 2014, FCA published a A court reporter will record the regulatory capital requirements for Farm proposed rule to revise our regulatory proceedings of the public meeting, after Credit System (System) institutions to capital requirements for Farm Credit which a transcript will be available for include tier 1 and tier 2 risk-based System (System) institutions to establish purchase from the court reporter and capital ratio requirements, a tier 1 tier 1/tier 2 risk-based capital ratio placed on the DOE Web site at: http:// leverage requirement, a capital requirements (replacing core surplus www1.eere.energy.gov/buildings/ conservation buffer, revised risk and total surplus ratios), a tier 1

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leverage ratio requirement (replacing a Instrument Flight Rules (IFR) operations detail the scope of the agency’s net collateral requirement for System for Standard Instrument Approach authority. This rulemaking is banks), a capital conservation buffer, Procedures (SIAPs) at the airport and to promulgated under the authority revised risk weightings, and additional address inaccuracy identified by FAA described in Subtitle VII, Part A, publish disclosure requirements.1 The Airspace Policy and Support that V–19, Subpart I, Section 40103. Under that revisions to the risk weightings would which is no longer located in the area, section, the FAA is charged with include replacing references to credit is used in the legal description of the prescribing regulations to assign the use ratings with alternative risk airspace. of the airspace necessary to ensure the measurements, as required by the Dodd- DATES: Comments must be received on safety of aircraft and the efficient use of Frank Wall Street Reform and Consumer or before August 7, 2015. airspace. This regulation is within the scope of that authority as it would Protection Act. The comment period on ADDRESSES: Send comments on this amend controlled airspace at Converse the proposed rule, after an extension, proposal to the U.S. Department of 2 County Airport, Douglas, WY. closed February 16, 2015. Transportation, Docket Operations, M– FCA received a letter dated March 30, 30, West Building Ground Floor, Room Comments Invited 2015, from the Farm Credit Council, a W12–140, 1200 New Jersey Avenue SE., Interested parties are invited to trade association representing System Washington, DC 20590; telephone (202) institutions, requesting FCA to reopen participate in this proposed rulemaking 366–9826. You must identify FAA by submitting such written data, views, the comment period. The Farm Credit Docket No. FAA–2015–1089; Airspace Council stated that the reason for its or arguments, as they may desire. Docket No. 15–ANM–11, at the Comments that provide the factual basis request was to give System institutions beginning of your comments. You may the opportunity to meet with FCA Board supporting the views and suggestions also submit comments through the presented are particularly helpful in members that joined the FCA Board on Internet at http://www.regulations.gov. March 13 and 17, 2015, in order to developing reasoned regulatory You may review the public docket decisions on the proposal. Comments discuss the proposed rule. containing the proposal, any comments In response to this request, we are are specifically invited on the overall received, and any final disposition in reopening the comment period on June regulatory, aeronautical, economic, person in the Dockets Office between 26 through July 10, 2015. Because the environmental, and energy-related 9:00 a.m. and 5:00 p.m., Monday proposed rule contains significant aspects of the proposal. through Friday, except Federal holidays. revisions to the regulatory capital Communications should identify both The Docket Office (telephone 1–800– framework in existing FCA regulations, docket numbers and be submitted in 647–5527), is on the ground floor of the we believe it is important to give triplicate to the address listed above. building at the above address. interested parties additional time to Commenters wishing the FAA to FAA Order 7400.9Y, Airspace acknowledge receipt of their comments provide comments to the FCA Board. Designations and Reporting Points, and Reopening the comment period will on this notice must submit with those subsequent amendments can be viewed comments a self-addressed, stamped ensure transparency in the process. _ online at http://www.faa.gov/air traffic/ postcard on which the following Dated: June 17, 2015. publications/. The Order is also statement is made: ‘‘Comments to Dale L. Aultman, available for inspection at the National Docket No. FAA–2015–1089; Airspace Secretary, Farm Credit Administration Board. Archives and Records Administration Docket No. 15–ANM–11.’’ The postcard [FR Doc. 2015–15348 Filed 6–22–15; 8:45 am] (NARA). For information on the will be date/time stamped and returned BILLING CODE 6705–01–P availability of this material at NARA, to the commenter. call 202–741–6030, or go to http:// www.archives.gov/federal_register/ Availability of NPRMs _ _ _ DEPARTMENT OF TRANSPORTATION code of federal-regulations/ibr An electronic copy of this document locations.html. may be downloaded through the Federal Aviation Administration FAA Order 7400.9, Airspace Internet at http://www.regulations.gov. Designations and Reporting Points, is Recently published rulemaking 14 CFR Part 71 published yearly and effective on documents can also be accessed through September 15. For further information, the FAA’s Web page at http:// [Docket No. FAA–2015–1089; Airspace you can contact the Airspace Policy and _ _ Docket No. 15–ANM–11] www.faa.gov/airports airtraffic/air Regulations Group, Federal Aviation traffic/publications/airspace_ Proposed Amendment of Class E Administration, 800 Independence amendments/. Airspace; Douglas, WY Avenue SW., Washington, DC, 20591; You may review the public docket telephone: 202–267–8783. containing the proposal, any comments AGENCY: Federal Aviation FOR FURTHER INFORMATION CONTACT: received, and any final disposition in Administration (FAA), DOT. Steve Haga, Federal Aviation person in the Dockets Office (see the ACTION: Notice of proposed rulemaking Administration, Operations Support ADDRESSES section for the address and (NPRM). Group, Western Service Center, 1601 phone number) between 9:00 a.m. and Lind Avenue SW., Renton, WA 98057; 5:00 p.m., Monday through Friday, SUMMARY: This action proposes to telephone (425) 203–4563. except federal holidays. An informal modify Class E airspace at Converse docket may also be examined during County Airport, Douglas, WY. After a SUPPLEMENTARY INFORMATION: normal business hours at the Northwest review of the airspace, the FAA found Authority for This Rulemaking Mountain Regional Office of the Federal it necessary to modify the airspace to The FAA’s authority to issue rules Aviation Administration, Air Traffic enhance the safety and management of regarding aviation safety is found in Organization, Western Service Center, Title 49 of the U.S. Code. Subtitle 1, Operations Support Group, 1601 Lind 1 79 FR 52814 (September 4, 2014). 2 The original comment period of 120 days was Section 106, describes the authority for Avenue SW., Renton, WA 98057. extended an additional 45 days. See 79 FR 76927 the FAA Administrator. Subtitle VII, Persons interested in being placed on (December 23, 2014). Aviation Programs, describes in more a mailing list for future NPRMs should

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contact the FAA’s Office of Rulemaking, FR 11034; February 26, 1979); and (3) northwest of the airport, thence to the point (202) 267–9677, for a copy of Advisory does not warrant preparation of a of beginning That airspace extending upward Circular No. 11–2A, Notice of Proposed regulatory evaluation as the anticipated from 1,200 feet above the surface bounded by a line beginning at lat. 43°05′27″ N., long. Rulemaking Distribution System, which impact is so minimal. Since this is a ° ′ ″ ° ′ ″ describes the application procedure. 106 16 37 W.; to lat. 43 35 23 N., long. routine matter that will only affect air 104°30′02″ W.; to lat. 43°00′00″ N., long. Availability and Summary of traffic procedures and air navigation, it 104°30′02″ W.; to lat. 43°00′00″ N., long. Documents Proposed for Incorporation is certified this proposed rule, when 104°03′16″ W.; to lat. 41°53′15″ N., long. ° ′ ″ ° ′ ″ by Reference promulgated, would not have a 104 03 15 W.; to lat. 41 51 54 N., long. significant economic impact on a 105°17′18″ W.; thence to the point of This document proposes to amend substantial number of small entities beginning. FAA Order 7400.9Y, Airspace under the criteria of the Regulatory Issued in Seattle, Washington, on June 11, Designations and Reporting Points, Flexibility Act. 2015. dated August 6, 2014, and effective Christopher Ramirez, September 15, 2014. FAA Order Environmental Review 7400.9Y is publicly available as listed in Acting Manager, Operations Support Group, This proposal will be subject to an Western Service Center. the ADDRESSES section of this proposed environmental analysis in accordance [FR Doc. 2015–15287 Filed 6–22–15; 8:45 am] rule. FAA Order 7400.9Y lists Class A, with FAA B, C, D, and E airspace areas, air traffic Order 1050.1E, ‘‘Environmental BILLING CODE 4910–13–P service routes, and reporting points. Impacts: Policies and Procedures’’ prior The Proposal to any FAA final regulatory action. DEPARTMENT OF TRANSPORTATION The FAA is proposing an amendment List of Subjects in 14 CFR Part 71 Federal Aviation Administration to Title 14 Code of Federal Regulations Airspace, Incorporation by reference, (14 CFR) Part 71 by modifying Class E Navigation (air). 14 CFR Part 71 airspace extending upward from 700 feet above the surface at Converse The Proposed Amendment [Docket No. FAA–2015–1623; Airspace County Airport, Douglas, WY. The Accordingly, pursuant to the Docket No. 15–AWP–10] airspace would be modified to within a authority delegated to me, the Federal 4-mile radius of Converse County Aviation Administration proposes to Proposed Amendment of Class E Airport, with a segment extending from amend 14 CFR part 71 as follows: Airspace; Tracy, CA the 4-mile radius to the 7-mile radius AGENCY: PART 71—DESIGNATION OF CLASS A, Federal Aviation east to southwest of the airport, and a Administration (FAA), DOT. segment extending from the 4-mile B, C, D, AND E AIRSPACE AREAS; AIR radius to 7 miles northwest of the TRAFFIC SERVICE ROUTES; AND ACTION: Notice of proposed rulemaking airport. The geographic coordinates of REPORTING POINTS (NPRM). the airport would be updated to ■ SUMMARY: This action proposes to coincide with the FAA’s aeronautical 1. The authority citation for 14 CFR part 71 continues to read as follows: modify Class E airspace extending database. The lateral boundary for that upward from 700 feet above the surface, airspace extending from 1,200 feet Authority: 49 U.S.C. 106(f), 106(g); 40103, at Tracy Municipal Airport, Tracy, CA. above the surface would be defined 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, After a review, and the 1959–1963 Comp., p. 389. utilizing latitudinal and longitudinal decommissioning of the Manteca VHF reference points instead of Federal § 71.1 [Amended] omnidirectional radio range and airway V–19, and would not change the ■ 2. The incorporation by reference in distance measuring equipment (VOR/ lateral boundaries or operating 14 CFR 71.1 of FAA Order 7400.9Y, DME), the FAA found it necessary to requirements of the 1,200 foot airspace. Airspace Designations and Reporting amend the airspace areas for the safety This action is necessary for the safety Points, dated August 6, 2014, and and management of Instrument Flight and management of IFR operations for effective September 15, 2014, is Rules (IFR) operations for Standard SIAPs at the airport. amended as follows: Instrument Approach Procedures at the Class E airspace designations are airport. published in paragraph 6005 of FAA Paragraph 6005 Class E Airspace areas Order 7400.9Y, dated August 6, 2014, DATES: Comments must be received on extending upward from 700 feet or more or before August 7, 2015. and effective September 15, 2014, which above the surface of the earth. ADDRESSES: Send comments on this is incorporated by reference in 14 CFR * * * * * 71.1. The Class E airspace designations proposal to the U.S. Department of listed in this document will be ANM WY E5 Douglas, WY [Modified] Transportation, Docket Operations, M– published subsequently in the Order. Converse County Airport, WY 30, West Building Ground Floor, Room (Lat. 42°47′50″ N., long. 105°23′09″ W.) W12–140, 1200 New Jersey Avenue SE., Regulatory Notices and Analyses That airspace extending upward from 700 Washington, DC 20590; telephone (202) The FAA has determined this feet above the surface within a 4-mile radius 366–9826. You must identify FAA proposed regulation only involves an of Converse County Airport beginning at lat. Docket No. FAA–2015–1623; Airspace established body of technical 42°50′30″ N., long. 105°27′11″ W., clockwise Docket No. 15–AWP–10, at the regulations for which frequent and along the 4-mile radius of the airport to the beginning of your comments. You may ° routine amendments are necessary to 065 bearing from the airport, and that also submit comments through the keep them operationally current. airspace within a 7-mile radius of the airport Internet at http://www.regulations.gov. from the 065° bearing from the airport Therefore, this proposed regulation: (1) clockwise to the 226° bearing, thence You may review the public docket Is not a ‘‘significant regulatory action’’ northeast to lat. 42°48′41″ N., long. containing the proposal, any comments under Executive Order 12866; (2) is not 105°28′28″ W., and that airspace 1 mile either received, and any final disposition in a ‘‘significant rule’’ under DOT side of the 297° bearing from airport person in the Dockets Office between Regulatory Policies and Procedures (44 extending from the 4-mile radius to 7 miles 9:00 a.m. and 5:00 p.m., Monday

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through Friday, except Federal holidays. aspects of the proposal. Decommissioning of the Manteca VOR/ The Docket Office (telephone 1–800– Communications should identify both DME and subsequent review of the 647–5527), is on the ground floor of the docket numbers and be submitted in airspace revealed that airspace redesign building at the above address. triplicate to the address listed above. is necessary for the safety and FAA Order 7400.9Y, Airspace Commenters wishing the FAA to management of IFR operations for Designations and Reporting Points, and acknowledge receipt of their comments standard instrument approach subsequent amendments can be viewed on this notice must submit with those procedures at the airport. Class E online at http://www.faa.gov/air_traffic/ comments a self-addressed, stamped airspace extending upward from 700 publications/. The Order is also postcard on which the following feet above the surface would be available for inspection at the National statement is made: ‘‘Comments to modified to within a 3.9-mile radius of Archives and Records Administration Docket No. FAA–2015–1623/Airspace Tracy Municipal Airport with segments (NARA). For information on the Docket No. 15–AWP–10.’’ The postcard extending from the 3.9-mile radius to 11 availability of this material at NARA, will be date/time stamped and returned miles northwest, 6.4 miles east, and 9 call (202) 741–6030, or go to http:// to the commenter. miles southeast, of the airport. _ www.archives.gov/federal register/ Availability of NPRMs code_of_federal-regulations/ibr_ Class E airspace designations are locations.html. An electronic copy of this document published in paragraph 6005, FAA Order 7400.9, Airspace may be downloaded through the respectively, of FAA Order 7400.9Y, Designations and Reporting Points, is Internet at http://www.regulations.gov. dated August 6, 2014, and effective published yearly and effective on Recently published rulemaking September 15, 2014, which is September 15. For further information, documents can also be accessed through incorporated by reference in 14 CFR you can contact the Airspace Policy and the FAA’s Web page at http:// 71.1. The Class E airspace designations _ _ Regulations Group, Federal Aviation www.faa.gov/airports airtraffic/air listed in this document will be _ Administration, 800 Independence traffic/publications/airspace published subsequently in the Order. amendments/. Avenue, SW., Washington, DC 20591; Regulatory Notices and Analyses telephone: (202) 267–8783. You may review the public docket containing the proposal, any comments FOR FURTHER INFORMATION CONTACT: Rob The FAA has determined this received, and any final disposition in Riedl, Federal Aviation Administration, proposed regulation only involves an person in the Dockets Office (see the Operations Support Group, Western established body of technical ADDRESSES section for the address and Service Center, 1601 Lind Avenue SW., regulations for which frequent and phone number) between 9:00 a.m. and Renton, WA 98057; telephone (425) routine amendments are necessary to 5:00 p.m., Monday through Friday, 203–4534. keep them operationally current. except federal holidays. An informal SUPPLEMENTARY INFORMATION: Therefore, this proposed regulation; (1) docket may also be examined during is not a ‘‘significant regulatory action’’ Authority for This Rulemaking normal business hours at the Northwest under Executive Order 12866; (2) is not Mountain Regional Office of the Federal a ‘‘significant rule’’ under DOT The FAA’s authority to issue rules Aviation Administration, Air Traffic regarding aviation safety is found in Regulatory Policies and Procedures (44 Organization, Western Service Center, FR 11034; February 26, 1979); and (3) Title 49 of the United States Code. Operations Support Group, 1601 Lind Subtitle I, Section 106 describes the does not warrant preparation of a Avenue SW., Renton, WA 98057. regulatory evaluation as the anticipated authority of the FAA Administrator. Persons interested in being placed on impact is so minimal. Since this is a Subtitle VII, Aviation Programs, a mailing list for future NPRMs should routine matter that will only affect air describes in more detail the scope of the contact the FAA’s Office of Rulemaking, traffic procedures and air navigation, it agency’s authority. This rulemaking is (202) 267–9677, for a copy of Advisory promulgated under the authority Circular No. 11–2A, Notice of Proposed is certified this proposed rule, when described in Subtitle VII, Part A, Rulemaking Distribution System, which promulgated, would not have a Subpart I, Section 40103. Under that describes the application procedure. significant economic impact on a section, the FAA is charged with substantial number of small entities prescribing regulations to assign the use Availability and Summary of under the criteria of the Regulatory of airspace necessary to ensure the Documents Proposed for Incorporation Flexibility Act. safety of aircraft and the efficient use of by Reference Environmental Review airspace. This regulation is within the This document proposes to amend scope of that authority as it would FAA Order 7400.9Y, Airspace This proposal will be subject to an amend Class E airspace at Tracy Designations and Reporting Points, environmental analysis in accordance Municipal Airport, Tracy, CA. dated August 6, 2014, and effective with FAA Order 1050.1E, Comments Invited September 15, 2014. FAA Order ‘‘Environmental Impacts: Policies and 7400.9Y is publicly available as listed in Procedures’’ prior to any FAA final Interested parties are invited to the ADDRESSES section of this proposed regulatory action. participate in this proposed rulemaking rule. FAA Order 7400.9Y lists Class A, by submitting such written data, views, B, C, D, and E airspace areas, air traffic List of Subjects in 14 CFR Part 71 or arguments, as they may desire. service routes, and reporting points. Comments that provide the factual basis Airspace, Incorporation by reference, supporting the views and suggestions The Proposal Navigation (air). presented are particularly helpful in The FAA is proposing an amendment The Proposed Amendment developing reasoned regulatory to Title 14 Code of Federal Regulations decisions on the proposal. Comments (14 CFR) Part 71 by modifying Class E Accordingly, pursuant to the are specifically invited on the overall airspace extending upward from 700 authority delegated to me, the Federal regulatory, aeronautical, economic, feet above the surface at Tracy Aviation Administration proposes to environmental, and energy-related Municipal Airport, Tracy, CA. amend 14 CFR part 71 as follows:

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PART 71—DESIGNATION OF CLASS A, vessels from portions of water areas rulemaking, indicate the specific section B, C, D, AND E AIRSPACE AREAS; AIR during certain annually recurring of this document to which each TRAFFIC SERVICE ROUTES; AND events. The proposed special local comment applies, and provide a reason REPORTING POINTS regulations are intended to expedite for each suggestion or recommendation. public notification and ensure the You may submit your comments and ■ 1. The authority citation for 14 CFR protection of the maritime public and material online at http:// part 71 continues to read as follows: event participants from the hazards www.regulations.gov, or by fax, mail, or Authority: 49 U.S.C. 106(f), 106(g); 40103, associated with certain maritime events. hand delivery, but please use only one 40113, 40120; E.O. 10854, 24 FR 9565, 3 CFR, Comments and related material must of these means. If you submit a 1959–1963 Comp., p. 389. be received by the Coast Guard on or comment online, it will be considered before July 23, 2015. received by the Coast Guard when you § 71.1 [Amended] Requests for public meetings must be successfully transmit the comment. If ■ 2. The incorporation by reference in received by the Coast Guard on or before you fax, hand deliver, or mail your 14 CFR 71.1 of FAA Order 7400.9Y, July 14, 2015. comment, it will be considered as Airspace Designations and Reporting You may submit comments identified having been received by the Coast Points, dated August 6, 2014, and by docket number USCG–2015–0100 Guard when it is received at the Docket effective September 15, 2014, is using any one of the following methods: Management Facility. We recommend amended as follows: (1) Federal eRulemaking Portal: that you include your name and a Paragraph 6005 Class E Airspace areas http://www.regulations.gov. mailing address, an email address, or a extending upward from 700 feet or more (2) Fax: 202–493–2251. telephone number in the body of your above the surface of the earth. (3) Mail or Delivery: Docket document so that we can contact you if * * * * * Management Facility (M–30), U.S. we have questions regarding your Department of Transportation, West submission. AWP CA E5 Tracy, CA (Modified) Building Ground Floor, Room W12–140, To submit your comment online, go to Tracy Municipal Airport, CA 1200 New Jersey Avenue SE., http://www.regulations.gov, type the (lat. 37°41′21″ N., long. 121°26′31″ W.) Washington, DC 20590–0001. Deliveries docket number [USCG–2015–0100] in That airspace extending upward from 700 accepted between 9 a.m. and 5 p.m., the ‘‘SEARCH’’ box and click feet above the surface within a 3.9-mile Monday through Friday, except federal ‘‘SEARCH.’’ Click on ‘‘Submit a radius of Tracy Municipal Airport, and ° holidays. The telephone number is 202– Comment’’ on the line associated with within 2 miles each side of the 326 bearing 366–9329. this rulemaking. from the airport extending from the 3.9-mile If you submit your comments by mail radius to 11 miles northwest of the airport, See the ‘‘Public Participation and and that airspace 1.8 miles either side of the Request for Comments’’ portion of the or hand delivery, submit them in an 1 airport 132° bearing from the 3.9-mile radius SUPPLEMENTARY INFORMATION section unbound format, no larger than 8 ⁄2 by to 9 miles southeast of the airport, and that below for instructions on submitting 11 inches, suitable for copying and airspace 2.2 miles either side of the airport comments. To avoid duplication, please electronic filing. If you submit 097° bearing from the 3.9-mile radius to 6 use only one of these four methods. comments by mail and would like to miles east of the airport. FOR FURTHER INFORMATION CONTACT: If know that they reached the Facility, you have questions on this rule, contact please enclose a stamped, self-addressed Issued in Seattle, Washington, on June 11, postcard or envelope. We will consider 2015. Petty Officer Ian M. Fallon, U.S. Coast all comments and material received Christopher Ramirez, Guard Waterways Management Division Sector Long Island Sound; telephone during the comment period and may Acting Manager, Operations Support Group, change the rule based on your Western Service Center. (203) 468–4565, or email Ian.M.Fallon@ uscg.mil. If you have questions on comments. [FR Doc. 2015–15316 Filed 6–22–15; 8:45 am] viewing or submitting material to the 2. Viewing Comments and Documents BILLING CODE 4910–13–P docket, call Cheryl Collins, Program Manager, Docket Operations, telephone To view comments, as well as (202) 366–9826. documents mentioned in this preamble DEPARTMENT OF HOMELAND as being available in the docket, go to SUPPLEMENTARY INFORMATION: SECURITY http://www.regulations.gov, type the Table of Acronyms docket number [USCG–2015–0100] in Coast Guard the ‘‘SEARCH’’ box and click COTP Captain of the Port ‘‘SEARCH.’’ Click on Open Docket 33 CFR Parts 100 FR Federal Register Folder on the line associated with this NPRM Notice of Proposed Rulemaking [Docket Number USCG–2015–0100] rulemaking. You may also visit the Docket Management Facility in Room RIN 1625–AA08 A. Public Participation and Request for W12–140 on the ground floor of the Comments Department of Transportation West Special Local Regulations, Recurring We encourage you to participate in Building, 1200 New Jersey Avenue SE., Marine Events in Captain of the Port this rulemaking by submitting Washington, DC 20590, between 9 a.m. Long Island Sound Zone comments and related materials. All and 5 p.m., Monday through Friday, AGENCY: Coast Guard, DHS. comments received will be posted except Federal holidays. without change to http:// ACTION: Notice of proposed rulemaking. 3. Privacy Act www.regulations.gov and will include SUMMARY: The Coast Guard proposes to any personal information you have Anyone can search the electronic add, delete, and modify special local provided. form of comments received into any of regulations for annual marine events in our dockets by the name of the the Sector Long Island Sound Captain of 1. Submitting Comments individual submitting the comment (or the Port (COTP) Zone. When enforced, If you submit a comment, please signing the comment, if submitted on these regulated areas would restrict include the docket number for this behalf of an association, business, labor

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union, etc). You may review a Privacy that take place throughout the Long CT as the event has not been held since Act notice regarding our public dockets Island Sound COTP Zone. Event 2012 and the sponsoring organization, in the January 17, 2008, issue of the locations and details are listed below in the City of Middletown, has confirmed Federal Register (73 FR 3316). the text of the regulation. Because large that they do not intend to hold the event numbers of spectator vessels are again in the foreseeable future; (2) 1.4 4. Public meeting expected to congregate around the Riverfront Regatta, Hartford, CT as the We do not plan to hold a public location of these events, these regulated event’s details have significantly meeting. But you may submit a request areas are needed to protect both changed and is no longer the same for one, using one of the methods spectators and participants from the event; (3) 1.5 Patchogue Grand Prix, specified under ADDRESSES. Please safety hazards associated with marine Patchogue, NY as the event has not been explain why you believe a public events, including large numbers of held since 2010 and the sponsoring meeting would be beneficial. If we swimmers, hard to see and unstable organization, Offshore Powerboat determine that one would aid this small boats, unexpected pyrotechnics Association, has confirmed that they do rulemaking, we will hold one at a time detonation, and burning debris. This not intend to hold the event again in the and place announced by a later notice rule would permanently establish foreseeable future; (4) 1.6 Riverfront in the Federal Register. regulated areas that restrict vessel U.S. Title series Powerboat Race, movement around the location of each Hartford, CT as the event has not been B. Regulatory History and Information marine event to reduce the associated held since 2011 and the sponsoring Previously, the Coast Guard safety. organization, Riverfront Recaptured, has promulgated either safety zones or During the enforcement period of the confirmed that they do not intend to special local regulations for most of the regulated areas, persons and vessels hold the event again in the foreseeable events associated with this proposed would be prohibited from entering, future; and (5) 1.8 Kayak for a Cause rule and received no public comments. transiting through, remaining, Regatta as the event has not been held The most recent promulgated anchoring, or mooring within the since 2012 and the sponsoring rulemaking was on May 24, 2013 when regulated area unless specifically organization, Kayak for a Cause, has the Coast Guard published a Final Rule, authorized by the COTP or the disbanded. entitled, ‘‘Safety Zones and Special designated representative. Persons and Local Regulations; Recurring Marine vessels would be able to request (3) Modify and Update Existing Events in Captain of the Port Sector authorization to enter, transit through, Regulated Areas Long Island Sound Zone’’ in the Federal remain, anchor, or moor within the This rule proposes to amend the Register (78 FR 31402). regulated areas by contacting the COTP following special local regulations from Sector Long Island Sound, or designated the TABLE to § 100.100: (1) 1.1 Harvard- C. Basis and Purpose representative, by telephone at (203) Yale Regatta, Thames River, New The legal basis for this rulemaking is 468–4401 or via VHF radio on channel London, CT is to be moved to 5.1 on the 33 U.S.C. 1233, which authorizes the 16. If authorization to enter, transit TABLE to § 100.100; (2) 1.2 Great Coast Guard to establish special local through, remain, anchor, or moor within Connecticut River Raft Race, regulations. any of the regulated areas is granted, all Middletown is to be moved to 7.1 on the This proposed regulation carries out persons and vessels receiving TABLE to § 100.100 and the name two related actions: (1) Establishing authorization would be required to changed to Connecticut River Raft Race, necessary special local regulations; and comply with the instructions of the Middletown, CT; and (3) 1.7 Hartford (2) updating and reorganizing existing COTP or designated representative. Dragon Boat Regatta is be renamed the regulations for ease of use and reduction The Coast Guard COTP Sector Long Riverfront Dragon Boat and Asian of administrative overhead. Island Sound or designated Festival and to be moved to 8.1 on the representative would enforce the D. Discussion of Proposed Rule TABLE to § 100.100. regulated areas. These designated The Coast Guard proposes to amend representatives are comprised of E. Regulatory Analyses 33 CFR 100.100 ‘‘Special Local commissioned, warrant, and petty We developed this proposed rule after Regulations; Regattas and Boat Races in officers of the Coast Guard. The Coast considering numerous statutes and the Coast Guard Sector Long Island Guard may be assisted by other federal, executive orders related to rulemaking. Sound Captain of the Port Zone’’ by state and local agencies in the Below we summarize our analyses establishing 16 permanent marine enforcement of these regulated areas. based on a number of these statutes or events regulated areas, removing five, Certain special local regulations are executive orders. and modifying three marine event listed without known dates or times. special local regulations. By proposing Coast Guard Sector Long Island Sound 1. Regulatory Planning and Review these permanent regulation updates, we will cause notice of the enforcement of This proposed rule is not a significant are providing the public with an these regulated areas to be made by all regulatory action under section 3(f) of opportunity to comment on these appropriate means to affect the widest Executive Order 12866, Regulatory changes. This rulemaking limits the publicity among the effected segments Planning and Review, as supplemented unnecessary burden of establishing of the public, including publication in by Executive Order 13563, Improving temporary rules for events that occur on the Federal Register as a Notice of Regulation and Regulatory Review, and an annual basis. Enforcement, Local Notice to Mariners, does not require an assessment of and Broadcast Notice to Mariners. potential costs and benefits under (1) Establishing New Marine Event section 6(a)(3) of Executive Order 12866 Regulated Areas (2) Remove old Special Local or under section 1 of Executive Order This rulemaking proposes to establish Regulations That Are no Longer Needed 13563. The Office of Management and 16 permanent marine event special local This rulemaking proposes to remove Budget has not reviewed it under those regulations under 33 CFR 100.100. five special local regulations from the Orders. These events include fireworks TABLE to § 100.100: (1) 1.3 Head of the The Coast Guard determined that this displays, swimming events, and regattas Connecticut Regatta, Connecticut River, proposed rulemaking is not a significant

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regulatory action for the following 3. Assistance for Small Entities Executive Order 12630, Governmental reasons: The regulated areas are of Under section 213(a) of the Small Actions and Interference with limited duration and vessels may transit Business Regulatory Enforcement Constitutionally Protected Property the navigable waterways outside of the Fairness Act of 1996 (Pub. L. 104–121), Rights. regulated areas. Persons or vessels we want to assist small entities in 9. Civil Justice Reform requiring entry into the regulated areas understanding this proposed rule. If the may be authorized to do so by the COTP rule would affect your small business, This proposed rule meets applicable Sector Long Island Sound or designated organization, or governmental standards in sections 3(a) and 3(b)(2) of representative. jurisdiction and you have questions Executive Order 12988, Civil Justice Advanced public notifications will concerning its provisions or options for Reform, to minimize litigation, also be made to local mariners through compliance, please contact the person eliminate ambiguity, and reduce appropriate means, which may include listed in the FOR FURTHER INFORMATION burden. but is not limited to Local Notice to CONTACT, above. The Coast Guard will 10. Protection of Children from Mariners and Broadcast Notice to not retaliate against small entities that Environmental Health Risks Mariners. question or complain about this We have analyzed this proposed rule proposed rule or any policy or action of 2. Impact on Small Entities under Executive Order 13045, the Coast Guard. The Regulatory Flexibility Act of 1980 Protection of Children from (RFA), 5 U.S.C. 601–612, as amended, 4. Collection of Information Environmental Health Risks and Safety requires federal agencies to consider the This proposed rule will not call for a Risks. This rule is not an economically potential impact of regulations on small new collection of information under the significant rule and would not create an entities during rulemaking. The term Paperwork Reduction Act of 1995 (44 environmental risk to health or risk to ‘‘small entities’’ comprises small U.S.C. 3501–3520.). safety that might disproportionately businesses, not-for-profit organizations affect children. 5. Federalism that are independently owned and 11. Indian Tribal Governments operated and are not dominant in their A rule has implications for federalism fields, and governmental jurisdictions under Executive Order 13132, This proposed rule does not have with populations of less than 50,000. Federalism, if it has a substantial direct tribal implications under Executive The Coast Guard certifies under 5 U.S.C. effect on the States, on the relationship Order 13175, Consultation and 605(b) that this proposed rule will not between the national government and Coordination with Indian Tribal have a significant economic impact on the States, or on the distribution of Governments, because it would not have a substantial number of small entities. power and responsibilities among the a substantial direct effect on one or more Indian tribes, on the relationship This proposed rule would affect the various levels of government. We have between the Federal Government and following entities, some of which may analyzed this proposed rule under that Indian tribes, or on the distribution of be small entities: The owners or Order and determined that this rule power and responsibilities between the operators of vessels intending to enter, does not have implications for Federal Government and Indian tribes. transit, anchor or moor within the federalism. regulated areas during the enforcement 6. Protest Activities 12. Energy Effects periods. The Coast Guard respects the First This proposed rule is not a The special local regulations will not Amendment rights of protesters. ‘‘significant energy action’’ under have a significant economic impact on Protesters are asked to contact the Executive Order 13211, Actions a substantial number of small entities person listed in the FOR FURTHER Concerning Regulations That for the following reasons: The regulated INFORMATION CONTACT section to Significantly Affect Energy Supply, areas are of short duration, vessels that coordinate protest activities so that your Distribution, or Use. can safely do so may navigate in all message can be received without other portions of the waterways except 13. Technical Standards jeopardizing the safety or security of for the areas designated as regulated people, places or vessels. This proposed rule does not use areas, and vessels requiring entry into technical standards. Therefore, we did the regulated areas may be authorized to 7. Unfunded Mandates Reform Act not consider the use of voluntary do so by the COTP Sector Long Island The Unfunded Mandates Reform Act consensus standards. Sound or designated representative. of 1995 (2 U.S.C. 1531–1538) requires 14. Environment Additionally, before the enforcement Federal agencies to assess the effects of periods, public notifications will be their discretionary regulatory actions. In We have analyzed this proposed rule made to local mariners through particular, the Act addresses actions under Department of Homeland appropriate means, which may include that may result in the expenditure by a Security Management Directive 023–01 but is not limited to Local Notice to State, local, or tribal government, in the and Commandant Instruction Mariners and Broadcast Notice to aggregate, or by the private sector of M16475.lD, which guide the Coast Mariners. $100,000,000 (adjusted for inflation) or Guard in complying with the National If you think that your business, more in any one year. Though this Environmental Policy Act of 1969 organization, or governmental proposed rule would not result in such (NEPA)(42 U.S.C. 4321–4370f), and jurisdiction qualifies as a small entity an expenditure, we do discuss the have made a preliminary determination and that this rule would have a effects of this rule elsewhere in this that this action is one of a category of significant economic impact on it, preamble. actions that do not individually or please submit a comment (see cumulatively have a significant effect on ADDRESSES) explaining why you think it 8. Taking of Private Property the human environment. This proposed qualifies and how and to what degree This proposed rule would not cause a rule involves the establishment of this rulemaking would economically taking of private property or otherwise special local regulations. This rule may affect it. have taking implications under be categorically excluded from further

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review under paragraph 34(h) of Figure List of Subjects in 33 CFR Part 100 PART 100—SAFETY OF LIFE ON 2–1 of the Commandant Instruction. A NAVIGABLE WATERS preliminary environmental analysis Marine safety, Navigation (water), checklist supporting this determination Reporting and recording requirements, ■ 1. The authority citation for part 100 and a Categorical Exclusion Waterways. continues to read as follows: Determination are available in the For the reasons discussed in the Authority: 33 U.S.C. 1233. docket where indicated under preamble, the Coast Guard proposes to § 100.100 Special Local Regulations; ADDRESSES . We seek any comments or amend 33 CFR part 100 as follows: Regattas and Boat Races in the Coast information that may lead to the Guard Sector Long Island Sound Captain of discovery of a significant environmental the Port Zone. impact from this proposed rule. ■ 2. Revise the Table to § 100.100 to read as follows:

TABLE TO § 100.100

5 May

5.1 Harvard-Yale Regatta, • Event type: Boat Race. Thames River, New London, CT. • Date: A single day between the last Saturday in May through second Saturday of June. Rain Date: A single day between the last Saturday in May through second Saturday of June. • Time (Approximate): 8:00 a.m. to 5:00 p.m. • Location: All waters of the Thames River at New London, Connecticut, between the Penn Central Draw Bridge at position 41°21′46.94″ N. 072°5′14.46″ W. to Bartlett Cove at position 41°25′35.9″ N. 072°5′42.89″ W. (NAD 83). All positions are approximate. 5.2 Jones Beach Air Show ...... • Event type: Boat Race. • Date: The Thursday through Sunday before Memorial Day each May. • Time: (1) The ‘‘No Entry Area’’ will be enforced each day from the start of the air show until 30 minutes after it concludes. Exact time will be determined annually. (2) The ‘‘Slow/No Wake Area’’ and the ‘‘No Southbound Traffic Area’’ will be enforced each day for six hours after the air show concludes. Exact time will be determined annually. • Location: (1) ‘‘No Entry Area’’: Waters of the Atlantic Ocean off Jones Beach State Park, Wantagh, NY contained within the following described area; beginning at a point on land at position 40°34′54″ N., 073°33′21″ W.; then east along the shoreline of Jones Beach State Park to a point on land at position 40°35′53″ N., 073°28′48″ W.; then south to a point in the Atlantic Ocean off of Jones Beach at position 40°35′05″ N., 073°28′34″ W.; then west to position 40°33′15″ N., 073°33′09″ W.; then north to the point of origin (NAD 83). All positions are approximate. (2) ‘‘Slow/No Wake Area’’: All navigable waters between Meadowbrook State Parkway and Wantagh State Parkway and contained within the following area. Beginning in position 40°35′49.01″ N., 73°32′33.63″ W.; then north along the Meadowbrook State Parkway to its intersection with Merrick Road in position 40°39′14″ N., 73°34′0.76″ W.; then east along Merrick Road to its intersection with Wantagh State Park- way in position 40°39′51.32″ N. 73°30′43.36″ W.; then south along the Wantagh State Parkway to its intersection with Ocean Parkway in position 40°35′47.30″ N. 073°30′29.17″ W.; then west along Ocean Parkway to its intersection with Meadowbrook State Parkway at the point of origin (NAD 83). All posi- tions are approximate. (3) ‘‘No Southbound Traffic Area’’: All navigable waters of Zach′s Bay south of the line connecting a point near the western entrance to Zach′s Bay at position 40°36′29.20″ N., 073°29′22.88″ W. and a point near the eastern entrance of Zach′s Bay at position 40°36′16.53″ N. 073°28′57.26″ W. (NAD 83). All positions are approximate.

6 June

6.1 Swim Across America Green- • Event type: Swimming. wich. • Date: One day in June to be determined annually. • Time (Approximate): 5:30 a.m. until 12:00 p.m. • Location: All navigable waters of Stamford Harbor within an area starting at a point in position 41°01′32.03″ N., 073°33′8.93″ W., then southeast to a point in position 41°01′15.01″ N., 073°32′55.58″ W.; then southwest to a point in position 41°0′49.25″ N., 073°33′20.36″ W.; then northwest to a point in position 41°0′58″ N., 073°33′27″ W., then northeast to a point in position 41°1′15.8″ N., 073°33′9.85″ W., then heading north and ending at point of origin (NAD 83). All positions are approximate.

7 July

7.1 Connecticut River Raft Race, • Event type: Boat Race. Middletown, CT. • Date: A day between the last Saturday in July through first Saturday of August. • Time (Approximate): 10:00 a.m. to 2:00 p.m. • Location: All waters of the Connecticut River near Middletown, CT between Gildersleeve Island (Marker no. 99) at position 41°36′02.13″ N., 072°37′22.71″ W. and Portland Riverside Marina (Marker no. 88) at position 41°33′38.3″ N., 072°37′36.53″ W. (NAD 83). All positions are approximate. • Additional Stipulations: Spectators or other vessels shall not anchor, block, loiter, or impede the transit of event participants or official patrol vessels in the regulated areas unless authorized by COTP or des- ignated representative.

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TABLE TO § 100.100—Continued 7.2 Dolan Family Fourth Fire- • Event type: Fireworks Display. works. • Date: July 4. • Rain date: July 5. • Time (Approximate): (1) The ‘‘No Entry Area’’ will be enforced from 8:30 p.m. to 10:30 p.m. (2) The ‘‘Slow/No Wake Area’’ will be enforced from 7:00 p.m. to 12:00 a.m. • Locations: (1) ‘‘No Entry Area’’: All waters of Oyster Bay Harbor in Long Island Sound off Oyster Bay, NY within a 1000 foot radius of the launch platform in approximate position 40°53′42.50″ N., 073°30′4.30″ W. (NAD 83). (2) ‘‘Slow/No Wake Area’’: All waters of Oyster Bay Harbor in Long Island Sound off Oyster Bay, NY con- tained within the following area; beginning at a point on land in position at 40°53′12.43″ N., 073°31′13.05″ W. near Moses Point; then east across Oyster Bay Harbor to a point on land in position at 40°53′15.12″ N., 073°30′38.45″ W. then north along the shoreline to a point on land in position at 40°53′34.43″ N., 073°30′33.42″ W. near Cove Point; then east along the shoreline to a point on land in position at 40°53′41.67″ N., 073°29′40.74″ W. near Cooper Bluff; then south along the shoreline to a point on land in position 40°53′5.09″ N., 073°29′23.32″ W. near Eel Creek; then east across Cold Spring Harbor to a point on land in position 40°53′6.69″N, 073°28′19.9″W; then north along the shoreline to a point on land in position 40°55′24.09″ N., 073°29′49.09″ W. near Whitewood Point, then west across Oyster Bay to a point on land in position 40°55′5.29″ N., 073°31′19.47″ W. near Rocky Point, then south along the shoreline to a point on land in position 40°54′4.11″ N., 073°30′29.18″ W. near Plum Point, then northwest along the shoreline to a point on land in position 40°54′9.06″ N., 073°30′45.71″ W., then southwest along the shoreline to a point on land in position 40°54′3.2″ N., 073°31′1.29″ W., and then south along the shoreline back to point of origin (NAD 83). All positions are approximate. 7.3 Clam Shell Foundation Fire- • Event type: Fireworks Display. works. • Date: One day in July to be determined annually. • Time (Approximate): (1) The ‘‘No Entry Area’’ will be enforced from 9:00 p.m. to 10:30 p.m. (2) The ‘‘Northbound Traffic Only Area’’ will be enforced from 10:30 p.m. to 12:00 a.m. • Locations: (1) ‘‘No Entry Area’’: All waters of Three Mile Harbor, East Hampton, NY within a 1000 foot radius of the launch platform in approximate position 41°1′15.49″ N., 072°11′27.5″ W. (NAD 83). (2) ‘‘Northbound Traffic Only Area″: All waters of Three Mile Harbor, East Hampton, NY contained within the following area; beginning at a point in position at 41°2′5.05″ N., 072°11′19.52″ W.; then southeast to a point on land in position at 41°2′2.67″ N., 072°11′17.97″ W.; then south along shoreline to a point on land in position at 41°1′35.26″ N., 072°11′9.56″ W.; then southeast across channel to a point on land in position at 41°1′30.28″ N., 072°10″52.77″ W.; then north along the shoreline to a point on land in posi- tion at 41°1′41.35″ N., 072°10′52.57″ W.; then north across channel to a point on land in position at 41°1′44.41″ N., 072°10′52.23″ W. near the southern end of Sedge Island; then north along shoreline of Sedge Island to a point on land in position at 41°1′56.3″ N., 072°10′59.37″ W., near the northern end of Sedge Island; then northwest across the channel to a point on land in position 41°1′56.76″ N., 072°11′0.66″ W.; then northwest along shoreline to a point on land in position 41°1′41.35″ N., 072°10′52.57″ W.; then northwest to position at 41°2′5.92″ N., 072°11′16.73″ W.; and then southwest to point of origin (NAD 83). All positions are approximate. 7.4 Jones Beach State Park Fire- • Event type: Fireworks Display. works. • Date: July 4. • Rain date: July 5. • Time: 8:30 p.m. to 10:30 p.m. • Time (Approximate): (1) The ‘‘No Entry Area’’ will be enforced from 8:30 p.m. to 10:30 p.m. (2) The ‘‘Slow/No Wake Area’’ and the ‘‘No Southbound Traffic Area’’ will be enforced from 9:30 p.m. to 12:00 a.m. • Locations: (1) ‘‘No Entry Area’’: All waters off of Jones Beach State Park, Wantagh, NY within a 1000 foot radius of the launch platform in approximate position 40°34′56.68″ N., 073°30′31.19″ W. (NAD 83). (2) ‘‘Slow/No Wake Area’’: All navigable waters between Meadowbrook State Parkway and Wantagh State Parkway and contained within the following area. Beginning in position at 40°35′49.01″ N., 073°32′33.63″ W.; then north along the Meadowbrook State Parkway to its intersection with Merrick Road in position at 40°39′14″ N., 073°34′0.76″ W.; then east along Merrick Road to its intersection with Wantagh State Parkway in position at 40°39′51.32″ N., 073°30′43.36″ W.; then south along the Wantagh State Parkway to its intersection with Ocean Parkway in position at 40°35′47.30″ N., 073°30′29.17″ W.; then west along Ocean Parkway to its intersection with Meadowbrook State Parkway at the point of ori- gin (NAD 83). All positions are approximate. (3) ‘‘No Southbound Traffic Area’’: All navigable waters of Zach’s Bay south of the line connecting a point near the western entrance to Zach’s Bay in position at 40°36′29.20″ N., 073°29′22.88″ W. and a point near the eastern entrance of Zach’s Bay in position at 40°36′16.53″ N., 073°28′57.26″ W. (NAD 83). All positions are approximate. 7.5 Maggie Fischer Memorial • Event type: Swimming. Great South Bay Cross Bay • Date: One day in July to be determined annually. Swim. • Time (Approximate): 6:30 a.m. to 12:30 p.m.

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TABLE TO § 100.100—Continued • Location: Waters of the Great South Bay, NY within 100 yards of the race course. Starting Point at the Fire Island Lighthouse Dock in position at 40°38′01″ N., 073°13′07″ W.; then north-by-northwest to a point in position at 40°38′52″ N., 073°13′09″ W.; then north-by-northwest to a point in position at 40°39′40″ N., 073°13′30″ W.; then north-by-northwest to a point in position at 40°40′30″ N., 073°14′00″ W.; and then north-by-northwest, finishing at Gilbert Park, Brightwaters, NY at position 40°42′25″ N., 073°14′52″ W. (NAD 83). All positions are approximate. 7.6 Aquapalooza, Zach’s Bay ...... • Event type: Regatta. • Date: One day in July to be determined annually. • Time (Approximate): 11:30 a.m. to 8:00 p.m. • Location: All navigable waters of Zach’s Bay, Wantagh, NY south of the line connecting a point near the western entrance to Zach’s Bay in approximate position 40°36′29.20″ N., 073°29′22.88″ W. and a point near the eastern entrance of Zach’s Bay in approximate position 40°36′16.53″ N., 073°28′57.26″ W. • Additional stipulations: During the enforcement period vessel speed in the regulated area is restricted to no wake speed or 6 knots, whichever is slower. On the day of the event from 3 p.m. to 5:30 p.m. ves- sels may only transit the regulated area in the northbound direction or outbound direction. 7.7 Fran Schnarr Open Water • Event type: Swimming. Championship Swim. • Date: One day in July to be determined annually. • Time (Approximate): 7:15 a.m. to 1:30 p.m. • Location: Waters of Huntington Bay, NY within 100 yards of the race course. Starting in position at 40°54′25.3″ N., 073°24′27.9″ W.; then northeast to a position at 40°54′32″ N., 73°23′57.7″ W.; then northwest to a position at 40°54′37.9″ N., 073°23′57.2″ W.; then southwest to a position at 40°54′33.2″ N., 073°25′28.1″ W.; then southeast to a position at 40°54′25.5″ N., 073°25′25.7″ W.; and then south- east to point of origin (NAD 83). All positions are approximate.

8 August

8.1 Riverfront Dragon Boat and • Event type: Boat Race. Asian Festival. • Dates: Saturday and Sunday during the third weekend of August. • Time (Approximate): 8:00 a.m. until 4:30 p.m. each day. • Regulated area: All waters of the Connecticut River in Hartford, CT between the Bulkeley Bridge at 41°46′10.10″ N., 072°39′56.13″ W. and the Wilbur Cross Bridge at 41°45′11.67″ N., 072°39′13.64″ W. (NAD 83). All positions are approximate. 8.2 Swim Across the Sound ...... • Event type: Swimming. • Date: One day in August determined annually. • Time (Approximate): 8:30 a.m. to 7:30 p.m. • Location: Waters of Long Island Sound from Port Jefferson, NY in approximate position 40°58′11.71″ N., 073°05′51.12″ W., then northwest to Captain’s Cove Seaport, Bridgeport, CT in approximate position 41°09′25.07″ N., 073°12′47.82″ W. (NAD 83). 8.3 Stonewall Swim ...... • Event type: Swimming. • Date: One day during a weekend in August determined annually. • Time (Approximate): 8:30 a.m. until 12:30 p.m. • Location: All navigable waters of the Great South Bay within a three miles long and half mile wide box connecting Snedecor Avenue in Bayport, NY to Porgie Walk in Fire Island, NY. Formed by connecting the following points. Beginning at 40°43′40.24″ N., 073°03′41.50″ W.; then to 40°43′40.00″ N., 073°03′13.40″ W.; then to 40°40′04.13 N., 073°03′43.81″ W.; then to 40°40′08.30″ N., 073°03′17.70″ W.; and ending at the beginning point 40°43′40.24″ N., 073°03′41.5″ W. (NAD 83). 8.4 Island Beach Two Mile Swim • Event type: Swimming. • Date: One day in August to be determined annually. • Time (Approximate): 7:30 a.m. to 11:30 a.m. • Location: All waters of Captain Harbor between Little Captain’s Island and Bower’s Island that are lo- cated within the box formed by connecting four points in the following positions. Beginning at 40°59′23.35″ N. 073°36′42.05″ W., then northwest to 40°59′51.04″ N. 073°37′57.32″ W., then southwest to 40°59′45.17″ N. 073°38′01.18″ W., then southeast to 40°59′17.38″ N. 073°36′45.9″ W., then north- east to the point of origin (NAD 83). All positions are approximate. 8.5 Waves of Hope Swim ...... • Event type: Swimming. • Date: One day in August to be determined annually. • Time (Approximate): 9:30 a.m. to 12:30 p.m. • Location: All waters of the Great South Bay off Amityville, NY shoreward of a line created by connecting the following points. Beginning at a point at 40°39′22.38″ N., 073°25′31.63″ W., then south to a point at 40°39′2.18″ N., 073°25′31.63″ W., then east to a point at 40°39′2.18″ N., 073°24′3.81″ W., then north to a point at 40°39′18.27″ N., 073°24′3.81″ W., and then west back to point of origin (NAD 83). All posi- tions are approximate. 8.6 Smith Point Triathlon ...... • Event type: Swimming. • Date: A day during a weekend in August to be determined annually. • Time (Approximate): 6:20 a.m. to 9:30 a.m. • Location: All waters of Narrow Bay near Smith Point Park in Mastic Beach, NY within the area bounded by land along its southern edge and points in position at 40°44′14.28’’N 072° 51′40.68’’W, then north to a point at position 40°44′20.83’’N 072°51′40.68’’W, then east to a point at position 40°44′20.83’’N 072°51′19.73’’W, then south to a point at position 40°44′14.85’’N 072°51′19.73’’W, and then southwest along the shoreline back to the point of origin (NAD 83). All positions are approximate.

9 September

9.1 Head of the Tomahawk ...... • Event type: Regatta.

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TABLE TO § 100.100—Continued • Date: A one day event either on a Saturday or Sunday between September 15 and October 15. • Time (Approximate): 7:30 a.m. to 2:30 p.m. • Location: All navigable waters of the Connecticut River off South Glastonbury, CT Beginning at position 41°41′18.88″N; 072°37′16.26″ W., then downriver along the west bank to a point at position 41°38′49.12″ N.; 072°37′32.73″ W., then across the Connecticut River to a point at position 41°38′49.5″ N.; 072°37′19.55″ W., then upriver along the east bank to a point at position 41°41′25.82″ N.; 072°37′9.08″ W., then across the Connecticut River to the point of origin (NAD 83). • Additional Stipulations: Non-event vessels transiting through the area during the enforcement period are to travel at no wake speeds or 6 knots, whichever is slower and that non-event vessels shall not block or impede the transit of event participants, event safety vessels or official patrol vessels in the regulated area unless authorized by COTP or designated representatives.

10 October

10.1 Head of the Riverfront Row- • Event type: Regatta. ing Regatta, Hartford, CT. • Date: The first Sunday of October, from 8:30 a.m. until 4:30 p.m. • Location: All water of the Connecticut River, Hartford, CT, between at point North of Wethersfield Cove at 41°43′52.17″ N.; 072°38′40.38″ W. and the Riverside Boat House 41°46′30.98″ N.; 072° 39′54.35″ W. (NAD 83).

Dated: June 8, 2015. II. Summary of Proposal are being held by purchasers for future E. J. Cubanski, III, III. Initial Commission Action use. Id. IV. Ordering Paragraphs Captain, U. S. Coast Guard, Captain of the The Postal Service currently estimates Port Sector Long Island Sound. forever stamp breakage by assigning I. Introduction [FR Doc. 2015–15406 Filed 6–22–15; 8:45 am] stamps a category and an issue year, BILLING CODE 9110–04–P On June 12, 2015, the Postal Service known as a layer. Id. at 3–4. When a filed a petition pursuant to 39 CFR layer of stamps is no longer available for 3050.11 requesting that the Commission sale and is determined to be at the end POSTAL REGULATORY COMMISSION initiate an informal rulemaking of its life cycle, as measured by the proceeding to consider changes to Origin Destination Information System 39 CFR Part 3050 analytical principles relating to periodic (ODIS)-RPW system, the difference reports.1 Text attached to the Petition between cumulative sales and [Docket No. RM2015–9; Order No. 2545] identifies the proposed analytical cumulative usage (calculated as a Periodic Reporting method changes filed in this docket as percentage) is deemed to be breakage Proposal One, Proposed Change in RPW and recognized as revenue for the Postal AGENCY: Postal Regulatory Commission. Methodology for Forever Stamp Usage, Service. Id. at 4. This breakage ACTION: Notice of proposed rulemaking. Stamp Breakage, and PIHOP. Id. percentage is applied to forever stamp Attachment at 1. The Postal Service sales for that layer and all remaining SUMMARY: The Commission is noticing a concurrently filed a non-public library open forever stamp layers, until the recent Postal Service filing requesting reference, along with an application for remaining layers expire and become the that the Commission initiate an informal nonpublic treatment.2 new basis for estimating the breakage rulemaking proceeding to consider percentage. Id. II. Summary of Proposal changes to analytical principles relating Forever stamp usage is collected by to periodic reports (Proposal One). This The Petition requests a change in ODIS–RPW data collectors and notice informs the public of the filing, methodology for the treatment of expanded to national totals. Id. A invites public comment, and takes other revenue, pieces, and weight (RPW) separate process calculates the value of administrative steps. associated with forever stamp usage, the layer used, based on the different DATES: Comments are due: July 23, breakage, and Postage-in-the-Hands-of- prices at which it was originally sold. 2015. Reply comments are due: August the-Public (PIHOP). Stamp breakage Id. at 5. The estimated forever stamp 3, 2015. refers to the forever stamps that have usage is included in the current Book ADDRESSES: Submit comments been sold by the Postal Service but will Revenue Adjustment Factor (BRAF) electronically via the Commission’s never be used due to factors such as lost calculation. Id. at 7. The Postal Service Filing Online system at http:// or damaged stamps and collectables. Id. currently estimates PIHOP liability at www.prc.gov. Those who cannot submit at 3. PIHOP refers to forever stamps that the end of each accounting period. Id. comments electronically should contact at 5. PIHOP liability is calculated by 1 FOR FURTHER Petition of the United States Postal Service subtracting the stamp breakage and the person identified in the Requesting Initiation of a Proceeding to Consider a INFORMATION CONTACT section by Proposed Change in Analytical Principles (Proposal stamp usage from stamp sales. Id. telephone for advice on filing One), June 12, 2015 (Petition). The proposed changes include using alternatives. 2 Notice of Filing of USPS–RM2015–9/NP1 and the ODIS–RPW estimates for forever Application for Nonpublic Treatment, June 12, 2015 stamps usage directly in the RPW FOR FURTHER INFORMATION CONTACT: (Notice). The library reference is USPS–RM2015–9/ Report. Id. at 9. Under the proposal, two David A. Trissell, General Counsel, at NP1, Non-Public Material Relating to Proposal One. changes would occur in the BRAF 202–789–6820. The Notice incorporates by reference the Application for Non-Public Treatment of Materials formulation: Forever stamp usage would SUPPLEMENTARY INFORMATION: contained in Attachment Two to the December 29, be removed from the ODIS–RPW Single- 2014, United States Postal Service Fiscal Year 2014 Table of Contents Annual Compliance Report. Notice at 1. See 39 CFR Piece Sampling Revenue and forever part 3007 for information on access to non-public stamp usage and forever stamp and non- I. Introduction material. forever stamp breakage would be

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removed from the residual total balance. DEPARTMENT OF HEALTH AND Centers for Disease Control and Id. at 10. In addition, breakage from HUMAN SERVICES Prevention, 1600 Clifton Road, NE., MS both forever and non-forever stamps E–03, Atlanta, GA 30333, ATTN: Part would be assigned to Market Dominant 42 CFR Part 34 34. • Other Revenue in the RPW Report and [Docket No. CDC–2015–0045] Viewing Comments: Comments may PIHOP revenues, including meter be viewed at www.regulations.gov, PIHOP, will no longer be allocated RIN 0920–AA28 Docket Number CDC–2015–0045. directly to products. Id. at 11. Instructions: All submissions received Medical Examination of Aliens— RPW reporting impacts. The Postal must include the agency name and Revisions to Medical Screening docket number or RIN for this Service provides three tables that assess Process the impact of its proposal. Id. Table 1 rulemaking. All relevant comments shows the BRAF calculations for FY AGENCY: Centers for Disease Control and received will be posted without change 2014 for current and proposed Prevention (CDC), U.S. Department of to http://www.regulations.gov, including methodologies; Table 2 shows the FY Health and Human Services (HHS). any personal information provided. Docket: For access to the docket to 2014 RPW report for the current ACTION: Notice of proposed rulemaking. proposed methodologies; and Table 3 read background documents or shows the same information for Quarter SUMMARY: The Centers for Disease comments received or to download an 2 Year-to-Date FY 2015. Id. at 11–12. Control and Prevention (CDC), within electronic version of the NPRM, go to Library Reference USPS–FY2015–9/NP1 the U.S. Department of Health and http://www.regulations.gov and refer to contains non-public versions of Tables 2 Human Services (HHS), is issuing this Docket Number CDC–2015–0045. and 3. Id. at 12. Notice of Proposed Rulemaking (NPRM) Comments will be available for public to amend its regulations governing inspection from Monday through III. Initial Commission Action medical examinations that aliens must Friday, except for legal holidays, from 9 The Commission establishes Docket undergo before they may be admitted to a.m. until 5 p.m., Eastern Time, at 1600 No. RM2015–9 for consideration of the United States. Specifically, HHS/ Clifton Road NE., Atlanta, Georgia matters raised by the Petition. CDC proposes to: revise the definition of 30333. Please call ahead to 1–866–694– Additional information concerning the communicable disease of public health 4867, and ask for a representative in the Petition may be accessed via the significance by removing chancroid, Division of Global Migration and Commission’s Web site at http:// granuloma inguinale, and Quarantine to schedule your visit. www.prc.gov. Interested persons may lymphogranuloma venereum as FOR FURTHER INFORMATION CONTACT: submit comments on the Petition and inadmissible health-related conditions Ashley A. Marrone, J.D., Division of Proposal One no later than July 23, for aliens seeking admission to the Global Migration and Quarantine, 2015. Reply comments are due no later United States; update the notification of Centers for Disease Control and than August 3, 2015. Pursuant to 39 the health-related grounds of Prevention, 1600 Clifton Road, NE., MS U.S.C. 505, Anne C. O’Connor is inadmissibility to include proof of E–03, Atlanta, Georgia 30333; telephone designated as officer of the Commission vaccinations to align with existing 1–404–498–1600. (Public Representative) to represent the requirements established by the SUPPLEMENTARY INFORMATION: The interests of the general public in this Immigration and Nationality Act (INA); Preamble to this NPRM is organized as proceeding. revise the definitions and evaluation follows: criteria for mental disorders, drug abuse IV. Ordering Paragraphs I. Public Participation and drug addiction; clarify and revise II. Legal Authority It is ordered: the evaluation requirements for III. Background 1. The Commission establishes Docket tuberculosis; clarify and revise the A. Inadmissibility and the Medical No. RM2015–9 for consideration of the process for the HHS/CDC-appointed Examination matters raised by the Petition of the medical review board that convenes to B. Applicability of part 34 reexamine the determination of a Class C. Legislative and Regulatory History United States Postal Service Requesting IV. Rationale for Proposed Regulatory Action Initiation of a Proceeding to Consider a A medical condition based on an A. Section 34.2 Definitions Proposed Change in Analytical appeal; and update the titles and B. Section 34.3 Scope of Examinations Principles (Proposal One), filed June 12, designations of federal agencies within C. Section 34.4 Medical Notifications 2015. the text of the regulation. D. Section 34.7 Medical and Other Care; 2. Comments are due no later than DATES: Written comments must be Death July 23, 2015. Reply comments are due received on or before August 24, 2015. E. Section 34.8 Reexamination; Convening of Review Boards; Expert Witnesses, no later than August 3, 2015. ADDRESSES: You may submit comments, Reports 3. Pursuant to 39 U.S.C. 505, the identified by the Regulatory Information V. Alternatives Considered Commission appoints Anne C. Number (RIN) 0920–AA28 or the Docket VI. Required Regulatory Analyses O’Connor to serve as an officer of the Number CDC–2015–0045 in the heading A. Executive Orders 12866 and 13563 Commission (Public Representative) to of this document by any of the following B. The Regulatory Flexibility Act represent the interests of the general methods: C. The Paperwork Reduction Act public in this docket. • Federal eRulemaking Portal: http:// D. National Environmental Policy Act www.regulations.gov. Follow the (NEPA) 4. The Secretary shall arrange for E. Executive Order 12988: Civil Justice publication of this order in the Federal instructions for submitting comments. • Reform Register. Mail: Division of Global Migration F. Executive Order 13132: Federalism and Quarantine, Centers for Disease By the Commission. G. The Plain Language Act of 2010 Control and Prevention, 1600 Clifton VII. References Shoshana M. Grove, Road, NE., MS E–03, Atlanta, GA 30333, Secretary. ATTN: Part 34. I. Public Participation [FR Doc. 2015–15361 Filed 6–22–15; 8:45 am] • Hand Delivery/Courier: Division of Interested persons are invited to BILLING CODE 7710–FW–P Global Migration and Quarantine, participate in this rulemaking by

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submitting written views, opinions, II. Legal Authority should be required for immigrants recommendations, and data. Comments HHS/CDC is proposing these revisions seeking admission into the United received, including attachments and under the authority of 42 U.S.C. 252 and States or seeking adjustment of status to other supporting materials, are part of 8 U.S.C. 1182 and 1222. that of an alien lawfully admitted for the public record and subject to public permanent residence based on public disclosure. III. Background health needs. The proposed criteria are Specifically, HHS/CDC seeks A. Inadmissibility and the Medical as follows: The vaccine must be an age- comment on: Examination appropriate vaccine as recommended by (1) Whether infectious Hansen’s the ACIP for the general U.S. Under section 212(a)(1) of the population, and at least one of the disease (previously referred to in Immigration and Nationality Act (INA) regulation as infectious leprosy), following: (i) The vaccine must protect (8 U.S.C. 1182(a)(1)), any alien who is against a disease that has the potential infectious syphilis and/or gonorrhea determined to have a communicable should be removed from the definition to cause an outbreak; or (ii) the vaccine disease of public health significance is must protect against a disease that has of communicable disease of public inadmissible to the United States. As a health significance. been eliminated in the United States or result of this statute, aliens outside of is in the process for elimination in the (2) Whether the definition of the United States who have a United States. HHS/CDC received communicable disease of public health communicable disease of public health public comment on these criteria and significance and the scope of the significance are ineligible to receive a after review and consideration, medical examination should be revised visa for admission into the United published a final notice on November as proposed in this regulation; States, absent the grant of a waiver. 13, 2009, adopting the proposed criteria (3) Whether the statutory requirement Aliens within the United States who (74 FR 58634). These criteria became that aliens demonstrate proof of have a communicable disease of public effective on December 14, 2009. Since vaccinations should be incorporated health significance are also ineligible to then, HHS/CDC has relied on such into the regulations as a notifiable adjust their status to that of a lawful criteria to determine which vaccines medical condition. Please note when permanent resident, absent the grant of aliens must receive as part of the considering this question that HHS/CDC a waiver. immigration medical screening process. is not requesting comment on the In addition to other potential grounds The list of the ACIP vaccine statutory language itself as HHS/CDC of inadmissibility, an alien is recommendations for the U.S. general does not have the authority to alter inadmissible if he/she is determined: (1) public can be found at http:// statutory language. Rather, we are To have a communicable disease of www.cdc.gov/vaccines/hcp/acip-recs/ interested in comment on the public health significance (as currently index.html, and the list of HHS/CDC advisability of incorporating statutory defined by regulations); (2) to pose, or required vaccines for immigration language into regulations. has posed, a threat to the property, purposes can be found at http:// (4) Whether the requirement that safety, or welfare of the alien or others; www.cdc.gov/immigrantrefugeehealth/ immigrants demonstrate proof of (3) to have had a history of behavior, exams/ti/panel/vaccination-panel- vaccination against vaccine-preventable which has posed a threat to the technical-instructions.html#tbl1. As diseases recommended by the Advisory property, safety, or welfare of the alien more vaccines become available, HHS/ Committee on Immunization Practices or others and which is likely to recur or CDC will continue to apply these (ACIP) should be limited to only those lead to other harmful behavior; or (4) to criteria to respond to the ACIP vaccines for which a public health need be a drug abuser or addict. vaccination recommendations. exists at the time of immigration or At present, except for certain adopted Any changes to the list of required adjustment of status. CDC has children 10 years of age or younger, vaccines, which result from an previously published criteria for HHS/CDC requires any alien seeking application of these criteria, will be determining whether a public health admission as an immigrant or seeking reflected in HHS/CDC’s Technical need exists at the time of immigration adjustment of status to that of a lawful Instructions, available to the public at or adjustment of status. CDC is not permanent resident, to present http://www.cdc.gov/ seeking comment on the criteria, but documentation of vaccination against all immigrantrefugeehealth/exams/ti/ rather on the incorporation of this vaccine-preventable diseases explicitly index.html. While HHS/CDC is not standard into the regulations. listed in section 212(a)(1)(A)(ii) of the seeking additional comment on these INA (mumps, measles, rubella, polio, (5) Whether the definitions and previously published vaccination tetanus and diphtheria toxoids, evaluation criteria for mental disorders, criteria at this time, we are requesting pertussis, Haemophilus influenzae type drug abuse and drug addiction should comment on incorporating the reference B, hepatitis B), and for all other be revised as proposed in this regulation to these criteria in this regulation. We vaccinations recommended by the note that if there is a future need for (6) Whether the requirements for Advisory Committee for Immunization HHS/CDC to reconsider these evaluating the presence of tuberculosis Practices (ACIP) for which a public established criteria, HHS/CDC will in alien applicants should be clarified health need exists at the time of solicit comments through publication in and revised as proposed in this immigration or adjustment of status. the Federal Register. regulation and; To allow HHS/CDC to adapt The Secretary of Health and Human (7) Whether the process for the vaccination requirements for U.S. Services (HHS) is authorized to convening of a medical review board immigrants based on public health promulgate regulations establishing the and reexamination of an alien by a needs, on April 8, 2009, HHS/CDC requirements for the medical medical review board should be revised published a notice in the Federal examination of aliens by sections as proposed in this regulation. Register (74 FR 15986) seeking public 212(a)(1) and 232 of the INA and section Do not include any information in comment on proposed criteria that 325 of the Public Health Service Act (42 your comment or supporting materials HHS/CDC intended to use to determine U.S.C. 252). The regulations, that you do not wish to be disclosed which vaccines recommended by the administered by HHS/CDC, are publicly. ACIP for the general U.S. population promulgated at 42 CFR part 34. Under

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current 42 CFR part 34, an alien seeking spouse, child (unmarried and under 21 with regulation prescribed by the permanent residence prior to arrival years of age) or parent of a U.S. citizen Secretary of Health and Human into the U.S. or through an adjustment (a citizen must be at least 21 years old Services) to have a communicable of status while in the U.S., must to file a petition for a parent); (2) disease of public health significance undergo a medical examination to Family-Based immigrants (adult sons or shall be excludable from the United determine whether the alien is daughters of citizens, the siblings of States. Immigration Act of 1990, Public inadmissible on medical grounds. citizens who are at least 21 years old, Law 101–649, section 601, 104 Stat. HHS/CDC issues Technical and the spouse, child, or adult sons or 4978 January 23, 1990; INA section Instructions that provide the technical daughters of lawful permanent 212(a)(1)(A)(i), 8 U.S.C. 1182(a)(1)(A)(i) consultation and guidance to panel residents); (3) Employment-Based (effective June 1, 1991). At the time of physicians and civil surgeons who immigrants; and (4) Diversity the 1990 INA amendments, the conduct the medical examinations of immigrants who obtain by lottery the following specific communicable aliens. Panel physicians, designated by ability to seek an immigrant visa. illnesses rendered an alien the U.S. Department of State (DOS), Refugees and asylees may also apply inadmissible: active tuberculosis, perform medical examinations on those to adjust to permanent resident status infectious syphilis, gonorrhea, aliens living outside the United States from inside the United States. INA infectious leprosy, chancroid, who are seeking to immigrate to the section 209; 8 U.S.C. 1159. Section lymphogranuloma venereum, United States. Civil surgeons, 101(a)(42)(A) of the INA generally granuloma inguinale, and human designated by the U.S. Citizenship and defines refugees and asylees as persons immunodeficiency virus (HIV) Immigration Services (USCIS) within who cannot return to their country infection. HHS/CDC subsequently the U.S. Department of Homeland because of persecution or the well- published a proposed rule that would Security (DHS), perform medical founded fear of persecution based on have removed from the list all diseases examinations for aliens who are already race, religion, nationality, membership except for active tuberculosis. 56 FR present in the United States and are in a particular social group, or political 2484 (January 23, 1991). Based on the seeking adjustment of status. The CDC opinion. A refugee applicant is review and consideration of public Technical Instructions for Medical preliminarily approved for refugee comments received on this proposal, Examination of Aliens, including the status overseas, but is admitted as a HHS published an interim final rule most current updates that panel refugee upon admission to the United retaining all communicable diseases on physicians and civil surgeons must States at a port of entry. An asylee the list and committed its initial follow in accordance with these applicant is approved for asylum from proposal for further study. 56 FR 25000 regulations, are available to the public within the United States and is not (May 31, 1991). On October 6, 2008, on the CDC Web site, located at the required to undergo a medical HHS/CDC published an Interim Final following Internet address: http:// examination as part of the application Rule (IFR) announcing a revised www.cdc.gov/immigrantrefugeehealth/ process until he/she seeks adjustment of definition of communicable disease of exams/ti/index.html. status. See INA 208 and 8 CFR part 208. public health significance and revised A refugee is subject to the medical B. Applicability of Part 34 scope of the medical examination in 42 grounds of inadmissibility and the CFR part 34. This IFR addressed The provisions in 42 CFR part 34 medical examination requirements. A concerns regarding emerging and apply to the medical examination of (1) refugee is not subject to the vaccination reemerging diseases in alien aliens outside the United States who are requirements until he/she seeks populations who are bound for the applying for a visa at an embassy or adjustment of status. See INA section United States. See 73 FR 58047 and 73 consulate of the United States; (2) aliens 207; 8 U.S.C. 1157; 8 CFR part 207. FR 62210. arriving in the United States; (3) aliens An additional immigration category With the 2008 revision to 42 CFR part required by DHS to have a medical under the INA is Temporary Protected 34, the definition of communicable examination in connection with Status (TPS). This applies to persons disease of public health significance determination of their admissibility into who are in the United States lawfully, was modified to include two disease the United States; and (4) aliens who though temporarily, as a result of categories: (1) Quarantinable diseases apply for adjustment of their ongoing armed conflict, natural designated by Presidential Executive immigration status to that of lawful disasters, or certain other extraordinary Order; and (2) a communicable disease permanent resident. While 42 CFR part and temporary conditions, and whose that may pose a public health 34 can apply to individuals who wish countries have been designated as TPS emergency of international concern in to come to the United States to visit, countries under INA section 244; 8 accordance with the International such as leisure or business travelers, a U.S.C. 1255a; 8 CFR part 244. TPS Health Regulations (IHR) of 2005, medical examination is not routinely applicants are also subject to the provided the disease meets specified required as a condition for issuance of medical grounds of inadmissibility. criteria in addition to the list of specific non-immigrant visas or entry into the illnesses. Specific illnesses remaining as C. Legislative and Regulatory History of United States. a communicable disease of public Part 34 Annually, DHS admits more than 1 health significance were active million aliens to reside permanently in Beginning in 1952, the language of the tuberculosis, infectious syphilis, this country (24). Foreign citizens who INA mandated that, among other gonorrhea, infectious Hansen’s disease wish to live permanently in the United grounds for inadmissibility, aliens ‘‘who (previously referred to in regulation as States must comply with U.S. are afflicted with any dangerous infectious leprosy), chancroid, immigration law and specific contagious disease’’ are ineligible to lymphogranuloma venereum, procedures for applying for an receive a visa and therefore are granuloma inguinale, and HIV infection. immigrant visa or adjustment of status. excluded from admission into the In response to a 2008 amendment to These applicants are also subject to the United States. In 1990, Congress the INA, on July 2, 2009, HHS/CDC medical grounds of inadmissibility. The amended the INA by revising the classes published a Notice of Proposed four main immigrant visa classifications of excludable aliens to provide that an Rulemaking (NPRM), which proposed are: (1) Immediate Relatives, that is, the alien who is determined (in accordance two regulatory changes: 1) The removal

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of HIV infection from the definition of diseases should remain or be removed process. These updates will ensure communicable disease of public health from the definition of communicable regulations that govern the medical significance; and 2) removal of disease of public health significance. examination of aliens are based upon references to serologic testing for HIV HHS/CDC’s rationale for maintaining accepted contemporary scientific from the scope of examinations. On these three diseases is that continuing to principles as well as current medical November 2, 2009, HHS/CDC published screen for and treat these diseases, when practices. a final rule, effective on January 4, 2010, identified in aliens, provides a public The following is a section-by-section that removed HIV infection and testing health benefit to the United States as analysis of the proposed changes for for HIV infection from part 34 well as a personal health benefit to the which HHS/CDC is seeking public regulations. 74 FR 31798 and 73 FR individual. Further, while infection comment: 56547. with these three diseases initially A. 34.1 Applicability Through today’s NPRM, HHS/CDC is renders an alien inadmissible to the soliciting public comment on the United States, treatment is available HHS/CDC is proposing to replace the definition of communicable disease of upon identification, and once acronym ‘‘INS’’ within 34.1(c) with public health significance and the appropriately treated, aliens are no ‘‘DHS’’ to best reflect the administrative revised scope of medical examination longer inadmissible. Continued changes that have occurred within the which were initially promulgated as an screening for these three diseases during Federal Government regarding agencies interim final rule in 2008. Specifically, the medical examination provides an and/or departments responsible for the in addition to the previously updated opportunity to identify and treat disease medical examination of aliens. language, HHS/CDC proposes to further in alien populations and thus provide a B. Section 34.2 Definitions revise the definition of communicable measure of public health protection to disease of public health significance by the general U.S. population. Current section 34.2 entitled removing these three uncommon health ‘‘Definitions’’ provides information IV. Rationale for Proposed Regulatory conditions: chancroid; granuloma regarding the intent of HHS/CDC Action inguinale; and lymphogranuloma regarding certain terms that are used in venereum. This definition is now HHS/CDC identified the need for this the regulation. While HHS/CDC is not proposed to include (1) quarantinable rulemaking through an annual proposing to revise all of the current diseases designated by Presidential retrospective review of its regulations. terms and definitions, such as medical Executive Order; (2) a communicable Executive Order 13563 ‘‘Improving examiner, we welcome comment on the disease that may pose a public health Regulation and Regulatory Review’’ use of these terms and its definitions. emergency of international concern in requires Federal agencies to periodically HHS/CDC is proposing to revise the accordance with the IHR of 2005; and review existing regulations to eliminate definitions section as specifically (3) gonorrhea, infectious Hansen’s those regulations that are obsolete, described below. disease, infectious syphilis, and active unnecessary, burdensome, or HHS/CDC proposes to revise the tuberculosis. counterproductive or revise regulations definitions of: CDC, Communicable HHS/CDC is not proposing to remove to increase their effectiveness, disease of public health significance, active tuberculosis from the definition efficiency, and flexibility. Civil Surgeon, Class A medical of a communicable disease of public Through this NPRM, HHS/CDC notification, Class B medical health significance. At this time, HHS/ proposes to update part 34 to reflect notification, Director, Drug abuse, Drug CDC is not proposing to remove modern terminology and plain language addiction, Medical notification, Medical infectious leprosy, gonorrhea, or commonly used in medicine and hold document, Medical officer, Mental syphilis from the definition but is science by public health partners in the disorder and Physical disorder. proposing to replace the term medical examination of aliens. Additionally, HHS/CDC is adding ‘‘infectious leprosy’’ with ‘‘infectious Likewise, we are proposing to update definitions for DHS and HHS and Hansen’s disease’’ and to modify part 34 so that the text accurately removing the definition of INS. To help ‘‘syphilis, infectious stage’’ to simply reflects the statutory and administrative guide the reader, we have provided a ‘‘syphilis, infectious’’ to reflect modern changes that have occurred within the chart to indicate which text is proposed terminology. HHS/CDC will accept Federal Government regarding agencies to change and is therefore subject to public comment on whether these three and/or departments responsible for this comments from the public.

CURRENT DEFINITIONS AND CORRESPONDING PROPOSED CHANGES IN DEFINITIONS WITHIN THE NPRM

Definitions in 42 CFR part 34 Corresponding, new, or updated definition within NPRM

CDC. Centers for Disease Control, Public Health Services, U.S. De- CDC. Centers for Disease Control and Prevention, U.S. Department of partment of Health and Human Services. Health and Human Services.

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CURRENT DEFINITIONS AND CORRESPONDING PROPOSED CHANGES IN DEFINITIONS WITHIN THE NPRM—Continued

Definitions in 42 CFR part 34 Corresponding, new, or updated definition within NPRM

Communicable disease of public health significance. Any of the fol- Communicable disease of public health significance. Any of the fol- lowing diseases: lowing diseases: (1) Chancroid. (1) Communicable diseases as listed in a Presidential Executive Order, (2) Communicable diseases as listed in a presidential Executive Order, as provided under Section 361(b) of the Public Health Service Act. as provided under Section 361(b) of the Public Health Service Act. The current revised list of quarantinable communicable diseases is The current revised list of quarantinable communicable diseases is available at http://www.cdc.gov and http://www.archives.gov/federal- available at http://www.cdc.gov and http://www.archives.gov/federal- register. register. (2) Communicable diseases that may pose a public health emergency (3) Communicable diseases that may pose a public health emergency of international concern if it meets one or more of the factors listed in of international concern if it meets one or more of the factors listed in in § 34.3(d) and for which the CDC Director has determined (A) a in § 34.3(d) and for which the CDC Director has determined (A) a threat exists for importation into the United States, and (B) such dis- threat exists for importation into the United States, and (B) such dis- ease may potentially affect the health of the American public. The ease may potentially affect the health of the American public. The determination will be made consistent with criteria established in determination will be made consistent with criteria established in Annex 2 of the revised International Health Regulations (http:// Annex 2 of the revised International Health Regulations (http:// www.who.int/csr/ihr/en/), as adopted by the Fifty-Eighth World Health www.who.int/csr/ihr/en/), as adopted by the Fifty-Eighth World Health Assembly in 2005, and as entered into effect in the United States in Assembly in 2005, and as entered into effect in the United States in July, 2007. Subject to the U.S. Government’s reservation and under- July, 2007. Subject to the U.S. Government’s reservation and under- standings: standings: (i) Any of the communicable diseases for which a single case requires (i) Any of the communicable diseases for which a single case requires notification to the World Health Organization (WHO) as an event that notification to the World Health Organization (WHO) as an event that may constitute a public health emergency of international concern, may constitute a public health emergency of international concern, or, or, (ii) Any other communicable disease the occurrence of which requires (ii) Any other communicable disease the occurrence of which requires notification to the WHO as an event that may constitute a public notification to the WHO as an event that may constitute a public health emergency of international concern. HHS/CDC’s determina- health emergency of international concern. HHS/CDC’s determina- tions will be announced by notice in the Federal Register. tions will be announced by notice in the Federal Register. (3) Gonorrhea. (4) Gonorrhea. (4) Hansen’s disease, infectious. (5) Granuloma inguinale. (5) Syphilis, infectious. (6) Leprosy, infectious. (6) Tuberculosis, active. (7) Lymphogranuloma venereum. (8) Syphilis, infectious stage. (9) Tuberculosis, active. Civil surgeon. A physician, with not less than 4 years’ professional ex- Civil surgeon. A physician selected by DHS to conduct medical exami- perience, selected by the District Director of INS to conduct medical nations of aliens in the United States who are applying for adjust- examinations of aliens in the United States who are applying for ad- ment of status to permanent residence or who are required by DHS justment of status to permanent residence or who are required by to have a medical examination. the INS to have a medical examination. Class A medical notification ...... Class A medical notification. (1) A communicable disease of public health significance; (1) A communicable disease of public health significance; (2)(i) A physical or mental disorder and behavior associated with the (2) A failure to present documentation of having received vaccination disorder that may pose, or has posed, a threat to the property, safe- against ‘‘vaccine-preventable diseases’’ for an alien who seeks ad- ty, or welfare of the alien or others; mission as an immigrant, or who seeks adjustment of status to one (ii) A history of a physical or mental disorder and behavior associated lawfully admitted for permanent residence, which shall include at with the disorder, which behavior has posed a threat to the property, least the following diseases: mumps, measles, rubella, polio, tetanus safety, or welfare of the alien or others and which behavior is likely and diphtheria toxoids, pertussis, Haemophilus influenza type B, and to recur or lead to other harmful behavior; or hepatitis B, and any other vaccinations against vaccine-preventable (3) Drug abuse or addiction. diseases recommended by the Advisory Committee on Immunization Practices (ACIP) for which HHS/CDC determines there is a public health need at the time of immigration or adjustment of status. Provided, however, that in no case shall a Class A medical notification be issued for an adopted child who is 10 years of age or younger if, prior to the admission of the child, an adoptive parent or prospective adoptive parent of the child, who has sponsored the child for admis- sion as an immediate relative, has executed an affidavit stating that the parent is aware of the vaccination requirement and will ensure that, within 30 days of the child’s admission, or at the earliest time that is medically appropriate, the child will receive the vaccinations identified in the requirement. (3)(i) A current disorder and behavior that may pose, or has posed, a threat to the property, safety, or welfare of the alien or others; (ii) A history of behavior has posed a threat to the property, safety, or welfare of the alien or others and which behavior is likely to recur or lead to other harmful behavior; or (4) Drug abuse or addiction. Class B medical notification. Medical notification of a physical or mental Class B medical notification. Medical notification of a physical or men- health condition, disease, or disability serious in degree or perma- tal health condition, disease, or disability serious in degree or perma- nent in nature amounting to a substantial departure from normal well- nent in nature. being. DHS. U.S. Department of Homeland Security.

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CURRENT DEFINITIONS AND CORRESPONDING PROPOSED CHANGES IN DEFINITIONS WITHIN THE NPRM—Continued

Definitions in 42 CFR part 34 Corresponding, new, or updated definition within NPRM

Director. The Director of the Centers for Disease Control ...... Director. The Director, Centers for Disease Control and Prevention, Department of Health and Human Services, or another authorized representative as approved by the CDC Director or the Secretary. Drug abuse. The non-medical use of a substance listed in section 202 Drug abuse. Current substance use disorder or substance-induced dis- of the Controlled Substances Act, as amended (21 U.S.C. 802) order, mild, as defined in the current edition of the Diagnostic and which has not necessarily resulted in physical or psychological de- Statistical Manual for Mental Disorders (DSM) published by the pendence. American Psychiatric Association, or in another authoritative source as approved by the Director, of a substance listed in Section 202 of the Controlled Substances Act, as amended (21 U.S.C. 802). Drug addiction. The non-medical use of a substance listed in section Drug addiction. Current substance use disorder or substance-induced 202 of the Controlled Substances Act, as amended (21 U.S.C. 802) disorder, moderate or severe as defined in the current edition of the which has resulted in physical or psychological dependence. Diagnostic and Statistical Manual for Mental Disorders (DSM) pub- lished by the American Psychiatric Association, or in another authori- tative source as approved by the Director, of a substance listed in Section 202 of the Controlled Substances Act, as amended (21 U.S.C. 802). HHS. U.S. Department of Health and Human Services INS. Immigration and Naturalization Service, U.S. Department of Jus- Definition Removed. tice. Medical examiner. A panel physician, civil surgeon, or other physician No change. designated by the Director to perform medical examination of aliens. Medical hold document. A document issued to the INS by a quarantine Medical hold document. A document issued to DHS by a quarantine of- inspector of the Public Health Service at a port of entry, which defers ficer of HHS/CDC at a port of entry, which defers the inspection for the inspection for admission until the cause of the medical hold is re- admission until the cause of the medical hold is resolved. solved. Medical notification. A document issued to a consular authority or the Medical notification. A document issued to a consular authority or DHS INS by a medical examiner, certifying the presence or absence of: by a medical examiner, certifying the presence or absence of: (1) A communicable disease of public health significance; (1) A communicable disease of public health significance; (2)(i) A physical or mental disorder and behavior associated with the (2) Documentation of having received vaccination against ‘‘vaccine-pre- disorder that may pose, or has posed, a threat to the property, safe- ventable diseases’’ for an alien who seeks admission as an immi- ty, or welfare of the alien or others; grant, or who seeks adjustment of status to one lawfully admitted for (ii) A history of a physical or mental disorder, which behavior has permanent residence, which shall include at least the following dis- posed a threat to the property, safety, or welfare of the alien or oth- eases: mumps, measles, rubella, polio, tetanus and diphtheria tox- ers and which behavior is likely to recur or lead to other harmful be- oids, pertussis, Haemophilus influenza type B, and hepatitis B, and havior; any other vaccinations against vaccine-preventable diseases rec- (3) Drug abuse or addiction; or ommended by the Advisory Committee on Immunization Practices (4) Any other physical abnormality, disease, or disability serious in de- (ACIP) for which HHS/CDC determines there is a public health need gree or permanent in nature amounting to a substantial departure at the time of immigration or adjustment of status. from normal well-being. Provided, however, that in no case shall a Class A medical notification be issued for an adopted child who is 10 years of age or younger if, prior to the admission of the child, an adoptive parent or prospective adoptive parent of the child, who has sponsored the child for admis- sion as an immediate relative, has executed an affidavit stating that the parent is aware of the vaccination requirement and will ensure that, within 30 days of the child’s admission, or at the earliest time that is medically appropriate, the child will receive the vaccinations identified in the requirement. (3)(i) A behavior that may pose, or has posed, a threat to the property, safety, or welfare of the alien or others; (ii) A history of a behavior has posed a threat to the property, safety, or welfare of the alien or others and which behavior is likely to recur or lead to other harmful behavior; (4) Drug abuse or addiction; (5) Any other physical or mental condition, disease or disability serious in degree or permanent in nature. Medical officer. A physician of the Public Health Service Commissioned Medical officer. A physician assigned by the Director to conduct phys- Corps assigned by the Director to conduct physical and mental ex- ical and mental examinations of aliens on behalf of HHS/CDC. aminations of aliens. Mental disorder. A currently accepted psychiatric diagnosis, as defined Mental disorder. A currently accepted psychiatric diagnosis, as defined by the Diagnostic and Statistical Manual of Mental Disorders pub- by the most recent version of the Diagnostic and Statistical Manual lished by the American Psychiatric Association, or by other authori- of Mental Disorders (DSM) published by the American Psychiatric tative sources. Association, or by other authoritative sources as approved by the Di- rector. Panel physician. A physician selected by a United States embassy or No change. consulate to conduct medical examinations of aliens applying for visas. Physical disorder. A currently accepted medical diagnosis, as defined Physical disorder. A currently accepted medical diagnosis, as defined by the Manual of the International Classification of Diseases, Injuries, by the most recent version of the Manual of the International Classi- and Causes of Death published by the World Health Organization, or fication of Diseases (ICD), Injuries, and Causes of Death published by other authoritative sources. by the World Health Organization, or by other authoritative sources as approved by the Director.

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Section 34.2(a) CDC vast majority of these cases were cases three diseases from the specific list of We are proposing to update the outside the United States (12–17). communicable disease of public health definition of CDC to reflect the current Additionally, cases of significance and is seeking public official title of the Agency: Centers for lymphogranuloma venereum are comment on this proposal. increasingly rare among women. Disease Control and Prevention, Section 34.2(c) Civil Surgeon Department of Health and Human Although sporadic small outbreaks of lymphogranuloma venereum have Civil Surgeon is currently defined as Services. In doing so, we are removing a ‘‘physician, with not less than 4 years ‘‘Public Health Services’’ from the occurred over the past 10 years, these have been almost exclusively among professional experience, selected by the definition. men who have sex with men, with District Director of INS to conduct Section 34.2(b) Communicable Disease disease generally manifested as severe medical examinations of aliens in the of Public Health Significance proctitis (inflammation of the anus or United States who are applying for adjustment of status to permanent This provision defines communicable rectum) (18–20). residence or who are required by the disease of public health significance as Internationally, most countries do not track any of the three infections; INS to have a medical examination.’’ both a specific list of diseases and however, the few publications and HHS/CDC is proposing to remove the categories of diseases for which all records available suggest case rates have specific language of ‘‘District Director’’ aliens are inadmissible to the United declined worldwide over the past 50 and ‘‘INS’’ from the definition of civil States. HHS/CDC is proposing to remove years. Declining rates of these surgeon to align with the specific three uncommon bacterial infections conditions are likely due to a variety of language of the definition of civil associated with genital ulcer disease: factors. Improved living conditions, surgeon as provided for in DHS chancroid, granuloma inguinale, and better sanitation (e.g., availability of regulations in 8 CFR part 232. HHS/CDC lymphogranuloma venereum, from the soap and water), condom use, and also proposes to remove ‘‘with not less specific list of communicable disease of educational efforts are all believed to be than 4 years’ professional experience’’ public health significance as provided important factors (6, 21–23) contributing from the definition of civil surgeon. for in 42 CFR 34.2(b). to the decline in the incidence of these Through complimentary regulations HHS/CDC uses epidemiological infections. Improved recognition by promulgated by DHS at 8 CFR 232, the principles and current medical practice physicians and treatment based on requirement of 4 years’ professional to assess and revise the list of diseases clinical presentation of sexually experience for civil surgeons will defined as a communicable disease of transmitted infections, coupled with remain in effect. We are proposing this public health significance. Guided by treatment of sexual partners, also change because DHS is responsible for such principles and practice, HHS/CDC appears to be important in their decline. designating civil surgeons and should believes that these three sexually Increased antibiotic usage for treatment therefore have the discretion to transmitted infections no longer pose of other unrelated conditions may have determine the necessary prerequisites such a significant threat to the general contributed to the declining incidence for that position. Thus, CDC is simply U.S. population, that aliens with these of these infections. Additionally, HIV proposing to remove a redundancy infections should not be denied prevention strategies such as male found in its regulations and is not admission to the United States. The circumcision may be playing a role, affecting a substantive change in policy. three bacterial infections (chancroid, although definitive studies of this effect HHS/CDC will continue to consult with granuloma inguinale and are still pending. DHS/USCIS as needed, regarding lymphogranuloma venereum), all Given the low burden of these three recommendations for civil surgeon primarily transmitted through sexual infections globally, the potential requirements. Therefore, HHS/CDC is contact, have never been common in the introduction of additional cases into the proposing civil surgeon to mean a United States and over the past two United States by aliens is likely to have physician designated by DHS to conduct decades have been observed to be a negligible impact on the U.S. medical examinations of aliens in the increasingly rare throughout the world population for several reasons. As United States who are applying for (6, 8). Of the three bacterial infections, mentioned, these primarily tropical adjustment of status to permanent only laboratory-diagnosed cases of infections can be prevented through residence or who are required by DHS chancroid are reportable conditions in improved personal hygiene (11); to have a medical examination. the United States, and since 2005 fewer protected sex (use of a condom); and Section 34.2(d) Class A Medical than 30 chancroid cases annually were treatment of sexual partners. Such Notification reported to CDC from the U.S. states and infections can be effectively treated and territories (6–22). cured with relatively uncomplicated HHS/CDC is proposing to amend the While some U.S. cities (7) keep courses of antibiotic therapy. None of definition of Class A medical records of cases of granuloma inguinale the three infections is associated with notification by incorporating statutory and lymphogranuloma venereum, excess mortality (premature death); and language requiring documentary proof neither condition is included on the list most cases do not lead to serious long of vaccination. This requirement is of diseases reported to HHS/CDC by term consequences, disability or provided by section 341 of the Illegal clinicians and public health excessive medical costs. Immigration Reform and Immigrant departments. Online searches and a few After careful consideration of Responsibility Act of 1996 (IIRIRA) available publications indicate that both epidemiological principles and current which amended Section 212 of the INA. conditions most typically occur in medical practice, scientific evidence HHS/CDC is proposing to update part 34 tropical and impoverished settings (i.e., indicates that chancroid, granuloma to explicitly include the requirement for with limited access to water, hygiene); inguinale, and lymphogranuloma proof of vaccination as previously and both conditions are increasingly venereum do not represent a significant specified in the IIRIRA. See Public Law uncommon over time. A review of the risk for introduction, transmission, and 104–208, Div. C, 110 Stat. 3009–546. literature published during the past five spread from foreign countries to the Lack of proof of vaccination will result years identified only a handful of case United States population. Therefore, in the issuance of a Class A medical reports on granuloma inguinale, and the HHS/CDC proposes to remove these notification. This additional language

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will not change current practices, but is Section 34.2(g) DHS Section 34.2(l) Medical Notification a reflection of updated statutory language. As noted above, HHS/CDC is We are proposing to add DHS to the The medical notification is a medical not authorized to change statutory definitions in order to best reflect the examination document issued to a requirements; thus, CDC is not administrative changes that have consular authority or to DHS by a requesting comment on the statutory occurred within the Federal medical examiner following language, but on the advisability of Government regarding agencies and/or examination of an applicant for incorporating statutory language into departments responsible for the medical immigration for inadmissible regulations. Additionally, CDC seeks to examination of aliens. The definition of conditions. HHS/CDC is proposing to incorporate and is requesting comment DHS is proposed as: U.S. Department of amend the definition of medical on its understanding that the statutory Homeland Security. notification by adding proof of requirement for proof of vaccination in Section 34.2(h) Drug Abuse and Section vaccination requirements as already regard to ACIP-recommended vaccines 34.2(i) Drug Addiction provided by section 341 of the IIRIRA only applies to those vaccines that are which amended Section 212 of the INA. appropriate in an immigration context HHS/CDC is proposing to revise the HHS/CDC is proposing this addition to and for which a public health need definitions of drug abuse and drug update part 34 to include the exists at the time of immigration or addiction by aligning with the requirement for proof of vaccination adjustment of status. definitions of ’’substance use disorders’’ that is currently specified in statute in The proposed definition also includes and ‘‘substance-induced disorders,’’ the IIRIRA and for those ACIP- the vaccination exemption specifically with the definitions provided by the recommended vaccinations for which a provided in Section 212 of the INA for Diagnostic and Statistical Manual for public health need exists at the time of an adopted child who is 10 years of age Mental Disorders (DSM) published by immigration or adjustment of status. or younger. This exemption is the American Psychiatric Association This is not a substantive change to the applicable if, prior to the admission of (25). HHS/CDC is taking this approach regulation, as it will not affect current the child, an adoptive or prospective because the DSM is the medical practice. standard for the diagnosis of mental adoptive parent, who has sponsored the Based on this update, medical disorders and substance-related child for admission as an immediate notification, according to the INA, is disorders. The DSM provides current relative, has executed an affidavit proposed to mean a medical diagnostic criteria based on the latest stating that the parent is aware of the examination document issued to a vaccination requirement and will ensure available evidence. As such, HHS/CDC consular authority or the DHS by a that the child will be vaccinated within is proposing drug abuse and drug medical examiner that will include the 30 days of the child’s admission, or at addiction to mean ‘‘current substance following additional language: ‘‘(2) the earliest time that is medically use disorders or substance-induced appropriate. Execution of this affidavit disorders’’ as defined in the current Documentation of having received will prevent a Class A medical edition of the DSM, or in another vaccination against ‘‘vaccine- notification from being generated for authoritative source as approved by the preventable diseases’’ for an alien who lack of proof of vaccination. This Director, of a substance listed in Section seeks admission as an immigrant, or additional language will not change 202 of the Controlled Substances Act, as who seeks adjustment of status to one current practices, but is a reflection of amended (21 U.S.C. 802). These lawfully admitted for permanent updated statutory language. Again, proposed updated definitions are not a residence, which shall include at least because HHS/CDC is not authorized to substantive change, as it is the current the following diseases: mumps, measles, change statutory requirements, HHS/ practice of HHS/CDC to use the rubella, polio, tetanus and diphtheria CDC is not requesting comment on the definitions found in the DSM. In the toxoids, pertussis, Haemophilus statutory language, but will accept unlikely event that another authoritative influenza type B and hepatitis B, and comment on the advisability of source becomes more appropriate than any other vaccinations against vaccine- incorporating statutory language into the DSM, HHS/CDC would issue a preventable diseases recommended by regulations. HHS/CDC believes that the notice in the Federal Register, update the ACIP for which there is a public inclusion of statutory language our Web site, and list the source in our health need at the time of immigration promotes greater transparency and a technical instructions. We would not or adjustment of status.’’ better understanding of immigration pursue notice and comment rulemaking requirements. For further information, unless the reliance on a new source Section 34.2(m) Medical Officer please visit: http://www.uscis.gov/ilink/ resulted in a substantive change in CDC HHS/CDC is proposing to remove ‘‘of docView/SLB/HTML/SLB/0–0–0–1/0–0– operations or policy. the Public Health Service 0–29/0–0–0–2006.html. Section 34.2(k) Medical Hold Document Commissioned Corps’’ from the Section 34.2(f) Director definition of medical officer to reflect HHS/CDC is proposing to update the that a medical officer for these purposes We are proposing to update the definition of Medical hold document by is not required to be a member of the definition of Director to reflect the replacing ‘‘INS’’ with ‘‘DHS’’, replacing U.S. Public Health Service current official title of the CDC Director, ‘‘Public Health Service’’ with ‘‘HHS/ Commissioned Corps. Removing this as well as his/her delegation authorities. CDC’’ and replacing ‘‘quarantine requirement will best protect public Therefore, the definition of Director is inspector’’ with ‘‘quarantine officer.’’ health by broadening the pool of proposed as: the Director, Centers for HHS/CDC is proposing these changes to medical professionals qualified and Disease Control and Prevention, reflect the current Federal agency and available to provide alien examination Department of Health and Human position names and respective services since there are a limited responsibilities and is not seeking Services, or another authorized number of physicians within the Public representative as approved by the CDC public comment on these non- Health Service Commissioned Corps. Director or the Secretary. substantive changes.

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Section 34.2(n) Mental Disorder and (a)(2)(i), we are also proposing to insert HHS/CDC is proposing to revise 34.2(p) Physical Disorder the word ‘‘current’’ in front of ‘‘physical § 34.3(e)(4) by removing ‘‘subject to the HHS/CDC is proposing to clarify or mental disorder’’ as stated in section chest radiograph requirement, and for mental disorder as a currently accepted 212 of INA. whom the radiograph shows an abnormality suggestive of tuberculosis psychiatric diagnosis, as defined by the Specific Proposed Revisions to Section disease,’’ replacing ‘‘shall’’ with ‘‘may,’’ most recent edition of the DSM 34.3(a) and adding ‘‘based on medical published by the American Psychiatric HHS/CDC is proposing to revise Association (17) or in another evaluation.’’ HHS/CDC is proposing this 34.3(a)(2) to include proof of revision to read: ‘‘All applicants may be authoritative source as approved by the vaccination requirements as provided required to undergo additional testing Director. HHS/CDC is proposing to add by section 341 of IIRIRA of 1996 which for tuberculosis based on the results of ‘‘most recent’’ to qualify the version of amended Section 212 of the INA. HHS/ the medical evaluation.’’ the DSM referenced in this definition CDC is proposing this change as To reflect current practice and INA and clarify the intent of CDC that such previously described in proposed statutory language, HHS/CDC is also diagnoses align with current science changes to 34.2 Definitions. proposing to amend § 34.3(b)(2) by and medical practice. HHS/CDC is also adding ‘‘or other relevant records’’ to Specific Proposed Revisions to Section allowing for the possibility of other ensure that all appropriate available 34.3(e) authoritative sources in order to rely on medical documentation may be the most recent medical science. HHS/CDC is proposing to amend considered. HHS/CDC is proposing this HHS/CDC is proposing physical § 34.3(e)(1) to clarify the scope of revision to read: ‘‘For the examining disorder to mean a currently accepted examination requirements that apply to physician to reach a determination or medical diagnosis, as defined by the anyone who is required by DHS to have conclusion about the presence or most recent edition of the Manual of the a medical examination for the purpose absence of a physical or mental International Classification of Diseases, of determining their admissibility. HHS/ abnormality, disease, or disability, the Injuries, and Causes of Death (ICD) CDC has added § 34.3(e)(1)(v) scope of the examination shall include published by the World Health ‘‘Applicants required by the DHS to any laboratory or additional studies that Organization (26) or in another have a medical examination in are deemed necessary, either as a result authoritative source as approved by the connection with the determination of of the physical examination or pertinent Director. HHS/CDC is proposing to add their admissibility into the United information elicited from the alien’s ‘‘most recent version’’ to qualify the States.’’ medical history or other relevant version of the ICD referenced in this HHS/CDC is proposing the following records.’’ definition and to be consistent with the changes to provide consistency in the HHS/CDC has included language current Section 212 of the INA. HHS/ required evaluation for tuberculosis: under § 34.3(f), transmission of records, CDC is also allowing for the possibility replace all references to ‘‘chest x-ray’’ in to ensure that electronic submissions of other authoritative sources in order to § 34.3(e) with ‘‘chest radiograph’’; may be acceptable as provided by the rely on the most recent medical science. clarify that § 34.3(e)(3)(ii) applies to Director. Finally, HHS/CDC is proposing In the event that another authoritative aliens in the United States; and to to amend § 34.3(g)(4) by replacing source is determined to be more remove the specific size of chest ‘‘excludable’’ with ‘‘inadmissible’’ in appropriate for immigration medical radiograph provided in § 34.3(e)(5). § 34.3(g)(4) to reflect modern examination purposes, HHS/CDC will These changes reflect current medical terminology. issue updated technical instructions. terminology and technical practice. Again, these are not substantive changes HHS/CDC is proposing to amend iii. Section 34.4 Medical Notifications to the regulation as they follow current § 34.3(e)(2)(iii) by removing ‘‘and HIV’’ HHS/CDC proposes to revise HHS/CDC practice and protocol. to correct the typographical error in the § 34.4(b)(1)(ii) to include proof of ii. Section 34.3 Scope of Examinations current rule language and reflect that vaccination requirements as provided testing for HIV is no longer required. by section 341 of the IIRIRA of 1996 Current section 34.3 entitled ‘‘Scope The requirement for serologic testing for which amended section 212 of the INA of Examinations’’ applies to those aliens syphilis will remain and HHS/CDC has and to reference criteria established by who are required to undergo a medical included language to allow the Director CDC and published in Federal Register examination for U.S. immigration to test for other communicable diseases Notices to determine which vaccines purposes. The scope of the examination of public health significance (as recommended by the ACIP will be outlines those matters that relate to defined) through technical instructions. required for U.S. immigration. In inadmissible health-related conditions HHS/CDC is proposing to amend addition, HHS/CDC is proposing to add and was revised in 2008 through an § 34.3(e)(3)(i) and (ii) to reflect the scope specific language regarding the interim final rule. The 2008 interim of currently available medical tests. exemption of vaccination requirements final rule provided specific screening HHS/CDC proposes to replace ‘‘positive for an adopted child as provided in and testing requirements for those tuberculin reaction’’ with ‘‘positive test section 212 of the INA. Again, these diseases that meet the current definition of immune response to Mycobacterium changes are not substantive, but reflect of communicable disease of public tuberculosis antigens’’ in § 34.3(e)(3)(i) current practice and statutory language. health significance in Section 34.2(b) of and (ii). 42 CFR part 34. HHS/CDC is proposing To allow HHS/CDC discretion to iv. Section 38.7 Medical and Other to further update this section to apply appropriate medical screening Care; Death incorporate statutory language requiring procedures, HHS/CDC is proposing to Under this section, HHS/CDC documentation for vaccine-preventable amend § 34.3(e)(3)(iii) and (iv) regarding proposes to replace ‘‘INS’’ with ‘‘DHS’’ disease and HHS/CDC’s understanding application of tests of immune response and replace ‘‘Public Health Services’’ that ACIP vaccine recommendations by adding ‘‘as determined by the with ‘‘HHS’’ to reflect modern agency should only be applied in an Director.’’ titles and appropriate authorities immigration context when a public To allow for additional testing in relating to this provision. Although health need exists. In subsection medically appropriate circumstances, HHS/CDC is not proposing to make any

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substantive changes to § 38.7, we will public health significance, HHS/CDC has determined that it is consistent with accept public comment on updating this looked at all of the specific diseases the principles set forth in the Executive section to reflect modern terminology. listed in the definition. As stated Orders and the Regulatory Flexibility previously in the Preamble, in this Act, as amended by the Small Business v. Section 34.8 Reexamination; rulemaking, HHS/CDC proposes to Regulatory Enforcement Fairness Act Convening of Review Boards; Expert revise the definition of communicable (SBREFA) and that the rule will create Witnesses, Reports disease of public health significance by minimal impact (3,4). Review boards are convened by the removing these three uncommon health This proposed rule is not being Director to reexamine aliens at the conditions: chancroid; granuloma treated as a significant regulatory action request of DHS and upon appeal to DHS inguinale; and lymphogramuloma as defined by Executive Order 12866. As by an alien certified as having a Class venereum. We decided not to remove such, it has not been reviewed by the A condition. HHS/CDC is proposing infectious Hansen’s disease (leprosy), Office of Management and Budget changes to this section to clarify the gonorrhea, and/or infectious syphilis (OMB). reexamination and review board’s from the definition at this time. Our There are two main impacts of this process and improve the expediency of decision is based on epidemiological proposed rule. First, we are proposing the process. The proposed changes principles and current medical practice updates to the current regulation that include removing the requirement that to assess these three diseases (infectious reflect modern terminology, plain one medical officer must be a board- Hansen’s disease, gonorrhea, and language, and current practice. Because certified psychiatrist in cases where the infectious syphilis). We believe that the there is no change in the baseline from alien’s mental health is a basis for medical examination provides the these updates, no costs can be inadmissibility. The requirement for a opportunity to screen for and treat these associated with these administrative board-certified psychiatrist will be diseases, and, when identified in updates to align the regulation with replaced with a requirement that the immigrants, provides a public health current practice. review board consist of at least one benefit to the United States as well as Second, we are proposing to remove medical officer who is experienced in a health benefit to the individual. three sexually transmitted bacterial the diagnosis and treatment of the Further, while infection with these three infections, chancroid, granuloma physical or mental disorder, or diseases initially renders an alien inguinale and lymphogranuloma substance-related disorder for which the inadmissible to the United States, venereum, from the definition of medical notification was made. treatment is available upon communicable disease of public health Additionally, HHS/CDC is proposing to identification, and once appropriately significance (5). In doing this, aliens add failure to present documented proof treated, aliens are no longer seeking permanent entry to the United of having been vaccinated against inadmissible. Continued screening for States (immigrants, refugees and asylees) will no longer be examined for vaccine preventable diseases as a basis these three diseases during the medical these diseases during the mandatory for reexamination by the review board examination provides an opportunity to medical examinations that are part of and add clarifying language that the identify and treat disease in alien the process of admission to the United reexamination may be conducted, at the populations and thus provide a measure States. The impact of dropping this board’s discretion, based on the written of public health protection to the portion of the examination is likely to record. general U.S. population. HHS/CDC will By removing the requirement that one be minimal. On the positive side, the continue to assess each of these medical officer must be a board-certified physicians administering the exam will remaining diseases as a communicable psychiatrist, HHS/CDC will be able to be able to focus on other areas of patient disease of public health significance more easily and efficiently comprise the health. On the negative side, there is the through further scientific review. board of case-specific specialists. potential for a negligible increase in the Removing the requirement for a board- VI. Required Regulatory Analyses numbers of disease cases entering the certified psychiatrist also allows the United States. However, as we explain A. Executive Orders 12866 and 13563 agency to expedite the review board’s subsequently, this impact is likely to be convening in circumstances where a HHS/CDC has examined the impacts extremely small. Further, the costs medical officer who is a board certified of the proposed rule under Executive associated with the current disease psychiatrist is unavailable. By tailoring Order 12866, Regulatory Planning and burden in the United States are also the board to meet the needs of the alien, Review (58 FR 51735, October 4, 1993) very limited. Therefore, the potential HHS/CDC will ensure that the alien has and Executive Order 13563, Improving introduction of a very small number of the attention of medical officers who are Regulation and Regulatory Review, (76 cases will not change the current cost experienced in the diagnosis and FR 3821, January 21, 2011)(1,2). Both structure associated with the current treatment of their specific medical Executive Orders direct agencies to disease burden. condition. evaluate any rule prior to promulgation The three bacterial infections to determine the regulatory impact in (chancroid, granuloma inguinale and V. Alternatives Considered terms of costs and benefits to United lymphogranuloma venereum), are This rulemaking is the result of HHS/ States populations and businesses. transmitted through sexual contact, CDC’s annual retrospective regulatory Further, together, the two Executive have never been common in the United review. Most of the proposed changes Orders set the following requirements: States and over the past two decades are are administrative and will result in quantify costs and benefits where the observed to be increasingly rare minor changes to current guidelines for new regulation creates a change in throughout the world. Of the three overseas medical examinations required current practice; define qualitative costs conditions, only laboratory-diagnosed of persons seeking permanent entry to and benefits; choose approaches that cases of chancroid are reportable in the the United States. Therefore, maximize benefits; support regulations United States, and since 2005 fewer alternatives to these administrative that protect public health and safety; than 30 chancroid cases annually were updates were not considered. However, and minimize the impact of regulation. reported to CDC from the U.S. states and when considering updates to the HHS/CDC has analyzed the rule as territories (6–23). While some U.S. cities definition of communicable disease of required by these Executive Orders and (7) keep records of cases of granuloma

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inguinale and lymphogranuloma chancroid, granuloma inguinale and Summary. There is no international venereum, neither condition is included lymphogranuloma venereum are not disease incidence data available for on the list of diseases reported to the systematically collected by any country chancroid, granuloma inguinale and CDC by clinicians and public health outside of the United States either by lymphogranuloma venereum. There is departments (6). Online searches and a specific countries or regions listed by some data available for numbers of cases few available publications indicate that DHS for aliens, or from the World of chancroid observed in the United both conditions most typically occur in Health Organization (WHO) (8, 22, 23). States over a number of years (6) and tropical and impoverished settings (i.e., Ultimately, we were unable to correlate DHS also provides data regarding the with limited access to water, hygiene); the originating regions of aliens entering numbers of legal foreign residents in the and both conditions have become the United States permanently United States (24). In the full analysis increasingly uncommon over time. A (immigrants, refugees, and asylees) with we used the chancroid data to estimate review of the literature published the rates of the three diseases in the a range of costs to treat chancroid in the during the past five years identified countries of origin. United States (6) at the highest and only a handful of case reports on Potential for onward transmission of lowest caseloads observed. An granuloma inguinale, and the vast these infections to the U.S. population estimated component for granuloma majority of these cases were cases is deemed to be extremely low. While inguinale and lymphogranuloma outside the United States (12–17). we do not have country or region- venereum was added by assumption Sporadic small outbreaks of specific rates for these diseases, our because of lack of either domestic or lymphogranuloma venereum have review of the literature supports the international data. The costs were then occurred over the past 10 years in supposition that the potential prorated to reflect the foreign Europe and the United States (18–20). introduction of additional cases into the population residing in the United States The numbers of lymphogranuloma United States by aliens is likely to have using DHS data (24). a negligible impact on the U.S. venereum cases are small, have been Cost estimates were derived for three population. These primarily tropical almost exclusively among men who alternatives titled Low, High, and infections can be prevented through have sex with men, and numbers are not Extreme. The Low and High alternatives improved personal hygiene (11) and systematically collected for country protected sex (use of a condom) (12). were based on the lowest (most recent) populations (18–20). New infections can be effectively treated and highest reported caseloads of When HHS/CDC originally attempted and cured with a short, uncomplicated chancroid (6). The Extreme alternative to estimate the disease impact to course of antibiotic therapy. is six times the highest rate of chancroid calculate the cost associated with Economic analysis and cost results. ever reported in the United States. removing these three diseases, we tried HHS/CDC has determined that the costs Finally, often chancroid, Granuloma to examine the disease rates in the associated with chancroid, granuloma Inguinale, and Lymphogranuloma regions or countries of origin of aliens inguinale and lymphogranuloma Venereum are co-morbid with other seeking entry to the United States. In the venereum are currently very low. Given STIs, e.g., HIV, syphilis, or gonorrhea (6, most recent report from the DHS, the the pattern of diminishing caseloads 8, 21). Therefore costs are estimated to Annual Yearbook of Immigration reported in the literature and available both treat cases with or without co- Statistics, DHS reports on the regions data (6–21), HHS/CDC projects that morbidity. and countries of origin of aliens (24). future costs will remain low. A more The results of the analysis are Unfortunately, we have been unable to detailed analysis as required by EO reported in Table 1. None of the results find disease data that correlates with the 12866 and 13563 can be found in the are economically significant, e.g., none DHS population data for region of docket for this NPRM. A summary of the results are more than $100 origination of aliens (24). Data on follows below. million a year in costs.

TABLE 1—ANNUAL COSTS OF CHANCROID, GRANULOMA INGUINALE, AND LYMPHOGRANULOMA VENEREUM IN LAWFUL PERMANENT RESIDENTS: LOW, HIGH, AND EXTREMELY HIGH CASELOAD ALTERNATIVES, IN 2013 DOLLARS

Alternatives Notes: (1) Per-case cost $263.51. (2) Assumes LPRs are 0.4% of total population. LOW (less than 1 EXTREMELY case a year) HIGH HIGH

LPR Total Annual Costs 50% comorbidity ...... $18 $2,122 $12,731 LPR Total Annual Costs NO comorbidity ...... 33 3,858 23,147

Estimated benefits of this rule. The language. The physicians administering Comparison of costs and benefits. benefits to this rule are also qualitative. the exam will be able to devote more Given the potential impact of the Aliens as well as the panel physicians time and training to other, more rulemaking, we conclude that the and civil surgeons inherently benefit common and/or more serious health benefits of the rule justify any costs. See from having current, up-to-date issues. The proposed changes do not Tables 2 and 3 below. regulations with modern terminology impose any additional costs on aliens, that reflects modern practice and plain panel physicians, or civil surgeons.

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TABLE 2—SUMMARY OF THE QUANTIFIED AND NON-QUANTIFIED BENEFITS AND COSTS FOR UPDATES TO THE CURRENT REGULATION THAT REFLECT MODERN TERMINOLOGY, PLAIN LANGUAGE, AND CURRENT PRACTICE

Source Primary Minimum Maximum citation Category estimate estimate estimate (RIA, pre- amble, etc.)

BENEFITS: Monetized benefits ...... NA (7%) ...... NA (7%) ...... NA (7%) ...... RIA. NA (3%) ...... NA (3%) ...... NA (3%). $0 (0%) ...... $0 (0%) ...... $0 (0%). Annualized quantified, but unmonetized, benefits ...... None ...... N/A ...... N/A ...... RIA.

Qualitative (unquantified benefits) ...... Aliens as well as the panel physicians and RIA. civil surgeons inherently benefit from hav- ing current, up-to-date regulations with modern terminology that reflects modern practice and plain language.

COSTS: Annualized monetized costs (discount rate in parenthesis) a ...... NA (7%) ...... NA (7%) ...... NA (7%) ...... RIA. NA (3%) ...... NA (3%) ...... NA (3%). $0 (0%) ...... $0 (0%) ...... $0 (0%). Annualized quantified, but unmonetized, costs ...... None ...... N/A ...... N/A ...... RIA.

Qualitative (unquantified) costs ...... None RIA.

TABLE 3—SUMMARY OF THE QUANTIFIED AND NON-QUANTIFIED BENEFITS AND COSTS REMOVING CHANCROID, GRANU- LOMA INGUINALE, AND LYMPHOGRANULOMA VENEREUM FROM THE DEFINITION OF COMMUNICABLE DISEASE OF PUBLIC HEALTH SIGNIFICANCE

Source Primary Minimum Maximum citation Category estimate estimate estimate (RIA, pre- amble, etc.)

BENEFITS: Monetized benefits ...... NA (7%) ...... NA (7%) ...... NA (7%) ...... RIA. NA (3%) ...... NA (3%) ...... NA (3%). NA (0%) ...... NA (0%) ...... NA (0%). Annualized quantified, but unmonetized, benefits ...... None ...... N/A ...... N/A ...... RIA.

Qualitative (unquantified benefits) ...... The physicians administering the exam will RIA. be able to devote more time and training to other, more common and/or more seri- ous health issues.

COSTS: Annualized monetized costs (discount rate in parenthesis) a ...... NA (7%) ...... NA (7%) ...... NA (7%) ...... RIA. NA (3%) ...... NA (3%) ...... NA (3%). $3,858 (0%) 18 (0%) ...... $23,147 (0%). Annualized quantified, but unmonetized, costs ...... None ...... N/A ...... N/A ...... RIA.

Qualitative (unquantified) costs ...... None RIA. a All costs of the rule are annual.

B. The Regulatory Flexibility Act examines the potential economic effects Security is responsible for providing of this rule on small entities, as required forms to civil surgeons to document the Under the Regulatory Flexibility Act, by the Regulatory Flexibility Act. Based medical examination and screening as amended by the Small Business on the cost benefit analysis, we do information for aliens. The Office of Regulatory Enforcement Fairness Act expect this proposed rule to have little Management and Budget (OMB) (SBREFA), agencies are required to or no economic impact on small approved this data collection under analyze regulatory options to minimize entities. OMB Control No. 1405–0113, which significant economic impact of a will expire on September 30, 2017. proposed rule on small businesses, C. The Paperwork Reduction Act small governmental units, and small The Paperwork Reduction Act applies D. National Environmental Policy Act not-for-profit organizations. We have to the data collection requirements (NEPA) analyzed the costs and benefits of this found in 42 CFR part 34. The U.S. HHS/CDC has determined that the proposed rule, as required by Executive Department of State is responsible for proposed amendments to 42 CFR part Order 12866, and a preliminary providing forms to panel physicians, 34 will not have a significant impact on regulatory flexibility analysis that and the Department of Homeland the human environment.

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E. Executive Order 12988: Civil Justice 2008. Available from: http:// sexually transmitted infections in South Reform wonder.cdc.gov/std-v2008.html. Africa: a review. Sexually Transmitted Accessed February 2014. Infections. 81: 287–293. HHS/CDC has reviewed this rule 7. New York State Department of Health. 22. WHO, Global incidence and incidence of under Executive Order 12988 on Civil Bureau of Sexually Transmitted Disease selected curable sexually transmitted Justice Reform and determines that this Prevention and Epidemiology. STD infections 2001. Available from: http:// proposed rule meets the standard in the Statistical Abstract 2008. http:// www.who.int/hiv/pub/sti/en/ Executive Order. www.health.state.ny.us/statistics/ who_hiv_aids_2001.02.pdf. Accessed diseases/communicable/std/abstracts/ February 2014 F. Executive Order 13132: Federalism docs/2008.pdf Accessed February 2014. 23. WHO, Global incidence and incidence of Under Executive Order 13132, if the 8. Steen, R. (2001). Eradicating chancroid. four curable sexually transmitted Bulletin of the World Health infections (STIs): New estimates from proposed rule would limit or preempt Organization 2001. 79: 818–826. WHO. 2009. State authorities, then a federalism 9. Plummer, FA et al. (1983). Epidemiology 24. United States. Department of Homeland analysis is required. The agency must of chancroid and Haemophilus ducreyi Security. Yearbook of Immigration consult with State and local officials to in Nairobi, Kenya. The Lancet. 2(8362): Statistics: 2010. Washington, DC: U.S. determine whether the rule would have 1293–1295. Department of Homeland Security, a substantial direct effect on State or 10. Hawkes S et al. (1995) Asymptomatic Office of Immigration Statistics, 2011. local Governments, as well as whether carriage of Haemophilus ducreyi 25. American Psychiatric Association: it would either preempt State law or confirmed by the polymerase chain Diagnostic and Statistical Manual of reaction. Genitourinary Medicine. 71 (4): Mental Disorders, Fifth Edition, impose a substantial direct cost of 224–227. Arlington, VA, American Psychiatric compliance on them. 11. O’Farrell, N. (1993) Soap and water Association, 2013. HHS/CDC has determined that this prophylaxis for limiting genital ulcer 26. International Classification of Diseases proposed rule will not have sufficient disease and HIV–1 infection in men in (ICD), Ninth Revision, World Health federalism implications to warrant the sub-Saharan Africa. Genitourinary Organization. preparation of a federalism summary Medicine. 69 (4): 297–303. impact statement. 12. O’Farrell, N, & Moi, H. (2010) European List of Subjects in 42 CFR Part 34 guideline for the management of G. The Plain Language Act of 2010 donovanosis, 2010. International Journal Aliens, Health care, Medical of STD & AIDS. 21:609–610. examination, Passports and visas, Public Under 63 FR 31883 (June 10, 1998), health, Scope of examination. Executive Departments and Agencies 13. Richens, J. (2006) Donovanosis (Granuloma Inguinale). Sexually For the reasons discussed in the are required to use plain language in all Transmitted Infections. 82(Suppl preamble, the Centers for Disease proposed and final rules. HHS/CDC has IV):iv21–iv22. Control and Prevention, Department of attempted to use plain language in 14. Miller, P. Donovanosis: control or Health and Human Services proposes to proposing this rule to make our eradication? (2001) Office for Aboriginal amend 42 CFR part 34 as follows: intentions and rationale clear and and Torres Strait Islander Health. ■ 1. Revise part 34 to read as follows: welcomes feedback from the public on 15. Vorvick, LJ., & Storck, S. (2009). our attempt to use plain language in this Granuloma inguinale (Donovanosis). PART 34—MEDICAL EXAMINATION OF rule. Medline Plus. http://www.nlm.nih.gov/ medlineplus/ency/article/000636.htm. ALIENS VIII. References Accessed February 2014. Sec. 16. Bowden FJ, on behalf of the National 34.1 Applicability. 1. The President. Presidential documents. Donovanosis Eradication Advisory 34.2 Definitions. Executive Order 12866 of September 30, Committee. Donovanosis in Australia: 34.3 Scope of examinations. 1993: Regulatory Planning and Review. going, going . . . Sex Transm Infect 34.4 Medical notifications. Federal Register. Monday, October 4, 2005. 81:365–366. 34.5 Postponement of medical examination. 1993;58(190). http://www.archives.gov/ 17. CDC. Treatment of Sexually Transmitted 34.6 Applicability of Foreign Quarantine federal-register/executive-orders/pdf/ Diseases. Diseases characterized by Regulations. 12866.pdf. Accessed February 2014. genital ulcers—Granuloma inguinale 34.7 Medical and other care; death. 2. The President. Presidential documents. (Donovanosis). 2011. Available from: 34.8 Reexamination; convening of review Executive Order 13563 of January 18, http://www.cdc.gov/std/treatment/2010/ boards; expert witnesses; reports. 2011: Improving Regulation and genital-ulcers.htm. Accessed February Regulatory Review. Federal Register. 2014. Authority: 42 U.S.C. 252; 8 U.S.C. 1182 Friday, January 21, 2011; 76(14). http:// 18. CDC. Treatment of Sexually Transmitted and 1222. www.gpo.gov/fdsys/pkg/FR-2011-01-21/ Diseases. Diseases characterized by pdf/2011-1385.pdf. Accessed February genital ulcers—Lymphogranuloma § 34.1 Applicability. 2014. Venereum. 2011. Available from: http:// The provisions of this part shall apply 3. U. S. Small Business Administration. www.cdc.gov/std/treatment/2010/ to the medical examination of: Regulatory Flexibility Act. http:// genital-ulcers.htm. Accessed February (a) Aliens applying for a visa at an www.sba.gov/advocacy/823. Accessed 2014. embassy or consulate of the United February 2014. 19. Martin-Iguacel, R., Llibre, J.M., Nielsen, States; 4. Summary of the Unfunded Mandates H., Heras, E., Matas, L., Lugo, R., Clotet, (b) Aliens arriving in the United Reform Act. 2 U.S.C. 1501 et seq (1995). B., Siera, G. (2010) Lymphogranuloma States; http://www2.epa.gov/laws-regulations/ venereum proctocolitis: a silent endemic (c) Aliens required by DHS to have a summary-unfunded-mandates-reform- disease in men who have sex with men medical examination in connection with act. Accessed February 2014. in industrialized countries. European 5. Tom Lantos and Henry Hyde United States Journal of Clinical Microbial Infectious the determination of their admissibility Global Leadership Against HIV/AIDS, Disease. 29:917–925. into the United States; and Tuberculosis, and Malaria 20. Blank, S., Schillinger, JA., Harbatkin, D. (d) Aliens applying for adjustment of Reauthorization Act of 2008, Public Law (2005) Comment: Lymphogranuloma status. 110–293, section 305, 122 Stat. 2963 venereum in the industrialized world. (July 30, 2008). The Lancet. 365: 1607–08. § 34.2 Definitions. 6. CDC. CDC WONDER: Sexually 21. Johnson, LF., Coetzee, DJ., & Dorrington, As used in this part, terms shall have Transmitted Disease Morbidity, 1984– RE. (2005). Sentinel surveillance of the following meanings:

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(a) CDC. Centers for Disease Control permanent residence, which shall by the American Psychiatric and Prevention, Department of Health include at least the following diseases: Association, or by another authoritative and Human Services, or an authorized Mumps, measles, rubella, polio, tetanus source as determined by the Director, of representative acting on its behalf. and diphtheria toxoids, pertussis, a substance listed in Section 202 of the (b) Communicable disease of public Haemophilus influenza type B and Controlled Substances Act, as amended health significance. Any of the hepatitis B, and any other vaccinations (21 U.S.C. 802). following diseases: recommended by the Advisory (j) Medical examiner. A panel (1) Communicable diseases as listed Committee for Immunization Practices physician, civil surgeon, or other in a Presidential Executive Order, as (ACIP) for which there is a public health physician designated by the Director to provided under Section 361(b) of the need at the time of immigration or perform medical examinations of aliens. Public Health Service Act. The current adjustment of status. Provided, (k) Medical hold document. A revised list of quarantinable however, that in no case shall a Class A document issued to the DHS by a communicable diseases is available at medical notification be issued for an quarantine officer of HHS at a port of http://www.cdc.gov and http:// adopted child who is 10 years of age or entry which defers the inspection for www.archives.gov/federal-register. younger if, prior to the admission of the admission until the cause of the medical (2) Communicable diseases that may child, an adoptive parent or prospective hold is resolved. pose a public health emergency of adoptive parent of the child, who has (l) Medical notification. A medical international concern if it meets one or sponsored the child for admission as an examination document issued to a U.S. more of the factors listed in § 34.3(d) immediate relative, has executed an consular authority or DHS by a medical and for which the Director has affidavit stating that the parent is aware examiner, certifying the presence or determined (A) a threat exists for of the vaccination requirement and will absence of: importation into the United States, and ensure that, within 30 days of the (1) A communicable disease of public (B) such disease may potentially affect child’s admission, or at the earliest time health significance; the health of the American public. The that is medically appropriate, the child (2) Documentation of having received determination will be made consistent will receive the vaccinations identified vaccination against ‘‘vaccine- with criteria established in Annex 2 of in the requirement. preventable diseases’’ for an alien who the revised International Health (3)(i) A current physical or mental seeks admission as an immigrant, or Regulations (http://www.who.int/csr/ disorder and behavior associated with who seeks adjustment of status to one ihr/en/), as adopted by the Fifty-Eighth the disorder that may pose, or has lawfully admitted for permanent World Health Assembly in 2005, and as posed, a threat to the property, safety, or residence, which shall include at least entered into effect in the United States welfare of the alien or others; the following diseases: mumps, measles, in July 2007, subject to the U.S. (ii) A history of a physical or mental rubella, polio, tetanus and diphtheria Government’s reservation and disorder and behavior associated with toxoids, pertussis, Haemophilus understandings: the disorder, which behavior has posed influenza type B and hepatitis B, and (i) Any of the communicable diseases a threat to the property, safety, or any other vaccinations recommended by for which a single case requires welfare of the alien or others and which the Advisory Committee for notification to the World Health behavior is likely to recur or lead to Immunization Practices (ACIP) for Organization (WHO) as an event that other harmful behavior; or which HHS/CDC determines there is a may constitute a public health (4) Drug abuse or addiction. public health need at the time of emergency of international concern, or (e) Class B medical notification. immigration or adjustment of status. (ii) Any other communicable disease Medical notification of a physical or Provided, however, that in no case shall the occurrence of which requires mental health condition, disease, or a Class A medical notification be issued notification to the WHO as an event that disability serious in degree or for an adopted child who is 10 years of may constitute a public health permanent in nature. age or younger if, prior to the admission emergency of international concern. (f) DHS. U.S. Department of of the child, an adoptive parent or HHS/CDC’s determinations will be Homeland Security. prospective adoptive parent of the child, announced by notice in the Federal (g) Director. The Director of the who has sponsored the child for Register. Centers for Disease Control and admission as an immediate relative, has (3) Gonorrhea. Prevention or a designee as approved by executed an affidavit stating that the (4) Hansen’s disease, infectious. the Director or Secretary of Health and parent is aware of the vaccination (5) Syphilis, infectious. Human Services. requirement and will ensure that, (6) Tuberculosis, active. (h) Drug abuse. ‘‘Current substance within 30 days of the child’s admission, (c) Civil surgeon. A physician use disorder or substance-induced or at the earliest time that is medically designated by DHS to conduct medical disorder, mild’’ as defined in the most appropriate, the child will receive the examinations of aliens in the United recent edition of the Diagnostic and vaccinations identified in the States who are applying for adjustment Statistical Manual for Mental Disorders requirement; of status to permanent residence or who (DSM) as published by the American (3)(i) A current physical or mental are required by DHS to have a medical Psychiatric Association, or by another disorder and behavior associated with examination. authoritative source as determined by the disorder that may pose, or has (d) Class A medical notification. the Director, of a substance listed in posed, a threat to the property, safety, or Medical notification of: Section 202 of the Controlled welfare of the alien or others; (1) A communicable disease of public Substances Act, as amended (21 U.S.C. (ii) A history of a physical or mental health significance; 802). disorder and behavior associated with (2) A failure to present documentation (i) Drug addiction. ‘‘Current substance the disorder, which behavior has posed of having received vaccination against use disorder or substance-induced a threat to the property, safety, or ‘‘vaccine-preventable diseases’’ for an disorder, moderate or severe’’ as defined welfare of the alien or others and which alien who seeks admission as an in the most recent edition of the behavior is likely to recur or lead to immigrant, or who seeks adjustment of Diagnostic and Statistical Manual for other harmful behavior; status to one lawfully admitted for Mental Disorders (DSM), as published (4) Drug abuse or addiction; or

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(5) Any other physical or mental vaccinations identified in the efforts; effectiveness of containment and condition, disease, or disability serious requirement; control measures; and the status of an in degree or permanent in nature. (3)(i) A current physical or mental applicable determination of public (m) Medical officer. A physician or disorder and behavior associated with health emergency of international other medical professional assigned by the disorder that may pose, or has concern declared by the Director the Director to conduct physical and posed, a threat to the property, safety, or General of the WHO. mental examinations of aliens on behalf welfare of the alien or others; (5) HHS/CDC will directly provide of HHS/CDC. (ii) A history of a physical or mental medical examiners information (n) Mental disorder. A currently disorder and behavior associated with pertaining to all applicable additional accepted psychiatric diagnosis, as the disorder, which behavior has posed requirements for medical screening and defined by the current edition of the a threat to the property, safety, or testing, and will post these at the Diagnostic and Statistical Manual of welfare of the alien or others and which following Internet addresses: http:// Mental Disorders published by the behavior is likely to recur or lead to www.cdc.gov/ncidod/dq/technica.htm American Psychiatric Association or by other harmful behavior; and http://www.globalhealth.gov. another authoritative source as (4) Drug abuse or drug addiction; and (d) Risk-based approach. (1) HHS/ determined by the Director. (5) Any other physical or mental CDC will use the medical and epidemiological factors listed in (o) Panel physician. A physician health condition, disease, or disability paragraph (d)(2) of this section to selected by a United States embassy or serious in degree or permanent in determine the following: consulate to conduct medical nature. (b) Scope of all medical examinations. (i) Whether a disease as specified in examinations of aliens applying for (1) All medical examinations will § 34.2(b)(3)(ii) is a communicable visas. include the following: disease of public health significance; (p) Physical disorder. A currently (i) A general physical examination and accepted medical diagnosis, as defined and medical history, evaluation for (ii) Which diseases in § 34.2(b)(2) and by the current edition of the Manual of tuberculosis, and serologic testing for (3) merit additional screening and the International Classification of syphilis. testing, and the geographic area in Diseases, Injuries, and Causes of Death (ii) A physical examination and which HHS/CDC will require this published by the World Health medical history for diseases specified in screening. Organization or by another authoritative § 34.2(b)(1) and (b)(4) through (10). (2) Medical and epidemiological source as determined by the Director. (2) For the examining physician to factors include the following: (i) The seriousness of the disease’s § 34.3 Scope of examinations. reach a determination and conclusion about the presence or absence of a public health impact; (a) General. In performing physical or mental abnormality, disease, (ii) Whether the emergence of the examinations, medical examiners shall or disability, the scope of the disease was unusual or unexpected; consider those matters that relate to the examination shall include any (iii) The risk of the spread of the following: laboratory or additional studies that are disease in the United States; (1) Communicable disease of public deemed necessary, either as a result of (iv) The transmissibility and virulence health significance; the physical examination or pertinent of the disease; (v) The impact of the disease at the (2) Documentation of having received information elicited from the alien’s geographic location of medical vaccination against ‘‘vaccine- medical history or other relevant preventable diseases’’ for an alien who screening; and records. (vi) Other specific pathogenic factors seeks admission as an immigrant, or (c) Additional medical screening and who seeks adjustment of status to one that would bear on a disease’s ability to testing for examinations performed threaten the health security of the lawfully admitted for permanent outside the United States. (1) HHS/CDC residence, which shall include at least United States. may require additional medical (e) Persons subject to requirement for the following diseases: mumps, measles, screening and testing for medical chest radiograph examination and rubella, polio, tetanus and diphtheria examinations performed outside the serologic testing. (1) As provided in toxoids, pertussis, Haemophilus United States for diseases specified in paragraph (e)(2) of this section, a chest influenza type B and hepatitis B, and § 34.2(b)(2) and (3) by applying the risk- radiograph examination and serologic any other vaccinations recommended by based medical and epidemiologic testing for syphilis shall be required as the Advisory Committee for factors in paragraph (d)(2) of this part of the examination of the following: Immunization Practices (ACIP) for section. (i) Applicants for immigrant visas; which HHS/CDC determines there is a (2) Such examinations shall be (ii) Students, exchange visitors, and public health need at the time of conducted in a defined population in a other applicants for non-immigrant immigration or adjustment of status. geographic region or area outside the visas required by a U.S. consular Provided, however, that in no case United States as determined by HHS/ authority to have a medical shall a Class A medical notification be CDC. examination; issued for an adopted child who is 10 (3) Additional medical screening and (iii) Applicants outside the United years of age or younger if, prior to the testing shall include a medical States who apply for refugee status; admission of the child, an adoptive interview, physical examination, (iv) Applicants in the United States parent or prospective adoptive parent of laboratory testing, radiologic exam, or who apply for adjustment of their status the child, who has sponsored the child other diagnostic procedure, as under the immigration statute and for admission as an immediate relative, determined by HHS/CDC. regulations. has executed an affidavit stating that the (4) Additional medical screening and (v) Applicants required by DHS to parent is aware of the vaccination testing will continue until HHS/CDC have a medical examination in requirement and will ensure that, determines such screening and testing is connection with determination of their within 30 days of the child’s admission, no longer warranted based on factors admissibility into the United States. or at the earliest time that is medically such as the following: Results of disease (2) Chest radiograph examination and appropriate, the child will receive the outbreak investigations and response serologic testing. Except as provided in

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paragraph (e)(2)(iv) of this section, have a tuberculin skin test, or an images shall be included. Records may applicants described in paragraph (e)(1) equivalent, appropriate test to show an be transmitted by other means, as of this section shall be required to have immune response to Mycobacterium approved by the Director. the following: tuberculosis antigens, if there is (g) Failure to present records. When a (i) For applicants 15 years of age and evidence of contact with a person determination of admissibility is to be older, a chest radiograph examination; known to have tuberculosis or other made at the U.S. port of entry, a medical (ii) For applicants under 15 years of reason to suspect tuberculosis. In the hold document shall be issued pending age, a chest radiograph examination if event of a positive test of immune completion of any necessary the applicant has symptoms of response, a chest radiograph examination procedures. A medical tuberculosis, a history of tuberculosis, examination shall be required. If the hold document may be issued for aliens or evidence of possible exposure to a chest radiograph is consistent with who: transmissible tuberculosis case in a tuberculosis, the alien shall be referred (1) Are not in possession of a valid household or other enclosed to the local health authority for medical notification, if required; environment for a prolonged period; evaluation. Evidence of this evaluation (2) Have a medical notification which (iii) For applicants 15 years of age and shall be provided to the civil surgeon is incomplete; older, serologic testing for syphilis and before a medical notification may be (3) Have a medical notification which other communicable diseases of public issued. is not written in English; health significance as determined by the (iii) Aliens outside the United States (4) Are suspected to have an Director through technical instructions. required to have a medical examination inadmissible medical condition. (iv) Exceptions. Serologic testing for shall be required to have a tuberculin (h) The Secretary of Homeland syphilis shall not be required if the alien skin test, or an equivalent, appropriate Security, after consultation with the is under the age of 15, unless there is test to show an immune response to Secretary of State and the Secretary of reason to suspect infection with Mycobacterium tuberculosis antigens, Health and Human Services, may in syphilis. An alien, regardless of age, in and, if indicated, a chest radiograph. emergency circumstances permit the the United States, who applies for (iv) Aliens outside the United States medical examination of refugees to be adjustment of status to lawful required to have a medical examination completed in the United States. permanent resident, shall not be shall be required to have a tuberculin (i) All medical examinations shall be required to have a chest radiograph skin test, or an equivalent, appropriate carried out in accordance with such examination unless their tuberculin skin test to show an immune response to technical instructions for physicians test, or an equivalent test for showing an Mycobacterium tuberculosis antigens, conducting the medical examination of immune response to Mycobacterium and a chest radiograph, regardless of aliens as may be issued by the Director. tuberculosis antigens, is positive. HHS/ age, if he/she has symptoms of Copies of such technical instructions are CDC may authorize exceptions to the tuberculosis, a history of tuberculosis, available upon request to the Director, requirement for a tuberculin skin test, or evidence of possible exposure to a Division of Global Migration and an equivalent test for showing an transmissible tuberculosis case in a Quarantine, Mailstop E03, HHS/CDC, immune response to Mycobacterium household or other enclosed Atlanta GA 30333. tuberculosis antigens, or chest environment for a prolonged period, as radiograph examination for good cause, determined by the Director. § 34.4 Medical notifications. upon application approved by the (4) Additional testing requirements. (a) Medical examiners shall issue Director. All applicants may be required to medical notifications of their findings of (3) Immune response to undergo additional testing for the presence or absence of Class A or Mycobacterium tuberculosis antigens. tuberculosis based on the medical Class B medical conditions. The (i) All aliens 2 years of age or older evaluation. presence of such condition must have in the United States who apply for (5) How and where performed. All been clearly established. adjustment of status to permanent chest radiograph images used in (b) Class A medical notifications. (1) residents, under the immigration laws medical examinations performed under The medical examiner shall report his/ and regulations, or other aliens in the the regulations to this part shall be large her findings to the consular officer or United States who are required by the enough to encompass the entire chest. DHS by Class A medical notification DHS to have a medical examination in (6) Chest x-ray, laboratory, and which lists the specific condition for connection with a determination of their treatment reports. The chest radiograph which the alien may be inadmissible, if admissibility, shall be required to have reading and serologic test results for an alien is found to have: a tuberculin skin test or an equivalent syphilis shall be included in the (i) A communicable disease of public test for showing an immune response to medical notification. When the medical health significance; Mycobacterium tuberculosis antigens. examiner’s conclusions are based on a (ii) A lack of documentation, or no Exceptions to this requirement may be study of more than one chest x-ray waiver, for an alien who seeks authorized for good cause upon image, the medical notification shall admission as an immigrant, or who application approved by the Director. In include at least a summary statement of seeks adjustment of status to one the event of a positive test of immune findings of the earlier images, followed lawfully admitted for permanent response, a chest radiograph by a complete reading of the last image, residence, of having received examination shall be required. If the and dates and details of any laboratory vaccination against vaccine-preventable chest radiograph is consistent with tests and treatment for tuberculosis. diseases which shall include at least the tuberculosis, the alien shall be referred (f) Procedure for transmitting records. following diseases: Mumps, measles, to the local health authority for For aliens issued immigrant visas, the rubella, polio, tetanus and diphtheria evaluation. Evidence of this evaluation medical notification and chest toxoids, pertussis, Haemophilus shall be provided to the civil surgeon radiograph images, if any, shall be influenza type B and hepatitis B, and before a medical notification may be placed in a separate envelope, which any other vaccinations recommended by issued. shall be sealed. When more than one the Advisory Committee for (ii) Aliens in the United States less chest radiograph image is used as a Immunization Practices (ACIP) for than 2 years old shall be required to basis for the examiner’s conclusions, all which HHS/CDC determines there is a

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public health need at the time of issued with respect to an alien having such death occurs in the United States, immigration or adjustment of status. only mental shortcomings due to or in a territory or possession thereof, Provided however, that a Class A ignorance, or suffering only from a public burial shall be provided upon medical notification shall in no case be condition attributable to remediable request of DHS and subject to its issued for an adopted child who is 10 physical causes or of a temporary agreement to pay the burial expenses. years of age or younger if, prior to the nature, caused by a toxin, medically Autopsies shall not be performed unless admission of the child, an adoptive prescribed drug, or disease. approved by DHS. parent or prospective adoptive parent of (2) The medical notification shall the child, who has sponsored the child state the nature and extent of the § 34.8 Reexamination; convening of review boards; expert witnesses; reports. for admission as an immediate relative, abnormality, the degree to which the has executed an affidavit stating that the alien is incapable of normal physical (a) The Director shall convene a board parent is aware of the vaccination activity, and the extent to which the of medical officers to reexamine an requirement and will ensure that, condition is remediable. The medical alien: within 30 days of the child’s admission, examiner shall indicate the likelihood, (1) Upon the request of DHS for a or at the earliest time that is medically that because of the condition, the reexamination by such a board; or (2) Upon an appeal to DHS by an alien appropriate, the child will receive the applicant will require extensive medical who, having received a medical vaccinations identified in the care or institutionalization. examination in connection with the requirement; (d) Other medical notifications. If as determination of admissibility to the (iii)(A) A current physical or mental a result of the medical examination, the United States (including examination on disorder, and behavior associated with medical examiner does not find a Class arrival and adjustment of status as the disorder that may pose, or has A or Class B condition in an alien, the provided in the immigration laws and posed, a threat to the property, safety, or medical examiner shall so indicate on regulations) has been certified for a welfare of the alien or others; or the medical notification form and shall Class A condition. (B) A history of a physical or mental report his findings to the consular or (b) The board shall reexamine an alien disorder and behavior associated with DHS officer. certified as: the disorder, which behavior has posed (1) Having a communicable disease of a threat to the property, safety, or § 34.5 Postponement of medical examination. public health significance; welfare of the alien or others and which (2) Lacking documentation of having behavior is likely to recur or lead to Whenever, upon an examination, the medical examiner is unable to received vaccination against ‘‘vaccine- other harmful behavior; preventable diseases’’ for an alien who (iv) Drug abuse or drug addiction. determine the physical or mental condition of an alien, completion of the seeks admission as an immigrant, or Provided, however, that a Class A medical examination shall be postponed who seeks adjustment of status to one medical notification of a physical or for such observation and further lawfully admitted for permanent mental disorder, and behavior examination of the alien as may be residence, which shall include at least associated with that disorder that may reasonably necessary to determine his/ the following diseases: Mumps, measles, pose, or has posed, a threat to the her physical or mental condition. The rubella, polio, tetanus and diphtheria property, safety, or welfare of the alien examination shall be postponed for toxoids, pertussis, Haemophilus or others, shall in no case be issued with aliens who have an acute infectious influenza type B and hepatitis B, and respect to an alien having only mental disease until the condition is resolved. any other vaccinations recommended by shortcomings due to ignorance, or The alien shall be referred for medical the Advisory Committee for suffering only from a condition care as necessary. Immunization Practices (ACIP) for attributable to remediable physical which HHS/CDC determines there is a causes or of a temporary nature, caused § 34.6 Applicability of Foreign Quarantine public health need at the time of by a toxin, medically prescribed drug, or Regulations. immigration or adjustment of status. disease. Aliens arriving at a port of the United Provided, however, that in no case (2) The medical notification shall States shall be subject to the applicable shall a Class A medical notification be state the nature and extent of the provisions of 42 CFR part 71, Foreign issued for an adopted child who is 10 abnormality; the degree to which the Quarantine, with respect to examination years of age or younger if, prior to the alien is incapable of normal physical and quarantine measures. admission of the child, an adoptive or activity; and the extent to which the prospective adoptive parent, who has condition is remediable. The medical § 34.7 Medical and other care; death. sponsored the child for admission as an examiner shall indicate the likelihood, (a) An alien detained by or in the immediate relative, has executed an that because of the condition, the custody of DHS may be provided affidavit stating that the parent is aware applicant will require extensive medical medical, surgical, psychiatric, or dental of the vaccination requirement and will care or institutionalization. care by HHS through interagency ensure that the child will be vaccinated (c) Class B medical notifications. (1) If agreements under which DHS shall within 30 days of the child’s admission, an alien is found to have a physical or reimburse HHS. Aliens found to be in or at the earliest time that is medically mental abnormality, disease, or need of emergency care in the course of appropriate. disability serious in degree or medical examination shall be treated to (3)(i) Having a current physical or permanent in nature amounting to a the extent deemed practical by the mental disorder and behavior associated substantial departure from normal well- attending physician and if considered to with the disorder that may pose, or has being, the medical examiner shall report be in need of further care, may be posed, a threat to the property, safety, or his/her findings to the consular or DHS referred to DHS along with the welfare of the alien or others; or officer by Class B medical notification physician’s recommendations (ii) Having a history of a physical or which lists the specific conditions concerning such further care. mental disorder and behavior associated found by the medical examiner. (b) In case of the death of an alien, the with the disorder, which behavior has Provided, however, that a Class B body shall be delivered to the consular posed a threat to the property, safety, or medical notification shall in no case be or immigration authority concerned. If welfare of the alien or others and which

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behavior is likely to recur or lead to reexamination is declared by the board DEPARTMENT OF THE INTERIOR other harmful behavior; or to be closed. During the course of the (iii) Having drug abuse or drug reexamination the alien’s attorney or Fish and Wildlife Service addiction; representative shall be permitted to (c) The board shall consist of the question the alien and he/she, or the 50 CFR Part 17 following: alien, shall be permitted to question any [Docket No. FWS–R8–ES–2011–0055; (i) In circumstances covered by witnesses offered in the alien’s behalf or 4500030113] paragraph (b)(1) of this section, the any witnesses called by the board. If the board shall consist of at least one alien does not have an attorney or Endangered and Threatened Wildlife medical officer who is experienced in representative, the board shall assist the and Plants; 12-Month Finding on a the diagnosis and treatment of the Petition to List Leona’s Little Blue alien in the presentation of his/her case communicable disease for which the Butterfly as Endangered or Threatened medical notification has been made; to the end that all of the material and (ii) In circumstances covered by relevant facts may be considered. AGENCY: Fish and Wildlife Service, paragraph (b)(2) of this section, the (i) Any proceedings under this section Interior. board shall consist of at least one may, at the board’s option, be conducted ACTION: Notice of 12-month petition medical officer who is experienced in based on the written record, including finding. the diagnosis and treatment of the through written questions and SUMMARY: We, the U.S. Fish and vaccine-preventable disease for which testimony. Wildlife Service (Service), announce a the medical notification has been made; 12-month finding on a petition to list (iii) In circumstances covered by (j) The findings and conclusions of Leona’s little blue butterfly (Philotiella paragraph (b)(3) of this section, the the board shall be based on its medical examination of the alien, if any, and on leona) as an endangered or threatened board shall consist of at least one species under the Endangered Species medical officer who is experienced in the evidence presented and made a part of the record of its proceedings. Act of 1973, as amended (Act). After a the diagnosis and treatment of the review of the best available scientific physical or mental disorder, or (k) The board shall report its findings and commercial information, we find substance-related disorder for which and conclusions to DHS, and shall also that listing Leona’s little blue butterfly medical notification has been made. give prompt notice thereof to the alien is not warranted at this time. However, (d) The decision of the majority of the if his/her reexamination has been based we ask the public to submit to us any board shall prevail, provided that at on his/her appeal. The board’s report to new information that becomes available least two medical officers concur in the DHS shall specifically affirm, modify, or concerning threats to the species or its judgment of the board. reject the findings and conclusions of habitat at any time. (e) Reexamination shall include: prior examining medical officers. (1) Review of all records submitted by DATES: The finding announced in this the alien, other witnesses, or the board; (l) The board shall issue its medical document was made on June 23, 2015. (2) Use of any laboratory or additional notification in accordance with the ADDRESSES: This finding is available on studies which are deemed clinically applicable provisions of this part if it the internet at http:// necessary as a result of the physical finds that an alien it has reexamined has www.regulations.gov under Docket No. examination or pertinent information a Class A or Class B condition. FWS–R8–ES–2011–0055 and on the Klamath Falls Fish and Wildlife Office elicited from the alien’s medical history; (m) If the board finds that an alien it (3) Consideration of statements Web site at http://www.fws.gov/ has reexamined does not have a Class A regarding the alien’s physical or mental klamathfallsfwo/. Supporting or Class B condition, it shall issue its condition made by a physician after his/ documentation we used in preparing her examination of the alien; and medical notification in accordance with this finding is available for public (4) A physical or psychiatric the applicable provisions of this part. inspection, by appointment, during examination of the alien performed by (n) After submission of its report, the normal business hours at: U.S. Fish and the board, at the board’s discretion. board shall not be reconvened, nor shall Wildlife Service; Klamath Falls Fish and (f) An alien who is to be reexamined a new board be convened, in connection Wildlife Office; 1936 California Ave; shall be notified of the reexamination with the same application for admission Klamath Falls, OR 97601; telephone: not less than 5 days prior thereto. or for adjustment of status, except upon (541) 885–8481; facsimile (541) 885– (g) The alien, at his/her own cost and the express authorization of the 7837. Please submit any new expense, may introduce as witnesses Director. information, materials, or questions before the board such physicians or concerning this finding to the above medical experts as the board may in its Dated: June 12, 2015. street address. discretion permit; provided that the Sylvia M. Burwell, FOR FURTHER INFORMATION CONTACT: alien shall be permitted to introduce at Secretary. Laurie Sada, Field Supervisor, U.S. Fish least one expert medical witness. If any [FR Doc. 2015–15236 Filed 6–22–15; 8:45 am] and Wildlife Service, Klamath Falls Fish witnesses offered are not permitted by BILLING CODE 4150–28–P and Wildlife Office; 1936 California the board to testify (either orally or Ave; Klamath Falls, OR 97601; through written testimony), the record telephone: (541) 885–8481; facsimile of the proceedings shall show the reason (541) 885–7837. Persons who use a for the denial of permission. telecommunications device for the deaf (h) Witnesses before the board shall (TDD) may call the Federal Information be given a reasonable opportunity to Relay Service (FIRS) at 800–877–8339. review the medical notification and SUPPLEMENTARY INFORMATION: other records involved in the reexamination and to present all Background relevant and material evidence orally or Section 4(b)(3)(B) of the Act (16 in writing until such time as the U.S.C. 1531 et seq.) requires that, for

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any petition to revise the Federal Lists Invertebrate Conservation, et al., 2011, p. 19; James 2012, p. 94). The of Endangered and Threatened Wildlife Plaintiffs, v. S.M.R. Jewell, et al.; Case larvae appear to feed only on the bud and Plants that contains substantial No. 3:13–CV–01103–MO). On July 31, and flower of spurry buckwheat (James scientific or commercial information 2014, the parties entered into a 2011, p. 19; James 2012, p. 94). Larvae that listing the species may be stipulated settlement agreement and continue to mature and develop into warranted, we make a finding within 12 order in which the Court ordered the pupa before the plants senesce (Holdren months of the date of receipt of the Service to make the required finding and Ehrlich 1981, p. 128; Ehrlich and petition. As discussed above, in this pursuant to 16 U.S.C. 1533(b)(3)(B) no Murphy 1987, p. 124). The pupa finding, we have determined that later than June 30, 2015. This notice overwinter (some captive bred pupa adding Leona’s little blue butterfly to constitutes our compliance with the remained dormant for 2 years) and the Federal Lists of Endangered or Court Order and completes our review emerge as adult butterflies to complete Threatened Wildlife is not warranted. and final action regarding the petition to the cycle (James 2012, pp. 94–95). This finding is based upon the list Leona’s little blue butterfly as Additional biological information on the ‘‘Species Report for Leona’s Little Blue endangered or threatened under the Act. species can be found in the Species Butterfly (Philotiella leona),’’ (Service Report (Service 2015, pp. 7–15). 2015, entire) (Species Report) and the Species Description scientific analyses of available Leona’s little blue butterfly is a Population Size and Distribution information prepared by Service member of the butterfly family Information provided in the petition biologists from the Service’s Klamath Lycaenidae (gossamer-winged stated that Leona’s little blue butterfly Falls Fish and Wildlife Office, the butterflies) and the tribe Polyommatini was known from a single population Pacific Southwest Regional Office, and (Pyle 2002, p. 222). The species has a (estimated at 1,000 to 2,000 individuals) the Headquarters Office. The Species wingspan of less than 0.75 to 1.0 inches and that its range was limited to a 6- Report contains the best scientific and (in) (1.9 to 2.5 centimeters (cm)) (Pyle square-mile (sq-mi) (15.5-square- commercial data available concerning 2002, p. 236). The dorsal wing color for kilometer (sq-km)) area in the rain the status of Leona’s little blue butterfly, males is dark dusky blue with black shadow of the Cascades near Sand and including the past, present, and future submargins and is brown for the female. Scott Creek of the Antelope Desert in stressors to the species. As such, the The ventral wing color for both sexes is Klamath County, Oregon (Matheson et Species Report provides the scientific white with black spots on fore- and al. 2010, pp. 7–8). Additional surveys basis that informs our regulatory hind-wings (Hammond and McCorkle conducted in 2011 used a predictive decision in this document, which 1999, p. 77). Leona’s little blue butterfly habitat model to search 18,654 acres (ac) involves the further application of may be confused with other co- (7,549 hectares (ha)) in Oregon adjacent standards within the Act and its occurring species of little blue to and more distant from the known implementing regulations and policies. butterflies such as the glaucon blue population (Johnson 2011, p. 5). No Below is a summary of the (Euphilotes glaucon) and the lupine other populations were located outside background information on Leona’s blue (Plebejus lupini) (Ross 2010, pp. the Sand and Scott Creek area despite little blue butterfly. For additional 10–12). Additional species description other areas seemingly having the information and a detailed discussion of information can be found in the Species appropriate habitat characteristics (Ross the species’ description, taxonomy, life Report (Service 2015, pp. 4–7). 2008, pp. 5–9; Ross 2009, pp. 4, 8–17; history, habitat, soils, distribution, and Johnson 2010, p. 2; Johnson 2011, p. 5; Biological Information abundance, please see the Species Chew 2013, p. 2; Johnson and Ross Report for Leona’s Little Blue Butterfly The biology of Leona’s little blue 2013, pp. 2–12). This indicates that new (Philotiella leona) (Service 2015, entire) butterfly is very closely tied to its larval populations of Leona’s little blue available under Docket No. FWS–R8– annual host plant, Eriogonum butterfly are not likely to be discovered ES–2011–0055 at http:// spergulinum (spurry buckwheat) based on negative survey results from www.regulations.gov, or from the (Hammond and McCorkle, 1999 p. 80; Oregon and California in habitat having Klamath Falls Fish and Wildlife Office James 2012, pp. 93, 95; James et al. appropriate characteristics and, (see ADDRESSES). 2014, p. 269). Buckwheat species, such therefore, a high potential for the as spurry buckwheat, are known to be species to be present (Johnson and Ross Previous Federal Action pioneer plants. Pioneer plants are plants 2013, p. 2). On May 12, 2010, we received a that colonize disturbed sites and other Based on a better understanding of petition from the Xerces Society, Dr. open, less vegetated areas (Meyer 2008, habitat requirements, more focused David McCorkle of Western Oregon pp. 499–503). Food sources for adult survey efforts, and more rigorous University, and Oregon Wild Leona’s little blue butterfly include sampling methods for the species (Petitioners), requesting that Leona’s spurry buckwheat as well as other between 2009 and 2013, the current little blue butterfly be listed as flowering plants that produce nectar known range of the species has doubled endangered (Matheson et al. 2010, (Ross 2009, p. 17; Johnson 2010, p. 5; in size from 6 sq mi (15.5 sq km) to 12.8 entire). On August 17, 2011, we Johnson 2011, p. 9; James 2012, p. 95; sq mi (33.1 sq km) (James et al. 2014, published in the Federal Register (76 James et al. 2014, pp. 269–271). Adult p. 272; Service 2015, p. 16). Similarly, FR 50971) a 90-day finding on the Leona’s little blue butterfly begin flying the population size estimates have petition and found that the petition and mate in mid- to late-June, which increased to approximately 20,000 presented substantial scientific or coincides with the period when spurry individuals as a result of the additional commercial information indicating that buckwheat is beginning to flower and survey efforts (James et al. 2014, p. 272). listing Leona’s little blue butterfly may providing sources of nectar (Ross 2008, Leona’s little blue butterfly occupancy be warranted. p. 5; James et al. 2014, p. 268). The appears to be coincident with the On July 1, 2013, the Petitioners filed lifespan of adults is thought to be 2 northern edge of the Sand Creek and an action with the U.S. District Court of weeks (James et al. 2014, p. 272). The Scott Creek alluvial fans (fan-shaped Oregon challenging the Service for eggs of Leona’s little blue butterfly are deposits of volcanic material) deposited failure to issue the 12-month finding on laid on the host plant in early July and after the eruption of Mt. Mazama the petition (Xerces Society for hatch into larvae a few days later (James (present day Crater Lake, OR) 6,600 to

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7,700 years ago (Tilden 1963, pp. 110– Lodgepole Pine/Bitterbrush/Fescue short summer growing season, with the 111; Hammond 1981, p. 180; Harris plant communities coincides with the exception of some areas where ground 1988, p. 105; U.S. Geological Survey boundary of Leona’s little blue butterfly water does come to the surface (USGS) 2002, p. 1; Cummings 2007, p. occupancy (Volland 1988, pp. 29, 39; (Hammond 1981, p. 180; Hammond and 30; Johnson 2010, p. 4). Additional Johnson 2010, p. 2). Annual and Dornfeld 1983, p. 120). However, population size and distribution perennial plants occurring within the subsurface moisture in the Sand and information can be found in the Species occupied habitat include, but are not Scott Creeks area may be greater than Report (Service 2015, pp. 5, 15–18). limited to: Spurry buckwheat, the surrounding area because Sand and Eriogonum umbellatum (sulphur-flower Habitat Characteristics Scott Creeks flow year-round buckwheat), Hemizonella minima (least (Cummings 2007, pp. 49, 72, 105). Habitat for Leona’s little blue butterfly tarweed), Cistanthe umbellata (Mt. Additional information on habitat is influenced by the geology of the Sand Hood pussypaws), Plagiobothrys characteristics can be found in the and Scott Creek area, characteristics of hispidus (Cascade popcorn flower), Species Report (Service 2015, pp. 11– vegetation and soil distribution and Machaeranthera canescens var. 15). composition, and factors contributing to shastensis (hoary aster), Packera cana the area’s disturbance regime (i.e., (woolly groundsel), Gayophytum Land Ownership and Management timber management and fire). Leona’s diffusum (spreading groundsmoke), little blue butterfly inhabits open and Phacelia hastata (silverleaf phacelia), Land ownership in the range of often disturbed areas associated with Agoseris glauca (pale agoseris), Leona’s little blue butterfly includes the distribution of its host plant, spurry Antennaria rosea (rosy pussytoes), Federal and private land. The majority buckwheat (Ross 2009, p. 20; Service Epilobium spp., Pinus contorta of the land is held by a single private 2015, p. 11). The unique assemblage of (lodgepole pine), Pinus ponderosa landowner and their lands have been plant species found in the vicinity of (ponderosa pine), and Populus managed for commercial timber Sand and Scott Creeks is not likely to tremuloides (quaking aspen). operations. This property has recently occur outside the ash and pumice fields The habitat is a dry, high desert with (2015) been sold to another private deposited during the eruption of Mt. a limited ability of the ash-pumice fields timber company, and management of Mazama (Johnson 2011, p. 2). One to retain moisture (Hammond 1981, pp. the area is expected to continue as reason for this may be the presence of 180, 190). Topography of the area commercial timber land. The Federal subsurface moisture present from an occupied by Leona’s little blue butterfly land is part of the Fremont-Winema alluvial fan (Johnson 2011, p. 2). Sand is relatively flat, with elevations ranging National Forest and is managed for Creek and Scott Creek alluvial fans are from 4,530 ft (1,381 m) on the west to conservation of resources, per their thicker than other alluvial fans 4,660 ft (1,420 m) on the east (Ross Land and Resource Management Plan immediately to the north of the 2009, p. 19; Esri, Inc. ArcMap 10.2.2 (USFS 1990, entire). The remaining occupied habitat area (Johnson 2011, p. 1999–2014). Most precipitation in the private lands are made up of many 7). Sand Creek and Scott Creek have Sand and Scott Creek area falls in non- small parcels with multiple land removed most of the fine ash layer from summer months with annual rain and owners. Additional land ownership the eruption of Mt. Mazama, improving snowfall totals ranging from 15–30 in information can be found in the Species porosity and permeability of the area (38–76 cm) (Youngberg and Dyrness Report (2015, Figure 1). Table 1 (Johnson 2011, p. 2). 1959, p. 111; Dyrness and Youngberg identifies the land ownership, The transition zone between the 1966, p. 123). The porous ash-pumice approximate amount of land, and Bitterbrush/Needlegrass-Sedge and fields fail to retain moisture during the percentage of habitat area.

TABLE 1—LAND OWNERSHIP, AREA OF LAND, AND PERCENTAGE OF LEONA’S LITTLE BLUE BUTTERFLY HABITAT WITHIN THE SPECIES’ RANGE

Approximate Population name Land ownership Approximate area area of habitat (acres (hectares)) (percent)

Sand Creek 1 ...... Private Timber Lands 2 ...... 7,654 (3,097) ...... 93.7 Fremont-Winema National Forest ...... 120 (48) ...... 1.5. Other Private Lands ...... 396 (160) from a total of 48 parcels...... 4.8. 1 The species was first described in the vicinity of Sand Creek, and is the name that has been adopted to identify the population. Further sur- veys expanded the range, and the species is now known from the vicinity of both Sand and Scott Creeks. 2 Private timber lands previously owned by Fidelity National Financial, the property has recently been sold to Whitefish Cascade Forest Re- sources of Salem, Oregon and Singapore.

Summary of Factors Affecting the Table 2 below summarizes the stressors that are considered baseline for a Species identified for the species over time since species under natural conditions that the species was first petitioned for may cause a minor amount of loss of In development of the Species Report listing and compares these with the individuals and/or habitat currently or for Leona’s little blue butterfly and current situation. The stressors are not in the future, but which do not affect the conducting our status review, we listed in order of magnitude or level of species as a whole. Moderate-level identified those stressors that may severity. The level of impact of each impacts are those that are causing a potentially impact Leona’s little blue stressor on Leona’s little blue butterfly more than minor but not widespread butterfly individuals or their habitat. or its habitat is provided in the loss of individuals and/or habitat The following sections provide a summary for the stressor in both the currently or that may do so in the summary of the current stressors Species Report and this 12-month future. High-level impacts are those that impacting Leona’s little blue butterfly. finding. Low-level impacts are those are causing widespread loss of

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individuals and/or habitat currently or In this document, we discuss those August 17, 2011, 90-day finding (76 FR that may do so in the future. In our stressors currently identified as 50971) published in the Federal evaluation, we did not find any high- potentially impacting Leona’s little blue Register. A complete discussion of level impacts affecting the species or its butterfly or its habitat including those stressors can be found in the Species habitat. stressors that have changed since our Report (Service 2015, pp. 19–70).

TABLE 2—STRESSORS IDENTIFIED FOR LEONA’S LITTLE BLUE BUTTERFLY OVER TIME

Assessment of the stressor’s impact to Leona’s little blue butterfly or its habitat Stressor 2010 Petition 2011 90-day finding 1 2015 Species report

Timber Management ...... ¥/+ ...... Not substantial ...... Low-level Lodgepole Pine Encroachment ...... ¥ ...... Substantial ...... Moderate-level Fire ...... ¥ ...... Substantial (catastrophic fire) ...... Low-level Fire Retardant ...... n/a ...... n/a ...... Low-level Fire Suppression ...... n/a 2 ...... n/a 2 ...... Low-level Right-of-Way Maintenance ...... n/a ...... n/a ...... Low-level Cinder Mining ...... ¥ ...... Not substantial ...... Not Present Livestock Grazing ...... ¥ ...... Not substantial ...... Not Present Herbivory from Native Animals ...... n/a ...... n/a ...... Low-level Herbicides ...... ¥ ...... Not substantial ...... Low-level Invasive Plants ...... n/a ...... n/a ...... Low- to moderate-level Insect Collection ...... ¥/+ ...... Not substantial ...... Low-level Competition with Other Inverte- n/a ...... n/a ...... Low-level brates. Predation ...... ¥ ...... Not substantial ...... Low-level Disease ...... ¥ ...... Not substantial ...... Low-level Pesticides ...... ¥ ...... Not substantial ...... Low-level Isolated Population (drought, fire, ¥ ...... Substantial (catastrophic fire) ...... Low-level disease, inbreeding). Effects of Climate Change ...... n/a ...... n/a ...... Low- to moderate-level Potential Change in Land Owner- ¥ ...... Not substantial ...... Not applicable ship. n/a = not addressed; ‘‘¥’’ = negative impact; ‘‘+’’ = positive impact; ‘‘¥/+’’ positive and negative impact. 1 Service’s determination that the petition presented either ‘‘Substantial’’ or ‘‘Not substantial’’ information indicating that listing may be war- ranted. Substantial stressors are those stressors that necessitated further review in this 12-month finding. 2 Discussed in reference to lodgepole pine encroachment in petition and 90-day finding.

Section 4 of the Act (16 U.S.C. 1533) determine whether the species responds under section 4(a)(1) of the Act is and implementing regulations (50 CFR to the factor in a way that causes actual discussed for the species below. In this part 424) set forth procedures for adding impacts to the species. If there is notice, we focused our discussion of species to, removing species from, or exposure to a factor, but no response, or threats to those stressors currently reclassifying species on the Federal only a positive response, that factor is found to be potentially impacting Lists of Endangered and Threatened not a threat. If there is exposure and the Leona’s little blue butterfly or its habitat Wildlife and Plants. Under section species responds negatively, the factor (see Table 2 above). A complete 4(a)(1) of the Act, a species may be may be a threat and we then attempt to discussion of all the stressors identified determined to be endangered or determine if that factor rises to the level in Table 2 including how and to what threatened based on any of the of a threat, meaning that it may drive or extent they may impact Leona’s little following five factors: contribute to the risk of extinction of the blue butterfly or its habitat can be found (A) The present or threatened species such that the species warrants in the Species Report (Service 2015, pp. destruction, modification, or listing as an endangered or threatened 19–70). species as those terms are defined by the curtailment of its habitat or range; Factor A. The Present or Threatened (B) Overutilization for commercial, Act. This does not necessarily require Destruction, Modification, or recreational, scientific, or educational empirical proof of a threat. The Curtailment of Its Habitat or Range purposes; combination of exposure and some (C) Disease or predation; corroborating evidence of how the The stressors that may impact the (D) The inadequacy of existing species is likely impacted could suffice. habitat or range of Leona’s little blue regulatory mechanisms; or The mere identification of factors that butterfly include: Timber management, (E) Other natural or manmade factors could impact a species negatively is not lodgepole pine encroachment, fire, fire affecting its continued existence. sufficient to compel a finding that suppression, right-of-way maintenance, In making our 12-month finding on listing is appropriate; we require herbivory from native animals, the petition, we considered and evidence that these factors are operative herbicide application, invasive plants, evaluated the best available scientific threats that act on the species to the and the effects of climate change. Some and commercial information pertaining point that the species meets the of the same potential activities that to Leona’s little blue butterfly in relation definition of an endangered or affect the habitat of Leona’s little blue to the five factors provided in section threatened species under the Act. butterfly can also affect individuals. 4(a)(1) of the Act. In considering what Listing actions may be warranted While these impacts to Leona’s little factors (stressors) might constitute based on any of the above factors, singly blue butterfly may better be threats, we must look beyond the mere or in combination. The information characterized under Factor E (Other exposure of the species to the factor to pertaining to the five factors found Natural or Manmade Factors Affecting

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Its Continued Existence), they are As a result, we have determined that 2015, pp. 23–26) for additional included here in the Factor A timber management acts as a low-level discussion of this stressor. discussion for ease of discussion and stressor on Leona’s little blue butterfly Lodgepole pine encroachment and analysis. and its habitat because impacts are more natural regeneration is an ongoing likely to affect forested areas that are not stressor affecting the area occupied by Timber Management suitable habitat and are not occupied by Leona’s little blue butterfly. The rate of The majority (93.7 percent) of land Leona’s little blue butterfly. Impacts to encroachment and regeneration within occupied by Leona’s little blue butterfly existing open areas containing the range of the butterfly is not known; is managed for timber production butterflies would be localized and affect however, other areas near Sand Creek (commercial timber lands). Timber few individuals. Beneficial effects from have shown that the overall amount of management is a broad term that timber management promote the encroachment and regeneration of encompasses many activities associated development of new habitat and lodgepole pine is increasing (Horn 2009, with the removal of trees for commercial maintenance of existing habitat. The pp. 200–204). For example, in the or noncommercial purposes. Activities limited scope and low severity of the Pumice Desert, (a broad flat area north may include creation of temporary or stressor suggest that this is not a of Crater Lake, Oregon, that is somewhat permanent roads, use of existing roads, considerable source of loss of similar to the Sand Creek area), creation of new landings for log or individuals or habitat. Rather, the longer lodgepole pine encroachment increased equipment staging, use of existing term benefits from timber management threefold over a period of 40 years and landings, heavy equipment traveling on promote continued occupancy and was greater near the forest edge (Horn and off roads, felling of trees, limbing habitat for Leona’s little blue butterfly. 2009, pp. 200–204). In the Sand Creek trees, skidding of trees to landings, As a result, we have determined that the area, lodgepole pine encroachment is piling of logging slash by machine or impacts from timber management do not believed to have reduced the extent of hand, and burning slash piles. Ground rise to the level of a threat. openings in areas occupied by Leona’s disturbance from all of these activities little blue butterfly (Johnson 2010, p. 6). Lodgepole Pine (Pinus contorta) However, encroachment is absent in can impact Leona’s little blue butterfly Encroachment habitat through trampling of host and areas that appear to lack suitable nectar plants thus making them a less Leona’s little blue butterflies occupy conditions for lodgepole pine viable resource for Leona’s little blue open habitat areas that are treeless or establishment (Cochran 1973, pp. 3–5; butterfly. Similarly, timber management sparsely treed. In some cases, natural Lotan and Critchfield 1990, pp. 307– activities that utilize heavy machinery openings are being encroached by 309), and based on aerial imagery, our can affect all life stages of individual lodgepole pine. Encroachment is review has found openings that were Leona’s little blue butterfly through different from the natural regeneration present in 1995 were still present in 2012. Past and current actions on crushing of eggs, larvae, pupae, and of previously forested areas. private timber lands and on the adults. Activities that result in clearing Encroachment occurs when lodgepole Fremont-Winema National Forest are of suitable habitat (e.g., creation of new pine, for example, gradually expands limiting the encroachment and natural roads and landings) have a greater into open areas where it was previously regeneration of lodgepole pine in some potential impact since host and nectar absent. Natural regeneration occurs areas occupied by Leona’s little blue plants are no longer available for use by when areas that were harvested become butterfly (USFS 2014, p. 2). Land Leona’s little blue butterfly until plants forested again through the gradual management practices that result in the regenerate during the following growing sprouting of seeds and growth of removal of lodgepole pine by private season. However, timber management seedlings over time. Encroachment and timber companies and the U.S. Forest activities can also be beneficial to natural regeneration may result in the Service are expected to maintain and Leona’s little blue butterfly and its gradual conversion of these open habitat enhance some open patches through habitat. The removal of trees and ground areas to forested habitats. expansion of their perimeters. disturbance provides conditions Lodgepole pine encroachment is Based on this information, we have suitable to colonization by spurry believed to have reduced the extent of determined that the effects from buckwheat. openings in areas occupied by Leona’s lodgepole pine encroachment and Spurry buckwheat is a colonizer plant little blue butterfly (Johnson 2010, p. 6). natural regeneration are moderate in species and is capable of rapidly However, other researchers note that areas where this is occurring because inhabiting open areas resulting from ‘‘only a small number of trees’’ have lodgepole pine has the ability to render timber management that may not have become established in meadows as unsuitable the open habitats used by been previously available to Leona’s (Hatcher 2014a, p. 3). Despite the Leona’s little blue butterfly. However, little blue butterfly. As spurry documented presence of lodgepole pine large open areas are present that do not buckwheat and nectar plants become and its encroachment or natural show signs of lodgepole pine abundant in the open areas, the habitat regeneration into occupied Leona’s little encroachment; this may be related to the becomes suitable for Leona’s little blue blue butterfly habitat, there are large depth of the pumice, which may act as butterfly. Additionally, the removal of openings that appear to have never a natural inhibitor to encroachment by trees and logging slash reduces the supported lodgepole pine (Ross and lodgepole pine. In addition, only a small overall potential risk of wildfire and Johnson 2012, p. 2; Johnson 2014e, pers. number of trees have become limits the potential intensity, severity, comm.). This may be due to the deep established in meadows. Despite the and rate of spread of wildfire (see Fire soils that are present within the Sand documented presence of lodgepole pine discussion below). This stressor has Creek Basin. Tilden (1963, p. 111) and its encroachment or natural occurred in the past and will occur in suggests that the recovery of vegetation regeneration into occupied Leona’s little the near- and long-term future. See since the eruption of Mt. Mazama blue butterfly habitat, there are large Timber Management section in the appears to be inversely related to the openings that appear to have never Species Report (Service 2015, pp. 20– depth of the pumice. See Lodgepole supported lodgepole pine. As a result, 23) for additional discussion of this Pine (Pinus contorta) Encroachment we have determined that the level of stressor. section in the Species Report (Service encroachment of lodgepole pine into

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Leona’s little blue butterfly habitat not expected to encompass large areas impact Leona’s little blue butterfly under current natural and managed or be widespread. The condition of the habitat and individuals. These activities conditions is not a significant concern standing and ground fuels are mixed, may include creation of fire lines (areas and does not rise to the level of a threat and some areas would not be able to cleared of vegetation intended to now or into the future. carry fire, further increasing the prevent spread of fire) by hand or likelihood that if a large fire were to Fire machinery and vehicle travel on and off occur, it would burn in a mosaic pattern roads. Creation of fire lines involves There are two types of fires that may and open areas could continue to digging down to mineral soil, which impact Leona’s little blue butterfly: support Leona’s little blue butterfly and may remove host and nectar plants and wildfire and prescribed fire. Wildfires its habitat. Beneficial effects from disrupt the life cycle of Leona’s little are unplanned and started by natural wildfire and prescribed fire promote the blue butterfly. Other actions associated events (i.e., lightning) or non-natural development of new habitat and with the creation of fire lines include sources (e.g., arson, machinery, power maintenance of existing habitat for the felling of trees and/or limbing of lines, etc.). Prescribed fires are burn Leona’s little blue butterfly. For trees to reduce ladder fuels (e.g. tall operations that follow a prescription example, Dunn (2011a, p. 9) found that dictating proper fuel and weather shrubs, small-sized trees, dead branches fires occurring during the spurry that provide vertical continuity between conditions that allow for control of fire buckwheat growing season (June strata, thereby allowing fire to carry severity, intensity, and rate of spread through August) could result in an from surface fuels into the crowns of per stated management objectives. initial reduction in plants immediately trees or shrubs). Felling and limbing of Prescribed fire can occur in many forms, following fire, but 2 to 3 years later, ranging from burning material piled spurry buckwheat is likely to increase in trees are likely to result in more open after timber harvest to broadcast burning the fire-affected areas. Fire can result in areas and more open forest canopy, in which large areas are burned over a brush clearing that reduces competition which can provide new areas for host series of days. for Leona’s little blue butterfly host and and nectar plants to colonize. In Both types of fire can result in the loss nectar plants (Dunn 2011a, p. 9). James addition, when machinery is moved of Leona’s little blue butterfly host and et al. (2014, p. 270) provided an from one area to another, there is the nectar plants, but can also create new anecdotal observation that spurry potential for the spread of invasive openings if a fire burns through dense buckwheat thrives in the footprints of plants. The stressor of Invasive Plants to brush or at high severity through dense burned slash piles, and Huntzinger Leona’s little blue butterfly is discussed forest-stands. Fire may completely (2003, p. 9) found that Leona’s little below. consume stands of trees or it may creep blue butterflies were more frequent in The use of fire retardant to suppress around in the understory; fire behavior areas that were prescribe-burned, fire is also a concern for Leona’s little is dependent upon weather conditions possibly due to increased sunlight. blue butterfly and its habitat. Fire and fuel loading. Extreme weather Based on this information, we have retardant coats and adheres to conditions including high temperature, determined that fire acts as a low-level vegetation, which slows the progression high wind-speed, and low relative- stressor on Leona’s little blue butterfly of fires. Any fire retardant exposure is humidity can result in rapid rates of fire and its habitat. The low severity of the likely to be lethal to Leona’s little blue spread at higher intensity and severity stressor suggests that, even though this butterfly life forms that are above than would be expected under more stressor may occur range-wide, this ground due to its inherent stickiness, normal weather conditions. Areas with stressor is not a considerable source of which would severely restrict light fuel loads are not expected to burn loss of individuals or habitat. at the same intensity or severity as those movement and could also result in Additionally, fire benefits the butterfly suffocation (USFS 2011, p. 179). No data with higher fuel loads. Soils within the by creating and maintaining habitat. As range of Leona’s little blue butterfly are are available regarding the toxicity of a result, we have determined that the fire retardant to larvae of invertebrates pumice-based and have low impacts from controlled and wildfire on (USFS 2011, p. 179). Leona’s little blue productivity for sustaining fire (Dunn Leona’s little blue butterfly habitat butterfly in the pupa stage may or may 2011a, p. 9). Because of the low under current natural and managed not be exposed to fire retardant productivity, the types of vegetation that conditions and in the future are not a dependent upon whether they are at or grow in the Sand Creek and Scott Creek significant concern individually or in area (Volland 1988, p. 38) are not the combination and do not rise to the level below ground level. Fire retardant kinds that will carry fire very far (low of a threat. would also potentially result in the leaf litter, very little if any duff layer, no killing of host and nectar plants if or very few ladder fuels) (Simpson 2007, Fire Suppression photosynthesis were inhibited; p. 9–5; Dunn 2011a, p. 9). See Fire The intent of fire suppression is to similarly, flowers coated in retardant section in the Species Report (Service extinguish fires quickly. Fire would not be available for nectaring. 2015, pp. 26–30) for additional suppression, in turn, interrupts historic Fire retardant may also act as a discussion of this stressor. fire return intervals by not allowing fires fertilizer, increasing plant growth of The forested stands within Leona’s to burn to the extent and degree as they both native and non-native species. The little blue butterfly habitat area are at may have in the past and changes the U.S. Forest Service (USFS) uses mapped greater risk of high-intensity and severe habitat from its expected, natural buffers to avoid the aerial application of fires than the more open areas occupied condition (Crawford 2011, p. 3). fire retardant in waterways and habitats by Leona’s little blue butterfly Suppression allows for vegetation to occupied by some, but not all, (Blackwell 2006, p. 236; Dunn 2011b p. become denser and more susceptible to threatened or endangered species or 12). However, past fires have been small disease, and conifer encroachment to those proposed for listing under the Act in size, and the presence of fire occur over time. Fire suppression, (USFS 2011, p. 3). These mapped suppression crews at nearby Sand Creek consequently, can lead to loss of open avoidance area buffers occur only on Guard Station suggest that, while there areas and also to larger fires. Ground National Forest lands. There are no is risk of fire in Leona’s little blue disturbing activities arising from fire mapped avoidance buffer areas within butterfly habitat, the impacts of fire are suppression efforts have the ability to the range of Leona’s little blue butterfly.

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See Fire Suppression in the Species butterfly. Trampling results in loss of habitat and individuals. The potential Report (Service 2015, pp. 32–33) for habitat for eggs and larvae and a loss of for future cinder mines to impact habitat additional discussion of this stressor. potential nectar sources for Leona’s and individuals would be on small, Fire suppression activities can have little blue butterfly. Similar effects are localized scales. Information other than positive and negative impacts to Leona’s expected from the removal or cutting of that provided by the petitioner is not little blue butterfly and its habitat. vegetation. If activities occur during the available to assess the potential area of Habitat and individuals can be flight period, adult Leona’s little blue impact. Future cinder mining is not destroyed by suppression that removes butterfly may be killed by vehicles planned by the Fremont-Winema habitat. Ground disturbance and tree directly. National Forest, and no information felling can improve habitat for Leona’s The use of biological control agents is about plans for future cinder mines is little blue butterfly. Suppression can not expected to occur within the range available for private lands. Cinder result in densely stocked forests, of Leona’s little blue butterfly. mining is not currently a stressor acting accumulation of fuels, and conifer Biological control agents are used only on Leona’s little blue butterfly and its encroachment in open areas, which can to treat noxious weeds (BPA 2000, p. 3) habitat. Cinder mining is not presently result in impacts to Leona’s little blue and are regulated by the Oregon affecting the species, and the small, butterfly from encroachment and fire Department of Agriculture (ODOT 2013, potential scope and low potential that are described above. Fire pp. 7–8). Noxious weeds have not been severity of the stressor suggest that suppression may act as a low-level documented within the range of Leona’s cinder mining is not expected to be a stressor on Leona’s little blue butterfly little blue butterfly (Johnson 2011, p. 9). significant cause of loss of individuals and its habitat. The low severity of the Herbicide application may result in or habitat in the future. As a result, we stressor suggests that, even though this changes to plant distribution and have determined that the impacts from stressor may occur range-wide, it is not abundance. Information is not available cinder mining activities on Leona’s little a considerable source of loss of to determine the frequency or area blue butterfly habitat under current individuals or habitat. Beneficial effects impacted by herbicide application natural and managed conditions is not from ground disturbance and tree felling within the rights-of-way. ODOT does a significant concern and does not rise will promote colonization of spurry recommend herbicide application to the level of a threat now or into the buckwheat, which will create or during certain periods. Please see the future. enhance habitat for Leona’s little blue Herbicide section below for more butterfly. As a result, we have information on how herbicides may act Livestock Grazing determined that the impacts from fire as a stressor on Leona’s little blue Livestock grazing can impact both suppression on Leona’s little blue butterfly. See Right-of-Way Maintenance Leona’s little blue butterfly habitat and butterfly habitat under current natural section in the Species Report (Service individuals. Habitat effects are through and managed conditions and in the 2015, pp. 34–36) for additional potential shifts in vegetation community future is not a significant concern and discussion of this stressor. (i.e., selective preference of livestock for does not rise to the level of a threat. Right-of-way maintenance may act as some plant species over others), a low-level stressor on Leona’s little consumption of host and nectar plants, Right-of-Way Maintenance blue butterfly and its habitat. The and trampling of vegetation (which Several rights-of-way occur within the limited scope and low severity of the reduces the potential for flowers to range of Leona’s little blue butterfly. stressor indicate that this is not a provide nectar). Eggs and larvae may be The rights-of-way are maintained by considerable source of loss of consumed if spurry buckwheat is Bonneville Power Administration individuals or habitat, because this consumed. Spurry buckwheat grows in (BPA), TransCanada (Pacific Gas stressor is limited to rights-of-way that a very open, small-stemmed shape, Transmission Company), Oregon occur within the Leona’s little blue giving it a very wispy look (Blackwell Department of Transportation (ODOT), butterfly range and the maintenance of 2006, p. 236) that is not likely to be Klamath County, and American Tower rights-of-way retains open areas favored as a food source for livestock. Corporation (Johnson 2014e, pers. beneficial for the species’ habitat. As a Other plants in the occupied habitat comm.). result, we have determined that the area have more robust growth forms Maintenance of power line and impacts from maintenance of rights-of- with dense foliage that could provide roadway rights-of-way results in the way on Leona’s little blue butterfly better nutritive value, if only based on reduction of woody plants and habitat under current natural and the sheer volume of material to eat. encourages early successional plants managed conditions are not a significant Adult Leona’s little blue butterfly are (Forrester et al. 2005, p. 489). As a concern and this activity does not rise expected to fly away if livestock result, the maintenance of rights-of-way to the level of a threat. approach and, therefore, are not may also be beneficial to Leona’s little expected to be consumed by livestock. blue butterfly and its habitat because it Cinder Mining Nectar plants are likely to be eaten by maintains open areas that are preferred Cinder mining activities including livestock and could result in a reduction by host and nectar plants. Power line exploration, drilling, and expansion of of food for adult Leona’s little blue rights-of-way can also be important existing sites could remove habitat for butterfly. Grazing, were it to occur, may butterfly habitat and have been Leona’s little blue butterfly and may also result in beneficial effects to the correlated with higher butterfly result in mortality of individuals. extent that grazing may result in abundance when compared to semi- Mortality of individuals may result from reduced competition for host and nectar natural grasslands (pastures) (Berg et al. trampling by vehicles or equipment. See plants by creating or maintaining 2013, pp. 644, 646). Cinder Mining section in the Species openings. Habitat loss and potential direct Report (Service 2015, p. 37) for There are no grazing allotments on the impacts on Leona’s little blue butterfly additional discussion of this stressor. Fremont-Winema National Forest can also be a concern. Vehicles and Cinder mines are not currently portion of the occupied habitat; equipment traveling off roads are present within areas occupied by therefore, Leona’s little blue butterfly assumed to trample host and nectar Leona’s little blue butterfly. If cinder are not affected by livestock grazing in plants used by Leona’s little blue mining were to occur, it could impact that area. Information is not available on

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whether livestock grazing is permitted Herbivory is a natural condition in Sand and Scott Creeks were conducted on private lands in the remainder of the which animals and Leona’s little blue to determine plant species presence occupied habitat area. Livestock use of butterfly have evolved. Herbivory from (Johnson 2011, p. 9). Cheatgrass, an lands now owned by Whitefish was not native animals is most likely to impact invasive plant, is known to occur within observed during fieldwork conducted in Leona’s little blue butterfly nectar the Whitefish portion of the Leona’s 2010 and 2011 (Johnson 2014b, pers. plants, with a very small potential for little blue butterfly range (Johnson 2012, comm.) See Livestock Grazing section in impacts to Leona’s little blue butterfly pers. comm.). Cheatgrass occurrences the Species Report (Service 2015, pp. eggs, larvae, and host plants. There is no within the range of Leona’s little blue 37–39) for additional discussion of this information available that indicates butterfly have not been mapped, but stressor. herbivory is adversely impacting these occurrences are not widespread Livestock grazing of vegetation may Leona’s little blue butterfly or its habitat (Johnson 2014c, pers. comm.). benefit Leona’s little blue butterfly by and to what degree. However, if Based on the information above, we reducing competition for host and herbivory is occurring, it is occurring at have determined that the severity of nectar plants, thus providing more very low levels that are not expected to invasive plants acting as a stressor on abundant host and nectar plants for the reduce adult Leona’s little blue butterfly Leona’s little blue butterfly and its species. Although livestock grazing fitness because the butterflies are able to habitat is low. The severity is low could have moderately severe impacts utilize a variety of plants for nectaring because, while cheatgrass is present, on habitat for Leona’s little blue and because herbivory would likely not there is no information to suggest that butterfly, it does not appear to be a focus on the species’ host plant. In cheatgrass has overrun suitable habitat stressor that is acting on the species or addition, Leona’s little blue butterfly for Leona’s little blue butterfly, nor has its habitat presently. Because this has evolved with this stressor and there it contributed to spread of fire. As a activity is not occurring and is not is no information to suggest that the result, the impact of invasive plants is expected to occur (based on past land pressure from herbivory has changed. low and does not rise to the level of a threat. use) within the range of Leona’s little See Herbivory from Native Animals Combination of Stressors Under blue butterfly, this is not a considerable section in the Species Report (Service 2015, pp. 39–40) for additional Factor A: As discussed above, we have source of loss of individuals or habitat determined that the above identified despite a potential moderate severity discussion of this stressor. The low severity and natural stressors individually are not acting on should land use activities change in the condition of the stressor indicates that, Leona’s little blue butterfly or its habitat future. As a result, we have determined even though this stressor may occur to the extent that they would be that the impacts from livestock grazing range-wide, it is not a considerable considered threats. We now also on Leona’s little blue butterfly habitat source of loss of individuals or habitat. determine that these stressors under current natural and managed As a result, we have determined that the collectively or cumulatively do not rise conditions is not a significant concern impacts from herbivory from native to the level of a threat. See the now or in the future and does not rise animals on Leona’s little blue butterfly Cumulative, Synergistic, and Beneficial to the level of a threat. habitat under current and future Effects section below for additional Herbivory from Native Animals conditions is not a significant concern discussion. and does not rise to the level of a threat. The entire range of Leona’s little blue Factor B. Overutilization for butterfly habitat has the potential to be Invasive Plants Commercial, Recreational, Scientific, or impacted by herbivory from native Within the range of Leona’s little blue Educational Purposes animals with few exceptions. Native butterfly, Bromus tectorum (cheatgrass) Based on the best available scientific animals, such as deer and rabbits, may is the only known invasive species. and commercial information, insect forage on plants that are used by Leona’s Cheatgrass germinates in the fall in arid collection for commercial, recreational, little blue butterfly as a larval host plant portions of the Great Basin (Young et al. scientific, or educational purposes is the or for nectar. Deer are known to favor 1987, p. 266), but may germinate in the only known stressor under Factor B and bitterbrush, which occurs in Leona’s spring if fall moisture is not sufficient is discussed below. little blue butterfly habitat. Bitterbrush (Stewart and Hull 1949, p. 58). Invasive has not been documented as a known or nonnative plants, such as cheatgrass Insect Collection nectar plant for Leona’s little blue can outcompete native plants for There is potential for insect collection butterfly (Johnson 2011, p. 9). Spurry resources. Competition with nonnative within the range of Leona’s little blue buckwheat grows in a very open, small- plants can result in reduced native plant butterfly. The Sand Creek area has been stemmed shape giving it a very wispy vigor and distribution. This, in turn, can a popular location for insect collection shape that is not likely to be a favored reduce growth and abundance of host over the last half-century (Ross and food source for herbivores (Blackwell and nectar plants used by Leona’s little Johnson 2012, p. 9). The area is popular 2006, p. 236). Other plants in the blue butterfly. Over time, the because it supports a unique assemblage occupied habitat have more robust distribution and abundance of invasive of rare invertebrate species. However, growth forms with dense foliage that plants may alter the species there is no information regarding which could provide better nutritive value, if composition within Leona’s little blue species may be favored by collectors, only based on the sheer volume of butterfly habitat. Changes to species and there is no available information material to eat. Leona’s little blue composition may result in starvation of regarding unauthorized insect collection butterfly eggs and larvae are not larvae and adults if they are not able to within the range of Leona’s little blue expected to be consumed by native find adequate sources for oviposition butterfly. Leona’s little blue butterfly is animals unless spurry buckwheat is and nectar. similar in appearance to two other consumed incidentally with other Invasive plants are not known to species in the Sand Creek area—the vegetation. Adult Leona’s little blue occur in the Fremont-Winema National glaucon blue butterfly (Euphilotes butterfly are likely to flee approaching Forest portion of the Leona’s little blue glaucon) and the lupine blue butterfly animals and are not expected to be eaten butterfly range (USFS 2014, p. 4). (Plebejus lupini). It is not known if these by herbivores. Surveys of the vegetation community of similar-appearing species are sought for

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collection in the range of Leona’s little are likely in the near future to rise to the blue butterfly by the Xerces Society for blue butterfly. Some collection for level of a threat. Invertebrate Conservation (Matheson et scientific research on Leona’s little blue al. 2010, p. 16), is not known to occur Factor C. Disease or Predation butterfly has been conducted within the within the range of Leona’s little blue range of the species in the past and at Disease butterfly (Ross and Johnson 2012, pp. least 579 adult Leona’s little blue Butterflies are susceptible to 33–48). Leona’s little blue butterfly lay butterflies, seven eggs, and one fourth infections from parasites, viruses, eggs on or very near flower buds and do instar larva have been collected since bacteria, and fungi as part of the natural not attempt to hide them (e.g., laying on 1996. See Insect Collection section in conditions in which they have evolved underside of leaves). This behavior suggests that there may be a low relative the Species Report (Service 2015, pp. (Davis and Lawrence 2006, p. 1; Altizer risk of predation on eggs (Henry and 43–45) for additional discussion of this and de Roode 2010, p. 18). Viruses and Schultz 2013, p. 190). However, Leona’s stressor. bacteria can be common in butterfly little blue butterfly larva are typically However, permission is needed to larvae, which ingest capsules or spores pink and white, which blends in with collect butterflies for non-recreational or incidentally (Davis and Lawrence 2006, the colors of the host plant and may commercial purposes on lands owned p. 1; Altizer and de Roode 2010, p. 20). provide camouflage from predators. by Fremont-Winema National Forest. Fungi can grow on the outside or inside James et al. (2014, pp. 271–272) suggest Ongoing collection is currently limited of infected caterpillars, ultimately that Leona’s little blue butterfly by a lack of accessibility to the private killing the caterpillar (Altizer and de timber lands (Lidell 2012, pers. comm.) mortality from predation is likely very Roode 2010, p. 21). Symptoms of low, as this was not observed during a and permissions required by the disease include changes in color, size, Fremont-Winema National Forest 3-year study. See Predation section in shape, and movement (Davis and the Species Report (Service 2015, pp. (Callaghan 2014, pers. comm.). We are Lawrence 2006, p. 2). Specific not aware of unauthorized insect 46–47) for additional discussion of this investigations into disease have not stressor. collection within the range of Leona’s been conducted for Leona’s little blue little blue butterfly. We have no Predation can reduce overall butterfly; however, exposure to disease abundance of Leona’s little blue information to indicate that collection of and disease vectors is part of the natural insects on other small private lands butterfly. While potential predators are conditions in which Leona’s little blue present when Leona’s little blue (likely associated with residences) is butterfly likely evolved. There is no allowed, but even if such collection butterfly are active, predation has not information on diseases affecting been observed. Similarly, pressure from occurs, it is unlikely it would result in Leona’s little blue butterfly from wild or collections of large numbers of predation is likely one that Leona’s little captive-reared individuals (Ross and blue butterfly evolved with and to individuals. All known collections for Johnson 2012, pp. 27, 42–46. See which it has adapted. Predation may be Leona’s little blue butterfly have been Disease section in the Species Report a low-level stressor acting on Leona’s limited in scope and associated with a (Service 2015, pp. 47–48) for additional little blue butterfly. The low severity specific purpose (description of species, discussion of this stressor. and natural condition of the stressor life history study, mark-release-capture The low severity and natural suggests that, even though predation study), and we would not expect two of condition of the stressor suggests that may occur range-wide, this stressor is the studies (description of species, life- even though disease may occur range- unlikely to be a considerable source of history study) to be repeated (Hammond wide, we have no information that loss of individuals. As a result, the best and McCorkle 1999, p. 77; Ross 2009, p. indicates losses of individuals are available scientific and commercial 1; James 2012, p. 93; James et al. 2014, occurring from this potential stressor. information indicates that this level of pp. 264, 269). The lack of public access As a result, the best available scientific predation is not a current or expected to lands in the majority of the species’ and commercial information indicates future threat to Leona’s little blue range will most likely continue into the that this level of disease is not a current butterfly. future. The lack of access to private or expected future threat to Leona’s Combination of Stressors Under lands and permitting requirements by little blue butterfly. Factor C: As discussed above, we have the USFS limits the impact of collection Predation determined that disease and predation on the species. individually are not acting on Leona’s Even though collection may occur We assume that Leona’s little blue little blue butterfly to the extent that range-wide, this stressor has not been butterfly and its predators evolved they would be considered threats. Based shown to be a great source of loss of together. Limited information exists on on the limited known instances of individuals. This is based on the limited actual predation events of Leona’s little disease or predation, we also determine extent of collection for research blue butterfly. If it occurs, predation on that disease or predation collectively or purposes, no known commercial or Leona’s little blue butterfly could result cumulatively do not rise to the level of recreational collection, and lack of in reduced numbers of eggs, larvae, and a threat. See the Cumulative, permitted access to a majority of the adults. A study conducted in 2011 Synergistic, and Beneficial Effects species’ range. As a result, the best identified hornets (Vespidae), section below for additional discussion. available scientific and commercial dragonflies (Odanata), damselflies information indicates that this level of (Odanata), robberflies (Asilidae), Factor D. The Inadequacy of Existing collection is not a current or expected stiltbugs (Berytidae), and spiders Regulatory Mechanisms future threat to Leona’s little blue (Arachnid) as potential predators of The Act requires that the Secretary butterfly. Leona’s little blue butterfly (Ross and assess available regulatory mechanisms Because collection is the only known Johnson 2012, pp. 16–17). The authors in order to determine whether existing commercial, recreational, scientific, or of the study concluded that predators regulatory mechanisms may be educational use of Leona’s little blue are relatively rare within the range of inadequate as designed to address butterfly, we have determined, based on Leona’s little blue butterfly. The Asian threats to the species being evaluated the information above that there are no lady beetle (Harmonia axyridis), (Factor D). Under this factor, we stressors under Factor B that are now or suggested as a predator of Leona’s little examine whether existing regulatory

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mechanisms are inadequate to address viability objectives when making can be used to help understand and the potential threats to Leona’s little decisions that would significantly conserve invertebrates in Oregon blue butterfly discussed under other reduce sensitive species numbers.’’ The (Oregon Biodiversity Information Center factors. We consider relevant Federal, loss of population viability is a concern, 2013, p. 6). The 2013 book of Rare, State, and tribal laws and regulations when evidenced by either a significant Threatened, and Endangered Species of when evaluating the status of a species. current or predicted downward trend in Oregon identifies and categorizes Regulatory mechanisms, if they exist, population numbers or density; or a species (including Leona’s little blue may preclude the need for listing if we significant current or predicted butterfly) into several levels of determine that such mechanisms downward trend in habitat capability regulatory or conservation status based adequately address the threats to the that would reduce a species’ existing on various factors (e.g., Federal or State species such that listing is not distribution. Proposed activities that listed, NatureServe/Natural Heritage warranted. Only existing ordinances, occur within the Fremont-Winema ranking, ORBIC list) (Oregon regulations, and laws that have a direct National Forest portion of Leona’s little Biodiversity Information Center 2013, connection to a stressor are applicable. blue butterfly range will include entire). Under this factor, we analyze statutes measures to avoid or minimize project- The ORBIC list identifies species on a and their implementing regulations, and related impacts to Leona’s little blue scale of 1 to 4 with 1 having the most management direction that stems from butterfly and its habitat. This status as conservation concern (Oregon those laws and regulations. Such laws a sensitive species will continue Biodiversity Information Center 2013, p. and regulations are nondiscretionary regardless of Federal listing status under 4). Leona’s little blue butterfly has an and enforceable, and are considered a the Act. ORBIC list value of 1. ORBIC list 1 regulatory mechanism under this State Regulatory Mechanisms: Oregon species are defined as those ‘‘taxa that analysis. Examples include State State agencies do not have are threatened with extinction or government actions enforced under a responsibilities for the conservation of presumed to be extinct throughout their State statute or constitution, or Federal invertebrates. The Oregon State entire range’’ (Oregon Biodiversity action under statute. We do not consider Endangered Species Act also does not Information Center 2013, pp. 4, 32). The the lack of any regulatory mechanisms include protections for invertebrates. NatureServe/Natural Heritage ranking is addressing a specific threat that we Scientific taking permits are required divided into five categories (identified identified under one of the other factors only for birds, mammals, amphibians, as 1 again having the most conservation as a rationale to conclude that the and reptiles in the State of Oregon. concern) on both a Statewide (S) and existing regulatory mechanisms are The State of Oregon through the global (G) scale. Leona’s little blue inadequate for a species under Factor D. Oregon Department of Agriculture is butterfly is considered an S1, G1 species The Species Report includes a responsible for pesticide use and with ‘‘1’’ defined as species that are discussion of regulatory mechanisms application. The Oregon Department of ‘‘[c]ritically imperiled because of applicable to Leona’s little blue Agriculture helps protect endangered extreme rarity or because it is somehow butterfly. In the Species Report (Service and threatened species in a number of especially vulnerable to extinction or 2015, pp. 71–72), we examine the ways including helping educate extirpation, typically with 5 or fewer applicable Federal, State, and other pesticide users on current application occurrences’’ (Oregon Biodiversity statutory and regulatory mechanisms to standards and pesticide label language Information Center 2013, pp. 5, 32). determine whether these mechanisms designed to protect waterways, However, the document further explains are operating as designed to provide endangered fish and aquatic organisms, that the compilation of information on conservation for Leona’s little blue plants, insects, and animal species, and invertebrates has been difficult due to butterfly or its habitat. critical habitats and makes referrals to the acknowledgement that ‘‘[l]ittle is Federal Regulatory Mechanisms: wildlife agencies or other agencies in known about the status and distribution There are no Federal regulatory the case of an incident. These standards of most invertebrate taxa found in mechanisms in place that are for application and use of pesticides Oregon, especially those which appear specifically designed to ameliorate or would benefit Leona’s little blue to be rare, threatened or otherwise reduce stressors on Leona’s little blue butterfly and its habitat as they are vulnerable.’’ The document then further butterfly or its habitat. However, designed to limit impacts to nontarget qualifies its rankings by stating that Leona’s little blue butterfly was added species and curtail drift of pesticide ‘‘[a]s a result state ranks may not to the USFS Region 6 list of Sensitive during application. See Pesticides accurately reflect the true population Species on December 1, 2011 (USFS discussion below or Pesticides section status for some species’’ (Oregon 2014, p. 1). With this status, Leona’s in the Species Report (Service 2015, pp. Biodiversity Information Center 2013, p. little blue butterfly is required to be 48–50) for additional discussion of this 6). considered in USFS Region 6 biological stressor. Summary of the Inadequacy of evaluations when proposed projects The Oregon Biodiversity Information Existing Regulatory Mechanisms: We have the potential to affect the species Center (ORBIC) is the State agency have assessed the available regulatory or its habitat. The objective of this status responsible for tracking rare mechanisms in order to determine is to avoid project impacts that result in invertebrates in Oregon. The Oregon whether any are inadequate as designed a loss of viability or contribute toward Natural Areas Program has limited to address threats to Leona’s little blue trends for listing under the Act (USFS authority to assist in the conservation of butterfly. The only mechanism in place and Bureau of Land Management (BLM) Oregon’s invertebrate species, and via is the designation of Leona’s little blue 2002, pp. 2, 4). According to USFS Section 6 of the Endangered Species Act butterfly as sensitive species by the Forest Service Manual (FSM) 2670, they can receive funding from the U.S. USFS which requires that USFS ‘‘[t]here must be no impacts to sensitive Fish and Wildlife Service to help consider any impacts to the species or species without an analysis of the conserve listed and candidate species. its habitat in their biological evaluations significance of adverse effects on the This cooperation between the Oregon of potential projects. The objective of populations, its habitat, and on the Natural Areas Program and the U.S. Fish this status is to avoid project impacts viability of the species as a whole. It is and Wildlife Service provides that result in a loss of viability or essential to establish population opportunities to gather information that contribute toward trends for listing

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under the Act. In the only project find food resources when competitors Pesticides section in the Species Report currently proposed for the area are present. Similarly, the host plant is (Service 2015, pp. 48–50) for additional occupied by Leona’s little blue butterfly not known to be used as a larval host discussion of this stressor. on the Fremont-Winema National plant by other species within the range As a result, the best available Forest, the USFS has initiated a habitat of the Leona’s little blue butterfly. See scientific and commercial information improvement project for the species that Competition with Other Invertebrates does not indicate that pesticide use and will implement conservation measures section in the Species Report (Service application is a threat to Leona’s little specific to the butterfly. No other 2015, pp. 45–46) for additional blue butterfly or its habitat now or in Federal regulatory mechanisms discussion of this stressor. the future. The low severity and the natural specifically apply to the management Stressors on Isolated Populations and/or protection of Leona’s little blue condition of the stressor indicate that, butterfly or its habitat. There are no even though competition may occur Leona’s little blue butterfly is an State or private regulatory mechanisms range-wide, this stressor is not a endemic species known from one that specifically apply to the considerable source of loss of geographic area. Because Leona’s little management and/or protection of individuals. As a result, the best blue butterfly is known from only this Leona’s little blue butterfly or its available scientific and commercial one location, the population is confined, habitat. Based on the information information does not indicate that or isolated, by the elements that contained within the Species Report competition with other invertebrates is compose suitable habitat. Isolated and outlined above on the existing now, or will be in the future, a threat to populations of species with specific regulatory mechanisms for Leona’s little Leona’s little blue butterfly. habitat requirements may be more vulnerable to effects from disease, blue butterfly, we conclude that the best Pesticides available scientific and commercial inbreeding, and habitat loss because information does not indicate that the Pesticides may be acting as a low- individuals are not replaced through existing regulatory mechanisms are level stressor on Leona’s little blue immigration from other populations and inadequate as designed to address butterfly. Pesticides are a potential are not always able to occupy new areas. impacts to the species or its habitat. stressor to Leona’s little blue butterfly Thus isolated populations may be less and its habitat, but exposure to able to recover from widespread loss of Factor E. Other Natural or Manmade pesticides is only likely from sources individuals and habitat. Because Factors Affecting Its Continued outside the range of the species; further, Leona’s little blue butterfly is known Existence the forested habitat surrounding Leona’s from only one population, it may be For ease of discussion, the impacts to little blue butterfly habitat forms a more susceptible to events related to individual Leona’s little blue butterfly barrier to wind and potential pesticide inbreeding or stochastic events such as from habitat disturbance activities are drift into these areas. In addition, the drought or catastrophic fire. See discussed under Factor A. For a Oregon Department of Agriculture Stressors on Isolated Populations in the complete discussion of potential oversees the implementation of the Species Report (Service 2015, pp. 50– impacts to both habitat and individuals Oregon State Pesticide Control Act for 55) for additional discussion of this from these activities, see our Factor A the proper application and use of stressor. discussion, above. pesticides (Legislative Counsel Stochastic events. Stochastic events Committee 2014, Chapter 634). The (e.g., drought and catastrophic fire) as Competition with Other Invertebrates Oregon Department of Agriculture is identified by the petitioner (Matheson et Limited information exists on also responsible for ensuring that al. 2010, p. 17), may act as a stressor on potential competitive interactions sensitive species and their Leona’s little blue butterfly. Leona’s between Leona’s little blue butterfly and environments are protected from little blue butterfly is currently known other species that occur within its range. improper pesticide use and application from one population. Random events in A study conducted in 2011 identified 37 through education and reporting small populations may have a large species of butterflies and 159 species of (Oregon Department of Agriculture impact on population dynamics and moths as potential competitors for 2015, entire). The proper application persistence for a species. If the rate of nectar (Ross and Johnson 2012, p. 8). and use of pesticides according to the population growth varies from one Competition between species is Oregon Department of Agriculture generation to the next, random considered to be a natural condition guidelines will limit potential exposure stochastic events in successive under which Leona’s little blue butterfly of pesticides to nontarget species and generations can lead to population evolved. Competitors are relatively their habitat, including Leona’s little declines even if the population is abundant in the Leona’s little blue blue butterfly. The Fremont-Winema growing, on average (Holsinger 2000, butterfly range (Ross and Johnson 2012, National Forest does not use pesticides pp. 55–74; Holsinger 2013, pp. 1–8). p. 24). There is no information to in the area occupied by Leona’s little Drought. Drought over a prolonged suggest that populations of competitors blue butterfly and the Animal and Plant period can alter the species have increased. The only insect Health Inspection Service (APHIS) is composition, relative abundance, and identified using spurry buckwheat as an not expected to implement grasshopper growing season of plants. Drought may herbivore is the stiltbug, which uses control on rangelands in the range of the result in indirect impacts to individuals piercing mouthparts to suck nutrients species. The Service’s Klamath Marsh using these plants if they are less from plants (Ross and Johnson 2012, pp. National Wildlife Refuge, located 3 mi abundant or have reduced vigor due to 17, 41). (4.8 km) east of occupied Leona’s little competition for resources (Ehrlich et al. Competition with other invertebrates blue butterfly habitat, has used 1980, p. 101). Drought may shorten the may be a low-level stressor acting on pesticides for grasshopper control period of growth for plants due to Leona’s little blue butterfly. The severity (Service 2010b, p. 68). However, drift is diminished water availability resulting is low because Leona’s little blue unlikely due to the prevailing winds in early senescence. Early plant butterfly evolved with competitors, occurring from west to east, and Service senescence can limit the amount of time utilizes a wide variety of nectar plants, personnel follow standard application butterfly larvae have to reach pupa and is reasonably expected to be able to and use restrictions for drift. See diapause (the period during which

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growth or development is suspended forest cover or fewer open areas between information does not indicate that preceding development into a butterfly) forested patches, the potential for stressors on isolated populations pose a (Holdren and Ehrlich 1981, p. 128; catastrophic fire could increase. significant impact to Leona’s little blue Ehrlich and Murphy 1987, p. 124). The potential rates of fire spread and butterfly or its habitat and do not rise to However, there is no information on intensity vary widely based on fuel the level of a threat. drought relating directly to Leona’s little loading. Open areas occupied by The Effects of Climate Change blue butterfly population size or Leona’s little blue butterfly are not as apparent geographic isolation. The likely to be subject to catastrophic fire, The effects of climate change may be available literature does contain and Leona’s little blue butterfly are affecting both Leona’s little blue information on drought response from expected to persist in these areas after butterfly habitat (Factor A) and other butterfly species. In two species of fire (Dunn 2011b p. 12). Therefore, individuals (Factor E) through several checkerspot butterflies (Euphydryas based on current habitat conditions and means. For the ease of analysis, the editha and Euphydryas chalcedona) the use of open areas less susceptible to discussion of the effects of climate from California, drought effects were catastrophic fire by Leona’s little blue change on both individuals and habitat observed in relationships with the host butterfly, we conclude that catastrophic is discussed below. plant and competition for food (Ehrlich fire is not a threat to the species now or Various changes in climate may have et al. 1980, p. 101). While the life- into the future. direct or indirect effects on species. history traits and habitats of these two Inbreeding. Inbreeding is most These effects may be positive, neutral, species are dissimilar from Leona’s little common in small or isolated or negative, and they may change over blue butterfly, the study suggests that populations where immigration and time, depending on the species and drought-resistant host plants and the emigration are not occurring regularly other relevant considerations, such as use of a variety of food plants provide enough to maintain genetic variability. interactions of climate with other protection from the harmful effects of Inbreeding can result in changes to phenomena (for example, habitat drought (Ehrlich et al. 1980, p. 105). morphology, survival, lifespan, and fragmentation) (IPCC 2014, pp. 4–11). Spurry buckwheat is a desert-restricted sterility in invertebrates (Frankham and Global climate projections are annual (James 2012, p. 93) that grows in Ralls 1998, p. 441; Lande 1988, p. 1456). informative, and, in some cases, the dry conditions (Hickman 1993, p. 879) Inbreeding in small populations of only or the best scientific information and is locally abundant within the range butterflies has not been a sole factor available for us to use. However, of Leona’s little blue butterfly and are associated with butterfly extinction; projected changes in climate and related very likely to be adapted to drought rather, extinction is more likely from impacts can vary substantially across conditions. Similarly, nectar plants used other sources such as demographic and within different regions of the by Leona’s little blue butterfly occurring effects from habitat loss or world (IPCC 2013b, pp. 15–16). in this area likely also are adapted to environmental factors. There is no Therefore, we use ‘‘downscaled’’ dry conditions. available information to indicate that projections when they are available and Drought has the potential for inbreeding is a threat to Leona’s little have been developed through widespread impacts to many plant blue butterfly, and if it is occurring, the appropriate scientific procedures, species. However, Leona’s little blue literature suggest that demography and because such projections provide higher butterfly occupies a desert ecosystem environmental factors are more likely to resolution information that is more that is composed of drought-tolerant contribute to a species’ extinction than relevant to spatial scales used for plants. Because the plants are drought inbreeding alone (Lande 1988, p. 1457). analyses of a given species (see Glick et tolerant, they are expected to survive As a result, we have determined that al. 2011, pp. 58–61, for a discussion of drought years and continue to provide inbreeding is not a concern and does not downscaling). With regard to our resources for Leona’s little blue rise to the level of a threat. analysis for Leona’s little blue butterfly, butterfly. Droughts follow cyclic downscaled projections are available for Summary of Isolated Populations the Klamath Basin. See The Effects of patterns and are not a persistent stressor Stressors for Leona’s little blue butterfly habitat, Climate Change in the Species Report and, therefore, we find that drought Drought may be acting as a low-level (Service 2015, pp. 55–59) for additional does not rise to the level of a threat. stressor on Leona’s little blue butterfly discussion of this stressor. Catastrophic Fire. The area within the and its habitat, but no information is Climate change is an ongoing stressor range of Leona’s little blue butterfly is available to indicate that catastrophic with projections into the future a fire-adapted ecosystem with a mixed- fire or inbreeding are occurring or likely indicating trends towards warmer severity fire regime (Dunn 2011a, pp. 1, to occur. Recent population estimates by temperatures, highly variable 4). The potential for catastrophic fire James et al. (2014, p. 272) indicate that precipitation alternating between drier events is limited by the mix of forested, there may be 20,000 Leona’s little blue and wetter conditions than had been recently logged, and non-forested areas butterflies, which is larger than the previously experienced, and less contained with the range of Leona’s original population estimates of 1,000 to precipitation as snowfall in the Klamath little blue butterfly. There is no 2,000 (Ross 2008, p. 4) known at the Basin. The entire Leona’s little blue information to suggest that catastrophic time of receipt of the petition. The butterfly range is subject to impacts fires have occurred within the range of difference in population estimates is a from climate change. Negative impacts Leona’s little blue butterfly. result of a more thorough search of to Leona’s little blue butterfly habitat Catastrophic fires could result in the potential habitat and more rigorous arise from shifts in plant growing widespread loss of forested habitats sampling methods. The severity of the season, diversity, distribution, and adjacent to areas occupied by Leona’s stressors is low because, even though abundance (Kittel 1998, p. 79). In turn, little blue butterfly. However, given the these stressors may occur across the Leona’s little blue butterfly larvae and mixed-severity fire regime of Leona’s species’ range, they are not a adults may have a reduced ability to little blue butterfly range, catastrophic considerable source of loss of complete lifecycle events relating to fire is not expected to occur in the near- individuals or habitat individually or in development and egg laying. However, term. If forest management practices combination. As a result, the best it is expected that the butterfly will change so that there is an increase in available scientific and commercial continue to follow external cues of

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temperature and humidity for threatened and endangered species, or analyzed individually. Stressors that emergence from pupa such that nectar those proposed for listing under the Act. appear minor when viewed individually resources will be available when they These mapped avoidance area buffers may have greater impacts when emerge (Caldas 2011, p. 80). Potential occur only on USFS lands. There are no analyzed cumulatively with other increases in wildfires as a result of drier mapped avoidance buffer areas within stressors. Furthermore, some stressors conditions may benefit Leona’s little the range of Leona’s little blue butterfly. may act synergistically to cause impacts blue butterfly by maintaining open Exposure to fire retardant can result greater than the sum of the individual habitat areas used by the species. in lethal impacts to Leona’s little blue stressors. Beneficial effects from Because of the variable precipitation butterfly and the plants it depends upon stressors (for example, the beneficial patterns associated with the effects of to complete its lifecycle. Aerial effect of wildfire maintaining open areas climate change, we cannot determine application of fire retardant generally used by Leona’s little blue butterfly) the likely effects of a potential change has a relatively small footprint and may outweigh the potential negative in precipitation patterns in either the would not result in widespread loss of effects from that stressor or others. near- or long-term future. Leona’s little blue butterfly or its When conducting our analysis about the Because of the uncertainty of habitat. Further, fires in the area have potential threats affecting Leona’s little information related to the effects of historically been small in size and few blue butterfly, we also assessed whether climate change, we cannot conclude it in number, indicating that this stressor the species may be affected by a is a threat to Leona’s little blue butterfly has low potential for widespread combination of factors. In the Species or its habitat. impacts to Leona’s little blue butterfly Report, we identified multiple potential or its habitat. Fire retardant may act as Fire Retardant stressors that may have interrelated a low-level stressor on Leona’s little impacts on the species or its habitat. Fire retardant is a substance or blue butterfly and its habitat currently Cumulative Effects: Potential chemical agent that reduces the or in the future. The low severity of the cumulative effects to Leona’s little blue flammability of combustibles and is stressor indicates that even though this butterfly habitat may occur when typically applied by aircraft (National stressor may occur range-wide, it is not lodgepole pine encroachment and Wildfire Coordinating Group 2014, p. a considerable source of loss of invasive plant stressors are viewed 150). Fire retardant used by the USFS is individuals or habitat. Use of fire together. The larval host plant, spurry approximately 85 percent water mixed retardant can slow or inhibit the buckwheat, grows in open areas, making with inorganic fertilizers (ammonia progression of fire spread in areas openings an essential component to the polyphosphate makes up 60–90 percent occupied by Leona’s little blue butterfly. survival of Leona’s little blue butterfly. of the remaining 15 percent), thickeners, As a result, the best available scientific Lodgepole pine encroachment gradually suspending agents, dyes, and corrosion and commercial information does not converts open areas with forested inhibitors (USFS 2011, pp. 15–16). Fire indicate that use of fire retardant is a habitats. One invasive plant, cheatgrass, retardant coats and adheres to threat to Leona’s little blue butterfly or is known to occur in a portion of the vegetation, which slows the progression its habitat. area occupied by Leona’s little blue of fires. Fire retardant can be applied butterfly. This plant has the ability to Change in Land Ownership during direct attack or indirect attack rapidly colonize open areas and fire suppression activities. Fire retardant The Mazama Forest has recently been outcompete native plant species. The is not used on every fire event; its use sold by Fidelity National Financial to combination of lodgepole pine is dependent upon the values at risk the Whitefish Cascade Forest Resources encroachment and invasion by (human safety, natural resources, and of Salem, Oregon, and Singapore. The cheatgrass has the potential to create commercial or private property) and the lands that have been sold overlap the unsuitable habitat conditions for potential for rapid fire growth (USFS range of Leona’s little blue butterfly. Leona’s little blue butterfly. 2011, p. 8). Fire retardant exposure is There is uncertainty about how the area Synergistic Effects: When stressors likely to be lethal to Leona’s little blue may be managed into the future; occur together, one stressor may butterfly life forms that are above however, we have no information to exacerbate the effects of another ground due to its inherent stickiness, suggest that the management of the area stressor, causing effects not accounted which would severely restrict would change. We would expect the for when stressors are analyzed movement and could also result in operations to manage timber are likely individually. Synergistic effects can be suffocation (USFS 2011, p. 179). No data to continue much as they have in the observed in a short amount of time. If are available regarding the toxicity of past. A rotation of harvest and non- stressors hinder Leona’s little blue fire retardant to larvae of invertebrates harvest would probably be followed to butterfly ability to lay eggs in one year, (USFS 2011, p. 179). Leona’s little blue allow for tree growth to sizes desirable the number of adult butterflies that butterfly in the pupa stage may or may for the timber products the company emerge the following year will be not be exposed to fire retardant produces. As a result, the best available reduced. Stressors that act on the ability dependent upon whether they are at or scientific and commercial information of larvae to reach the diapause stage below ground level. Fire retardant does not indicate that the change in successfully will also reduce the would also potentially result in the ownership is a threat currently or in the number of adult butterflies that emerge killing of host and nectar plants if future to Leona’s little blue butterfly or the following year. Stressors that could photosynthesis was inhibited; similarly, its habitat. See Potential Change in Land contribute to synergistic effects for flowers coated in retardant would not be Ownership in the Species Report Leona’s little blue butterfly are insect available for nectaring. Fire retardant (Service 2015, pp. 59–60) for additional collection, pesticides, predation, may also act as a fertilizer, increasing discussion of this stressor. disease, competition, drought, and plant growth of both native and climate change. Even when considered nonnative species. Cumulative, Synergistic, and Beneficial together, the severity of these stressors The USFS uses mapped buffers to Effects is low or uncertain. The severity is low avoid the aerial application of fire Stressors may combine and interact, because even though these stressors may retardant in waterways and habitats resulting in impacts to species not be acting on the population, the occupied by some, but not all, accounted for when stressors are observed impact has been very low in

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the past and under current conditions. impacts to Leona’s little blue butterfly at the species’ range, or likely to become In the long term, synergistic effects may the species level. Therefore, we do not so in the foreseeable future. As stated in increase if the models for climate consider the cumulative or synergistic the Species Report (Service 2015, pp. change are correct. For example, it is impacts of these stressors to Leona’s 15–17), the location, distribution, and conceivable that Leona’s little blue little blue butterfly to be a threat at this abundance of Leona’s little blue butterfly will not be able to adapt its life time, nor into the future. butterfly populations have been shown cycle to changes in plant growing to be greater than at the time of the Available Conservation Measures seasons if growing seasons are altered petition. We have determined that the too much. However, the information The only example of conservation risk and severity of stressors acting on available at this time is not sufficient to measures specific to Leona’s little blue the population are minimal. For Leona’s determine if change in growing seasons butterfly are included in a USFS little blue butterfly, we evaluated the would be of such magnitude that proposal to improve habitat for the potential past, ongoing, and future Leona’s little blue butterfly would not butterfly. The Fremont-Winema stressors that may be acting on Leona’s be able to adapt. National Forest has initiated a habitat little blue butterfly and its habitat and Beneficial Effects: A number of the improvement project for Leona’s little defined the time periods and the stressors discussed above have the blue butterfly that will implement foreseeable future of each stressor in the potential to reduce habitat for Leona’s conservation measures specific to the Species Report (Service 2015, pp. 19– little blue butterfly. In particular, timber butterfly. Because Leona’s little blue 20). The time periods identified for each management activities can remove butterflies are known to occupy the stressor are based on the timeframes habitat when new roads or landings are project area, project operations will associated with known impacts for the constructed in suitable habitat; occur over frozen ground or snow in stressor on which we can reasonably vegetation may also be trampled, winter to minimize the potential for rely for predictions regarding the future resulting in damage to host and nectar crushing pupae. Logging slash is to be populations, status, trends, and impacts plants. However, these activities can piled at least 50 feet (ft) (15 meters (m)) to the species and its habitat. Some also create or maintain more habitat for from occupied habitat and, to the extent stressors may be affecting the species Leona’s little blue butterfly than remove possible, where timber operations just currently, but they have not had or damage it. Based on past timber occurred to avoid piling and burning of measureable effects on the species. In harvest practices in the range of Leona’s this material in areas with a high addition, available information does not little blue butterfly, the amount of likelihood of occupancy by Leona’s support a conclusion that potential forested area that is harvested does not little blue butterfly. Similarly, staging future stressors are likely to include all of the butterfly’s habitat areas for equipment will be coordinated significantly affect Leona’s little blue within the area, but is selective. These to minimize the potential for impacts to butterfly to an extent that they would newly open areas have the potential to Leona’s little blue butterfly or its have population-level impacts. become the next area of suitable habitat habitat. The Oregon Biodiversity for Leona’s little blue butterfly and may Information Center identifies and Significant Portion of the Range be much greater than the amount of categorizes Leona’s little blue butterfly Determination habitat damaged or removed. The as a level 1 species. The level 1 value Under the Act and our implementing creation of new habitat through timber indicates ‘‘taxa that are threatened with regulations, a species may warrant management can occur over large areas extinction or presumed to be extinct listing if it is an endangered or a in short periods of time and be very throughout their entire range’’ (Oregon threatened species throughout all or a effective at offsetting the potential loss Biodiversity Information Center 2013, significant portion of its range. The Act of habitat from lodgepole pine pp. 4, 32). Occurring on this list does defines ‘‘endangered species’’ as any encroachment and timber harvest. See not necessitate the use of any species which is ‘‘in danger of Stressors on Isolated Populations and conservation measures for actions that extinction throughout all or a significant Cumulative, Synergistic, and Beneficial may impact species identified on this portion of its range,’’ and ‘‘threatened Effects section of the Species Report list, but may provide educational species’’ as any species which is ‘‘likely (Service 2015, pp. 50–55, pp. 61–62) for information or lead to voluntary to become an endangered species within further discussion. conservation for or management of the the foreseeable future throughout all or Summary of Cumulative, Synergistic, species or its habitat. a significant portion of its range.’’ The and Beneficial Effects: All or some of term ‘‘species’’ includes ‘‘any Finding the potential stressors could also act in subspecies of fish or wildlife or plants, concert as a cumulative threat to The Act defines an endangered and any distinct population segment Leona’s little blue butterfly. Of the species as any species that is ‘‘in danger [DPS] of any species of vertebrate fish or stressors reviewed, lodgepole pine of extinction throughout all or a wildlife which interbreeds when encroachment and invasive plants can significant portion of its range’’ and a mature.’’ We published a final policy result in considerable loss of habitat and threatened species as any species ‘‘that interpreting the phrase ‘‘significant ultimately individuals of Leona’s little is likely to become endangered portion of its range’’ (SPR) (79 FR blue butterfly. The impacts of climate throughout all or a significant portion of 37578; July 1, 2014). The final policy change are less certain, but, if models its range within the foreseeable future.’’ states that (1) if a species is found to be are correct, this factor could also After review of the best available an endangered or a threatened species interfere with the ability of Leona’s little scientific and commercial information throughout a significant portion of its blue butterfly to reproduce. However, pertaining to Leona’s little blue butterfly range, the entire species is listed as an the best available scientific and and its habitat, we have determined that endangered or a threatened species, commercial information currently does the ongoing stressors (identified in respectively, and the Act’s protections not indicate that these stressors Table 2 above) are not of sufficient apply to all individuals of the species singularly or cumulatively are causing imminence, intensity, or magnitude to wherever found; (2) a portion of the now or will cause in the future a manifest as threats to Leona’s little blue range of a species is ‘‘significant’’ if the substantial decline of the total extant butterfly such that it would be presently species is not currently an endangered population of the species or have large in danger of extinction throughout all of or a threatened species throughout all of

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its range, but the portion’s contribution endangered or a threatened species little blue butterfly such that it would be to the viability of the species is so throughout a significant portion of its presently in danger of extinction important that, without the members in range—rather, it is a step in determining throughout all of the species’ range. We that portion, the species would be in whether a more detailed analysis of the examined stressors from timber danger of extinction, or likely to become issue is required. In practice, a key part management, lodgepole pine so in the foreseeable future, throughout of this analysis is whether the threats encroachment, fire, fire retardant, fire all of its range; (3) the range of a species are geographically concentrated in some suppression, right-of-way maintenance, is considered to be the general way. If the threats to the species are cinder mining, livestock grazing, geographical area within which that affecting it uniformly throughout its herbivory from native animals, species can be found at the time the range, no portion is likely to warrant herbicides, invasive plants, insect Service or the National Marine Fisheries further consideration. Moreover, if any collection, competition with other Service makes any particular status concentration of threats apply only to invertebrates, predation, disease, determination; and (4) if a vertebrate portions of the range that clearly do not pesticides, isolated population effects, species is an endangered or a threatened meet the biologically based definition of effects of climate change, change in land species throughout an SPR, and the ‘‘significant’’ (i.e., the loss of that ownership, and the inadequacy of population in that significant portion is portion clearly would not be expected to existing regulatory mechanisms. We a valid DPS, we will list the DPS rather increase the vulnerability to extinction found no concentration of stressors that than the entire taxonomic species or of the entire species), those portions suggests that Leona’s little blue butterfly subspecies. will not warrant further consideration. may be in danger of extinction in a The SPR policy is applied to all status If we identify any portions that may portion of its range. We also found no determinations, including analyses for be both (1) significant and (2) portion of its range where the stressors the purposes of making listing, endangered or threatened, we engage in are significantly concentrated or delisting, and reclassification a more detailed analysis to determine substantially greater than in any other determinations. The procedure for whether these standards are indeed met. portion of its range (Service 2015, pp. analyzing whether any portion is an The identification of an SPR does not SPR is similar, regardless of the type of create a presumption, prejudgment, or 19–70). Therefore, we find that factors status determination we are making. other determination as to whether the affecting Leona’s little blue butterfly are The first step in our analysis of the species in that identified SPR is an essentially uniform throughout its status of a species is to determine its endangered or a threatened species. We range, indicating no portion of the range status throughout all of its range. If we must go through a separate analysis to warrants further consideration of determine that the species is in danger determine whether the species is an possible endangered or threatened of extinction, or likely to become so in endangered or a threatened species in status under the Act. the foreseeable future, throughout all of the SPR. To determine whether a Our review of the best available its range, we list the species as an species is an endangered or a threatened scientific and commercial information endangered (or threatened) species, and species throughout an SPR, we will use indicates that Leona’s little blue no SPR analysis will be required. If the the same standards and methodology butterfly is not in danger of extinction species is neither an endangered nor a that we use to determine if a species is (an endangered species) nor likely to threatened species throughout all of its an endangered or a threatened species become endangered within the range, we determine whether the throughout its range. foreseeable future (a threatened species), species is an endangered or a threatened Depending on the biology of the throughout all or a significant portion of species throughout a significant portion species, its range, and the threats it its range. Therefore, we find that listing of its range. If it is, we list the species faces, it may be more efficient to address Leona’s little blue butterfly as an as an endangered or a threatened the ‘‘significant’’ question first, or the endangered or threatened species under species, respectively; if it is not, we status question first. Thus, if we the Act is not warranted at this time. conclude that listing the species is not determine that a portion of the range is We request that you submit any new warranted. not ‘‘significant,’’ we do not need to information concerning the status of, or When we conduct an SPR analysis, determine whether the species is an threats to, Leona’s little blue butterfly to we first identify any portions of the endangered or a threatened species our Klamath Falls Fish and Wildlife species’ range that warrant further there; if we determine that the species Office (see ADDRESSES) whenever it consideration. The range of a species is not an endangered or a threatened becomes available. New information can theoretically be divided into species in a portion of its range, we do will help us monitor the species and portions in an infinite number of ways. not need to determine if that portion is encourage its conservation. If an However, there is no purpose to ‘‘significant.’’ analyzing portions of the range that are We consider the ‘‘range’’ of Leona’s emergency situation develops for the not reasonably likely to be significant little blue butterfly to include the entire species, we will act to provide for either an endangered or a threatened population within the Sand and Scott immediate protection as required under species. To identify only those portions Creek area in South Eastern Oregon. the Act. that warrant further consideration, we This is the only known population for References Cited determine whether there is substantial the current and known historical information indicating that (1) the distribution of the species. A complete list of all references cited portions may be significant and (2) the In considering any significant portion in this finding is available on the species may be in danger of extinction of the range of this species, we Internet at http://www.regulations.gov in those portions or likely to become so evaluated whether the stressors facing under Docket No. FWS–R8–ES–2011– within the foreseeable future. We Leona’s little blue butterfly might be 0055 or upon request from the Field emphasize that answering these geographically concentrated in any one Supervisor, Klamath Falls Fish and questions in the affirmative is not a portion of its range and whether these Wildlife Office (see FOR FURTHER determination that the species is an stressors manifest as threats to Leona’s INFORMATION CONTACT).

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Authors Wildlife Office in Klamath Falls, Dated: June 11, 2015. Oregon. Stephen Guertin, The primary authors of this finding Authority Acting Director, U.S. Fish and Wildlife are staff from the Pacific Southwest Service. Regional Office in Sacramento, The authority for this action is section [FR Doc. 2015–15296 Filed 6–22–15; 8:45 am] California, in coordination with staff 4 of the Endangered Species Act of BILLING CODE 4310–55–P from the Klamath Falls Fish and 1973, as amended (16 U.S.C. 1531 et seq.).

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Notices Federal Register Vol. 80, No. 120

Tuesday, June 23, 2015

This section of the FEDERAL REGISTER alternatives available to improve the costs or meet the needs of State contains documents other than rules or procurement and current operational operations. These State-operated proposed rules that are applicable to the aspects of EBT. In this document, FNS services may include such functions as public. Notices of hearings and investigations, has posed various questions to prompt transaction authorization, retailer committee meetings, agency decisions and stakeholder responses. We intend to training and management, EBT card rulings, delegations of authority, filing of petitions and applications and agency consider and follow up on the distribution, and management and statements of organization and functions are alternatives and suggestions that appear customer service. In the WIC Program, examples of documents appearing in this to be most viable from both a technical several of the State agencies use smart section. and a cost/benefit standpoint. card or chip card systems, sometimes Interested stakeholders are invited to referred to as off-line systems, while respond to any or all of the questions others have chosen an on-line system DEPARTMENT OF AGRICULTURE that follow, and to identify issues which using a magnetic stripe reader. The may not be listed. trend in WIC, for State agencies Food and Nutrition Service DATES: Comments must be submitted on choosing both mag-stripe and smart card or before August 24, 2015. solutions, is toward contracted EBT Request for Information: SNAP and ADDRESSES: Comments may be services via a turnkey processor. WIC Seeking Input Regarding Contractors compete for State EBT Procurement and Implementation of submitted through the Federal eRulemaking Portal at business in a comparatively small Electronic Benefit Transfer (EBT) marketplace. FNS has long encouraged Services www.regulations.gov. Follow the online instructions for submitting comments healthy competition in this marketplace AGENCY: Food and Nutrition Service electronically. Comments can also be because the Agency believes it helps to (FNS), USDA. mailed or delivered to: Andrea Gold, control costs, ensures a level playing ACTION: Notice; Request for Information. Director, Retailer Policy and field for businesses who are interested Management Division, Supplemental in supporting EBT delivery processes, SUMMARY: The Food and Nutrition Nutrition Assistance Program, Food and and encourages innovation. Two of the Service (FNS) is interested in Nutrition Service, U.S. Department of biggest concerns for FNS and State identifying ways to stimulate increased Agriculture, 3101 Park Center Drive, agencies with the limited competition competition in the Electronic Benefit Room 424, Alexandria, Virginia, 22302. within the EBT market, are the Transfer (EBT) marketplace and identify All comments submitted in response increased risk for sustainability of the procurement or systems features that are to this notice will be included in the industry over time, and the impact barriers to new entrants. FNS is also record and will be made available to the limited competition could have on seeking suggestions which will improve public at www.regulations.gov. Please be pricing. procurement of the delivery of EBT advised that the substance of the Up until most recently, in the SNAP transaction processing services through comments and the identity of the EBT environment, there have been three modifications to, or replacement of, the individuals or entities commenting will dominant primary EBT contractors with existing business model. The be subject to public disclosure. State agency EBT contracts. In the WIC procurement and implementation of FOR FURTHER INFORMATION CONTACT: EBT environment, these same three on- EBT systems by State agencies Andrea Gold, Director, Retailer Policy line EBT SNAP contractors have also administering the Supplemental and Management Division, provided EBT on-line services for WIC. Nutrition Assistance Program (SNAP) Supplemental Nutrition Assistance There are also two other off-line EBT and Special Supplemental Nutrition Program, (703) 305–2434, or via email at contractors for WIC. Program for Women, Infants, and [email protected] In January 2014, one of the primary Children (WIC) needs to be sustainable contractors announced that the firm for all parties involved. Background would no longer solicit or accept any The landscape of EBT is in a All SNAP State agencies and some new prepaid card business, which heightened state of change, due in part WIC State agencies conduct EBT using includes their EBT services. The firm is to the recent decision by one of three magnetic stripe cards similar to debit or in the process of fulfilling its existing primary companies providing EBT credit cards. Almost all EBT systems contracts but is not pursuing any further transaction processing services for today are integrated such that all of the business in this area. As a result, only SNAP and WIC to no longer solicit or service requirements are provided two of those three active primary EBT accept any new prepaid card business, within a single system to the relevant contractors remain in the market. There including for SNAP and WIC EBT State agencies, often referred to as a has been a new entrant to the SNAP services. In addition, there are turnkey system. Over the years, some market, a company that has been active numerous EBT projects moving toward States have obtained SNAP EBT services in the WIC market; however, at this the October 1, 2020, statutorily- by contracting for individual EBT time, it is unclear whether any other mandated deadline for WIC Program service components to one or more firms will choose to enter this market. implementation. service providers (such as authorization State agencies have acquired EBT This Request for Information (RFI) platform, retailer management, service through one of two major seeks to obtain input from EBT transaction switching, client help desk approaches: Procurements dedicated to stakeholders and other financial services, and card production). A few a single State agency, and multi-state payment industry members and State agencies have performed certain procurements. The latter approach interested parties, regarding options and EBT services themselves, to control leverages pricing through economies of

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scale and standardizes requirements and tiers to reduce the case-month fee when Responses will help inform any future contract provisions in a way that can certain caseload thresholds are reached actions or guidance issued by the reduce the burden on contractors of either due to increases (or decreases) in Agency, including guidance to States on responding to separate contract household participation or if multiple issuing EBT Requests for Proposals solicitations by many State agencies. State agencies have contracted together (RFPs). Typical contracts have a base period for economies of scale with the same Interested stakeholders are invited to such as 5 years with several optional requirements and contract standards. respond to any or all of the following extension years, but there are situations The major functional components of questions, and to identify other issues where State procurement rules dictate a on-line EBT for SNAP and WIC are which may not be listed. Responses shorter timeframe with limited outlined in Appendix A, and off-line which clearly reference the pertinent renewals. Due to the burden to develop smart card WIC EBT is described in question below would facilitate FNS’ re-procurements and manage the Appendix B. review of the stakeholder feedback. potential transition to a new contractor Procurement when an incumbent does not win Request for Information award, it is not unusual to see a State This RFI seeks to obtain input from 1. Do State agency procurements agency choose to exercise the optional EBT stakeholders, other financial provide sufficient information about the years, resulting in contract lengths of 7– payments industry members and other operational characteristics of their EBT 10 years. It is safe to say that FNS and interested parties regarding options and projects for new entrants to the EBT State agencies are interested in the best alternatives available to improve the market? If not, are there alternatives for value and service for EBT projects procurement and operational aspects of potential vendors to obtain the regardless of the size of a specific State EBT. FNS has posed various questions information needed? agency. below to prompt stakeholder responses, 2. How do State Agency requirements, The Agricultural Act of 2014, Public and, before those, has also noted a few (such as call center response standards, Law 113–79 (the Act) has also brought primary concerns and key objectives for transaction processing requirements, important changes to the SNAP EBT this effort. card issuance timeframes and landscape that impacts States and SNAP adjustment policies), compare to EBT contractors looking forward. Primary Concerns commercial practices? Would adjusting That legislation removed the • Less available competition and some of these requirements to closely requirement for States and their potential that smaller State agencies resemble the commercial world increase contractors to provide no cost point-of- may not receive affordable proposals, or the interest of potential new vendors, or sale (POS) devices to all authorized even any proposals, in response to State impact contract costs or willingness of SNAP retailers who were not already agency solicitations. current vendors to bid? If so, what using a commercial payment provider. • An increase in procurement activity requirements or practices should be The Act also changed manual voucher and system conversions by SNAP State considered? processing used when retailer sales do agencies as those using the services of 3. Are the amounts for liquated not warrant the cost to receive a POS the departing company migrate to the damages and penalty clauses currently device from the government and for remaining processors. required by State agencies reasonable? If back up during system outages and • Significant increase in procurement not, what would be more reasonable disasters. activity and system implementation by amounts or ways for State agencies to On the WIC side, while there is no WIC State agencies leading up to the safeguard against such problems as new legislation at play, most of the 90 October 1, 2020, deadline for WIC State project delays, unscheduled system WIC State agencies are beginning to agencies to convert to an EBT delivery downtime, and below-standard convert to an EBT delivery model to system. processing times, etc.? meet the October 1, 2020, deadline • Management of risks associated 4. Can more economies of scale be mandated by the Healthy Hunger-Free with greater activity in a shorter period realized without increasing complexity Kids Act of 2010, Public Law 111–296. of time. through any of the following: These State agencies are acquiring a. Multi-state shared services for services from the on-line and off-line Main Objectives commercial call center services, card contractors. FNS is inviting stakeholder input on production and delivery, training and In sum, EBT services have developed how the opportunities and risks other services? a pricing model that has evolved since associated with these changes can best b. The inclusion of more agencies/ the early projects were initiated in the be recognized and managed. There are programs? 1980s. Currently, contractors will bid to two main objectives: 5. Are there requirements for vendor provide all the services, including cards, 1. Increased competition for EBT experience that are necessary to benefit account management, purchase services, including that which can establish minimum qualifications to bid authorization, customer service, retailer possibly be achieved through changes or to provide EBT services? Are there equipage and settlement to food retailers alternatives to the current business requirements you have seen that should for a single cost for each household or model. not be used because you believe that case served in a month. Sometimes 2. More stability and sustainability for they unnecessarily limit competition? retailer equipage, pay-phone surcharges this market, including that which can 6. Would any vendors be interested in for toll-free calls and other fees have possibly be achieved through alternative providing select service components been separated from the case-month pricing models and contract terms. (i.e. call centers, transaction processing, price. This pricing model allows for training, etc.) if there were an option to fluctuations in caseload related to Questions offer proposals for one or some rather economic changes or other growth The Agency will consider all than all of the service components? factors. To the degree other pricing comments, and plans to follow up on What pricing model(s) would work best models exist, they have not taken root alternatives and suggestions that appear for separate services when not bundled within either SNAP or WIC to date. to be most viable from both a technical into the cost per case month pricing Pricing can be, and often is, set up in and a cost/benefit standpoint. (CPCM)?

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7. What alternative procurement help State Agencies manage and Appendix B models might State Agencies consider to mitigate. EBT Functions for Offline WIC EBT (Smart ensure they receive viable competitive 14. Besides sharing known and Cards) bids? estimated RFP release dates and 8. Should State agencies pursue WIC off-line EBT processing relies on State conversion dates, what can FNS do to agencies to load a smart card chip with WIC coalition procurements with the benefits help State Agencies manage these risks food balances that can be read in grocery they bring, such as economies of scale, and ensure smooth transitions? store lanes. Card and Personal Identification or does it tend to limit competition or Number (PIN) support is provided by the discourage new entrants into the Other Questions State agency using the clinic system that marketplace? tracks and determines participant benefits. 15. Are there other areas or issues that Purchases are authorized off-line in the Pricing we have not specifically asked for a grocery lane (without an on-line 9. Does the impact of the EBT vendor response on which you would like to authorization) and a daily claim file is sent assuming development and offer comment related to the two main to the WIC EBT host for processing payment implementation costs before they begin objectives of this RFI? to the WIC vendors. A hot card file, reconciliation file and authorized product list Dated: June 10, 2015. processing transactions pose a major (APL) (containing the list of approved barrier to entering the market? Jeffrey J. Tribiano, Universal Product Codes (UPC) and price 10. Are there ways to separate EBT Acting Administrator, Food and Nutrition look-up (PLU) codes called the APL file) are system development/startup costs from Service. provided to the WIC grocer via the EBT host operational costs to reduce risk for new Attached: Appendix A: EBT Functions for (an FTP server). entrants when bidding on a project? If Online SNAP and WIC EBT (1) EBT host processing—processing of so, what are they? 1 Appendix B: EBT Functions for Offline daily WIC claim files containing WIC 11. Are there other changes to the WIC EBT Cards (Smart Cards) transaction purchases, editing for Not-to- CPCM pricing model that would Appendix C: Web sites to RFP and other Exceed price limits, and pick-up of hot card, encourage potential vendors to enter the EBT information: APL and reconciliation files to authorized WIC retail vendors. EBT market? Appendix A (2) Retail vendor equipage & integrated 12. The tiered pricing model involves support (State agency option) tiers within the CPCM pricing model, EBT Functions for On-line SNAP and WIC EBT (3) Customer Service (State agency adjusted at smaller or larger intervals for option)—toll-free call center support different caseload levels. How can State (1) Account setup and benefit including customer service representatives, consortia which want to procure authorization—support for on-line accounts Interactive Voice Response (IVR) and/or web together better realize economies of for SNAP or WIC households authorized to portal services for cardholder and retailer scale given their varying caseload sizes, receive benefits; and State agency staff inquiries. (2) Card issuance and participant (4) EBT Reporting—administrative and and still benefit from a blended CPCM training—provide cards, equipment (PIN price based on their collective caseload batch data to support all processing and pads, card readers and training materials); authorization activities. volumes? (3) Participant account maintenance— (5) Settlement and Reconciliation—similar 13. Are there pricing models other receive daily and monthly benefit updates to SNAP settlement but also includes food than the CPCM model that would be from State agency systems, aging benefits and product information. advantageous in reducing pricing risk to reporting; the vendor and still maintain (4) Transaction processing—approval or Appendix C denial of food purchases made at authorized sustainable prices for the State agencies? Web sites to RFP and other EBT information How can the disadvantages to State SNAP and WIC retailers/vendors; WIC processing includes, but is not limited to, SNAP EBT Status—http:// agencies in forecasting expenses be matching of food item UPC, price and www.fns.usda.gov/ebt/general-electronic- overcome, if costs are no longer tied to quantity; benefit-transfer-ebt-information caseload levels? (5) Customer service—24x7 toll-free call WIC EBT Status—http://www.fns.usda.gov/ wic/wic-ebt-activities Managing Risk support with help desk customer service representatives and Interactive Voice WIC Technology Partners (Provides links Several stakeholders have advised Response and web portal services inquiries to new and updated solicitations)—http:// FNS that too many procurements related to purchase activities and balances www.wictechnologypartners.com/ occurring in close succession may from cardholders, merchants and State solicitations/RFP-B2Z12017/index.php increase the risk that smaller State agency staff; [FR Doc. 2015–15336 Filed 6–22–15; 8:45 am] Agencies may receive fewer or even no (6) Retailer participation—support BILLING CODE 3410–30–P bids, as vendors will devote scarce commercial third party switching services and installation and maintenance of payment resources to preparing proposals for the terminals in smaller retail locations. Manual DEPARTMENT OF AGRICULTURE most potentially profitable customers. backup vouchers for authorizations during Similarly, if too many implementations system interruptions or for low volume Forest Service or conversions are scheduled in close SNAP merchants; succession, it may mean that vendors (7) EBT settlement—daily payment to Tongass National Forest; Alaska; authorized retailers for approved purchases; will not have sufficient technical Forest Plan Amendment resources to assign their top team to reconciliation via reports and data file each one. Both of these situations exchanges, WIC also includes food item AGENCY: Forest Service, USDA. detail; represent risks which FNS would like to ACTION (8) EBT reporting—administrative and : Notice of Intent to prepare an batch data exchange for reporting card environmental impact statement; 1 SNAP procurements involve acquiring an account activities by card number and retail correction. operational process with costs for start-up activities location; daily financial settlement reporting included in the monthly operational cost-per-case- SUMMARY: A Notice of Intent (NOI) to month. WIC procurements are conversions from and reconciliation; and, paper to electronic delivery with deliverables and (9) Disaster Benefit Services (SNAP only)— prepare an Environmental Impact milestones for start-up that may be priced providing card and benefit services for Statement to amend the 2008 Tongass separately. natural disasters. National Forest Land and Resource

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Management Plan (Forest Plan) was by the responsible official in accordance with SUMMARY: The Department of Commerce published in the Federal Register (79 36 CFR 219.16. (‘‘the Department’’) is rescinding the FR 30074) on May 27, 2014. The In the Federal Register (79 FR 30074) administrative review of the Tongass National Forest is publishing of May 27, 2014 on page 30075, in the antidumping duty order on certain this corrected NOI due to changes in the third column at bottom, correct the frozen warmwater shrimp (‘‘shrimp’’) anticipated dates for the draft name and title ‘‘Forrest Cole, Tongass from the People’s Republic of China environmental impact statement (DEIS) Forest Supervisor’’ to read: (‘‘PRC’’) for the period February 1, 2014 and Record of Decision (ROD, to through January 31, 2015. M. Earl Stewart, Tongass Forest Supervisor designate a new responsible official for the plan amendment, and to clarify the Dated: June 16, 2015. DATES: Effective Date: June 23, 2015. pre-decisional administrative review M. Earl Stewart, FOR FURTHER INFORMATION CONTACT: process. The 2012 Planning Rule (36 Forest Supervisor, Tongass National Forest. Annathea Cook, AD/CVD Operations, CFR part 219) includes subpart B, which [FR Doc. 2015–15362 Filed 6–22–15; 8:45 am] Office V, Enforcement and Compliance, establishes a pre-decisional BILLING CODE 3410–11–P International Trade Administration, administrative review (hereinafter Department of Commerce, 14th Street referred to as ‘‘objection’’) process for and Constitution Avenue NW., plan amendments giving an individual DEPARTMENT OF COMMERCE Washington, DC 20230; telephone: (202) or entity an opportunity for an 482–7425. independent Forest Service review and Foreign-Trade Zones Board resolution of issues before the approval SUPPLEMENTARY INFORMATION: [B–10–2015] of a plan amendment documented with Background a ROD (reference 36 CFR part 219, Foreign-Trade Zone 245—Decatur, subpart B). This Forest Plan Illinois; Authorization of Production On April 3, 2015, based on a timely Amendment is subject to the objection Activity; Thyssenkrupp Presta request for review on behalf of the Ad process. Danville, LLC (Camshafts); Danville, Hoc Shrimp Trade Action Committee 1 FOR FURTHER INFORMATION CONTACT: Illinois (‘‘Petitioner’’) and the American Susan Howle, Project Manager, Tongass Shrimp Processors Association 2 National Forest, Ketchikan, AK 99901, On February 18, 2015, the Economic (‘‘Domestic Processors’’), the (907) 228–6340. Development Corporation of Decatur & Department published in the Federal Macon County, grantee of FTZ 245, Register a notice of initiation of an Corrections submitted a notification of proposed administrative review of the production activity to the Foreign-Trade In the Federal Register (79 FR 30074) antidumping duty order on shrimp from Zones (FTZ) Board on behalf of of May 27, 2014 on page 30074, in the the PRC covering the period February 1, Thyssenkrupp Presta Danville, LLC, 3 third column under the ‘‘Dates’’ caption, 2014, through January 31, 2015. The within Subzone 245C, in Danville, 4 correct the second and fourth sentences review covers sixty two companies. On Illinois. to read: April 16, 2015, and May 1, 2015, The notification was processed in respectively, Petitioner and Domestic The draft environmental impact statement accordance with the regulations of the Processors withdrew their requests for is expected to be published in October 2015, FTZ Board (15 CFR part 400), including an administrative review on all of the which will begin a 90-day public comment notice in the Federal Register inviting period. sixty two companies listed in the public comment (80 FR 9693, 2–24– Initiation Notice.5 No other party The Record of Decision is expected to be 2015). The FTZ Board has determined signed in October 2016. requested a review of these companies that no further review of the activity is or any other exporters of subject In the Federal Register (79 FR 30074) warranted at this time. The production merchandise. of May 27, 2014 on page 30075, in the activity described in the notification is third column under ‘‘Scoping Process’’ authorized, subject to the FTZ Act and 1 See Letter to the Secretary of Commerce from caption, correct by adding the following the Board’s regulations, including the Ad Hoc Shrimp Trade Action Committee as a third paragraph: Section 400.14. (‘‘AHSTAC’’) ‘‘Certain Frozen Warmwater Shrimp from the People’s Republic of China: Request for Forest Service regulations at 36 CFR 219, Dated: June 18, 2015. Administrative Reviews’’ (February 27, 2015). subpart B; published April 9, 2012 (77 FR Elizabeth Whiteman, 2 See Letter to the Secretary of Commerce from 21162) include an objection process that Acting Executive Secretary. the American Shrimp Processors Association applies to plan amendments. This proposed (‘‘ASPA’’) ‘‘Administrative Review of the plan amendment is subject to 36 CFR 219, [FR Doc. 2015–15475 Filed 6–22–15; 8:45 am] Antidumping Duty Order Covering Frozen subpart B. There will be an objection process BILLING CODE 3510–DS–P Warmwater Shrimp From the People’s Republic of before the final decision is made, and after China (POR 10:2/1/14–1/31/15): American Shrimp Processors Association’s Request for an the final environmental impact statement and Administrative Review’’ (February 27, 2015). draft Record of Decision are made available DEPARTMENT OF COMMERCE 3 See Initiation of Antidumping and to the public. Individuals and entities as Countervailing Duty Administrative Reviews, 80 FR defined in 36 CFR 219.53 who have International Trade Administration 18202, 18208 (April 3rd, 2015) (‘‘Initiation Notice’’). submitted substantive formal comments 4 See id. [A–570–893] related to the plan amendment during the 5 See Letter to the Secretary of Commerce from opportunities for public comment as Petitioner ‘‘Certain Frozen Warmwater Shrimp from provided in subpart A (reference 36 CFR Certain Frozen Warmwater Shrimp the People’s Republic of China: Domestic 219.16) may file an objection. Objections will From the People’s Republic of China: Producers’ Withdrawal of Review Requests’’ (April be accepted only from those who have Rescission of Antidumping Duty 16, 2015); Letter to the Secretary of Commerce from previously submitted substantive formal Administrative Review; 2014–2015 Domestic Processors ‘‘Administrative Review of Antidumping Duty Order Covering Certain Frozen comments related to the plan amendment AGENCY: Warmwater Shrimp From the People’s Republic of during scoping, the 90-day DEIS comment Enforcement and Compliance, China: Withdrawal of Review Request on Behalf of period, or other public involvement International Trade Administration, the American Shrimp Processors Association’’ (May opportunity where comments are requested Department of Commerce. 1, 2015).

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Rescission of Review regulations and terms of an APO is a period.3 Pursuant to Section 129 of the violation which is subject to sanction. Uruguay Round Agreements Act, the Pursuant to 19 CFR 351.213(d)(1), the This notice is issued and published in Department recalculated the cash Department will rescind an accordance with sections 751(a)(1) and deposit rate for LMI and assigned it a de administrative review, in whole or in 777(i)(1) of the Tariff Act of 1930, as minimis margin.4 part, if the party that requested the amended, and 19 CFR 351.213(d)(4). On June 23, 2014, La Molisana review withdraws its request within 90 Dated: June 17, 2015. requested a changed circumstances days of the publication of the notice of review. On August 12, 2014, the Christian Marsh, initiation of the requested review. In Department initiated this review.5 On this case, Petitioner and Domestic Deputy Assistant Secretary for Antidumping October 20, 2014, New World Pasta and Countervailing Duty Operations. Processors timely withdrew their Company and Dakota Growers Pasta request by the 90-day deadline, and no [FR Doc. 2015–15468 Filed 6–22–15; 8:45 am] Company (hereinafter referred to as other party requested an administrative BILLING CODE 3510–DS–P Petitioners) submitted comments on La review of the antidumping duty order. Molisana’s request for a changed As a result, pursuant to 19 CFR circumstance review. On December 3, DEPARTMENT OF COMMERCE 351.213(d)(1), we are rescinding the 2014, the Department requested administrative review of shrimp from International Trade Administration additional information from La the PRC for the period February 1, 2014, Molisana, which was submitted, in part, through January 31, 2015, in its entirety. [A–475–818] on January 9, 2015, and after an Assessment extension was granted, the remainder Certain Pasta from Italy: Notice of was submitted on January 28, 2015 Preliminary Results of Antidumping The Department will instruct U.S. (hereinafter referred to as the Duty Changed Circumstances Review Customs and Border Protection (‘‘CBP’’) Supplemental Response). to assess antidumping duties on all AGENCY: Enforcement and Compliance, On February 6, 2015, Petitioners appropriate entries. Because the International Trade Administration, submitted comments on La Molisana’s Department is rescinding this Department of Commerce. Supplemental Response. On February administrative review in its entirety, the SUMMARY: On August 12, 2014, the 11, 2015, La Molisana objected to entries to which this administrative Department of Commerce (the Petitioners’ February 6, 2015, review pertained shall be assessed Department) initiated a changed submission and requested that the antidumping duties at rates equal to the circumstances review of the Department reject it because it cash deposit of estimated antidumping antidumping duty order on certain pasta contained untimely filed, uncertified, duties required at the time of entry, or from Italy in order to determine whether new factual information. On February withdrawal from warehouse, for La Molisana S.p.A. (La Molisana) is the 20, 2015, the Department decided not to consumption, in accordance with 19 successor-in-interest to La Molisana reject Petitioners’ February 6, 2015 CFR 351.212(c)(1)(i). The Department Industrie Alimentari, S.p.A. (LMI), a submission.6 La Molisana filed intends to issue appropriate assessment respondent in the investigation and comments on February 27, 2015, instructions to CBP 15 days after the several administrative reviews.1 We regarding the Department’s decision. On publication of this notice in the Federal preliminarily determine that La March 4, 2015, the Department Register, if appropriate. Molisana is not the successor-in-interest requested additional information from to LMI. We invite interested parties to La Molisana, which was provided on Notifications comment on these preliminary results. March 24, 2015 (hereinafter referred to as Second Supplemental Response). DATES: Effective date June 23, 2015. This notice serves as a final reminder On April 27, 2015, we extended the to importers of their responsibility FOR FURTHER INFORMATION CONTACT: time period for issuing the final results under 19 CFR 351.402(f)(2) to file a Stephanie Moore, Office III, AD/CVD of this changed circumstance review by certificate regarding the reimbursement Operations, Enforcement and 90 days.7 of antidumping duties prior to Compliance, International Trade liquidation of the relevant entries Administration, U.S. Department of Scope of the Order during this review period. Failure to Commerce, 14th and Constitution Imports covered by this order are comply with this requirement could Avenue NW., Washington, DC 20230; shipments of certain non-egg dry pasta result in the Department’s presumption telephone: (202) 482–3962. that reimbursement of the antidumping SUPPLEMENTARY INFORMATION: 3 See Certain Pasta From Italy: Final Results of duties occurred and the subsequent Antidumping Duty Administrative Review, 65 FR assessment of doubled antidumping Background 77852 (December 13, 2000). 4 See Notice of Implementation of Determination duties. On July 24, 1996, the Department Under Section 129 of the Uruguay Round This notice also serves as a final published in the Federal Register the Agreements Act: Stainless Steel Plate in Coils From reminder to parties subject to antidumping duty order on pasta from Belgium, Steel Concrete Reinforcing Bars From Italy.2 The most recently completed Latvia, Purified Carboxymethylcellulose From administrative protective order (‘‘APO’’) Finland, Certain Pasta From Italy, Purified of their responsibility concerning the administrative review for LMI was for Carboxymethylcellulose From the Netherlands, return or destruction of proprietary the July 1, 1998 to June 30, 1999 Stainless Steel Wire Rod From Spain, Granular information disclosed under APO in Polytetrafluoroethylene Resin From Italy, Stainless 1 Steel Sheet and Strip in Coils From Japan, 77 FR accordance with 19 CFR 351.305(a)(3), See Certain Pasta from Italy: Initiation of Changed Circumstances Review, 79 FR 47090 36257 (June 18, 2012) (Notice of Section 129 which continues to govern business (August 12, 2014) (Initiation Notice). Implementation). proprietary information in this segment 2 See Notice of Antidumping Duty Order and 5 See Initiation Notice. of the proceeding. Timely written Amended Final Determination of Sales at Less 6 See letter from Eric B. Greynolds, Program notification of the return or destruction Than Fair Value: Certain Pasta From Italy, 61 FR Manager, Office III, AD/CVD Operations, dated 38547 (July 24, 1996); see also Notice of Second February 20, 2015. of APO materials, or conversion to Amendment to the Final Determination and 7 See Letter from Melissa G. Skinner, Director judicial protective order, is hereby Antidumping Duty Order: Certain Pasta From Italy; Office III, Antidumping and Countervailing Duty requested. Failure to comply with the 61 FR 42231 (August 14, 1996). Operations to La Molisana, dated April 7, 2015.

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in packages of five pounds four ounces combination of these factors will a company-specific rate is calculated for or less, whether or not enriched or necessarily provide a dispositive La Molisana.15 fortified or containing milk or other indication, the Department will Public Comment optional ingredients such as chopped generally consider the new company to vegetables, vegetable purees, milk, be the successor to the previous Pursuant to 19 CFR 351.309(c), gluten, diastasis, vitamins, coloring and company if its resulting operation is not interested parties may submit cases briefs not later than 10 days after the flavorings, and up to two percent egg materially dissimilar to that of its date of publication of this notice via white. The pasta covered by this scope predecessor.10 Thus, if the evidence is typically sold in the retail market, in ACCESS. ACCESS is available to demonstrates that, with respect to the registered users at http:// fiberboard or cardboard cartons, or production and sale of the subject polyethylene or polypropylene bags of access.trade.gov and is available to all merchandise, the new company parties in the Central Records Unit, varying dimensions. operates as the same business entity as For a full description of the scope, see room 7046, of the main Department of the former company, the Department the Preliminary Results of Changed Commerce building. Rebuttal briefs, Circumstances Review Regarding will assign the new company the cash limited to issues raised in the case 11 Successor-In-Interest Analysis: Certain deposit rate of its predecessor. briefs, may be filed not later than five Pasta from Italy memorandum dated Based on the totality of the record days after the date for filing case briefs. concurrently with and hereby adopted evidence and on comments from Parties who submit case briefs or by this notice.8 The Preliminary Results interested parties, we preliminarily rebuttal briefs in this proceeding are of Changed Circumstances Review determine that La Molisana is materially encouraged to submit with each memorandum is a business proprietary dissimilar to LMI in terms of argument: (1) A statement of the issue; (2) a brief summary of the argument; document of which the public version is management, production facilities, and and (3) a table of authorities. on file electronically via Enforcement supplier relationships. Therefore, we and Compliance’s Antidumping and Pursuant to 19 CFR 351.310(c), preliminarily find that La Molisana is interested parties who wish to request a Countervailing Duty Centralized not the successor-in-interest to LMI.12 Electronic Service System (ACCESS). hearing, or to participate if one is Consequently, we preliminarily ACCESS is available to registered users requested, must submit a written request to the Assistant Secretary for at http://access.trade.gov, and it is determine that La Molisana should not Enforcement and Compliance, filed available to all parties in the Central be given the same antidumping duty electronically via ACCESS. An Records Unit, room 7046, of the main treatment as LMI. This determination electronically filed document must be Department of Commerce building. In will apply to all entries of the subject received successfully in its entirety by addition, a complete version of the merchandise entered or withdrawn from ACCESS, no later than 5:00 p.m. Eastern Preliminary Results of Changed warehouse, for consumption on or after Time within 10 days after the date of Circumstances Review memorandum the date of publication of the final publication of this notice. Requests can be accessed directly on the internet results of this changed circumstances should contain: (1) The party’s name, at http://enforcement.trade.gov/frn/. review.13 If we reach the same address, and telephone number; (2) the The signed Preliminary Results of conclusion in the final results, then the cash deposit for La Molisana will number of participants; and (3) a list of Changed Circumstances Review issues to be discussed. Issues raised in continue to be 15.45 percent, the all- memorandum and the electronic version the hearing will be limited to those others rate established in the of the Preliminary Results of Changed raised in case briefs. Circumstances Review memorandum antidumping duty investigation, as Consistent with 19 CFR 351.216(e), are identical in content. modified by the section 129 we will issue the final results of this determination.14 This cash deposit Preliminary Results of Changed changed circumstances review no later Circumstances Review requirement will remain in effect until than 270 days after the date on which this review was initiated, or within 45 In this changed circumstances review, Antidumping Duty Changed Circumstances Review, days after the publication of the pursuant to section 751(b) of the Tariff 75 FR 27706 (May 18, 2010); and Brake Rotors From preliminary results if all parties in this the People’s Republic of China: Final Results of Act of 1930, as amended (the Act), the review agree to our preliminary results. Department conducted a successor-in- Changed Circumstances Antidumping Duty Administrative Review, 70 FR 69941 (November 18, We are issuing and publishing this interest analysis. In making such a 2005) (Brake Rotors), citing Brass Sheet and Strip determination and notice in accordance successor-in-interest determination, the from Canada: Final Results of Antidumping Duty with sections 751(b) and 777(i)(1) of the Department examines several factors Administrative Review, 57 FR 20460 (May 13, Act and 19 CFR 351.216 and 351.221. including, but not limited to, changes 1992), and Certain Pasta From Italy: Notice of Final Results of Antidumping Duty Changed in: (1) Management; (2) production Dated: June 10, 2015. Circumstances Review, 79 FR 56339 (September 19, Paul Piquado, facilities; (3) supplier relationships; and 2014) (Delverde). (4) customer base.9 While no one or 10 See, e.g., Brake Rotors. See also Delverde. Assistant Secretary for Enforcement and 11 Id.; see also, e.g., Notice of Initiation and Compliance. 8 See Memorandum to Paul Piquado, Assistant Preliminary Results of Antidumping Duty Changed Appendix Secretary for Enforcement and Compliance from Circumstances Review: Certain Frozen Warmwater Christian Marsh, Deputy Assistant Secretary for Shrimp From India, 77 FR 64953 (October 24, List of Topics Discussed in the Preliminary Antidumping and Countervailing Duty Operations, 2012), unchanged in Final Results of Antidumping Changed Circumstances Review Decision titled ‘‘Preliminary Results of Changed Duty Changed Circumstances Review: Certain Memorandum Circumstances Review Regarding Successor-In- Frozen Warmwater Shrimp From India, 77 FR Interest Analysis: Certain Pasta from Italy’’ dated 73619 (December 11, 2012). I. Summary concurrently with this notice (Preliminary Results 12 See Preliminary Results in Changed of Changed Circumstances Review memorandum). Circumstances Review memorandum. 15 La Molisana is currently being reviewed in an 9 See, e.g., Pressure Sensitive Plastic Tape from 13 See Granular Polytetrafluoroethylene Resin administrative review covering the period July 1, Italy: Preliminary Results of Antidumping Duty from Italy: Final Results of Changed Circumstances 2013 through June 30, 2014. See Initiation of Changed Circumstances Review, 75 FR 8925 Review, 68 FR 25327 (May 12, 2003). See also Antidumping and Countervailing Duty (February 26, 2010), unchanged in Pressure Delverde. Administrative Reviews, 79 FR 51548 (August 29, Sensitive Plastic Tape From Italy: Final Results of 14 See Notice of Implementation of Section 129. 2014).

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II. Background • Mail: Christopher Kirkpatrick, There are no capital costs or operating III. Scope of the Order Secretary of the Commission, and maintenance costs associated with IV. Discussion of Methodology Commodity Futures Trading this collection. V. Analysis Commission, Three Lafayette Centre, Authority: 44 U.S.C. 3501 et seq. 1. Management 1155 21st Street NW., Washington, DC 2. Production Facilities 20581. Dated: June 17, 2015. 3. Supplier Relationship • Robert N. Sidman, 4. Customer Base Hand Delivery/Courier: Same as Mail above. Deputy Secretary of the Commission. [FR Doc. 2015–15471 Filed 6–22–15; 8:45 am] • Federal eRulemaking Portal: http:// [FR Doc. 2015–15344 Filed 6–22–15; 8:45 am] BILLING CODE 3510–DS–P www.regulations.gov/. Follow the BILLING CODE 6351–01–P instructions for submitting comments through the Portal. COMMODITY FUTURES TRADING A copy of the supporting statements CONSUMER PRODUCT SAFETY COMMISSION for the collection of information COMMISSION discussed above may be obtained by Agency Information Collection visiting RegInfo.gov. All comments must [Docket No. CPSC– 2014–0033] Activities Under OMB Review be submitted in English, or if not, accompanied by an English translation. Notice of Availability: Estimated AGENCY: Commodity Futures Trading Phthalate Exposure and Risk to Commission. Comments will be posted as received to http://www.cftc.gov. Pregnant Women and Women of ACTION: Notice. Reproductive Age as Assessed Using FOR FURTHER INFORMATION CONTACT: Four NHANES Biomonitoring Data Sets SUMMARY: In compliance with the Hannah Ropp, Surveillance Analyst, Division of Market Oversight; (2005/2006, 2007/2008, 2009/2010, 2011/ Paperwork Reduction Act of 1995 2012) (‘‘PRA’’), this notice announces that the Commodity Futures Trading Information Collection Request (‘‘ICR’’) Commission, Three Lafayette Centre, AGENCY: U.S. Consumer Product Safety abstracted below has been forwarded to 1155 21st Street NW., Washington, DC Commission. 20581; phone: (202) 418–5228; fax: (202) the Office of Management and Budget ACTION: Notice of availability. (‘‘OMB’’) for review and comment. The 418–5507; email: [email protected], and ICR describes the nature of the refer to OMB Control No. 3038–0013. SUMMARY: The Consumer Product Safety information collection and its expected SUPPLEMENTARY INFORMATION: Commission (‘‘Commission,’’ or costs and burden. Title: ‘‘Exemptions from Speculative ‘‘CPSC’’) is announcing the availability DATES: Comments must be submitted on Limits (OMB Control No. 3038–0013).’’ of a document titled, ‘‘Estimated or before July 23, 2015. This is a request for extension of a Phthalate Exposure and Risk to Pregnant currently approved information ADDRESSES: Comments regarding the Women and Women of Reproductive collection. Age as Assessed Using Four NHANES burden estimated or any other aspect of Abstract: Section 4a(a) of the the information collection, including Biomonitoring Data Sets (2005/2006, Commodity Exchange Act (‘‘Act’’) 2007/2008, 2009/2010, 2011/2012).’’ suggestions for reducing the burden, allows the Commission to set may be submitted directly to the Office DATES: Submit comments by August 7, speculative limits in any commodity for 2015. of Information and Regulatory Affairs in future delivery in order to prevent OMB, within 30 days of the notice’s excessive speculation. Certain sections ADDRESSES: You may submit comments, publication, by email at of the Act and the Commission’s identified by Docket No. CPSC- 2014– [email protected]. Please Regulations allow exemptions from the 0033, by any of the following methods: identify the comments by OMB Control speculative limits for persons using the Electronic Submissions: Submit No. 3038–0013. Please provide the market for hedging and, under certain electronic comments to the Federal Commodity Futures Trading circumstances, for commodity pool eRulemaking Portal at: http:// Commission (‘‘Commission’’) with a operators and similar traders. This www.regulations.gov. Follow the copy of all submitted comments at the information collection contains the instructions for submitting comments. address listed below. Please refer to recordkeeping and reporting The Commission does not accept OMB Reference No. 3038–0013, found requirements needed to ensure comments submitted by electronic mail on http://reginfo.gov. Comments may regulatory compliance with Commission (email), except through also be mailed to the Office of rules relating to this issue. www.regulations.gov. The Commission Information and Regulatory Affairs, Burden Statement: The respondent encourages you to submit electronic Office of Management and Budget, burden for this collection is estimated to comments by using the Federal Attention: Desk Officer for the be 3 hours per response. These eRulemaking Portal, as described above. Commodity Futures Trading estimates include the time to locate the Written Submissions: Submit written Commission, 725 17th Street NW., information related to the exemptions submissions by mail/hand delivery/ Washington, DC 20503, and Hannah and to file necessary exemption courier to: Office of the Secretary, Ropp, Surveillance Analyst, Division of paperwork. Consumer Product Safety Commission, Market Oversight, Commodity Futures Respondents/Affected Entities: Swap Room 820, 4330 East West Highway, Trading Commission, 1155 21st Street Dealers, Large Traders, and other Bethesda, MD 20814; telephone (301) NW., Washington, DC 20581. entities affected by Rules 1.47 and 1.48 504–7923. Comments may also be submitted by and Part 150 of the Commission’s Instructions: All submissions received any of the following methods: regulations. must include the agency name and • The Agency’s Web site, via its Estimated number of respondents: 9. docket number for this notice. All Comments Online process: http:// Estimated total annual burden on comments received may be posted comments.cftc.gov. Follow the respondents: 48 hours. without change, including any personal instructions for submitting comments Frequency of collection: 1–2 reports identifiers, contact information, or other through the Web site. annually. personal information provided, to:

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http://www.regulations.gov. Do not Commission.pdf and from the FOR FURTHER INFORMATION CONTACT: submit confidential business Commission’s Office of the Secretary at More information about the property, information, trade secret information, or the location listed in the ADDRESSES including arrangements to tour the other sensitive or protected information section of this notice. property, may be obtained by contacting that you do not want to be available to The Commission invites comment on Mr. Markus Craig, ACSIM BRAC the public. If furnished at all, such the document, ‘‘Phthalate Exposure and Division, 2530 Crystal Drive, Room information should be submitted in Risk to Pregnant Women and Women of 5136C, Arlington, VA 22202, telephone writing. Reproductive Age as Assessed Using (703)545–2474, or by email Docket: For access to the docket to Four NHANES Biomonitoring Data Sets [email protected]. read background documents or (2005/2006, 2007/2008, 2009/2010, SUPPLEMENTARY INFORMATION: The comments received, go to: http:// 2011/2012).’’ Comments should be property consists of approximately 11 www.regulations.gov, and insert the submitted by August 7, 2015. acres, more or less, improved with docket number CPSC- 2014–0033, into Information on how to submit buildings and structures as follows: the ‘‘Search’’ box, and follow the comments can be found in the —Building 3, parking structure, prompts. ADDRESSES section of this notice. approximately 341,000 gross square FOR FURTHER INFORMATION CONTACT: Kent Dated: June 18, 2015. feet (gsf) R. Carlson, Ph.D., Toxicologist, Division Todd A. Stevenson, —Building 52, former warehouse and of Toxicology & Risk Assessment, Secretary, Consumer Product Safety outpatient clinic, approximately Directorate for Health Sciences, U.S. Commission. 31,700 gsf Consumer Product Safety Commission, [FR Doc. 2015–15366 Filed 6–22–15; 8:45 am] —Building 53, former post theater, 5 Research Place, Rockville, MD 20850– BILLING CODE 6355–01–P approximately 17,400 gsf 3213; email: [email protected]. —Building 54, former Armed Forces SUPPLEMENTARY INFORMATION: On Institute of Pathology and Military Medical Museum, approximately December 30, 2014, the Commission DEPARTMENT OF DEFENSE issued a notice of proposed rulemaking 400,000 gsf (‘‘NPR’’) that would prohibit children’s Department of the Army —Offsite utility infrastructure serving toys and child care articles containing the site together with access and specified phthalates. 79 FR 78324 Notice of Availability of Real Property utility easements as necessary. (December 30, 2014). As provided in for Public Health Purposes, Including The property is available for disposal section 108 of the Consumer Product Research, at the Former Walter Reed under the authority of section 2834(b) of Safety Improvement Act of 2008 Army Medical Center the National Defense Authorization Act (‘‘CPSIA’’), the NPR was based on a for Fiscal Year 2015, Public Law 113– AGENCY: Department of the Army, DoD. report to the Commission (‘‘CHAP 291. Authorized recipients are the Report’’) from a Chronic Hazard ACTION: Notice of availability of real District of Columbia, a political Advisory Panel (‘‘CHAP’’) that the property. subdivision or instrumentality of the CPSIA directed the Commission to District of Columbia, a tax-supported SUMMARY: Notice is hereby given that a medical institution, or a hospital or convene. The CHAP report is available portion of the former Walter Reed Army similar institution not operated for at http://www.cpsc.gov/PageFiles/ Medical Center (WRAMC), located at profit that has been exempt from 169902/CHAP–REPORT-With- Alaska Avenue NW., and Fern Street taxation under section 501(c) of the Appendices.pdf. NW., Washington, DC is available for As stated in the NPR, the CHAP used Internal Revenue Code of 1986. The conveyance to authorized recipients for several data sources for human Army intends to convey all of the the purpose of permitting the recipient biomonitoring analysis, including data Government’s right, title and interest in to use the property for the protection of from the National Human Health and the property by quitclaim deed; disposal public health, including research. Nutrition Survey (‘‘NHANES’’). See 79 of a lesser interest will not be Interested authorized recipients must FR at 78327. Specifically, the CHAP considered. submit a written notice. The written used biomonitoring data from the 2005/ The property is offered ‘‘AS IS’’ and notice shall disclose the contemplated 2006 NHANES data set, which was the ‘‘WHERE IS’’ without representation, use of the property, which must be most recent data available at the time of warranty, or guaranty as to quantity, associated with protection of public the CHAP’s analysis. title, character, condition, size, or kind, CPSC staff has reviewed subsequent health, including research. Upon receipt or that the same is in condition or fit to NHANES data sets that were released of a written notice from an authorized be used for the purpose for which after the CHAP’s analysis. Staff also recipient, the Army will promptly intended. The buildings contain reviewed the 2005/2006 data set to provide the interested party an asbestos and lead based paint. The replicate the CHAP’s methodology. application package and establish a date property has been determined to be CPSC staff has prepared a document for submission of a formal application. suitable for transfer in accordance with titled, ‘‘Estimated Phthalate Exposure DATES: Interested authorized recipients the Comprehensive Environmental and Risk to Pregnant Women and must submit a written notice, within 30 Response, Compensation & Liability Act Women of Reproductive Age as days of publication of this notice in the (CERCLA). All necessary remediation Assessed Using Four NHANES Federal Register. under CERCLA of hazardous substance Biomonitoring Data Sets (2005/2006, ADDRESSES: Submit written notice to the releases has been taken. 2007/2008, 2009/2010, 2011/2012)’’ Chief, Real Estate Division, Baltimore Buildings 52, 53 and 54 are reflecting the staff’s analysis. The District, U.S. Army Corps of Engineers, considered contributing elements to the document is available on the Mailing address: P.O. Box 1715, Attn: Walter Reed Historic District as Commission’s Web site at: http:// CENAB–RE–M, Baltimore, MD 21201– nominated to both the National Register www.cpsc.gov/Global/Regulations-Laws- 1715, Street address: 10 South Howard and District of Columbia Historic and-Standards/CPSIA/CHAP/NHANES- Street, Room 7600, Attn: CENAB–RE–M, Listings. Building 54 is considered Biomonitoring-analysis-for- Baltimore, MD 21201. individually eligible for listing due to its

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significance as a cold war relic. Officer, Directorate of Oversight and CATEGORIES OF RECORDS IN THE SYSTEM: Applicable preservation laws apply. The Compliance, Regulatory and Audit Records include individual’s name; District of Columbia Historic Matters Office, 9010 Defense Pentagon, position title, grade, and job series; duty Preservation Act (DC Code §§ 6–1101 et Washington, DC 20301–9010. station address and telephone number; seq.) requires the Mayor’s Office to Instructions: All submissions received telework address, telephone number(s), approve permits to demolish, subdivide, must include the agency name and telework request forms (Telework or alter a historic landmark or a building docket number for this Federal Register Agreement, Self-Certification Home in a historic district or to construct a document. The general policy for Safety Checklist, and Employee new structure on the site of a landmark comments and other submissions from Checklist). or in a historic district. The property members of the public is to make these AUTHORITY FOR MAINTENANCE OF THE SYSTEM: will be conveyed without consideration; submissions available for public however, the recipient shall pay the viewing on the Internet at http:// 5 U.S.C. 65, Chapter 65, Telework; costs incurred by the Army to carry out www.regulations.gov as they are DoD Instruction 1035.01, Subject this conveyance including survey costs, received without change, including any Telework Policy; DCAA Instruction costs for environmental documentation personal identifiers or contact 1035.01, DCAA Telework Policy; and (but not costs for Army environmental information. DCAA National Collective Bargaining remediation of the property), and any Agreement. FOR FURTHER INFORMATION CONTACT: Mr. other Army administrative costs related PURPOSE(S): to the conveyance. Keith Mastromichalis, DCAA FOIA/ Privacy Act Management Analyst, 8725 Records may be used by DCAA Dated: June 4, 2015. John J. Kingman Road, Suite 2135, Fort management, human resources offices, Paul D. Cramer, Belvoir, VA 22060–6219, Telephone and program coordinator for managing Deputy Assistant Secretary of the Army, number: (703) 767–1022. and reporting Telework Program (Installations, Housing & Partnerships). participation. DCAA may need to SUPPLEMENTARY INFORMATION: The extract Agency-wide data and submit [FR Doc. 2015–15347 Filed 6–22–15; 8:45 am] Defense Contract Audit Agency system this data as part of the Agency’s Annual BILLING CODE 3710–08–P of records notices subject to the Privacy Telework Report to DoD, Office of Act of 1974, as amended, have been Personnel Management (OPM), and/or published in the Federal Register and DEPARTMENT OF DEFENSE Congress. are available from the address in FOR Office of the Secretary FURTHER INFORMATION CONTACT or from ROUTINE USES OF RECORDS MAINTAINED IN THE the Defense Privacy and Civil Liberties SYSTEM, INCLUDING CATEGORIES OF USERS AND [Docket ID: DoD–2015–OS–0061] Division Web site at http:// THE PURPOSES OF SUCH USES: In addition to those disclosures Privacy Act of 1974; System of dpcld.defense.gov/privacy. generally permitted under 5 U.S.C. Records The proposed system report, as required by 5 U.S.C. 552a(r) of the 552a(b) of the Privacy Act of 1974, as AGENCY: Defense Contract Audit Privacy Act of 1974, as amended, was amended, these records contained Agency, DoD. submitted on May 12, 2015, to the therein may specifically be disclosed ACTION: Notice to add a new System of House Committee on Oversight and outside the DoD as a routine use Records. Government Reform, the Senate pursuant to 5 U.S.C. 552a(b)(3) as Committee on Governmental Affairs, follows: SUMMARY: The Defense Contract Audit and the Office of Management and To the Department of Labor when an Agency (DCAA) proposes a new system Budget (OMB) pursuant to paragraph 4c employee is injured while teleworking, of records notice, RDCAA 366.4, of Appendix I to OMB Circular No. A– i.e., telework address and safety entitled ‘‘DCAA Telework Program 130, ‘‘Federal Agency Responsibilities checklists may be disclosed. Records,’’ in its existing inventory of for Maintaining Records About The DoD Blanket Routine Uses set record systems subject to the Privacy Individuals,’’ dated February 8, 1996 forth at the beginning of the DCAA’s Act of 1974, as amended. This system (February 20, 1996, 61 FR 6427). compilation of systems of records will be used to collect employee notices may apply to this system. The telework agreements to assure Dated: June 18, 2015. complete list of DoD blanket routine compliance with Department of Defense Aaron Siegel, uses can be found online at: http:// and Defense Contract Audit Agency Alternate OSD Federal Register Liaison dpcld.defense.gov/Privacy/ regulations. Officer, Department of Defense. SORNsIndex/BlanketRoutineUses.aspx. DATES : Comments will be accepted on or RDCAA 366.4 POLICIES AND PRACTICES FOR STORING, before July 23, 2015. This proposed RETRIEVING, ACCESSING, RETAINING, AND SYSTEM NAME: action will be effective the date DISPOSING OF RECORDS IN THE SYSTEM: following the end of the comment DCAA Telework Program Records. STORAGE: period unless comments are received which result in a contrary SYSTEM LOCATION: Paper and electronic storage media. determination. Records are maintained by the Human RETRIEVABILITY: ADDRESSES: You may submit comments, Resources Management Division, Office Records are retrieved by name. identified by docket number and title, of the Defense Contract Audit Agency, by any of the following methods: 8725 John J. Kingman Road, Suite 2133, SAFEGUARDS: * Federal Rulemaking Portal: http:// Fort Belvoir, VA 22060–6219. Electronic records are maintained in a www.regulations.gov. password-protected network and Follow the instructions for submitting CATEGORIES OF INDIVIDUALS COVERED BY THE accessible only to DCAA management comments. SYSTEM: on a need-to-know basis to perform their * Mail: Department of Defense, Office Employees participating in the DCAA duties. Access to the network where of the Deputy Chief Management Telework Program. records are maintained requires a valid

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Common Access Card (CAC). Paper RECORDS ACCESS PROCEDURES: DEPARTMENT OF DEFENSE records are secured in locked cabinets, Individuals seeking access to offices, or buildings during non-duty information about themselves contained Office of the Secretary hours. The same security standards in this system should address written [Transmittal No. 15–13] currently applied to individually-issued inquiries to the Privacy Act Officer, CAC card are applicable to paper Headquarters, Defense Contract Audit 36(b)(1) Arms Sales Notification compilations. Agency, ATTN: CMR, 8725 John J. RETENTION AND DISPOSAL: Kingman Road, Suite 2135, Fort Belvoir, AGENCY: Defense Security Cooperation Records are destroyed one (1) year VA 22060–6219. Agency, Department of Defense. after employee’s participation in the Individual should provide full name ACTION: Notice. program ends. and organizational information. SUMMARY: The Department of Defense is SYSTEM MANAGER(S) AND ADDRESS: CONTESTING RECORD PROCEDURES: publishing the unclassified text of a Human Resources Manager, Human DCAA’s rules for accessing records, section 36(b)(1) arms sales notification. Resources Management Division, Office for contesting contents and appealing This is published to fulfill the of the Defense Contract Audit Agency, initial agency determinations are requirements of section 155 of Public 8725 John J. Kingman Road, Suite 2133, published in DCAA Instruction 5410.10; Law 104–164 dated July 21, 1996. Fort Belvoir, VA 22060–6219. 32 CFR part 317; or may be obtained FOR FURTHER INFORMATION CONTACT: Ms. NOTIFICATION PROCEDURE: from the system manager. B. English, DSCA/DBO/CFM, (703) 601– 3740. Individuals seeking to determine RECORD SOURCE CATEGORIES: The following is a copy of a letter to whether information about themselves the Speaker of the House of is contained in this system should Data is supplied by the subordinate Representatives, Transmittal 15–13 with address written inquiries to the Privacy employees submitted to the first level attached Policy Justification and Act Officer, Headquarters, Defense supervisor. Sensitivity of Technology. Contract Audit Agency, ATTN: CMR, 8725 John J. Kingman Road, Suite 2135, EXEMPTIONS CLAIMED FOR THE SYSTEM: Dated: June 18, 2015. Fort Belvoir, VA 22060–6219. None. Aaron Siegel, Individual should provide full name [FR Doc. 2015–15360 Filed 6–22–15; 8:45 am] Alternate OSD Federal Register Liaison and organizational information. BILLING CODE 5001–06–P Officer, Department of Defense.

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Transmittal No. 15–13 two thousand (2000) Advanced (vi) Sales Commission, Fee, etc., Paid, Notice of Proposed Issuance of Letter of Precision Kill Weapon Systems, eight Offered, or Agreed to be Paid: none Offer Pursuant to Section 36(b)(1) of the (8) AN/AAR-60(V)2 Missile Launch (vii) Sensitivity of Technology Arms Export Control Act, as amended Detection Systems, non-SAASM Contained in the Defense Article or Embedded Global Positioning System/ Defense Services Proposed to be Sold: (i) Prospective Purchaser: Lebanon Initial Navigation System (EGIs), spare See Attached Annex. (ii) Total Estimated Value: and repair parts, flight testing, (viii) Date Report Delivered to Major Defense Equipment * .. $224 million maintenance support, support Congress: 05 JUNE 2015 Other ...... $238 million equipment, publications and technical * as defined in Section 47(6) of the documentation, ferry support, personnel Arms Export Control Act. Total ...... $462 million training and training equipment, U.S. POLICY JUSTIFICATION (iii) Description and Quantity or Government and contractor engineering Quantities of Articles or Services under and logistics support services, and other Lebanon—A-29 Super Tucano Aircraft Consideration for Purchase: Six (6) A-29 related elements of logistics support. The Government of Lebanon has Super Tucano aircraft, eight (8) PT6A- (iv) Military Department: Air Force requested a possible sale of six (6) A-29 68A Turboprop engines (6 installed and (SAF) Super Tucano aircraft, eight (8) PT6A- 2 spares), eight (8) ALE-47 (v) Prior Related Cases, if any: FMS 68A Turboprop engines (6 installed and Countermeasure Dispensing Systems, case WFB-$18M-12Nov14 2 spares), eight (8) ALE-47

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Countermeasure Dispensing Systems, (CAS), Intelligence Surveillance infrared-guided (IR) missile threats, two thousand (2000) Advanced Reconnaissance (ISR), Counter laser-guided/laser-aided threats, and Precision Kill Weapon Systems, eight Terrorism/Counter Insurgency (CT/ unguided munitions. Upon detection of (8) AN/AAR-60(V)2 Missile Launch COIN), and Border Security to the the threat, the system will provide an Detection Systems, non-SAASM Lebanese Air Force. It is equipped with audio and visual sector warning to the Embedded Global Positioning System/ an integrated MX–15 Electro-Optical pilot. For IR missile threats, the system Initial Navigation System (EGIs), spare Infrared (EO/IR) Laser sensor suite, automatically initiates countermeasures and repair parts, flight testing, which gives day/night Intelligence by sending a command signal to the maintenance support, support Surveillance Reconnaissance (ISR) countermeasures dispensing unit. The equipment, publications and technical capability and includes a laser AAR–60 is Unclassified. documentation, ferry support, personnel illuminator/range finder/designator to 5. The APKWS II All-Up-Round training and training equipment, U.S. allow employment of the AGM–114 (AUR) is an air to ground weapon that Government and contractor engineering Hellfire missile and GBU–12/58 Laser consists of an APKWS II Guidance and logistics support services, and other Guided Bomb (LGB). The aircraft has six Section (GS), Legacy 2.75 inch MK 66 related elements of logistics support. external hard points for weapons and Mod 4 Rocket Motor and legacy MK 152 The estimated cost is $462 million. fuel carriage. The Lebanon variant will and MK455/436 warhead/fuze. The This proposed sale serves U.S. be capable of carrying: APKWS II GS is installed between the national, economic, and security —AGM–114M3, N3, & R5 missiles, rocket motor and warhead and provides interests by providing Lebanon with classified as Secret a Semi-Active Laser (SAL) precision airborne capabilities needed to maintain —External fuel tanks, classified as capability to the legacy unguided 2.75″ internal security, enforce United Unclassified rocket. The APKWS II guidance section Nation’s Security Council Resolutions —2.75″ rockets (MK4, MK40, MK 66, is procured as an individual component 1559 and 1701, and counter terrorist Hydra 70), classified as Unclassified and mated with the rocket motor and threats. —GBU–12, classified as Confidential warhead/fuze to create an AUR. The proposed sale of these aircraft —GBU–58, classified at Confidential Hardware is Unclassified; information will provide Lebanon with a much —Advanced Precision Kill Weapon related to performance, effectiveness, needed Close Air Support (CAS) System, classified as Secret vulnerabilities and counter-measure is platform to meet present and future —HMP–400 .50 caliber gun pods, classified up to Secret. challenges posed by internal and border classified as Unclassified 6. If a technologically advanced security threats. Lebanon should have The ISR package is compatible with adversary were to obtain knowledge of no difficulty absorbing these additional the current Lebanese ISR assets. Critical the specific hardware and software aircraft into its armed forces. cockpit, fuel system and engine elements, the information could be used The proposed sale of this equipment components will have aircraft armor to develop countermeasures which and support will not alter the basic able to withstand small arms fire. might reduce weapon system military balance in the region. effectiveness or be used in the The principal contractors will be: Technical data and documentation to be provided are Unclassified. development of a system with similar or Sierra Nevada Corporation Centennial, advanced capabilities. Colorado 2. The MX–15 EO/IR sensor is a gyro- stabilized, multi-spectral, multi field of 7. A determination has been made BAE Systems Nashua, New Hampshire that the recipient country can provide Pratt & Whitney East Hartford, view EO/IR system. The system provides ISR capability and laser the same degree of protection for the Connecticut sensitive technology being released as Terma North America Arlington, designation via an externally mounted the U.S. Government. This sale is Virginia turret sensor. Sensor video imagery is L-3COM Systems West Salt Lake City, displayed in the aircraft real time and necessary in furtherance of the U.S. Utah may be recorded for subsequent ground foreign policy and national security objectives outlined in the Policy There are no known offset agreements analysis. The hardware and technical Justification. proposed in connection with this data and documentation to be provided is Unclassified. 8. All defense articles and services potential sale. listed in this transmittal have been Implementation of this proposed sale 3. The AN/ALE–47 Counter-Measures authorized for release and export to will not require any additional U.S. Dispensing System (CMDS) is an Lebanon. Government or U.S. contractor integrated, threat-adaptive, software- personnel in Lebanon. However, programmable dispensing system [FR Doc. 2015–15367 Filed 6–22–15; 8:45 am] periodic travel will be required on a capable of dispensing chaff and flares. BILLING CODE 5001–06–P temporary basis for program reviews The threats countered by the CMDS and technical support. include radar-directed anti-aircraft There will be no adverse impact on artillery (AAA), radar command-guided DEPARTMENT OF DEFENSE U.S. defense readiness as a result of this missiles, radar homing-guided missiles, Office of the Secretary proposed sale. and infrared (IR) guided missiles. The system is internally mounted and may Transmittal No. 15–13 Independent Review Panel on Military be operated as a stand-alone system. Medical Construction Standards; Notice of Proposed Issuance of Letter of The AN/ALE–47 uses threat data Notice of Federal Advisory Committee Offer Pursuant to Section 36(b)(1) of the received over the aircraft interfaces to Meeting Arms Export Control Act assess the threat situation and to Annex determine a response. The hardware AGENCY: Department of Defense (DoD). and technical data and documentation ACTION: Notice of meeting. Item No. vii to be provided is Unclassified. (vii) Sensitivity of Technology: 4. The AN/AAR–60 Missile Warning SUMMARY: The Department of Defense is 1. The A–29 is a light attack aircraft System is an electronic warfare system publishing this notice to announce the which will provide Close Air Support designed to protect aircraft against following Federal Advisory Committee

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meeting of the Independent Review between the Assistant Secretary of Special Accommodations Panel on Military Medical Construction Defense for Health Affairs and the Individuals requiring special Standards (‘‘the Panel’’). Secretaries of the Military Departments; accommodations to access the public DATES: d. Assessing whether the meeting should contact Ms. Kendal Tuesday, July 14, 2015 Comprehensive Master Plan for the Brown at least five (5) business days National Capital Region Medical (‘‘the prior to the meeting so that appropriate 8:00 a.m.–9:00 a.m. EDT Master Plan’’), dated April 2010, is arrangements can be made. (Administrative Working Meeting) adequate to fulfill statutory 9:00 a.m.–11:30 a.m. EDT (Open requirements, as required by section Written Statements Session) 2714 of the Military Construction Any member of the public wishing to 11:30 a.m.–1:30 p.m. EDT Authorization Act for Fiscal Year 2010 provide comments to the Panel may do (Administrative Working Meeting) (division B of Pub. L. 111–84; 123 Stat. so in accordance with 41 CFR 102– ADDRESSES: Defense Health 2656), to ensure that the facilities and 3.105(j) and 102–3.140 and section Headquarters (DHHQ), Pavilion Salons organizational structure described in the 10(a)(3) of the Federal Advisory B–C, 7700 Arlington Blvd., Falls Master Plan result in world class Committee Act, and the procedures Church, Virginia 22042 (escort required; military medical centers in the National described in this notice. see guidance in SUPPLEMENTARY Capital Region; and Individuals desiring to provide INFORMATION, ‘‘Public’s Accessibility to e. Making recommendations regarding comments to the Panel may do so by the Meeting’’). any adjustments of the Master Plan that submitting a written statement to the FOR FURTHER INFORMATION CONTACT: The are needed to ensure the provision of Executive Director (see FOR FURTHER Executive Director and Designated world class military medical centers and INFORMATION CONTACT). Written Federal Officer is Ms. Christine Bader, delivery system in the National Capital statements should address the following 7700 Arlington Boulevard, Suite 5101, Region. details: The issue, discussion, and a Falls Church, Virginia 22042, recommended course of action. [email protected], (703) Agenda Supporting documentation may also be 681–6653, Fax: (703) 681–9539. For included, as needed, to establish the Pursuant to 5 U.S.C. 552b, as meeting information, please contact Ms. appropriate historical context and to amended, and 41 CFR 102–3.140 Kendal Brown, 7700 Arlington provide any necessary background through 102–3.165 and subject to Boulevard, Suite 5101, Falls Church, information. availability of space, the Panel meeting Virginia 22042, Kendal.l.brown2.ctr@ If the written statement is not is open to the public from 9:00 a.m. to mail.mil, (703) 681–6670, Fax: (703) received at least five (5) business days 11:30 a.m. on July 14, 2015, as the Panel 681–9539. prior to the meeting, the Executive will meet in an open forum to deliberate Director may choose to postpone SUPPLEMENTARY INFORMATION: This the findings and recommendations that meeting is being held under the consideration of the statement until the will be contained in the Panel’s final next open meeting. provisions of the Federal Advisory report to the Secretary of Defense. Committee Act of 1972 (5 U.S.C., The Executive Director will review all Appendix, as amended), the Availability of Materials for the timely submissions with the Panel Government in the Sunshine Act of Meeting Chairperson and ensure they are 1976 (5 U.S.C. 552b, as amended), and provided to members of the Panel before 41 CFR 102–3.150. A copy of the agenda or any updates the meeting that is subject to this notice. to the agenda for the July 14, 2015 After reviewing the written comments, Purpose of the Meeting meeting, as well as any other materials the Panel Chairperson and the Executive At this meeting, the Panel will presented, may be obtained at the Director may choose to invite the address the Ike Skelton National meeting. submitter to orally present their issue Defense Authorization Act (NDAA) for Public’s Accessibility to the Meeting during an open portion of this meeting Fiscal Year 2011 (Pub. L. 111–383), or at a future meeting. The Executive Section 2852(b) requirement to provide Pursuant to 5 U.S.C. 552b, as Director, in consultation with the Panel the Secretary of Defense independent amended, and 41 CFR 102–3.140 Chairperson, may allot time for advice and recommendations regarding through 102–3.165 and subject to members of the public to present their a construction standard for military availability of space, this meeting is issues for review and discussion by the medical centers to provide a single open to the public. Seating is limited Panel. standard of care, as set forth below: and is on a first-come basis. All Dated: June 17, 2015. a. Reviewing the unified military members of the public who wish to Aaron Siegel, attend the public meeting must contact medical construction standards to Alternate OSD Federal Register Liaison determine the standards consistency Ms. Kendal Brown at the number listed Officer, Department of Defense. in the section FOR FURTHER INFORMATION with industry practices and benchmarks [FR Doc. 2015–15285 Filed 6–22–15; 8:45 am] for world class medical construction; CONTACT no later than 12:00 p.m. on b. Reviewing ongoing construction Wednesday, July 8, 2015, to register and BILLING CODE 5001–06–P programs within the DoD to ensure make arrangements for an escort, if medical construction standards are necessary. Public attendees requiring DEPARTMENT OF DEFENSE uniformly applied across applicable escort should arrive with sufficient time military centers; to complete security screening no later Office of the Secretary c. Assessing the DoD approach to than 30 minutes prior to the start of the planning and programming facility meeting. To complete security [Transmittal No. 15–24] improvements with specific emphasis screening, please come prepared to 36(b)(1) Arms Sales Notification on facility selection criteria and present two forms of identification and proportional assessment system; and one must be a picture identification AGENCY: Defense Security Cooperation facility programming responsibilities card. Agency, Department of Defense.

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ACTION: Notice. requirements of section 155 of Public Representatives, Transmittal 15–24 with Law 104–164 dated July 21, 1996. attached Policy Justification and SUMMARY: The Department of Defense is FOR FURTHER INFORMATION CONTACT: Ms. Sensitivity of Technology. publishing the unclassified text of a B. English, DSCA/DBO/CFM, (703) 601– Dated: June 18, 2015. section 36(b)(1) arms sales notification. 3740. Aaron Siegel, This is published to fulfill the The following is a copy of a letter to Alternate OSD Federal Register Liaison the Speaker of the House of Officer, Department of Defense.

DEFENSE SECURITY COOPERATION AGENCY 2:0112TH STRI£1' SOUTH, 81'1!. 203 ARUNGTON, VA :21!202-641'1$

The Honorable John A. Bochner Speaker of the House U.S. House of Re!>resent;ativ·cs JUN 0 9 2015 Washington, DC

Dear Mr. Speaker:

Pursuant to the reporting requirements of SecLion 36(b)( I) of the Arms Export Control Act,

as amended, we are forwarding herewith Transmittal No. 15-24, concerning the Department of

the Navy's proposed Letter(s) of Offer and Acceptam:e to the Republic of Korea for defense

articles and services estimated to cost $1.91 billion. After this letter is delivered to your office,

we plan to issue a press statement to notify tim public of this proposed sale. ~1;( Vice Adm1ral, USN Director

Enclosures: I. Transmittal 2. Policy Justification 3. Sensitivity of Technology

Transmittal No. 15–24 (ii) Total Estimated Value: Consideration for Purchase: 3 Aegis Major Defense Equipment * .. $1.21 billion Shipboard Combat Systems, 3 MK–41 Notice of Proposed Issuance of Letter of Other ...... $0.70 billion Offer Pursuant to Section 36(b)(1) of the Vertical Launching Systems, 3 Common Arms Export Control Act TOTAL ...... $1.91 billion Data Link Management Systems, 3 AN/ UPX–29(V) Identification Friend or Foe (i) Prospective Purchaser: Republic of (iii) Description and Quantity or Interrogators, spare and repair parts, Korea Quantities of Articles or Services under support equipment, publications and

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technical documentation, personnel Raytheon Company in Andover, to develop countermeasures which training and training equipment, tool Massachusetts; General Dynamics might reduce weapon system and test equipment, U.S. Government Armament Systems in Burlington, effectiveness or be used in the and contractor technical, engineering, Vermont. Although offsets are development of a system with similar or and logistics support services, and other requested, they are unknown this time advanced capabilities. related elements of logistics support. and will be determined during 5. A determination has been made (iv) Military Department: Navy (LQI) negotiations between the ROK and that the recipient country can provide (v) Prior Related Cases, if any: FMS contractors. the same degree of protection for the case LPN–$1.06B–10Aug02 Implementation of this proposal sale sensitive technology being released as (vi) Sales Commission, Fee, etc., Paid, will not require any additional U.S. the U.S. Government. This sale is Offered, or Agreed to be Paid: None government or U.S. contractor personnel necessary in furtherance of the U.S. (vii) Sensitivity of Technology in Korea. However, U.S. Government or foreign policy and national security Contained in the Defense Article or contractor personnel in-country visits objectives outlined in the Policy Defense Services Proposed to be Sold: will be required on a temporary basis in Justification. See Attached Annex conjunction with program technical 6. All defense articles and services (viii) Date Report Delivered to oversight and support requirements for listed in this transmittal have been Congress: 09 JUNE 2015 approximately five years. authorized for release and export to the * as defined in Section 47(6) of the There will be no adverse impact on Republic of Korea. Arms Export Control Act. U.S. defense readiness as a result of this [FR Doc. 2015–15358 Filed 6–22–15; 8:45 am] proposed sale. POLICY JUSTIFICATION BILLING CODE 5001–06–P Republic of Korea—Aegis Combat Transmittal No. 15–24 System Notice of Proposed Issuance of Letter of DEPARTMENT OF EDUCATION The Republic of Korea (ROK) has Offer Pursuant to Section 36(b)(1) of the Arms Export Control Act Annex Item requested a possible sale of 3 Aegis [Docket No.: ED–2015–ICCD–0080] Shipboard Combat Systems, 3 MK–41 No. vii Vertical Launching Systems, 3 Common (vii) Sensitivity of Technology: Agency Information Collection Data Link Management Systems, 3 AN/ 1. Aegis Weapon System (AWS) Activities; Comment Request; Income UPX–29(V) Identification Friend or Foe hardware is Unclassified, with the Based Repayment Notifications Interrogators, spare and repair parts, exception of the RF oscillator used in support equipment, publications and the Fire Control transmitter, which is AGENCY: Federal Student Aid (FSA), technical documentation, personnel classified Confidential. Aegis document Department of Education (ED). training and training equipment, tool in general is unclassified. However, ACTION: Notice. and test equipment, U.S. Government seven operation and maintenance SUMMARY: In accordance with the and contractor technical, engineering, manuals are classified Confidential, and Paperwork Reduction Act of 1995 (44 and logistics support services, and other there is also a classified Secret U.S.C. chapter 3501 et seq.), ED is related elements of logistics support. supplement to the Aegis Combat System proposing an extension of an existing The total estimated cost is $1.91 billion. Maintenance Manual. The manuals and This proposed sale will contribute to technical documents are limited to information collection. the foreign policy and national security those necessary for operational use and DATES: Interested persons are invited to objectives of the United States by organizational maintenance. submit comments on or before August meeting the legitimate security and 2. While the hardware associated with 24, 2015. defense needs of an ally and partner the SPY–1D radar is Unclassified, the ADDRESSES: Comments submitted in nation. The ROK is one of the major computer programs are classified Secret. response to this notice should be political and economic powers in East It is the combination of the SPY–1D submitted electronically through the Asia and the Western Pacific and a key hardware and the computer program for Federal eRulemaking Portal at http:// partner of the United States in ensuring the SPY–1D radar that constitutes the www.regulations.gov by selecting peace and stability in that region. It is technology sensitive aspects of the Docket ID number ED–2015–ICCD–0080 vital to the U.S. interest to assist our AWS. SPY–1D radar hardware design or via postal mail, commercial delivery, Korean ally in developing and and computer program documentation or hand delivery. If the regulations.gov maintaining a strong and ready self- will not be released. site is not available to the public for any defense capability. 3. The AN/UPX–29(V) AIMS MK XIIA reason, ED will temporarily accept The Aegis Combat System will Identification Friend or Foe (IFF) comments at [email protected]. provide enhanced capabilities on the system, includes the AN/UPX–41(C) Please note that comments submitted by ROK’s naval ships to defend against Interrogator Set. The AN/UPX–29(V) IFF fax or email and those submitted after possible aggression and protect sea lines includes new waveforms that improve the comment period will not be of communications. Aegis is the identification coverage, enhances the accepted; ED will ONLY accept keystone in the ROK Navy’s efforts to ability to discriminate between closely comments during the comment period upgrade its shipboard combat and spaced platforms, is compatible with in this mailbox when the regulations.gov ballistic missile defense capability. The civilian air traffic control, and provides site is not available. Written requests for ROK will have no difficulty integrating enhanced security. The equipment has information or comments submitted by this system into its armed forces. embedded communication security and postal mail or delivery should be The proposed sale of this equipment is protected internal to Unclassified addressed to the Director of the and support will not alter the basic equipment. Information Collection Clearance military balance in the region. 4. If a technologically advanced Division, U.S. Department of Education, The principal contractors will be adversary were to obtain knowledge of 400 Maryland Avenue SW., LBJ, Lockheed Martin Maritime Systems and the specific hardware and software Mailstop L–OM–2–2E319, Room 2E103, Training in Morristown, New Jersey; elements, the information could be used Washington, DC 20202.

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FOR FURTHER INFORMATION CONTACT: For provide to the borrower to continue to existing collection does not have an specific questions related to collection participate in an IBR plan. This is a OMB number. BPA collects information activities, please contact Beth request for extension of the current from landowners or other members of Grebeldinger, 202–377–4018. information collection 1845–0114. the public who accept treated wood SUPPLEMENTARY INFORMATION: The Dated: June 18, 2015. utility transmission poles. These poles Department of Education (ED), in Kate Mullan, are removed from the transmission system when they are no longer of use accordance with the Paperwork Acting Director, Information Collection Reduction Act of 1995 (PRA) (44 U.S.C. Clearance Division, Office of the Chief Privacy to BPA. The information collected will 3506(c)(2)(A)), provides the general Officer, Office of Management. document and facilitate transfer of the poles, which minimizes BPA’s public and Federal agencies with an [FR Doc. 2015–15353 Filed 6–22–15; 8:45 am] environmental liability. At the time of opportunity to comment on proposed, BILLING CODE 4000–01–P revised, and continuing collections of information collection, BPA also information. This helps the Department provides the recipients with consumer information regarding treated wood and assess the impact of its information DEPARTMENT OF ENERGY collection requirements and minimize use restrictions required by the U.S. the public’s reporting burden. It also Bonneville Power Administration Environmental Protection Agency helps the public understand the (EPA). The relevant form, Form BPA F Department’s information collection Agency Information Collection 4300.07d, collects the following requirements and provide the requested Activities: Proposed Collection; information: Intended use for poles data in the desired format. ED is Comment Request; Landowner (fence post, retaining wall, or soliciting comments on the proposed Release for Poles Removed From BPA landscaping), acknowledgement of information collection request (ICR) that Transmission System receipt of consumer information sheet, is described below. The Department of acknowledgement of use limitations, AGENCY: Bonneville Power Education is especially interested in acknowledgement of wood treatment Administration (BPA), Department of public comment addressing the type (creosote, pentachlorophenol, Energy. following issues: (1) Is this collection copper napthanate, or other as necessary to the proper functions of the ACTION: Proposed information collection specified), and name and contact Department; (2) will this information be and request for comments. information. No third party notification or public disclosure burden is processed and used in a timely manner; SUMMARY: BPA is seeking comments on associated with this collection. (3) is the estimate of burden accurate; a proposed submission to the Office of (4) how might the Department enhance Management and Budget (OMB) for II. Request for Comments the quality, utility, and clarity of the clearance of a collection of information BPA requests that you send your information to be collected; and (5) how under the Paperwork Reduction Act of might the Department minimize the comments to the location listed in the 1995. BPA collects information from ADDRESSES section above. Your burden of this collection on the landowners or other members of the respondents, including through the use comments should address: public who accept treated wood utility (a) The necessity of the information of information technology. Please note transmission poles. These poles are collection for the proper performance of that written comments received in removed from the transmission system BPA’s functions, including whether the response to this notice will be when they are no longer of use to BPA. information will have practical utility; considered public records. The information collected will (b) The accuracy of our estimate of the Title of Collection: Income Based document and facilitate transfer of the burden (hours and costs) of the Repayment Notifications. poles, which minimizes BPA’s collection of information; OMB Control Number: 1845–0114. environmental liability. At the time of (c) Ways we could enhance the Type of Review: An extension of an information collection, BPA also quality, utility, and clarity of the existing information collection. provides the recipients with consumer information to be collected; and Respondents/Affected Public: Private information regarding treated wood and (d) Ways we could minimize the Sector, State, Local and Tribal use restrictions required by the U.S. burden of the collection of information, Governments. Environmental Protection Agency such as through the use of automated Total Estimated Number of Annual (EPA). collection techniques or other forms of Responses: 2,894,005. DATES: Comments must be received on information technology. Total Estimated Number of Annual An agency may not conduct or or before August 24, 2015. Burden Hours: 231,520. sponsor, and a person is not required to Abstract: The Higher Education Act of ADDRESSES: Written comments may be respond to, a collection of information 1965, as amended (HEA), established submitted by mail to Christopher M. unless it displays a currently valid the Federal Family Education Loan Frost, CGC–7, Bonneville Power Office of Management and Budget (FFEL) Program under Title IV, Part B. Administration, 905 NE. 11th Avenue, control number. Comments may be Section 493C [20 U.S.C. 1098e] of the Portland, Oregon 97232, or by email at made available to the public, including HEA authorizes income based [email protected]. your address, phone number, and email repayment for Part B borrowers who FOR FURTHER INFORMATION CONTACT: address. You may request that we have a partial financial hardship. The Additional information may be withhold your personally identifiable regulations in 34 CFR 682.215(e)(2) requested from Christopher M. Frost at information, but we cannot guarantee require notifications to borrowers from the mailing address above or by email that we will be able to do so. the loan holders once a borrower at [email protected]. establishes a partial financial hardship SUPPLEMENTARY INFORMATION: III. Data and is placed in an income based OMB Control Number: New. repayment (IBR) plan by the loan I. Abstract Information Collection Request Title: holder. The regulations identify A recent internal audit of PRA Landowner Release for Poles Removed information the loan holder must compliance determined that this from BPA Transmission System.

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Type of Request: New. for an information collection on lost, Issued in Portland, Oregon, on June 12, Respondents: Landowners and other stolen, or damaged badges that control 2015. members of the public accepting poles. access to BPA facilities. This Christopher M. Frost, Annual Estimated Number of information collection helps BPA Chief Records Officer, FOIA/Privacy Officer, Respondents: 120–150. control access to BPA facilities and Governance and Internal Controls. Annual Estimated Number of Total track identification badges issued by [FR Doc. 2015–15370 Filed 6–22–15; 8:45 am] Responses: 120–150. BPA’s Personnel Security office. The BILLING CODE 6450–01–P Average Minutes per Response: 5. relevant form, Form BPA F 5632.27e, Annual Estimated Number of Burden will collect the following information: Hours: 12.5. type of badge (standard, smart card, DEPARTMENT OF ENERGY Annual Estimated Reporting and proximity access), date of report, date Recordkeeping Cost Burden: $0. lost, stolen or damaged, name and work Federal Energy Regulatory Issued in Portland, Oregon, on June 12, phone number of reporting contractor or Commission 2015. federal employee, and a brief [Docket No. OR15–27–000] Christopher M. Frost, description of either the type of damage Agency Records Officer, FOIA/Privacy or the incident resulting in loss. No NORCO Pipe Line Company, LLC; Officer, Governance and Internal Controls. third party notification or public Notice of Petition for Declaratory Order [FR Doc. 2015–15377 Filed 6–22–15; 8:45 am] disclosure burden is associated with this collection. Take notice that on June 1, 2015, BILLING CODE 6450–01–P pursuant to Rule 207(a)(2) of the Federal II. Request for Comments Energy Regulatory Commission’s DEPARTMENT OF ENERGY BPA requests that you send your (Commission) Rules of Practice and comments to the location listed in the Procedure, 18 CFR 385.207(a)(2) (2014), Bonneville Power Administration ADDRESSES section above. Your NORCO Pipe Line Company, LLC comments should address: (NORCO) filed a petition for a Agency Information Collection (a) The necessity of the information declaratory order seeking a declaratory Activities: Proposed Collection; collection for the proper performance of order approving the overall tariff and Comment Request; Badge BPA’s functions, including whether the rate structure for a new interstate Replacement Request Form information will have practical utility; common carrier pipeline to receive (b) The accuracy of our estimate of the reformulated regular gasoline AGENCY: Bonneville Power burden (hours and costs) of the blendstock and ultra-low sulfur diesel at Administration (BPA), Department of collection of the information; Hammond, Indiana and transport such Energy. (c) Ways we could enhance the products to either Argo or Des Plaines, ACTION: Proposed information collection quality, utility and clarity of the Illinois, all as more fully explained in and request for comments. information to be collected; and the petition. (d) Ways we could minimize the Any person desiring to intervene or to SUMMARY: BPA is seeking comments on burden of the collection of the protest this filing must file in a proposed submission to the Office of information, such as through the use of accordance with Rules 211 and 214 of Management and Budget (OMB) for automated collection techniques or the Commission’s Rules of Practice and clearance of a collection of information other forms of information technology. Procedure (18 CFR 385.211, 385.214). under the Paperwork Reduction Act of An agency may not conduct or Protests will be considered by the 1995. BPA proposes to collect sponsor, and a person is not required to Commission in determining the information on lost, stolen, or damaged respond to, a collection of information appropriate action to be taken, but will badges that control access to BPA unless it displays a currently valid not serve to make protestants parties to facilities. The information collected will Office of Management and Budget the proceeding. Any person wishing to help BPA control access to BPA control number. Comments may be become a party must file a notice of facilities and track identification badges made available to the public, including intervention or motion to intervene, as issued under the authority of BPA’s your address, phone number, and email appropriate. Such notices, motions, or Personnel Security office. address. You may request that we protests must be filed on or before the DATES: Comments must be received on withhold your personally identifiable comment date. Anyone filing a motion or before August 24, 2015. information, but we cannot guarantee to intervene or protest must serve a copy ADDRESSES: Written comments may be that we will be able to do so. of that document on the Petitioner. submitted by mail to Christopher M. III. Data The Commission encourages Frost, CGC–7, Bonneville Power electronic submission of protests and Administration, 905 NE 11th Avenue, OMB Control Number: New interventions in lieu of paper using the Information Collection Request Title: Portland, Oregon 97232, or by email at ‘‘eFiling’’ link at http://www.ferc.gov. [email protected]. Badge Replacement Request Form Type of Request: New Persons unable to file electronically FOR FURTHER INFORMATION CONTACT: Respondents: BPA employees and should submit an original and 5 copies Additional information may be contractors seeking replacement ID of the protest or intervention to the requested from Christopher M. Frost at badges. Federal Energy Regulatory Commission, the mailing address above or by email Annual Estimated Number of 888 First Street NE., Washington, DC at [email protected]. Respondents: 75 20426 SUPPLEMENTARY INFORMATION: Annual Estimated Number of Total This filing is accessible on-line at http://www.ferc.gov, using the I. Abstract Responses: 75 Average Minutes per Response: 10 ‘‘eLibrary’’ link and is available for A recent internal audit of PRA Annual Estimated Number of Burden review in the Commission’s Public compliance determined that this Hours: 12.5 Reference Room in Washington, DC. existing collection does not have an Annual Estimated Reporting and There is an ‘‘eSubscription’’ link on the OMB number. BPA is seeking approval Recordkeeping Cost Burden: $0 Web site that enables subscribers to

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receiveemail notification when a ER10–2801–011; ER10–2385–005; Services Company on behalf of Ameren document is added to a subscribed ER11–3727–011; ER10–2262–002; Illinois Company, et al. docket(s). For assistance with any FERC ER12–2413–009; ER11–2062–014; Filed Date: 06/08/2015. Online service, please email ER10–2346–006; ER10–2812–010; Accession Number: 20150608–5258. [email protected], or call ER10–1291–015; ER10–2843–009; Comment Date: 5 p.m. ET 6/29/15. (866) 208–3676 (toll free). For TTY, call ER11–2508–013; ER11–2863–008; Docket Numbers: ER13–104–007. (202) 502–8659. ER11–4307–014; ER10–2347–004; Applicants: Florida Power & Light Comment Date: 5:00 p.m. Eastern time ER10–2348–004; ER12–1711–011; Company. on July 2, 2015. ER10–2350–004; ER10–2846–011; Description: Compliance filing per 35: Dated: June 9, 2015. ER12–261–013. FPL Order No. 1000 Further Regional Applicants: NRG Power Marketing Kimberly D. Bose, Compliance Filings to be effective 1/1/ LLC, Agua Caliente Solar, LLC, Alta Secretary. 2015. Wind I, LLC, Alta Wind II, LLC, Alta Filed Date: 6/9/15. [FR Doc. 2015–15290 Filed 6–22–15; 8:45 am] Wind III, LLC, Alta Wind IV, LLC, Alta Accession Number: 20150609–5070. BILLING CODE 6717–01–P Wind V, LLC, Alta Wind X, LLC, Alta Comments Due: 5 p.m. ET 6/29/15. Wind XI, LLC, Arthur Kill Power LLC, Docket Numbers: ER14–1934–004; Astoria Gas Turbine Power LLC, Avenal DEPARTMENT OF ENERGY ER14–1935–004. Park LLC, Bayou Cove Peaking Power, Applicants: Rising Tree Wind Farm LLC, Bendwind, LLC, Big Cajun I Federal Energy Regulatory LLC, Rising Tree Wind Farm II LLC. Peaking Power LLC, Boston Energy Commission Description: Notice of Non-Material Trading and Marketing LLC, Broken Change in Status of Rising Tree Wind Combined Notice of Filings #1 Bow Wind, LLC, Cabrillo Power I LLC, Farm LLC, et al. Cabrillo Power II LLC, CL Power Sales Filed Date: 6/9/15. Take notice that the Commission Eight, L.L.C., Community Wind North 1 Accession Number: 20150609–5080. received the following electric rate LLC, Community Wind North 2 LLC, Comments Due: 5 p.m. ET 6/30/15. filings: Community Wind North 3 LLC, Docket Numbers: ER10–2211–004. Community Wind North 5 LLC, Docket Numbers: ER15–1542–001. Applicants: Vandolah Power Community Wind North 6 LLC, Applicants: Midcontinent Company, L.L.C. Community Wind North 7 LLC, Independent System Operator, Inc. Description: Supplement to December Description: Compliance filing per 35: Community Wind North 8 LLC, _ 24, 2014 Triennial Compliance Filing of Community Wind North 9 LLC, 2015–06–09 SA 2779 Compliance ATC- Vandolah Power Company, L.L.C. Community Wind North 10 LLC, Wisconsin Electric CFA to be effective Filed Date: 06/08/2015. Community Wind North 11 LLC, N/A. Accession Number: 20150608–5264. Community Wind North 13 LLC, Filed Date: 6/9/15. Comment Date: 5 p.m. ET 6/29/15. Community Wind North 15 LLC, Accession Number: 20150609–5027. Docket Numbers: ER10–2231–004; Conemaugh Power LLC, Connecticut Jet Comments Due: 5 p.m. ET 6/30/15. ER10–1511–004; ER10–1714–004. Power LLC, Cottonwood Energy Take notice that the Commission Applicants: Kentucky Utilities Company LP, CP Power Sales received the following electric Company, LG&E Energy Marketing Inc., Seventeen, L.L.C., CP Power Sales reliability filings. PPL EnergyPlus LLC, Louisville Gas and Nineteen, L.L.C., CP Power Sales Docket Numbers: RD15–5–000. Electric Company. Twenty, L.L.C., Crofton Bluffs Wind, Applicants: North American Electric Description: Fourth Supplement to LLC, DeGreeff DP, LLC, DeGreeffpa, Reliability Corporation. June 30, 2014 Triennial Market Power LLC, Devon Power LLC, Dunkirk Power Description: Petition of the North Update of the PPL Southeast LLC, Elkhorn Ridge Wind, LLC, El American Electric Reliability Companies. Segundo Energy Center LLC, El Segundo Corporation for Approval of Proposed Filed Date: 06/05/2015. Power, LLC, Energy Alternatives Reliability Standards PRC–004–5 and Accession Number: 20150605–5244. Wholesale, LLC, Energy Plus Holdings PRC–010–2. Comment Date: 5 p.m. ET 6/26/15. LLC, Forward WindPower LLC, Filed Date: 06/08/2015. Docket Numbers: ER10–2265–005; GenConn Devon LLC, GenConn Energy Accession Number: 20150608–5260. ER12–21–016; ER11–2211–005; ER11– LLC, GenConn Middletown LLC, GenOn Comment Date: 5 p.m. ET 7/9/15. 2209–005; ER11–2210–005; ER11–2207– Energy Management, LLC, GenOn Mid- The filings are accessible in the 005; ER11–2206–005; ER13–1150–003; Atlantic, LLC, Green Mountain Energy Commission’s eLibrary system by ER13–1151–003; ER10–2783–011; Company, Groen Wind, LLC, High clicking on the links or querying the ER10–2784–011 ; ER11–2855–016 ; Lonesome Mesa, LLC, High Plains docket number. ER10–2791–011; ER10–2333–004; Ranch II, LLC, Hillcrest Wind, LLC, Any person desiring to intervene or ER10–2792–011; ER14–1818–005; Huntley Power LLC, Independence protest in any of the above proceedings ER12–1238–004; ER10–2260–003; Energy Group LLC. must file in accordance with Rules 211 ER10–2261–003; ER10–2337–006; Description: Notice of Non-Material and 214 of the Commission’s ER14–1668–002; ER14–1669–002 ; Change in Status of NRG MBR Sellers Regulations (18 CFR 385.211 and ER14–1674–002; ER14–1670–002; [Part 1]. 385.214) on or before 5:00 p.m. Eastern ER14–1671–002; ER14–1675–002; Filed Date: 6/8/15. time on the specified comment date. ER14–1673–002; ER14–1676–002; Accession Number: 20150608–5265. Protests may be considered, but ER14–1677–002; ER14–1678–002; Comments Due: 5 p.m. ET 6/29/15. intervention is necessary to become a ER14–1679–002; ER14–1672–002; Docket Numbers: ER11–2777–003. party to the proceeding. ER10–2795–011; ER10–2798–011; Applicants: Midcontinent eFiling is encouraged. More detailed ER10–1575–009; ER10–2339–007; Independent System Operator, Inc., information relating to filing ER10–2338–007; ER10–2340–007; Ameren Illinois Company. requirements, interventions, protests, ER12–1239–004; ER10–2336–004; Description: Offer of Settlement service, and qualifying facilities filings ER10–2335–004; ER10–2799–011; [including Pro Forma sheets] of Ameren can be found at: http://www.ferc.gov/

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docs-filing/efiling/filing-req.pdf. For Energy Regulatory Commission, 888 Business Information (CBI) or other other information, call (866) 208–3676 First Street, NE., Washington, DC 20426. information whose disclosure is (toll free). For TTY, call (202) 502–8659. The first page of any filing should restricted by statute. Dated: June 9, 2015. include docket number P–4093–036. FOR FURTHER INFORMATION CONTACT: Kimberly D. Bose, Dated: June 9, 2015. Geanetta Heard, Fuels Compliance Secretary. Kimberly D. Bose, Center, 6406J, Environmental Protection Agency, 1200 Pennsylvania Ave. NW., [FR Doc. 2015–15289 Filed 6–22–15; 8:45 am] Secretary. [FR Doc. 2015–15291 Filed 6–22–15; 8:45 am] Washington, DC 20460; telephone BILLING CODE 6717–01–P number: 202–343–9017; fax number: BILLING CODE 6717–01–P 202–565–2085; email address: DEPARTMENT OF ENERGY [email protected]. ENVIRONMENTAL PROTECTION SUPPLEMENTARY INFORMATION: Federal Energy Regulatory AGENCY Supporting documents which explain in Commission detail the information that the EPA will [EPA–HQ–OAR–2012–0401; FRL–9929–55– be collecting are available in the public [Project No. 4093–036] OAR] docket for this ICR. The docket can be Bynum Hydro Company, PK Ventures Proposed Information Collection viewed online at www.regulations.gov I Limited Partnership; Notice of Request; Comment Request; or in person at the EPA Docket Center, Application for Transfer of License and Regulation of Fuels and Fuel WJC West, Room 3334, 1301 Soliciting Comments, Motions to Additives: RFS Pathways II, and Constitution Ave. NW., Washington, Intervene, and Protests Technical Amendments to the RFS DC. The telephone number for the Standards and E15 Misfueling Docket Center is 202–566–1744. For On January 16, 2015, Commission Mitigation Requirements additional information about EPA’s staff directed PK Ventures I Limited public docket, visit http://www.epa.gov/ Partnership (PK Ventures) to file AGENCY: Environmental Protection dockets. documentation of project ownership Agency (EPA). Pursuant to section 3506(c)(2)(A) of and an application to transfer the ACTION: Notice. the PRA, EPA is soliciting comments license for the Bynum Project No. 4093 and information to enable it to: (i) from Bynum Hydro Company, the SUMMARY: The Environmental Protection Evaluate whether the proposed licensee of record, to PK Ventures, the Agency (EPA) is planning to submit an collection of information is necessary owner of the project facilities. On information collection request (ICR), for the proper performance of the February 18, 2015, PK Ventures filed a ‘‘Regulation of Fuels and Fuel functions of the Agency, including response, including among other things, Additives: RFS Pathways II, and whether the information will have documentation of its ownership of the Technical Amendments to the RFS practical utility; (ii) evaluate the project and a copy of an earlier filing Standards and E15 Misfueling accuracy of the Agency’s estimate of the with the Commission in which it seeks Mitigation Requirement’’ (EPA ICR No. burden of the proposed collection of to transfer the license from Bynum 2520.01., OMB Control No. 2060–NEW information, including the validity of Hydro to it. The project is located on the to the Office of Management and Budget the methodology and assumptions used; Haw River in Chatham County, North (OMB) for review and approval in (iii) enhance the quality, utility, and Carolina. accordance with the Paperwork clarity of the information to be Contact: Mr. Robert L. Rose, PK Reduction Act (44 U.S.C. 3501 et seq.). collected; and (iv) minimize the burden Ventures I Limited Partnership, P.O. Before doing so, EPA is soliciting public of the collection of information on those Box 35236, Sarasota, FL 34242; Phone: comments on specific aspects of the who are to respond, including through (941) 312–0303; Email: tampapc@ proposed information collection as the use of appropriate automated outlook.com. described below. This is a request for electronic, mechanical, or other FERC Contact: Patricia W. Gillis, (202) approval of a new collection. An technological collection techniques or 502–8735. Agency may not conduct or sponsor and other forms of information technology, Deadline for filing comments, motions a person is not required to respond to e.g., permitting electronic submission of to intervene, and protests: 30 days from a collection of information unless it responses. EPA will consider the the date that the Commission issues this displays a currently valid OMB control comments received and amend the ICR notice. The Commission strongly number. as appropriate. The final ICR package encourages electronic filing. Please file DATES: Comments must be submitted on will then be submitted to OMB for motions to intervene, comments, and or before August 24, 2015. review and approval. At that time, EPA protests using the Commission’s eFiling ADDRESSES: Submit your comments, will issue another Federal Register system at http://www.ferc.gov/docs- referencing Docket ID No. EPA–HQ– notice to announce the submission of filing/efiling.asp. Commenters can OAR–2012–0401, online using the ICR to OMB and the opportunity to submit brief comments up to 6,000 www.regulations.gov (our preferred submit additional comments to OMB. characters, without prior registration, method), or by mail to: EPA Docket Abstract: In the final rule, EPA using the eComment system at http:// Center, Environmental Protection finalized the renewable fuels standard www.ferc.gov/docs-filing/ Agency, Mail Code 28221T, 1200 (RFS) program regulations at 40 CFR ecomment.asp. You must include your Pennsylvania Ave. NW., Washington, part 80, subpart M. We believe these name and contact information at the end DC 20460. provisions will facilitate the of your comments. For assistance, EPA’s policy is that all comments introduction of new renewable fuels as please contact FERC Online Support at received will be included in the public well as improve implementation of the [email protected], (866) docket without change including any program. These provisions includes 208–3676 (toll free), or (202) 502–8659 personal information provided, unless various changes related to biogas (TTY). In lieu of electronic filing, please the comment includes profanity, threats, including changes to the revised send a paper copy to: Secretary, Federal information claimed to be Confidential compressed natural gas (CNG)/liquefied

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natural gas (LNG) pathway and Respondent’s obligation to respond: DATES: Written comments on the amendments to various associated Mandatory. proposed consent decree must be registration, recordkeeping, and Estimated number of respondents: 60 received by July 23, 2015. reporting provisions. The final (total). ADDRESSES: Submit your comments, regulation includes a lifecycle Frequency of response: Quarterly, identified by Docket ID number EPA– greenhouse gas emissions analysis for annually, on occasion. HQ–OGC–2015–0364, online at renewable electricity, renewable diesel Total estimated burden: 8,889 hours www.regulations.gov (EPA’s preferred and naphtha produced from landfill (per year). Burden is defined at 5 CFR method); by email to oei.docket@ biogas. Adding these new pathways will 1320.03(b). epa.gov; by mail to EPA Docket Center, enhance the ability of the biofuels Total estimated cost: $1,081,415 (per Environmental Protection Agency, industry to supply advanced biofuels, year), includes $0 annualized capital or Mailcode: 2822T, 1200 Pennsylvania including cellulosic biofuels, which operation & maintenance costs. Ave. NW., Washington, DC 20460–0001; greatly reduce the greenhouse gas Changes in Estimates EPA estimates or by hand delivery or courier to EPA emissions (GHG) compared to the yearly 60 respondents and 8,889 burden Docket Center, EPA West, Room 3334, petroleum-based fuels they replace. It hours which will cost industry 1301 Constitution Ave. NW., also addresses ‘‘nameplate capacity’’ $1,081,415. This is a new collection Washington, DC, between 8:30 a.m. and issues for certain production facilities with no industry cost for comparison. 4:30 p.m. Monday through Friday, that do not claim exemption from the 20 Dated: June 15, 2015. excluding legal holidays. Comments on percent GHG reduction threshold. In the a disk or CD–ROM should be formatted Byron Bunker, accompanying final rule for this ICR, in Word or ASCII file, avoiding the use EPA addressed issues related to crop Director, Compliance Division, Office of of special characters and any form of residue and corn kernel fiber and Transportation and Air Quality, Office of Air and Radiation. encryption, and may be mailed to the finalized an approach to determining mailing address above. [FR Doc. 2015–15467 Filed 6–22–15; 8:45 am] the volume of cellulosic Renewable FOR FURTHER INFORMATION CONTACT: BILLING CODE 6560–50–P Identification Numbers (RIN’s) Richard H. Vetter, Air and Radiation produced from various cellulosic Law Office, Office of General Counsel, feedstocks. We also included a lifecycle ENVIRONMENTAL PROTECTION U.S. Environmental Protection Agency, analysis of advanced butanol and AGENCY c/o US/EPA/OAQPS/SPPD/IO D205–01, discussed the potential to allow for Research Triangle Park, North Carolina commingling of compliant products at 27711; telephone: (919) 541–2127; fax [FRL–9929–53–OGC] the retail facility level as long as the number (919) 541–4991; email address: environmental performance of the fuels Proposed Consent Decree, Clean Air [email protected]. would not be detrimental. Several other Act Citizen Suit SUPPLEMENTARY INFORMATION: amendments to the RFS2 program were included. AGENCY: Environmental Protection I. Additional Information About the In the final rule, EPA also amended Agency (EPA). Proposed Consent Decree various changes to the E15 (gasoline ACTION: Notice of proposed consent The proposed consent decree would containing up to 15 volume percent decree; request for public comment. resolve a lawsuit filed by the ethanol) mis-fueling mitigation Environmental Integrity Project seeking regulations (MMR) at 40 CFR part 80, SUMMARY: In accordance with section to compel the Administrator to take subpart N. Among the E15 changes 113(g) of the Clean Air Act, as amended actions under CAA section 505(b)(2). finalized were technical corrections and (‘‘CAA’’ or the ‘‘Act’’), notice is hereby Under the terms of the proposed amendments to sections dealing with given of a proposed consent decree to consent decree, EPA would agree to sign labeling, E15 surveys, product transfer address a lawsuit filed by the its response granting or denying the documents, and prohibited acts. Environmental Integrity Project: petitions filed by the Environmental Technical amendments and corrections Environmental Integrity Project v. Integrity Project regarding Shell for this regulations had no bearings on McCarthy, No. 1:14-cv-2106 (RC) (D. Chemical Company’s Deer Park the industry estimates. D.C.). On December 12, 2014, Plaintiff Chemical Plant and Shell Oil Lastly, EPA finalized changes to the filed a complaint alleging that Gina Company’s Deer Park Refinery, both survey requirements associated with the McCarthy, in her official capacity as located in Harris County, Texas, ultra-low sulfur diesel (ULSD) program. Administrator of the United States pursuant to section 505(b)(2) of the This change is not addressed here Environmental Protection Agency CAA, on or before August 21, 2015. because there are fewer than nine (‘‘EPA’’), failed to perform a non- Under the terms of the proposed respondents. discretionary duty to grant or deny consent decree, EPA would Form Numbers: 2 within 60 days two petitions submitted expeditiously deliver notice of EPA’s RFS1700–RFS2 Renewable Fuel by the Environmental Integrity Project response to the Office of the Federal Producers—Cellulosic Converted on May 19, 2014, requesting that EPA Register for review and publication Fraction—5900–362 object to two CAA Title V permits following signature of such response. In RFS1300–RFS2 Renewable Fuel issued by the Texas Commission on addition, the proposed consent decree Producers Using Crop Residue as a Environmental Quality (‘‘TCEQ’’) to the outlines the procedure for the Plaintiffs Feedstock Report—5900–262 Shell Chemical Company and the Shell to request costs of litigation, including Respondents/affected entities: Oil Company authorizing the operation attorney fees. Producers of renewable fuels, Producers of the Deer Park Chemical Plant and the For a period of thirty (30) days of renewable electricity, Importers of Deer Park Refinery, respectively, located following the date of publication of this renewable fuels, Feedstock producers in Harris County, Texas. The proposed notice, EPA will accept written from waste treatment plants, Feedstock consent decree would establish a comments relating to the proposed producers from landfills, Parties who deadline of August 21, 2015, for EPA to consent decree from persons who are own RINS’s. take such action. not named as parties or intervenors to

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the litigation in question. EPA or the electronically, you may still access any FEDERAL COMMUNICATIONS Department of Justice may withdraw or of the publicly available docket COMMISSION withhold consent to the proposed materials through the EPA Docket consent decree if the comments disclose Center. Public Safety and Homeland Security facts or considerations that indicate that Bureau; Federal Advisory Committee such consent is inappropriate, B. How and to whom do I submit Act; Task Force on Optimal Public improper, inadequate, or inconsistent comments? Safety Answering Point Architecture with the requirements of the Act. Unless You may submit comments as AGENCY: Federal Communications EPA or the Department of Justice provided in the ADDRESSES section. Commission. determines that consent to this consent Please ensure that your comments are decree should be withdrawn, the terms ACTION: Notice of public meeting. of the consent decree will be affirmed. submitted within the specified comment period. Comments received after the SUMMARY: In accordance with the II. Additional Information About close of the comment period will be Federal Advisory Committee Act Commenting on the Proposed Consent marked ‘‘late.’’ EPA is not required to (FACA), this notice advises interested Decree consider these late comments. persons that the Federal Communications Commission’s (FCC) A. How can I get a copy of the consent If you submit an electronic comment, Task Force on Optimal Public Safety decree? EPA recommends that you include your Answering Point (PSAP) Architecture The official public docket for this name, mailing address, and an email (Task Force) will hold its third meeting. address or other contact information in action (identified by Docket ID No. DATES: July 27, 2015. EPA–HQ–OGC–2015–0364) contains a the body of your comment and with any ADDRESSES: Federal Communications copy of the proposed consent decree. disk or CD ROM you submit. This Commission, Room TW–C305 The official public docket is available ensures that you can be identified as the (Commission Meeting Room), 445 12th for public viewing at the Office of submitter of the comment and allows Street SW., Washington, DC 20554. Environmental Information (OEI) Docket EPA to contact you in case EPA cannot FOR FURTHER INFORMATION CONTACT: in the EPA Docket Center, EPA West, read your comment due to technical Timothy May, Federal Communications Room 3334, 1301 Constitution Ave. difficulties or needs further information Commission, Public Safety and NW., Washington, DC. The EPA Docket on the substance of your comment. Any Homeland Security Bureau, 202–418– Center Public Reading Room is open identifying or contact information 1463, email: [email protected]. from 8:30 a.m. to 4:30 p.m., Monday provided in the body of a comment will SUPPLEMENTARY INFORMATION: through Friday, excluding legal be included as part of the comment that The meeting will be held on July 27, 2015, holidays. The telephone number for the is placed in the official public docket, from 1:00 p.m. to 4:00 p.m. in the Public Reading Room is (202) 566–1744, and made available in EPA’s electronic Commission Meeting Room of the FCC, and the telephone number for the OEI public docket. If EPA cannot read your Docket is (202) 566–1752. Room TW–305, 445 12th Street SW., comment due to technical difficulties An electronic version of the public Washington, DC 20554. The Task Force docket is available through and cannot contact you for clarification, is a Federal Advisory Committee that www.regulations.gov. You may use EPA may not be able to consider your studies and will report findings and www.regulations.gov to submit or view comment. recommendations on PSAP structure public comments, access the index Use of the www.regulations.gov Web and architecture to determine whether listing of the contents of the official site to submit comments to EPA additional consolidation of PSAP public docket, and to access those electronically is EPA’s preferred method infrastructure and architecture documents in the public docket that are for receiving comments. The electronic improvements would promote greater available electronically. Once in the public docket system is an ‘‘anonymous efficiency of operations, safety of life, system, key in the appropriate docket access’’ system, which means EPA will and cost containment, while retaining identification number then select not know your identity, email address, needed integration with local first ‘‘search.’’ or other contact information unless you responder dispatch and support. On It is important to note that EPA’s provide it in the body of your comment. December 2, 2014, pursuant to the policy is that public comments, whether In contrast to EPA’s electronic public FACA, the Commission established the submitted electronically or in paper, docket, EPA’s electronic mail (email) Task Force charter for a period of two will be made available for public years, through December 2, 2016. At this system is not an ‘‘anonymous access’’ viewing online at www.regulations.gov meeting, the Task Force will vote on the system. If you send an email comment without change, unless the comment recommendations and report of Working contains copyrighted material, CBI, or directly to the Docket without going Group 3, ‘‘Optimal Approach to Next- other information whose disclosure is through www.regulations.gov, your Generation 911 Resource Allocation for restricted by statute. Information email address is automatically captured PSAPs.’’ claimed as CBI and other information and included as part of the comment Members of the general public may whose disclosure is restricted by statute that is placed in the official public attend the meeting. The FCC will is not included in the official public docket, and made available in EPA’s attempt to accommodate as many docket or in the electronic public electronic public docket. attendees as possible; however, docket. EPA’s policy is that copyrighted Dated: June 15, 2015. admittance will be limited to seating material, including copyrighted material Lorie J. Schmidt, availability. The Commission will contained in a public comment, will not provide audio and/or video coverage of Associate General Counsel. be placed in EPA’s electronic public the meeting over the Internet from the docket but will be available only in [FR Doc. 2015–15460 Filed 6–22–15; 8:45 am] FCC’s Web page at http://www.fcc.gov/ printed, paper form in the official public BILLING CODE 6560–50–P live. docket. Although not all docket Open captioning will be provided for materials may be available this event. Other reasonable

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accommodations for people with Federal Deposit Insurance Corporation FEDERAL RESERVE SYSTEM disabilities are available upon request. Robert E. Feldman, Requests for such accommodations Executive Secretary. Proposed Agency Information should be submitted via email to [FR Doc. 2015–15354 Filed 6–22–15; 8:45 am] Collection Activities; Comment Request [email protected] or by calling the BILLING CODE 6714–01–P Consumer & Governmental Affairs at AGENCY: Board of Governors of the (202) 418–0432 (TTY). Such requests Federal Reserve System. should include a detailed description of SUMMARY: On June 15, 1984, the Office the accommodation requested. In FEDERAL ELECTION COMMISSION of Management and Budget (OMB) addition, please include a way the FCC delegated to the Board of Governors of may contact you if it needs more Sunshine Act Meetings the Federal Reserve System (Board) its information. Please allow at least five Federal Register Citation of Previous approval authority under the Paperwork days’ advance notice; last minute Reduction Act (PRA), to approve of and requests will be accepted, but may be Announcement: 80 FR 33265, June 11, 2015 assign OMB numbers to collection of impossible to fill. information requests and requirements Federal Communications Commission. PREVIOUSLY ANNOUNCED TIME AND DATE OF conducted or sponsored by the Board. Marlene H. Dortch, THE MEETING: Tuesday June 16, 2015 at Board-approved collections of Secretary. 10:00 a.m. and Thursday, June 18, 2015 information are incorporated into the [FR Doc. 2015–15373 Filed 6–22–15; 8:45 am] at the conclusion of the open meeting. official OMB inventory of currently BILLING CODE 6712–01–P PLACE: 999 E Street NW., Washington, approved collections of information. DC. Copies of the PRA Submission, STATUS: This meeting will be closed to supporting statements and approved the public. collection of information instruments FEDERAL DEPOSIT INSURANCE are placed into OMB’s public docket CHANGES IN THE MEETING: This meeting CORPORATION files. The Federal Reserve may not will be continued at 10:00 a.m. on conduct or sponsor, and the respondent Tuesday, June 23, 2015. Notice to All Interested Parties of the is not required to respond to, an Termination of the Receivership of CONTACT PERSON FOR MORE INFORMATION: information collection that has been 10406, Community Capital Bank, Judith Ingram, Press Officer, Telephone: extended, revised, or implemented on or Jonesboro, GA (202) 694–1220. after October 1, 1995, unless it displays a currently valid OMB number. Notice is hereby given that the Federal Shelley E. Garr, Deposit Insurance Corporation (‘‘FDIC’’) Deputy Secretary of the Commission. DATES: Comments must be submitted on as Receiver for Community Capital [FR Doc. 2015–15517 Filed 6–19–15; 4:15 pm] or before August 24, 2015. Bank, Jonesboro, GA (‘‘the Receiver’’) BILLING CODE 6715–01–P ADDRESSES: You may submit comments, intends to terminate its receivership for identified by FR 4027 or FR 4029, by said institution. The FDIC was any of the following methods: • appointed receiver of Community FEDERAL ELECTION COMMISSION Agency Web site: http:// Capital Bank on October 21, 2011. The www.federalreserve.gov. Follow the liquidation of the receivership assets Sunshine Act Meetings instructions for submitting comments at has been completed. To the extent http://www.federalreserve.gov/apps/ FEDERAL REGISTER NOTICE OF PREVIOUS permitted by available funds and in foia/proposedregs.aspx. ANNOUNCEMENT: 80 FR 34157, June 15, • accordance with law, the Receiver will Federal eRulemaking Portal: http:// 2015. be making a final dividend payment to www.regulations.gov. Follow the proven creditors. PREVIOUSLY ANNOUNCED TIME AND DATE OF instructions for submitting comments. • Email: regs.comments@ Based upon the foregoing, the THE MEETING: Thursday, June 18, 2015 at federalreserve.gov. Include OMB Receiver has determined that the 10:00 a.m. number in the subject line of the continued existence of the receivership CHANGES IN THE MEETING: message. will serve no useful purpose. This item was also discussed: • FAX: (202) 452–3819 or (202) 452– Consequently, notice is given that the MOTION TO AUTHORIZE THE PUBLICATION 3102. receivership shall be terminated, to be OF, AND EXPENSES FOR, A FORTY YEAR • Mail: Robert deV. Frierson, effective no sooner than thirty days after REPORT Secretary, Board of Governors of the the date of this Notice. If any person CONTACT PERSON FOR MORE INFORMATION: Federal Reserve System, 20th Street and wishes to comment concerning the Judith Ingram, Press Officer, Telephone: Constitution Avenue NW., Washington, termination of the receivership, such (202) 694–1220. DC 20551. comment must be made in writing and Individuals who plan to attend and All public comments are available sent within thirty days of the date of require special assistance, such as sign from the Board’s Web site at http:// this Notice to: Federal Deposit language interpretation or other www.federalreserve.gov/apps/foia/ Insurance Corporation, Division of reasonable accommodations, should proposedregs.aspx as submitted, unless Resolutions and Receiverships, contact Shawn Woodhead Werth, modified for technical reasons. Attention: Receivership Oversight Secretary and Clerk, at (202) 694–1040, Accordingly, your comments will not be Department 32.1, 1601 Bryan Street, at least 72 hours prior to the meeting edited to remove any identifying or Dallas, TX 75201. date. contact information. Public comments No comments concerning the may also be viewed electronically or in termination of this receivership will be Shawn Woodhead Werth, paper form in Room 3515, 1801 K Street considered which are not sent within Secretary and Clerk of the Commission. (between 18th and 19th Streets NW) this time frame. [FR Doc. 2015–15445 Filed 6–19–15; 11:15 am] Washington, DC 20006 between 9:00 Dated: June 18, 2015. BILLING CODE 6715–01–P a.m. and 5:00 p.m. on weekdays.

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Additionally, commenters may send a and purchase of services to provide Abstract: Incentive compensation copy of their comments to the OMB information. practices in the financial services Desk Officer—Shagufta Ahmed—Office industry were one of many factors Proposal To Approve Under OMB of Information and Regulatory Affairs, contributing to the financial crisis that Delegated Authority the Extension for Office of Management and Budget, New began in 2007. Banking organizations Three Years, Without Revision, of the Executive Office Building, Room 10235, too often rewarded employees for Following Reports 725 17th Street NW., Washington, DC increasing the firm’s short-term revenue 20503 or by fax to (202) 395–6974. 1. Report title: Recordkeeping or profit without adequate recognition FOR FURTHER INFORMATION CONTACT: A Requirements Associated with the of the risks the employees’ activities copy of the PRA OMB submission, Guidance on Sound Incentive posed for the firm. More importantly, including the proposed reporting form Compensation Policies. problematic compensation practices and instructions, supporting statement, Agency form number: FR 4027. were not limited to the most senior OMB control number: 7100–0327. executives at financial firms. and other documentation will be placed Frequency: On occasion. into OMB’s public docket files, once Compensation practices can encourage Reporters: State member banks, U.S. employees at various levels of a banking approved. These documents will also be bank holding companies, savings and made available on the Federal Reserve organization, either individually or as a loan holding companies, Edge Act and group, to undertake imprudent risks that Board’s public Web site at: http:// agreement corporations, and the U.S. www.federalreserve.gov/apps/ can significantly and adversely affect operations of foreign banks with a the risk profile of the firm. reportforms/review.aspx or may be branch, agency, or commercial lending requested from the agency clearance The Sound Incentive Compensation company in the United States. Policies (the Guidance) was developed officer, whose name appears below. Estimated annual reporting hours: to help protect the safety and soundness Federal Reserve Board Clearance One-time implementation: Large of banking organizations and promote Officer—Nuha Elmaghrabi—Office of institutions—2,400 hours and small the prompt improvement of incentive the Chief Data Officer, Board of institutions—400 hours; Ongoing compensation practices throughout the Governors of the Federal Reserve maintenance—228,400 hours. banking industry. In addition, the System, Washington, DC 20551, (202) Estimated average hours per response: guidance is consistent with the 452–3829. Telecommunications Device One-time implementation: Large Principles for Sound Compensation for the Deaf (TDD) users may contact institutions—480 hours and small Practices adopted by the Financial (202) 263–4869, Board of Governors of institutions—80 hours; Ongoing Stability Board (FSB) in April 2009, as the Federal Reserve System, maintenance—40 hours. well as the Implementation Standards Washington, DC 20551. Number of respondents: One-time for those principles issued by the FSB SUPPLEMENTARY INFORMATION: implementation: Large institutions—5 in September 2009. respondents and small institutions—5 Request for Comment on Information respondents; Ongoing maintenance— Compatibility With Effective Controls Collection Proposals 5,710 respondents. and Risk Management The following information General description of report: This Principle 2 of the Guidance states that collections, which are being handled information collection is authorized a banking organization should have under this delegated authority, have pursuant to sections 9, 11(a), 11(i), 25, strong controls governing its process for received initial Board approval and are and 25A of the Federal Reserve Act (12 designing, implementing, and hereby published for comment. At the U.S.C. 248(a), 248(i), 324, 602, and 625), monitoring incentive compensation end of the comment period, the section 5 of the Bank Holding Company arrangements. An organization’s proposed information collections, along Act (12 U.S.C. 1844), section 10(b)(2) of policies and procedures should: with an analysis of comments and the Home Owners’ Loan Act (12 U.S.C. • Identify and describe the role(s) of recommendations received, will be 1467a(b)(2)), and section 7(c) of the the personnel, business units, and submitted to the Board for final International Banking Act (12 U.S.C. control units authorized to be involved approval under OMB delegated 3105(c)). Because the recordkeeping in the design, implementation, and authority. Comments are invited on the requirements are contained within monitoring of incentive compensation following: guidance (and not a statute or arrangements; a. Whether the proposed collection of regulation) they are voluntary. Because • identify the source of significant information is necessary for the proper the records will be maintained by each risk-related inputs into these processes performance of the Federal Reserve’s banking institution, the Freedom of and establish appropriate controls functions; including whether the Information Act (FOIA) would only be governing the development and information has practical utility; implicated if the Board’s examiners approval of these inputs to help ensure b. The accuracy of the Federal retained a copy of the records as part of their integrity; and Reserve’s estimate of the burden of the an examination or supervision of the • identify the individual(s) and proposed information collection, banking institution. To the extent the control unit(s) whose approval is including the validity of the Board collects this information during necessary for the establishment of new methodology and assumptions used; the course of an examination or incentive compensation arrangements or c. Ways to enhance the quality, supervision of a banking institution, the modification of existing arrangements. utility, and clarity of the information to information is considered confidential Banking organizations also should be collected; under exemption 8 of the FOIA (5 create and maintain sufficient d. Ways to minimize the burden of U.S.C. 552(b)(8)). In addition, the documentation to permit an audit of the information collection on respondents, information may also be kept organization’s processes for including through the use of automated confidential under exemption 4 of the establishing, modifying, and monitoring collection techniques or other forms of FOIA which protects commercial or incentive compensation arrangements. information technology; and financial information obtained from a The Guidance also states that a e. Estimates of capital or start up costs person that is privileged or confidential banking organization should conduct and costs of operation, maintenance, (5 U.S.C. 552(b)(4)). regular internal reviews to ensure that

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its processes for achieving and incentive compensation arrangements for examination material (5 U.S.C. maintaining balanced incentive may be promoting excessive risk-taking. 552(b)(8)). In addition, the information compensation arrangements are 2. Report title: Interagency Guidance may also be kept confidential under consistently followed. Such reviews on Managing Compliance and exemption 4 of the FOIA which protects should be conducted by audit, Reputation Risks for Reverse Mortgage commercial or financial information compliance, or other personnel in a Products. obtained from a person that is privileged manner consistent with the Agency form number: FR 4029. or confidential (5 U.S.C. 552(b)(4)). organization’s overall framework for OMB control number: 7100–0330. Abstract: Reverse mortgages are compliance monitoring. An Frequency: On occasion. home-secured loans typically offered to organization’s internal audit department Reporters: State member banks that elderly consumers. Financial also should separately conduct regular originate proprietary and Home Equity institutions currently provide two types Conversion Program (HECM) reverse audits of the organization’s compliance of reverse mortgage products: The mortgages. with its established policies and lenders’ own proprietary reverse controls relating to incentive Estimated annual reporting hours: Implementation of policies and mortgage products and reverse compensation arrangements. The results mortgages insured by the Department of should be reported to appropriate levels procedures, 680 hours; Review and maintenance of policies and procedures, Housing and Urban Development’s of management and, where appropriate, Federal Housing Administration (FHA). the organization’s board of directors. 136 hours. Estimated average hours per response: Reverse mortgage loans insured by the Strong Corporate Governance Implementation of policies and FHA are made pursuant to the guidelines and rules established by Principle 3 of the Guidance states that procedures, 40 hours; Review and maintenance of policies and procedures, HUD’s HECM program. HECM loans and the board of directors should review and proprietary reverse mortgages are also approve the overall goals and purposes 8 hours. Number of respondents: subject to the rules that implement of the firm’s incentive compensation consumer protection laws such as the system. The board of directors should Implementation of policies and procedures, 17 respondents; Review and Real Estate Settlement Procedures Act provide clear direction to management (RESPA) and TILA. to ensure that its policies and maintenance of policies and procedures, 17 respondents. In August 2010, the Federal Financial procedures are carried out in a manner Institutions Examination Council, on that achieves balance and is consistent General description of report: behalf of its member agencies,1 with safety and soundness. Previously, the Board’s Legal Division published a Federal Register notice The board of directors should approve determined that the Board was and document any material exceptions authorized to issue this guidance adopting supervisory guidance titled or adjustments to the incentive pursuant to its authority under section ‘‘Reverse Mortgage Products: Guidance 18(f) of the Federal Trade Commission for Managing Compliance and compensation arrangements established 2 for senior executives and should Act, which authorized the Board to Reputation Risks.’’ The guidance is carefully consider and monitor the prescribe regulations regarding unfair or designed to help financial institutions effects of any approved exceptions or deceptive acts or practice by banks (15 with risk management and assist adjustments on the balance of the U.S.C. 57a(f)) and section 105 of the financial institutions’ efforts to ensure arrangement, the risk-taking incentives Truth in Lending Act, which authorized that their reverse mortgage lending of the senior executive, and the safety the Board to prescribe regulations to practices adequately address consumer and soundness of the organization. carry out the purposes of the Truth in compliance and reputation risks. The board of directors should receive Lending Act (TILA) (15 U.S.C. 1604). The guidance describes reporting, and review, on an annual or more However, under the Dodd-Frank Wall recordkeeping, and disclosures for both frequent basis, an assessment by Street Reform and Consumer Protection proprietary and HECM reverse management, with appropriate input Act (Dodd-Frank Act) much of the mortgages. A number of these from risk management personnel, of the Board’s authority under these laws was disclosures are ‘‘usual and customary’’ effectiveness of the design and transferred to the Consumer Financial business practices for proprietary and operation of the organization’s incentive Protection Bureau. Nonetheless, we HECM reverse mortgages, and these compensation system in providing risk continue to believe that the Board has would not meet the PRA’s definition of taking incentives that are consistent the authority to issue this guidance ‘‘paperwork.’’ Other included disclosure with the organization’s safety and pursuant to its authority under section requirements are currently mandated by soundness. These reports should 39 of the Federal Deposit Insurance Act RESPA or TILA for all reverse mortgage include an evaluation of whether or (FDI Act), which generally authorizes loans and information collections how incentive compensation practices the Board to establish safety and required by HUD’s rules for HECM may be encouraging excessive risk soundness standards for depository loans.3 Discussion of these requirements taking. These reviews and reports institutions supervised by the Board (12 in the guidance is also not considered should be appropriately scoped to U.S.C. 1381p–1(a)). Financial additional paperwork burden imposed reflect the size and complexity of the institutions’ obligation under this by the guidance. banking organization’s activities and the guidance is voluntary. Because the Proprietary reverse mortgage prevalence and scope of its incentive documentation required by the guidance products, however, are not subject to compensation arrangements. In is maintained by each institution, the HUD’s rules for HECM loans. To the addition, at banking organizations that Freedom of Information Act (FOIA) extent that the interagency guidance are significant users of incentive would only be implicated if the Board’s applies HECM requirements to compensation arrangements, the board examiners retained a copy of this should receive periodic reports that information as part of an examination or 1 The Board, the Federal Deposit Insurance Corporation, the National Credit Union review incentive compensation awards supervision of a bank. However, records Administration, the Office of the Comptroller of the and payments relative to risk outcomes obtained as a part of an examination or Currency, and the Office of Thrift Supervision. on a backward-looking basis to supervision of a bank are exempt from 2 75 FR 50801. determine whether the organization’s disclosure under FOIA exemption (b)(8), 3 OMB Control No. 2502–0524.

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proprietary loans, this would meet the and regulations. They should also take New Animal Drugs for Investigational PRA’s definition of paperwork burden. corrective action if a third party fails to Uses—21 CFR Part 511 There are also additional provisions comply. Third-party relationships OMB Control Number 0910–0117— in the guidance that apply to both should be structured in a way that does Extension proprietary and HECM reverse not conflict with RESPA. mortgages that do not meet the ‘‘usual FDA has the authority under the Board of Governors of the Federal Reserve Federal Food, Drug, and Cosmetic Act and customary’’ standard, are not System, June 18, 2015. covered by already approved (the FD&C Act) to approve new animal Robert deV. Frierson, information collections and, therefore, drugs. Section 512(j) of the FD&C Act likewise meet the PRA’s definition of Secretary of the Board. (21 U.S.C. 360b(j)) authorizes FDA to paperwork burden. [FR Doc. 2015–15412 Filed 6–22–15; 8:45 am] issue regulations relating to the BILLING CODE 6210–01–P investigational use of new animal drugs. Proprietary Reverse Mortgages The regulations setting forth the Financial institutions offering conditions for investigational use of proprietary reverse mortgages are new animal drugs have been codified at encouraged under the guidance to DEPARTMENT OF HEALTH AND part 511. If the new animal drug is only follow or adopt relevant HECM HUMAN SERVICES for tests in vitro or in laboratory requirements for mandatory counseling, research animals, the person disclosures, affordable origination fees, Food and Drug Administration distributing the new animal drug must restrictions on cross-selling of ancillary maintain records showing the name and products, and reliable appraisals. [Docket No. FDA–2011–N–0481] post office address of the expert or expert organization to whom it is Proprietary and HECM Reverse Agency Information Collection shipped and the date, quantity, and Mortgages Activities; Submission for Office of batch or code mark of each shipment Financial institutions offering either Management and Budget Review; and delivery for a period of 2 years after proprietary or HECM reverse mortgages Comment Request; New Animal Drugs such shipment or delivery. Before are encouraged to develop clear and for Investigational Uses shipping a new animal drug for clinical balanced product descriptions and make investigations in animals, a sponsor them available to consumers shopping AGENCY: Food and Drug Administration, must submit to FDA a Notice of Claimed for a mortgage. They should set forth a HHS. Investigational Exemption (NCIE). The description of how disbursements can ACTION: Notice. NCIE must contain, among other things, be received and include timely the following specific information: (1) information to supplement disclosures SUMMARY: The Food and Drug Identity of the new animal drug, (2) mandated by TILA and other Administration (FDA) is announcing labeling, (3) statement of compliance of disclosures. Promotional materials and that a proposed collection of any non-clinical laboratory studies with product descriptions should include information has been submitted to the good laboratory practices, (4) name and information about the costs, terms, Office of Management and Budget address of each clinical investigator, (5) features, and risks of reverse mortgage (OMB) for review and clearance under the approximate number of animals to products. the Paperwork Reduction Act of 1995. be treated or amount of new animal Financial institutions should adopt drug(s) to be shipped, and (6) policies and procedures that prohibit DATES: Fax written comments on the information regarding the use of edible directing a consumer to a particular collection of information by July 23, tissues from investigational animals. counseling agency or contacting a 2015. Part 511 also requires that records be counselor on the consumer’s behalf. established and maintained to ADDRESSES: To ensure that comments on They should adopt clear written policies document the distribution and use of the information collection are received, and establish internal controls the investigational new animal drug to OMB recommends that written specifying that neither the lender nor assure that its use is safe, and that the comments be faxed to the Office of any broker will require the borrower to distribution is controlled to prevent Information and Regulatory Affairs, purchase any other product from the potential abuse. The Agency uses these OMB, Attn: FDA Desk Officer, FAX: lender in order to obtain the mortgage. required records under its Bioresearch 202–395–7285, or emailed to oira_ Policies should be clear so that Monitoring Program to monitor the [email protected]. All originators do not have an inappropriate validity of the studies submitted to FDA comments should be identified with the incentive to sell other products that to support new animal drug approval OMB control number 0910–0117. Also appear linked to the granting of a and to assure that proper use of the drug include the FDA docket number found mortgage. Legal and compliance reviews is maintained by the investigator. should include oversight of in brackets in the heading of this Investigational new animal drugs are compensation programs so that lending document. used primarily by drug industry firms, personnel are not improperly FOR FURTHER INFORMATION CONTACT: FDA academic institutions, and the encouraged to direct consumers to PRA Staff, Office of Operations, Food government. Investigators may include particular products. and Drug Administration, 8455 individuals from these entities, as well Financial institutions making, Colesville Rd., COLE–14526, Silver as research firms and members of the purchasing, or servicing reverse Spring, MD 20993–0002, PRAStaff@ medical professions. Respondents to mortgages through a third party should fda.hhs.gov. this collection of information are the conduct due diligence and establish persons who use new animal drugs for criteria for third-party relationships and SUPPLEMENTARY INFORMATION: In investigational purposes. compensation. They should set compliance with 44 U.S.C. 3507, FDA In the Federal Register of April 2, requirements for agreements and has submitted the following proposed 2015 (80 FR 17758), FDA published a establish systems to monitor compliance collection of information to OMB for 60-day notice requesting public with the agreement and applicable laws review and clearance. comment on the proposed collection of

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information. Two comments were solicited and are therefore not addressed FDA estimates the burden of this received but neither responded to any of by the Agency. information collection as follows: the four information collection topics

TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 1

Number of 21 CFR section Number of responses per Total annual Average burden Total hours respondents respondent responses per response

511.1(b)(4) ...... 263 5.30 1,395 1 1,395 511.1(b)(5) ...... 263 .26 69 8 552 511.1(b)(6) ...... 263 .01 2 1 2 511.1(b)(8)(ii) ...... 263 .06 15 2 30 511.1(b)(9) ...... 263 .06 15 8 120

Total ...... 2,099 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

TABLE 2—ESTIMATED ANNUAL RECORDKEEPING BURDEN 1

Number of Number of records Total annual Average burden 21 CFR section recordkeepers per records per Total hours recordkeeper recordkeeping

511.1(a)(3) ...... 263 2.07 545 1 545 511.1(b)(3) ...... 263 5.30 1,395 1 1,395 511.1(b)(7)(ii) ...... 263 5.30 1,395 3.5 4,882.5 511.1(b)(8)(i) ...... 263 5.30 1,395 3.5 4,882.5

Total ...... 11,705 1 There are no capital costs or operating and maintenance costs associated with this collection of information.

The estimate of the time required for DEPARTMENT OF HEALTH AND comments should be identified with the reporting requirements, record HUMAN SERVICES OMB control number 0910–0230. Also preparation, and maintenance for this include the FDA docket number found collection of information is based on Food and Drug Administration in brackets in the heading of this document. informal Agency communication with [Docket No. FDA–2012–N–0253] industry. Based on the number of FOR FURTHER INFORMATION CONTACT: FDA sponsors subject to animal drug user Agency Information Collection PRA Staff, Office of Operations, Food fees, FDA estimates that there are 263 Activities; Submission for Office of and Drug Administration, 8455 respondents. We use this estimate Management and Budget Review; Colesville Rd., COLE–14526, Silver consistently throughout the table and Comment Request; Postmarketing Spring, MD 20993–0002, calculate the ‘‘annual frequency per Adverse Drug Experience Reporting [email protected]. respondent’’ by dividing the total and Recordkeeping Biological SUPPLEMENTARY INFORMATION: In annual responses by number of Products compliance with 44 U.S.C. 3507, FDA respondents. Additional information AGENCY: Food and Drug Administration, has submitted the following proposed needed to make a final calculation of the HHS. collection of information to OMB for total burden hours (i.e., the number of ACTION: Notice. review and clearance. respondents, the number of recordkeepers, the number of NCIEs SUMMARY: The Food and Drug Postmarketing Adverse Drug received, etc.) is derived from Agency Administration (FDA) is announcing Experience Reporting records. that a proposed collection of OMB Control Number 0910–0230— Dated: June 17, 2015. information has been submitted to the (Extension) Office of Management and Budget Leslie Kux, (OMB) for review and clearance under Sections 201, 502, 505, and 701 of the Associate Commissioner for Policy. the Paperwork Reduction Act of 1995. Federal Food, Drug, and Cosmetic Act [FR Doc. 2015–15320 Filed 6–22–15; 8:45 am] (21 U.S.C. 321, 352, 355, and 371) DATES: Fax written comments on the BILLING CODE 4164–01–P require that marketed drugs be safe and collection of information by July 22, effective. In order to know whether 2015. drugs that are not safe and effective are ADDRESSES: To ensure that comments on on the market, FDA must be promptly the information collection are received, informed of adverse experiences OMB recommends that written associated with the use of marketed comments be faxed to the Office of drugs. In order to help ensure this, FDA Information and Regulatory Affairs, issued regulations at §§ 310.305 and OMB, Attn: FDA Desk Officer, FAX: 314.80 (21 CFR 310.305 and 314.80) to 202–395–7285, or emailed to impose reporting and recordkeeping [email protected]. All requirements on the drug industry that

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would enable FDA to take the action of adverse drug experiences. Under the larger and more diverse patient necessary to protect the public health § 314.80(i), applicants must keep for 10 populations exposed to the marketed from adverse drug experiences. years records of all adverse drug drug provide the opportunity to collect All applicants who have received experience reports known to the information on rare, latent, and long- marketing approval of drug products are applicant. term effects. Signals are obtained from required to report to FDA serious, For marketed prescription drug a variety of sources, including reports unexpected adverse drug experiences products without approved new drug from patients, treating physicians, (‘‘15-day Alert reports’’), as well as applications or abbreviated new drug foreign regulatory agencies, and clinical follow up reports (§ 314.80(c)(1)). This applications, manufacturers, packers, investigators. Information derived from includes reports of all foreign or and distributors are required to report to the adverse drug experience reporting domestic adverse experiences as well as FDA serious, unexpected adverse drug system contributes directly to increased those based on information from experiences as well as follow-up reports public health protection because the applicable scientific literature and (§ 310.305(c)). Section 310.305(c)(5) information enables FDA to make certain reports from postmarketing pertains to the submission of follow-up important changes to the product’s studies. Section 314.80(c)(1)(iii) pertains reports to reports forwarded to the labeling (such as adding a new to such reports submitted by non- manufacturers, packers, and distributors warning), decisions about risk applicants. by FDA. Under § 310.305(f), each evaluation and mitigation strategies or Under § 314.80(c)(2), applicants must manufacturer, packer, and distributor the need for postmarket studies or provide periodic reports of adverse drug shall maintain for 10 years records of all clinical trials, and when necessary, to experiences. A periodic report includes, adverse drug experiences required to be initiate removal of a drug from the for the reporting interval, reports of reported. market. serious, expected adverse drug The primary purpose of FDA’s In the Federal Register of March 12, experiences and all nonserious adverse adverse drug experience reporting 2015 (80 FR 13009), FDA published a drug experiences and an index of these system is to enable identification of 60-day notice requesting public reports, a narrative summary and signals for potentially serious safety comment on the proposed collection of analysis of adverse drug experiences, an problems with marketed drugs. information. No comments were analysis of the 15-day Alert reports Although premarket testing discloses a received. submitted during the reporting interval, general safety profile of a new drug’s FDA estimates the burden of this and a history of actions taken because comparatively common adverse effects, collection of information as follows:

TABLE 1—ESTIMATED ANNUAL REPORTING BURDEN 12

No. of Average 21 CFR section No. of responses per Total annual burden per Total hours respondents respondent responses response

310.305(c)(5) ...... 3 1 3 1 3 314.80(c)(1)(iii) ...... 5 1 5 1 5 314.80(c)(2) ...... 724 19.33 13,996 60 839,760

Total ...... 839,768 1 The reporting burden for § 310.305(c)(1), (c)(2), and (c)(3), and § 314.80(c)(1)(i) and (c)(1)(ii) is covered under OMB Control No. 0910–0291. 2 The capital costs or operating and maintenance costs associated with this collection of information are approximately $25,000 annually.

TABLE 2—ESTIMATED ANNUAL RECORDKEEPING BURDEN 12

Average 21 CFR section No. of No. of records per Total annual burden per Total hours recordkeepers recordkeeper records recordkeeping

310.305(f) ...... 25 1 25 16 400 314.80(i) ...... 724 508 367,959 16 5,887,344

Total ...... 5,887,744 1 There are no capital costs or operating costs associated with this collection of information. 2 There are maintenance costs of approximately $22,000 annually.

Dated: June 17, 2015. Leslie Kux, Associate Commissioner for Policy. [FR Doc. 2015–15319 Filed 6–22–15; 8:45 am] BILLING CODE 4164–01–P

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DEPARTMENT OF HEALTH AND Administration, 10903 New Hampshire which is generally known as the HUMAN SERVICES Ave., Bldg. 51, Rm. 6207, Silver Spring, ‘‘Orange Book.’’ Under FDA regulations, MD 20993–0002, 301–796–8363, a drug is removed from the list if the Food and Drug Administration [email protected]. Agency withdraws or suspends [Docket No. FDA–2015–N–0002] SUPPLEMENTARY INFORMATION: In 1984, approval of the drug’s NDA or ANDA Congress enacted the Drug Price for reasons of safety or effectiveness or Determination That ABILIFY Competition and Patent Term if FDA determines that the listed drug (Aripiprazole) Solution Was Not Restoration Act of 1984 (Pub. L. 98–417) was withdrawn from sale for reasons of Withdrawn From Sale for Reasons of (the 1984 amendments), which safety or effectiveness (21 CFR 314.162). Safety or Effectiveness authorized the approval of duplicate Under § 314.161(a) (21 CFR AGENCY: Food and Drug Administration, versions of drug products approved 314.161(a)), the Agency must determine HHS. under an ANDA procedure. ANDA whether a listed drug was withdrawn from sale for reasons of safety or ACTION: Notice. applicants must, with certain exceptions, show that the drug for effectiveness: (1) Before an ANDA that SUMMARY: The Food and Drug which they are seeking approval refers to that listed drug may be Administration (FDA or Agency) has contains the same active ingredient in approved, (2) whenever a listed drug is determined that the drug product listed the same strength and dosage form as voluntarily withdrawn from sale and in this document was not withdrawn the ‘‘listed drug,’’ which is a version of ANDAs that refer to the listed drug have from sale for reasons of safety or the drug that was previously approved. been approved, and (3) when a person effectiveness. This determination means ANDA applicants do not have to repeat petitions for such a determination under that FDA will not begin procedures to the extensive clinical testing otherwise 21 CFR 10.25(a) and 10.30. Section withdraw approval of abbreviated new necessary to gain approval of a new 314.161(d) provides that if FDA drug applications (ANDAs) that refer to drug application (NDA). determines that a listed drug was this drug product, and it will allow FDA The 1984 amendments include what withdrawn from sale for safety or to continue to approve ANDAs that refer is now section 505(j)(7) of the Federal effectiveness reasons, the Agency will to the product as long as they meet Food, Drug, and Cosmetic Act (21 U.S.C. initiate proceedings that could result in relevant legal and regulatory 355(j)(7)), which requires FDA to the withdrawal of approval of the requirements. publish a list of all approved drugs. ANDAs that refer to the listed drug. FOR FURTHER INFORMATION CONTACT: FDA publishes this list as part of the FDA has become aware that the drug Stacy Kane, Center for Drug Evaluation ‘‘Approved Drug Products With product listed in the table is no longer and Research, Food and Drug Therapeutic Equivalence Evaluations,’’ being marketed.

Application No. Drug Applicant

NDA 021713 ...... ABILIFY (aripiprazole) Solution; Oral, 1 milligram/1 milli- Otsuka Pharmaceutical Development and Commer- liter. cialization Inc., 2440 Research Blvd., Rockville, MD 20850.

FDA has reviewed its records and, Dated: June 16, 2015. Date and Time: July 28, 2015, 3:00 under § 314.161, has determined that Leslie Kux, p.m.–4:00 p.m. the drug product listed in this document Associate Commissioner for Policy. Place: This meeting is accessible via was not withdrawn from sale for reasons [FR Doc. 2015–15327 Filed 6–22–15; 8:45 am] audio conference call and Adobe of safety or effectiveness. Accordingly, BILLING CODE 4164–01–P Connect Pro. the Agency will continue to list the drug Status: This meeting is open to the product listed in this document in the public. The virtual meeting is available ‘‘Discontinued Drug Product List’’ DEPARTMENT OF HEALTH AND via teleconference line and Adobe section of the Orange Book. The HUMAN SERVICES Connect Pro Meeting and will ‘‘Discontinued Drug Product List’’ accommodate approximately 100 Health Resources and Services identifies, among other items, drug people. Join the meeting by: Administration 1. (Audio Portion) Calling the Toll- products that have been discontinued free Phone Number 1–800–369–3340 from marketing for reasons other than Centers for Disease Control and and providing the Public Participant safety or effectiveness. Prevention (CDC)/Health Resources Pass Code 8527572; and Approved ANDAs that refer to the and Services Administration (HRSA) 2. (Visual Portion) Connecting to the NDA listed in this document are Advisory Committee on HIV, Viral Advisory Committee Adobe Connect Pro unaffected by the discontinued Hepatitis and Sexually Transmitted Meeting using the following URL: marketing of the products subject to that Diseases (STD) Prevention and https://hrsa.connectsolutions.com/cdc- NDA. Additional ANDAs that refer to Treatment; Notice of Meeting hrsa_AC/. (Copy and paste the above this product may also be approved by link into your browser if it does not the Agency if they comply with relevant In accordance with section 10(a)(2) of work directly). Participants should call legal and regulatory requirements. If the Federal Advisory Committee Act and connect 15 minutes prior to the FDA determines that labeling for this (Pub. L. 92–463), notice is hereby given meeting in order for logistics to be set of the following meeting: drug product should be revised to meet up. Call (301) 443–9684 or send an current standards, the Agency will Name: CDC/HRSA Advisory email to [email protected] if you have advise ANDA applicants to submit such Committee on HIV, Viral Hepatitis and any questions, or send an email to labeling. STD Prevention and Treatment [email protected] if you are having (CHACHSPT). trouble connecting to the meeting site.

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Purpose: This Committee is charged SUPPLEMENTARY INFORMATION: On May Background with advising the Director, CDC, and the 21, 1999, the PHS review process was Under the 1961 international Single Acting Administrator, HRSA, regarding established in response to enhanced Convention on Narcotic Drugs activities related to prevention and interest by the biomedical research (amended in 1972), cannabis is control of HIV/AIDS, Viral Hepatitis and community in determining the potential designated a Schedule I substance, and other STDs, the support of health care therapeutic benefits of marijuana. The participating countries are required to services to persons living with HIV/ original notice of policy change can be restrict production, manufacture, AIDS, and the education of health found at http://grants.nih.gov/grants/ possession, and distribution of professionals and the public about HIV/ guide/notice-files/not99-091.html. The marijuana except for medical and AIDS, Viral Hepatitis, and other STDs. PHS review process, which includes a scientific purposes. The Drug Agenda: Agenda items include: (1) committee review of study protocols, Enforcement Administration (DEA) Discuss and vote on the ‘‘Resolution to helped create a pathway for non- regulates the cultivation of marijuana express CHACHSPT’s recognition on the federally funded researchers to conduct for research purposes through licensing 25th Anniversary of the Ryan White these studies. In order to further requirements and establishment of CARE Act’’; and (2) hear the orientation facilitate research, HHS recently re- annual aggregate production quotas session and discuss the purpose and evaluated the PHS review procedures to under the authority of the 1970 role of the CHACHSPT. Agenda items identify opportunities for increased Controlled Substances Act (CSA), which are subject to change as priorities efficiency. The Office of the Assistant implements the Single Convention. dictate. Secretary for Health (OASH), in Marijuana for use in research can be FOR FURTHER INFORMATION CONTACT: consultation with the National Institutes obtained through the NIDA Drug Supply Shelley B. Gordon, Senior Public Health of Health (NIH) and FDA, determined Program. All applicants must fulfill the Analyst, Health Resources and Services that the PHS review overlaps in several following criteria: Administration, HIV/AIDS Bureau, important ways with FDA’s IND process For non-NIH funded human research Division of Policy and Data, 5600 and is no longer necessary to support projects: the conduct of scientifically-sound Fishers Lane, Room 7C–26, Rockville, 1. Demonstrate scientific validity and Maryland 20857, telephone (301) 443– studies into the potential therapeutic uses of marijuana. The PHS review ethical soundness through review by the 9684, fax (301) 443–3343, or email FDA’s IND process. Research protocols [email protected]. committee considers the following: Research quality; incorporation of will undergo a scientific review which Jackie Painter, elements of good clinical and laboratory assures the safety and rights of subjects Director, Division of the Executive Secretariat. research practices; emphasis on and the scientific quality of the clinical investigations, and assesses the [FR Doc. 2015–15283 Filed 6–22–15; 8:45 am] adequate and well-controlled clinical likelihood that investigations will yield BILLING CODE 4165–15–P studies; and development of dosage forms of marijuana that would be an data capable of meeting the statutory standards for drug marketing approval; alternative to smoked marijuana. The and DEPARTMENT OF HEALTH AND FDA’s IND review process considers HUMAN SERVICES 2. Possess a DEA registration for similar research characteristics: marijuana, a Schedule I controlled Adherence to good clinical and substance under the CSA. Announcement of Revision to the laboratory practices; whether pivotal Department of Health and Human clinical trials to support the marketing For NIH-funded projects: Services Guidance on Procedures for of proposed drug products are adequate the Provision of Marijuana for Medical 1. Demonstrate scientific validity and and well-controlled; and the therapeutic ethical soundness through the NIH grant Research as Published on May 21, benefits and risks to study subjects, 1999. review process which consists of three favoring dosage forms that would steps: (1) The NIH peer review system, AGENCY: Office of the Secretary, Office provide measured and consistent dosing which assesses the scientific and of the Assistant Secretary for Health, to patients as well as reduced exposure technical merit of all grant applications; Department of Health and Human to potentially harmful constituents. (2) the National Advisory Council of the Services. Therefore, while not identical, the two funding institute, comprising eminent processes have similar goals (e.g., ACTION: Notice. scientists as well as public members; guiding research on drug development and (3) the funding institute’s Director, SUMMARY: Announcement of the and assuring appropriate treatment of who makes the final funding decision elimination of the Public Health Service human subjects), share similar criteria on the merit of an application, based on (PHS) review of non-federally funded for protocol reviews, and possess peer review, public health significance, research protocols involving marijuana similar capacity to engage with federal and institute priorities. To find studies and the utilization of the existing Food experts for consultation. Based on these approved through the NIH review and Drug Administration (FDA) considerations, and in order to process go to: http://projectreporter. Investigational New Drug (IND) process streamline the application and approval nih.gov/reporter.cfm; for drug development. processes for cannabis research, the 2. Have an active-status IND committee that conducts the PHS application on file with the FDA (for DATES: Effective June 2015. review shall be eliminated. Below are human research only), which has been ADDRESSES: Not applicable. instructions for researchers interested in evaluated by FDA and found safe to FOR FURTHER INFORMATION CONTACT: the acquisition of cannabis for medical proceed. For additional information go Christine Cichetti, Office of the research. Complete guidance can be to: http://www.fda.gov/Drugs/ Assistant Secretary for Health, U.S. found on the NIH/National Institute on DevelopmentApprovalProcess/How Department of Health and Human Drug Abuse (NIDA) Web site: (http:// DrugsareDevelopedandApproved/ Services; telephone (202) 619–0242; www.drugabuse.gov/researchers/ ApprovalApplications/Investigational email: Christine.Cichetti@ research-resources/nida-drug-supply- NewDrugINDApplication/default.htm; samhsa.hhs.gov. program). and

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3. Possess a DEA registration for Contact Person: Rita Anand, Ph.D., Dated: June 17, 2015. marijuana, a Schedule I controlled Scientific Review Officer, Scientific Review Michelle Trout, substance under the CSA. Branch, Eunice Kennedy Shriver National Program Analyst, Office of Federal Advisory Once the above steps have been Institute of Child Health And Human Committee Policy. completed, investigators should contact Development, NIH, 6100 Executive Boulevard, Room 5B01, Bethesda, MD [FR Doc. 2015–15303 Filed 6–22–15; 8:45 am] the NIDA Drug Supply Program to place 20892–9304, (301) 496–1487, anandr@ BILLING CODE 4140–01–P an order for marijuana with specific mail.nih.gov. characteristics with regard to (Catalogue of Federal Domestic Assistance concentrations of delta-9-tetrahydro- Program Nos. 93.864, Population Research; DEPARTMENT OF HEALTH AND cannabinol (THC), cannabidiol (CBD), 93.865, Research for Mothers and Children; HUMAN SERVICES and other cannabinoids. The program 93.929, Center for Medical Rehabilitation official will verify that the application is Research; 93.209, Contraception and National Institutes of Health complete (with all the above-mentioned Infertility Loan Repayment Program, National steps fulfilled), and forward the order Institutes of Health, HHS) National Institute of Environmental on to the contractor responsible for Health Sciences; Notice of Closed Dated: June 17, 2015. Meetings shipping the marijuana. While not Michelle Trout, required in all cases, it is recommended Program Analyst, Office of Federal Advisory Pursuant to section 10(d) of the that researchers contact the NIDA Drug Committee Policy. Federal Advisory Committee Act, as Supply Program early in the planning of [FR Doc. 2015–15301 Filed 6–22–15; 8:45 am] amended (5 U.S.C. App.), notice is a study to obtain information on specific BILLING CODE 4140–01–P hereby given of the following meetings. strains of marijuana available so that The meetings will be closed to the this information can be included in the public in accordance with the protocol and IND (http:// DEPARTMENT OF HEALTH AND provisions set forth in sections www.drugabuse.gov/researchers/ HUMAN SERVICES 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., research-resources/nida-drug-supply- as amended. The grant applications and program). National Institutes of Health the discussions could disclose Dated: June 17, 2015. confidential trade secrets or commercial Karen B. DeSalvo, National Center For Complementary & property such as patentable material, Integrative Health; Notice of Closed Acting Assistant Secretary for Health. and personal information concerning Meeting [FR Doc. 2015–15479 Filed 6–22–15; 8:45 am] individuals associated with the grant applications, the disclosure of which BILLING CODE 4150–28–P Pursuant to section 10(d) of the would constitute a clearly unwarranted Federal Advisory Committee Act, as invasion of personal privacy. amended (5 U.S.C. App.), notice is DEPARTMENT OF HEALTH AND hereby given of the following meeting. Name of Committee: National Institute of HUMAN SERVICES Environmental Health Sciences Special The meeting will be closed to the Emphasis Panel—NIEHS Outstanding New National Institutes of Health public in accordance with the Environmental Scientist Review Meeting. provisions set forth in sections Date: July 16, 2015. Eunice Kennedy Shriver National 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Time: 8:00 a.m. to 5:00 p.m. Institute of Child Health and Human as amended. The grant applications and Agenda: To review and evaluate grant Development; Notice of Closed the discussions could disclose applications. Meeting confidential trade secrets or commercial Place: Hilton Garden Inn Durham Southpoint, 7007 Fayetteville Road, Durham, Pursuant to section 10(d) of the property such as patentable material, NC 27713. Federal Advisory Committee Act, as and personal information concerning Contact Person: Janice B. Allen, Ph.D., amended (5 U.S.C. App.), notice is individuals associated with the grant Scientific Review Officer, Scientific Review hereby given of the following meeting. applications, the disclosure of which Branch, Division of Extramural Research and The meeting will be closed to the would constitute a clearly unwarranted Training, Nat. Institute of Environmental invasion of personal privacy. Health Science, P.O. Box 12233, MD EC–30/ public in accordance with the Room 3170 B, Research Triangle Park, NC provisions set forth in section 552b(c)(4) Name of Committee: National Center for 27709, 919/541–7556. and 552b(c)(6), Title 5 U.S.C., as Complementary and Integrative Health Name of Committee: National Institute of amended. The grant applications and Special Emphasis Panel Clinical Research. Environmental Health Sciences Special the discussions could disclose Date: July 16, 2015. Emphasis Panel—Review of Conferences in confidential trade secrets or commercial Time: 12:00 p.m. to 5:00 p.m. Environmental Health. property such as patentable material, Agenda: To review and evaluate grant Date: July 16, 2015. applications. and personal information concerning Time: 12:00 p.m. to 5:00 p.m. Place: National Institutes of Health, Agenda: To review and evaluate grant individuals associated with the grant Democracy Two, Suite 401, 6707 Democracy applications, the disclosure of which applications. Boulevard, Bethesda, MD 20892 (Virtual Place: NIEHS/National Institutes of Health, would constitute a clearly unwarranted Meeting). Keystone Building, 530 Davis Drive, Research invasion of personal privacy. Contact Person: Hungyi Shau, Ph.D., Triangle Park, NC 27709, (Telephone Name of Committee: National Institute of Scientific Review Officer, National Center for Conference Call). Child Health and Human Development Complementary and Integrative Health, Contact Person: Sally Eckert-Tilotta, Ph.D., Special Emphasis Panel; CHRCDA/K12. National Institutes of Health, 6707 Scientific Review Officer, Nat. Institute of Date: July 21, 2015. Democracy Boulevard, Suite 401, Bethesda, Environmental Health Sciences, Office of Time: 8:00 a.m. to 5:00 p.m. MD 20892, Phone: 301–402–1030, Program Operations, Scientific Review Agenda: To review and evaluate grant [email protected]. Branch, P.O. Box 12233, Research Triangle applications. (Catalogue of Federal Domestic Assistance Park, NC 27709, (919) 541–1446, eckertt1@ Place: Doubletree Hotel Bethesda, Program Nos. 93.213, Research and Training niehs.nih.gov. (Formerly Holiday Inn Select), 8120 in Complementary and Alternative Medicine, (Catalogue of Federal Domestic Assistance Wisconsin Avenue, Bethesda, MD 20814. National Institutes of Health, HHS) Program Nos. 93.115, Biometry and Risk

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Estimation—Health Risks from Contact Person: Kristin Goltry, Ph.D. Place: National Institutes of Health, 6701 Environmental Exposures; 93.142, NIEHS Scientific Review Officer, Office of Scientific Rockledge Drive, Bethesda, MD 20892, Hazardous Waste Worker Health and Safety Review/DERA, National Heart, Lung, and (Virtual Meeting). Training; 93.143, NIEHS Superfund Blood Institute, 6701 Rockledge Drive, Room Contact Person: Wei-Qin Zhao, Ph.D., Hazardous Substances—Basic Research and 7198, Bethesda, MD 20892, 301–435–0297, Scientific Review Officer, Center for Education; 93.894, Resources and Manpower [email protected]. Scientific Review, National Institutes of Development in the Environmental Health Name of Committee: National Heart, Lung, Health, 6701 Rockledge Drive, Room 5181 Sciences; 93.113, Biological Response to and Blood Institute Special Emphasis MSC 7846, Bethesda, MD 20892–7846, 301– Environmental Health Hazards; 93.114, Panel—Vascular Dysfunction in Severe 435–1236, [email protected]. Applied Toxicological Research and Testing, Malaria. This notice is being published less than 15 National Institutes of Health, HHS) Date: July 14, 2015. days prior to the meeting due to the timing limitations imposed by the review and Dated: June 17, 2015. Time: 8:00 a.m. to 5:00 p.m. Agenda: To review and evaluate grant funding cycle. Carolyn Baum, applications. (Catalogue of Federal Domestic Assistance Program Analyst, Office of Federal Advisory Place: The Embassy Row Hotel, 2015 Program Nos. 93.306, Comparative Medicine; Committee Policy. Massachusetts Avenue NW., Washington, DC 93.333, Clinical Research, 93.306, 93.333, [FR Doc. 2015–15305 Filed 6–22–15; 8:45 am] 20036. 93.337, 93.393–93.396, 93.837–93.844, BILLING CODE 4140–01–P Contact Person: Susan Wohler Sunnarborg, 93.846–93.878, 93.892, 93.893, National Ph.D. Scientific Review Officer, Office of Institutes of Health, HHS) Scientific Review/DERA, National, Heart, DEPARTMENT OF HEALTH AND Lung, and Blood Institute, 6701 Rockledge Dated: June 17, 2015. HUMAN SERVICES Drive, Room 7182, Bethesda, MD 20892, David Clary, [email protected]. Program Analyst, Office of Federal Advisory National Institutes of Health (Catalogue of Federal Domestic Assistance Committee Policy. Program Nos. 93.233, National Center for [FR Doc. 2015–15307 Filed 6–22–15; 8:45 am] National Heart, Lung, and Blood Sleep Disorders Research; 93.837, Heart and BILLING CODE 4140–01–P Institute; Notice of Closed Meetings. Vascular Diseases Research; 93.838, Lung Diseases Research; 93.839, Blood Diseases Pursuant to section 10(d) of the and Resources Research, National Institutes DEPARTMENT OF HEALTH AND Federal Advisory Committee Act, as of Health, HHS) HUMAN SERVICES amended (5 U.S.C. App.), notice is Dated: June 17, 2015. hereby given of the following meetings. Michelle Trout, National Institutes of Health The meetings will be closed to the Program Analyst, Office of Federal Advisory public in accordance with the Committee Policy. Eunice Kennedy Shriver National provisions set forth in sections Institute of Child Health and Human 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., [FR Doc. 2015–15302 Filed 6–22–15; 8:45 am] Development; Notice of Closed as amended. The grant applications and BILLING CODE 4140–01–P Meeting the discussions could disclose confidential trade secrets or commercial Pursuant to section 10(d) of the DEPARTMENT OF HEALTH AND Federal Advisory Committee Act, as property such as patentable material, HUMAN SERVICES and personal information concerning amended (5 U.S.C. App.), notice is individuals associated with the grant hereby given of the following meeting. National Institutes of Health The meeting will be closed to the applications, the disclosure of which public in accordance with the would constitute a clearly unwarranted Center for Scientific Review; Notice of provisions set forth in section 552b(c)(4) invasion of personal privacy. Closed Meeting and 552b(c)(6), Title 5 U.S.C., as Name of Committee: National Heart, Lung, amended. The grant applications and Pursuant to section 10(d) of the and Blood Institute Special Emphasis the discussions could disclose Federal Advisory Committee Act, as Panel—Heart, Lung, and Blood— confidential trade secrets or commercial amended (5 U.S.C. App.), notice is Atherosclerosis. property such as patentable material, Date: July 10, 2015. hereby given of the following meeting. and personal information concerning Time: 11:00 a.m. to 2:00 p.m. The meeting will be closed to the Agenda: To review and evaluate grant individuals associated with the grant applications. public in accordance with the applications, the disclosure of which Place: National Institutes of Health, 6701 provisions set forth in sections would constitute a clearly unwarranted Rockledge Drive, Room 7198, Bethesda, MD 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., invasion of personal privacy. 20892 (Telephone Conference Call). as amended. The grant applications and Name of Committee: National Institute of Contact Person: Kristin Goltry, Ph.D. the discussions could disclose Child Health and Human Development Scientific Review Officer, Office of Scientific confidential trade secrets or commercial Special Emphasis Panel. Review/DERA, National Heart, Lung, and property such as patentable material, Date: August 13, 2015. Blood Institute, 6701 Rockledge Drive, Room and personal information concerning Time: 2:00 p.m. to 4:00 p.m. 7198, Bethesda, MD 20892, 301–435–0297, individuals associated with the grant Agenda: To review and evaluate grant [email protected]. applications, the disclosure of which applications. Name of Committee: National Heart, Lung, would constitute a clearly unwarranted Place: National Institutes of Health, 6100 and Blood Institute Special Emphasis invasion of personal privacy. Executive Boulevard, Rockville, MD 20852, Panel—Onsite Tools and Technologies for (Telephone Conference Call). Heart, Lung, and Blood Clinical Research Name of Committee: Center for Scientific Contact Person: Sherry L. Dupere, Ph.D., Point-of-Care. Review Special Emphasis Panel, Member Chief, Scientific Review Branch, Scientific Date: July 13, 2015. Conflict: Neurobiology of Sensory, Review Branch, Eunice Kennedy Shriver Time: 8:00 a.m. to 5:00 p.m. Perception and Cognition. National Institute of Child Health and Agenda: To review and evaluate grant Date: June 25, 2015. Human Development, NIH, 6100 Executive applications. Time: 10:00 a.m. to 7:00 p.m. Boulevard, Room 5B01, Bethesda, MD Place: Bethesda Marriott Suites, 6711 Agenda: To review and evaluate grant 20892–9304, (301) 451–3415, duperes@ Democracy Boulevard, Bethesda, MD 20817. applications mail.nih.gov.

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(Catalogue of Federal Domestic Assistance Name of Committee: Center for Scientific Place: National Institutes of Health, 6701 Program Nos. 93.864, Population Research; Review Special Emphasis Panel; RFA–RM– Rockledge Drive, Bethesda, MD 20892 93.865, Research for Mothers and Children; 14–009: 4D Nucleome Imaging Tools. (Telephone Conference Call). 93.929, Center for Medical Rehabilitation Date: July 22, 2015. Contact Person: Andrea B. Kelly, Ph.D., Research; 93.209, Contraception and Time: 8:00 a.m. to 6:00 p.m. Scientific Review Officer, Center for Infertility Loan Repayment Program, National Agenda: To review and evaluate grant Scientific Review, National Institutes of Institutes of Health, HHS) applications. Health, 6701 Rockledge Drive, Room 3182, Dated: June 17, 2015. Place: Embassy Suites at the Chevy Chase MSC 7770, Bethesda, MD 20892, (301) 455– Michelle Trout, Pavilion, 4300 Military Road, NW, 1761, [email protected]. Washington, DC 20015. Program Analyst, Office of Federal Advisory Contact Person: Maria DeBernardi, Ph.D., (Catalogue of Federal Domestic Assistance Committee Policy. Scientific Review Officer, Center for Program Nos. 93.306, Comparative Medicine; [FR Doc. 2015–15300 Filed 6–22–15; 8:45 am] Scientific Review, National Institutes of 93.333, Clinical Research, 93.306, 93.333, BILLING CODE 4140–01–P Health, 6701 Rockledge Drive, Room 6158, 93.337, 93.393–93.396, 93.837–93.844, MSC 7892, Bethesda, MD 20892, 301–435– 93.846–93.878, 93.892, 93.893, National 1355, [email protected]. Institutes of Health, HHS) DEPARTMENT OF HEALTH AND Name of Committee: Center for Scientific HUMAN SERVICES Review Special Emphasis Panel; Member Dated: June 17, 2015. Conflict: Alcohol and Heavy Metals. Melanie J. Gray, National Institutes of Health Date: July 22–23, 2015. Program Analyst, Office of Federal Advisory Time: 8:00 a.m. to 5:00 p.m. Committee Policy. Center For Scientific Review; Notice of Agenda: To review and evaluate grant [FR Doc. 2015–15298 Filed 6–22–15; 8:45 am] Closed Meetings applications. Place: National Institutes of Health, 6701 BILLING CODE 4140–01–P Pursuant to section 10(d) of the Rockledge Drive, Bethesda, MD 20892 Federal Advisory Committee Act, as (Virtual Meeting). amended (5 U.S.C. App.), notice is Contact Person: Michael Selmanoff, Ph.D., DEPARTMENT OF HEALTH AND hereby given of the following meetings. Scientific Review Officer, Center for HUMAN SERVICES The meetings will be closed to the Scientific Review, National Institutes of public in accordance with the Health, 6701 Rockledge Drive, Room 5164, National Institutes of Health provisions set forth in sections MSC 7844, Bethesda, MD 20892, 301–435– 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., 1119, [email protected]. National Institute on Aging; Notice of as amended. The grant applications and Name of Committee: Center for Scientific Closed Meeting the discussions could disclose Review Special Emphasis Panel; Cell Biology confidential trade secrets or commercial Member Conflicts. Pursuant to section 10(d) of the property such as patentable material, Date: July 22, 2015. Federal Advisory Committee Act, as and personal information concerning Time: 11:00 a.m. to 3:00 p.m. amended (5 U.S.C. App.), notice is Agenda: To review and evaluate grant individuals associated with the grant hereby given of the following meeting. applications. applications, the disclosure of which Place: National Institutes of Health, 6701 The meeting will be closed to the would constitute a clearly unwarranted Rockledge Drive, Bethesda, MD 20892 public in accordance with the invasion of personal privacy. (Virtual Meeting). provisions set forth in sections Name of Committee: Center for Scientific Contact Person: Wallace Ip, Ph.D., 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Review Special Emphasis Panel; Topics in Scientific Review Officer, Center for as amended. The grant applications and Drug Discovery and Mechanisms of Scientific Review, National Institutes of the discussions could disclose Antimicrobial Resistance. Health, 6701 Rockledge Drive, Room 5128, confidential trade secrets or commercial Date: July 17, 2015. MSC 7840, Bethesda, MD 20892, 301–435– property such as patentable material, 1191, [email protected]. Time: 8:00 a.m. to 6:00 p.m. and personal information concerning Agenda: To review and evaluate grant Name of Committee: Center for Scientific applications. individuals associated with the grant Review Special Emphasis Panel; PAR13–345: applications, the disclosure of which Place: InterContinental Chicago Hotel, 505 Development of Appropriate Pediatric North Michigan Avenue, Chicago, IL 60611. Formulations and Pediatric Drug Delivery would constitute a clearly unwarranted Contact Person: Guangyong Ji, Ph.D., Systems. invasion of personal privacy. Scientific Review Officer, Center for Date: July 22, 2015. Name of Committee: National Institute on Scientific Review, National Institutes of Time: 11:00 a.m. to 1:00 p.m. Health, 6701 Rockledge Drive, Room 3211, Aging Special Emphasis Panel; The Midlife Agenda: To review and evaluate grant Study. MSC 7808, Bethesda, MD 20892, 301–435– applications. 1146, [email protected]. Date: July 27, 2015. Place: National Institutes of Health, 6701 Name of Committee: Center for Scientific Time: 11:00 a.m. to 2:00 p.m. Rockledge Drive, Bethesda, MD 20892, Agenda: To review and evaluate grant Review Special Emphasis Panel; Member (Telephone Conference Call). applications. Conflict: Pain and Chemosensory Contact Person: Kristin Kramer, Ph.D., Place: National Institute on Aging, Mechanisms. Scientific Review Officer, Center for Gateway Building, Suite 2C212, 7201 Date: July 22–23, 2015. Scientific Review, National Institutes of Time: 8:00 a.m. to 6:00 p.m. Health, 6701 Rockledge Drive, Room 5205, Wisconsin Avenue, Bethesda, MD 20892, Agenda: To review and evaluate grant MSC 7846, Bethesda, MD 20892, (301) 437– (Telephone Conference Call). applications. 0911, [email protected] Contact Person: Kimberly Firth, Ph.D., Place: National Institutes of Health, 6701 National Institutes of Health, National Name of Committee: Center for Scientific Rockledge Drive, Bethesda, MD 20892 Institute on Aging, Gateway Building, 7201 Review Special Emphasis Panel; PAR 12– (Virtual Meeting). Wisconsin Avenue, Suite 2C212, Bethesda, Contact Person: John Bishop, Ph.D., 251: Behavioral Science Track Award for MD 20892, 301–402–7702, firthkm@ Scientific Review Officer, Center for Rapid Transition Review. Scientific Review, National Institutes of Date: July 22, 2015. mail.nih.gov. Health, 6701 Rockledge Drive, Room 5182, Time: 11:00 a.m. to 12:00 p.m (Catalogue of Federal Domestic Assistance MSC 7844, Bethesda, MD 20892, (301) 408– Agenda: To review and evaluate grant Program Nos. 93.866, Aging Research, 9664, [email protected]. applications. National Institutes of Health, HHS)

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Dated: June 17, 2015. DEPARTMENT OF HEALTH AND Contact Person: Gerald G. Lovinger, Ph.D., Melanie J. Gray, HUMAN SERVICES Scientific Review Officer, Research and Technology and Contract Review Branch, Program Analyst, Office of Federal Advisory National Institutes of Health Division of Extramural Activities, National Committee Policy. Cancer Institute, NIH, 9609 Medical Center [FR Doc. 2015–15309 Filed 6–22–15; 8:45 am] National Cancer Institute; Notice of Drive, Room 7W266, Rockville, MD 20850, BILLING CODE 4140–01–P Closed Meetings 240–276–6385, [email protected]. Name of Committee: National Cancer Pursuant to section 10(d) of the Institute Special Emphasis Panel; Innovative DEPARTMENT OF HEALTH AND Federal Advisory Committee Act, as Molecular Analysis Technologies for Cancer HUMAN SERVICES amended (5 U.S.C. App.), notice is Research (R21). hereby given of the following meetings. Date: August 4, 2015. The meetings will be closed to the Time: 7:30 a.m. to 6:00 p.m. National Institutes of Health Agenda: To review and evaluate grant public in accordance with the applications. National Institute of Neurological provisions set forth in sections Place: Bethesda North Marriott Hotel & Disorders and Stroke; Notice of Closed 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Conference Center, 5701 Marinelli Road, Meetings as amended. The grant applications and Room Forest Glen, Bethesda, MD 20852. the discussions could disclose Contact Person: Jeffrey E. DeClue, Ph.D., Pursuant to section 10(d) of the confidential trade secrets or commercial Scientific Review Officer, Research Federal Advisory Committee Act, as property such as patentable material, Technology and Contract Review Branch, and personal information concerning Division of Extramural Activities, National amended (5 U.S.C. App.), notice is Cancer Institute, NIH, 9609 Medical Center hereby given of the following meeting. individuals associated with the grant Drive, Room 7W238, Bethesda, MD 20892– The meeting will be closed to the public applications, the disclosure of which 9750, 240–276–6371, [email protected]. in accordance with the provisions set would constitute a clearly unwarranted invasion of personal privacy. (Catalogue of Federal Domestic Assistance forth in sections 552b(c)(4) and Program Nos. 93.392, Cancer Construction; 552b(c)(6), Title 5 U.S.C., as amended. Name of Committee: National Cancer 93.393, Cancer Cause and Prevention The grant applications and the Institute Special Emphasis Panel; Omnibus- Research; 93.394, Cancer Detection and discussions could disclose confidential SEP 15 Genetic Mouse Models, Molecular Diagnosis Research; 93.395, Cancer trade secrets or commercial property Mechanisms of Therapy. Treatment Research; 93.396, Cancer Biology Date: July 14–15, 2015. such as patentable material, and Research; 93.397, Cancer Centers Support; Time: 11:00 a.m. to 5:00 p.m. 93.398, Cancer Research Manpower; 93.399, personal information concerning Agenda: To review and evaluate grant Cancer Control, National Institutes of Health, individuals associated with the grant applications. HHS) Place: National Cancer Institute Shady applications, the disclosure of which Dated: June 17, 2015. would constitute a clearly unwarranted Grove, 9609 Medical Center Drive, Rooms Melanie J. Gray, invasion of personal privacy. 2E030/1E030, Rockville, MD 20850, (Telephone Conference Call). Program Analyst, Office of Federal Advisory Name of Committee: National Institute of Contact Person: Nicholas J. Kenney, Ph.D., Committee Policy. Neurological Disorders and Stroke Special, Scientific Review Officer, Research [FR Doc. 2015–15310 Filed 6–22–15; 8:45 am] Technology and Contract Review Branch, Emphasis Panel; Review of Blood Brain BILLING CODE 4140–01–P Barrier Application. Division of Extramural Activities, National Date: July 21, 2015. Cancer Institute, NIH, 9609 Medical Center Time: 9:00 a.m. to 12:30 p.m. Drive, Room 7W246, Rockville, MD 20850, DEPARTMENT OF HEALTH AND 240–276–6374 [email protected]. Agenda: To review and evaluate grant HUMAN SERVICES applications. Name of Committee: National Cancer Place: National Institutes of Health, Institute Special Emphasis Panel; Advanced National Institutes of Health Development of Technologies for Cancer Neuroscience Center, 6001 Executive Research (R33). Boulevard, Rockville, MD 20852 (Telephone Prospective Grant of Start-up Date: July 22, 2015. Exclusive Evaluation Option License: Conference Call). Time: 11:00 a.m. to 4:00 p.m. Contact Person: Natalia Strunnikova, Agenda: To review and evaluate grant A Novel HIV–1 Entry Inhibitor Ph.D., Scientific Review Officer, Scientific applications. AGENCY: National Institutes of Health, Review Branch, Division of Extramural Place: National Cancer Institute Shady HHS. Research, NINDS/NIH/DHHS/Neuroscience Grove, 9609 Medical Center Drive, Room Center, 6001 Executive Boulevard, Suite 2W914, Rockville, MD 20850, (Telephone ACTION: Notice. Conference Call). 3208, MSC 9529, Bethesda, MD 20892, 301– SUMMARY: This is notice, in accordance 496–3755, [email protected]. Contact Person: Jeffrey E. DeClue, Ph.D., Scientific Review Officer, Research with 35 U.S.C. 209 and 37 CFR part 404, (Catalogue of Federal Domestic Assistance Technology and Contract Review Branch, that the National Institutes of Health, Program Nos. 93.853, Clinical Research Division of Extramural Activities, National Department of Health and Human Related to Neurological Disorders; 93.854, Cancer Institute, NIH, 9609 Medical Center Services, is contemplating the grant of a Biological Basis Research in the Drive, Room 7W238, Bethesda, MD 20892– start-up exclusive evaluation option Neurosciences, National Institutes of Health, 9750, 240–276–6371, [email protected]. license agreement to practice the HHS) Name of Committee: National Cancer inventions embodied in U.S. Provisional Dated: June 17, 2015. Institute Special Emphasis Panel; Physical Patent Application No. 61/791,885 (NIH Sciences Oncology Projects. Carolyn Baum, Ref. No. E–033–2013/0–US–01), filed Date: July 28–29, 2015. March 15, 2013; International PCT Program Analyst, Office of Federal Advisory Time: 6:00 p.m. to 6:00 p.m. Committee Policy. Agenda: To review and evaluate grant Application No. PCT/US2014/024120 applications. (NIH Ref. No. E–033–2013/1–PCT–01), [FR Doc. 2015–15306 Filed 6–22–15; 8:45 am] Place: Doubletree Hotel Bethesda, filed March 12, 2014; all entitled, BILLING CODE 4140–01–P (Formerly Holiday Inn Select), 8120 ‘‘Stabilized Single Human CD4 Domains Wisconsin Avenue Bethesda, MD 20814. and Fusion Proteins;’’ and all

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continuing applications and foreign bearing and will comply with the terms MD 20892–7968, 301–594–4937, huangz@ counterparts to Absino Co., Ltd, a and conditions of 35 U.S.C. 209 and 37 mail.nih.gov. company having a place of business in CFR part 404. The prospective start-up (Catalogue of Federal Domestic Assistance Beijing, China. exclusive evaluation option license may Program No. 93.879, Medical Library The patent rights in these inventions be granted unless within fifteen (15) Assistance, National Institutes of Health, have (a) been assigned to the United days from the date of this published HHS) States of America, as represented by the notice, the NIH receives written Dated: June 17, 2015. Secretary, Department of Health and evidence and argument that establishes Michelle Trout, Human Services who has delegated that the grant of the license would not Program Analyst, Office of the Federal authority for the licensing of inventions be consistent with the requirements of Advisory Committee Policy. to the National Institutes of Health or (b) 35 U.S.C. 209 and 37 CFR part 404. [FR Doc. 2015–15299 Filed 6–22–15; 8:45 am] been exclusively licensed to the Applications for a license in the field BILLING CODE 4140–01–P National Institutes of Health. of use filed in response to this notice The prospective start-up exclusive will be treated as objections to the grant evaluation option license territory may of the contemplated start-up exclusive DEPARTMENT OF HEALTH AND be China, the U.S., and Europe, and the evaluation option license. Comments HUMAN SERVICES field of use may be limited to the and objections submitted to this notice development of bispecific multivalent will not be made available for public National Institutes of Health human immunodeficiency virus type 1 inspection and, to the extent permitted (HIV–1) neutralizing fusion proteins as by law, will not be released under the Center for Scientific Review; Notice of HIV entry inhibitors for the treatment of Freedom of Information Act, 5 U.S.C. Closed Meetings. HIV infections. 552. Upon the expiration or termination of Pursuant to section 10(d) of the the start-up exclusive evaluation option Dated: June 16, 2015. Federal Advisory Committee Act, as license, Absino Co., Ltd will have the Richard U. Rodriguez, amended (5 U.S.C. App.), notice is exclusive right to execute an exclusive Acting Director, Office of Technology hereby given of the following meetings. commercialization license which will Transfer, National Institutes of Health. The meetings will be closed to the supersede and replace the start-up [FR Doc. 2015–15334 Filed 6–22–15; 8:45 am] public in accordance with the exclusive evaluation option license with BILLING CODE 4140–01–P provisions set forth in sections no greater field of use and territory than 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., granted in the start-up exclusive as amended. The grant applications and evaluation option license. DEPARTMENT OF HEALTH AND the discussions could disclose DATES: Only written comments and/or HUMAN SERVICES confidential trade secrets or commercial property such as patentable material, applications for a license which are National Institutes of Health received by the NIH Office of and personal information concerning Technology Transfer on or before July 8, National Library of Medicine; Notice of individuals associated with the grant 2015 will be considered. Closed Meeting applications, the disclosure of which ADDRESSES: Requests for copies of the would constitute a clearly unwarranted patent application, inquiries, comments, Pursuant to section 10(d) of the invasion of personal privacy. and other materials relating to the Federal Advisory Committee Act, as Name of Committee: Center for Scientific contemplated start-up exclusive amended (5 U.S.C. App), notice is Review Special Emphasis Panel; evaluation option license should be hereby given of the following meeting. Fellowships: Endocrinology, Metabolism, directed to: Sally Hu, Ph.D., M.B.A., The meeting will be closed to the Nutrition and Reproductive Sciences. Senior Licensing and Patenting Date: July 14, 2015. public in accordance with the Time: 8:00 a.m. to 5:00 p.m. Manager, Office of Technology Transfer, provisions set forth in sections Agenda: To review and evaluate grant National Institutes of Health, 6011 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., applications. Executive Boulevard, Suite 325, as amended. The grant applications and Place: National Institutes of Health, 6701 Rockville, MD 20852–3804; Telephone: the discussions could disclose Rockledge Drive, Bethesda, MD 20892 (301) 435–5606; Facsimile: (301) 402– confidential trade secrets or commercial (Virtual Meeting). 0220; Email: [email protected]. property such as patentable materials, Contact Person: Dianne Hardy, Ph.D., SUPPLEMENTARY INFORMATION: The and personal information concerning Scientific Review Officer, Center for subject technology is HIV–1 entry individuals associated with the grant Scientific Review, National Institutes of Health, 6701 Rockledge Drive, Room 6175, inhibitors that can neutralize many applications, the disclosure of which MSC 7892, Bethesda, MD 20892, 301–435– subtypes of HIV–1 isolates including would constitute a clearly unwarranted 1154, [email protected]. clade A–E and tropism R5 and X4 (using invasion of personal privacy. Name of Committee: AIDS and Related either CCR5 or CXCR4 co-receptor for Name of Committee: National Library of Research Integrated Review Group; entry). These entry inhibitors are fusion Medicine Special Emphasis Panel; Conflicts NeuroAIDS and other End-Organ Diseases proteins and have a potency about 10- R01/R21/R13. Study Section. fold higher than that of the broadly Date: July 30, 2015. Date: July 23, 2015. neutralizing antibody VRC01 that is in Time: 12:00 p.m. to 4:00 p.m. Time: 8:00 a.m. to 6:00 p.m. Phase I clinical trial, or 50-fold higher Agenda: To review and evaluate grant Agenda: To review and evaluate grant than that of the FDA approved HIV applications. applications. entry inhibitor Fuzeon. Therefore, these Place: National Library of Medicine, 6705 Place: Hyatt Regency Bethesda, One Rockledge Drive, Suite 301, Bethesda, MD Bethesda Metro Center, 7400 Wisconsin fusion proteins are promising drug 20817, (Telephone Conference Call). Avenue, Bethesda, MD 20814. candidates for HIV/AIDS prevention Contact Person: Zoe E. Huang, MD., Contact Person: Eduardo A Montalvo, and treatment. Scientific Review Officer, Extramural Ph.D., Scientific Review Officer, Center for The prospective start-up exclusive Programs, National Library of Medicine, NIH, Scientific Review, National Institutes of evaluation option license will be royalty 6705 Rockledge Drive, Suite 301, Bethesda, Health, 6701 Rockledge Drive, Room 5108,

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MSC 7852, Bethesda, MD 20892, (301) 435– Contact Person: Soheyla Saadi, Ph.D., Dated: June 17, 2015. 1168, [email protected]. Scientific Review Officer, Center for Michelle Trout, Name of Committee: Center for Scientific Scientific Review, National Institutes of Program Analyst, Office of Federal Advisory Review Special Emphasis Panel; PAR–13– Health, 6701 Rockledge Drive, Room 3211, Committee Policy. 327: Innovative Molecular Analysis MSC 7808, Bethesda, MD 20892, 301–435– [FR Doc. 2015–15304 Filed 6–22–15; 8:45 am] Technology Development for Cancer 0903, [email protected]. BILLING CODE 4140–01–P Research and Clinical Care. (Catalogue of Federal Domestic Assistance Date: July 23, 2015. Program Nos. 93.306, Comparative Medicine; Time: 8:00 a.m. to 6:00 p.m. 93.333, Clinical Research, 93.306, 93.333, Agenda: To review and evaluate grant 93.337, 93.393–93.396, 93.837–93.844, applications. DEPARTMENT OF HOMELAND 93.846–93.878, 93.892, 93.893, National Place: National Institutes of Health, 6701 SECURITY Rockledge Drive, Bethesda, MD 20892 Institutes of Health, HHS) (Telephone Conference Call). Dated: June 17, 2015. Federal Emergency Management Contact Person: Zhang-Zhi Hu, MD, Agency Scientific Review Officer, Center for David Clary, Scientific Review, National Institutes of Program Analyst, Office of Federal Advisory Health, 6701 Rockledge Drive, Room 6186, Committee Policy. [Internal Agency Docket No. FEMA–4223– MSC 7804, Bethesda, MD 20892, (301) 594– [FR Doc. 2015–15308 Filed 6–22–15; 8:45 am] DR; Docket ID FEMA–2015–0002] 2414, [email protected]. BILLING CODE 4140–01–P Name of Committee: Center for Scientific Texas; Amendment No. 1 to Notice of Review Special Emphasis Panel; a Major Disaster Declaration Musculoskeletal Rehabilitation. DEPARTMENT OF HEALTH AND Date: July 23, 2015. HUMAN SERVICES AGENCY: Federal Emergency Time: 2:00 p.m. to 5:00 p.m. Management Agency, DHS. Agenda: To review and evaluate grant applications. National Institutes of Health ACTION: Notice. Place: National Institutes of Health, 6701 Rockledge Drive, Bethesda, MD 20892 National Center For Complementary & SUMMARY: This notice amends the notice (Telephone Conference Call). Integrative Health; Notice of Closed of a major disaster declaration for the Contact Person: Rajiv Kumar, Ph.D., Chief, Meeting State of Texas (FEMA–4223–DR), dated MOSS IRG, Center for Scientific Review, May 29, 2015, and related National Institutes of Health, 6701 Rockledge Pursuant to section 10(d) of the determinations. Drive, Room 4216, MSC 7802, Bethesda, MD Federal Advisory Committee Act, as 20892, 301–435–1212, [email protected]. amended (5 U.S.C. App.), notice is DATES: Effective Date: June 5, 2015. Name of Committee: Center for Scientific hereby given of the following meeting. Review Special Emphasis Panel; FOA: FOR FURTHER INFORMATION CONTACT: RM15–002 Exploratory Technologies. The meeting will be closed to the Dean Webster, Office of Response and Date: July 24, 2015. public in accordance with the Recovery, Federal Emergency Time: 8:00 a.m. to 6:00 p.m. provisions set forth in sections Management Agency, 500 C Street SW., Agenda: To review and evaluate grant 552b(c)(4) and 552b(c)(6), Title 5 U.S.C., Washington, DC 20472, (202) 646–2833. applications. as amended. The grant applications and Place: The Embassy Row Hotel, 2015 SUPPLEMENTARY INFORMATION: The notice Massachusetts Avenue NW., Washington, DC the discussions could disclose of a major disaster declaration for the 20036. confidential trade secrets or commercial State of Texas is hereby amended to Contact Person: Robert C. Elliott, Ph.D., property such as patentable material, include the following areas among those Scientific Review Officer, Center for and personal information concerning areas determined to have been adversely Scientific Review, National Institutes of individuals associated with the grant affected by the event declared a major Health, 6701 Rockledge Drive, Room 3130, applications, the disclosure of which MSC 7850, Bethesda, MD 20892, 301–435– disaster by the President in his would constitute a clearly unwarranted declaration of May 29, 2015. 3009, [email protected]. invasion of personal privacy. Name of Committee: Center for Scientific Bastrop, Blanco, Caldwell, Denton, Review Special Emphasis Panel; Clinical Name of Committee: National Center for Eastland, Fort Bend, Guadalupe, Henderson, Neuroscience and Neurodegeneration. Complementary and Integrative Health Hidalgo, Johnson, Milam, Montague, Rusk, Date: July 24, 2015. Special Emphasis Panel; NCCIH Complex Smith, Travis, Wichita, Williamson, and Time: 8:30 a.m. to 5:00 p.m. Trials. Wise Counties for Individual Assistance. Agenda: To review and evaluate grant Date: July 13, 2015. Gaines and Navarro Counties for applications. Time: 1:00 p.m. to 4:00 p.m. Individual Assistance (already designated for Place: National Institutes of Health, 6701 Agenda: To review and evaluate grant Public Assistance). Rockledge Drive, Bethesda, MD 20892. applications. The following Catalog of Federal Domestic Contact Person: Alessandra C Rovescalli, Place: National Institutes of Health, Assistance Numbers (CFDA) are to be used Ph.D., Scientific Review Officer, National Democracy 2, Suite 401, 6707 Democracy for reporting and drawing funds: 97.030, Institutes of Health, Center for Scientific Boulevard, Bethesda, MD 20892 (Telephone Community Disaster Loans; 97.031, Cora Review, 6701 Rockledge Drive, Rm 5205 Conference Call). Brown Fund; 97.032, Crisis Counseling; MSC7846, Bethesda, MD 20892, (301) 435– Contact Person: Hungyi Shau, Ph.D., 97.033, Disaster Legal Services; 97.034, 1021, [email protected]. Scientific Review Officer, National Center for Disaster Unemployment Assistance (DUA); Name of Committee: Center for Scientific Complementary and Integrative Health, 97.046, Fire Management Assistance Grant; 97.048, Disaster Housing Assistance to Review Special Emphasis Panel; Member National Institutes of Health, 6707 Conflict: Topics in Bacterial Pathogenesis Individuals and Households In Presidentially Democracy Boulevard, Suite 401, Bethesda, and Host Interactions. Declared Disaster Areas; 97.049, MD 20892, 301–402–1030, Hungyi.Shau@ Date: July 24, 2015. Presidentially Declared Disaster Assistance— Time: 12:00 p.m. to 6:00 p.m. nih.gov. Disaster Housing Operations for Individuals Agenda: To review and evaluate grant (Catalogue of Federal Domestic Assistance and Households; 97.050 Presidentially applications. Program Nos. 93.213, Research and Training Declared Disaster Assistance to Individuals Place: National Institutes of Health, 6701 in Complementary and Alternative Medicine, and Households—Other Needs; 97.036, Rockledge Drive, Bethesda, MD 20892. National Institutes of Health, HHS) Disaster Grants—Public Assistance

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(Presidentially Declared Disasters); 97.039, (Presidentially Declared Disasters); 97.039, (2) Evaluate the accuracy of the Hazard Mitigation Grant. Hazard Mitigation Grant. agencies estimate of the burden of the W. Craig Fugate, W. Craig Fugate, proposed collection of information, including the validity of the Administrator, Federal Emergency Administrator, Federal Emergency methodology and assumptions used; Management Agency. Management Agency. (3) Enhance the quality, utility, and [FR Doc. 2015–15345 Filed 6–22–15; 8:45 am] [FR Doc. 2015–15342 Filed 6–22–15; 8:45 am] clarity of the information to be BILLING CODE 9111–23–P BILLING CODE 9111–23–P collected; and (4) Minimize the burden of the collection of information on those who DEPARTMENT OF HOMELAND DEPARTMENT OF HOMELAND are to respond, including through the SECURITY SECURITY use of appropriate automated, electronic, mechanical, or other Federal Emergency Management United States Immigration and Customs Enforcement technological collection techniques or Agency other forms of information technology, Agency Information Collection e.g., permitting electronic submission of [Internal Agency Docket No. FEMA–4222– Activities: Extension, With Change, of responses. DR; Docket ID FEMA–2015–0002] an Existing Information Collection; Overview of This Information Oklahoma; Amendment No. 5 to Notice Comment Request Collection of a Major Disaster Declaration ACTION: 30-Day Notice of Information (1) Type of Information Collection: Extension, with change, of an existing AGENCY: Federal Emergency Collection for Review; I–312/I–312A; Designation of Attorney in Fact/ information collection. Management Agency, DHS. (2) Title of the Form/Collection: Revocation of Attorney In Fact; OMB Designation of Attorney in Fact/ ACTION: Notice. Control No. 1653–0041. Revocation of Attorney in Fact. (3) Agency form number, if any, and SUMMARY: The Department of Homeland This notice amends the notice the applicable component of the Security, U.S. Immigration and Customs of a major disaster declaration for the Department of Homeland Security Enforcement (ICE), is submitting the State of Oklahoma (FEMA–4222–DR), sponsoring the collection: (I–312/I– following information collection request dated May 26, 2015, and related 312A); U.S. Immigration and Customs for review and clearance in accordance determinations. Enforcement. with the Paperwork Reduction Act of DATES: Effective Date: June 9, 2015. (4) Affected public who will be asked 1995. The information collection is or required to respond, as well as a brief FOR FURTHER INFORMATION CONTACT: published in the Federal Register to abstract: Primary: State, Local, or Tribal Dean Webster, Office of Response and obtain comments from the public and Government. Section 103.6, the Recovery, Federal Emergency affected agencies. The information Immigration and Nationality Act (INA), Management Agency, 500 C Street SW., collection was previously published in provides for the posting of surety or Washington, DC 20472, (202) 646–2833. the Federal Register on April 3, 2015, cash bonds. All bonds posted in Vol. 80 No. 18244 allowing for a 60 day immigration cases shall be executed on SUPPLEMENTARY INFORMATION: The notice comment period. No comments were of a major disaster declaration for the Form I–352, Immigration Bond, and received on this information collection. secured with some form of collateral by State of Oklahoma is hereby amended to The purpose of this notice is to allow an include the following areas among those an Obligor. In the case of a cash bond, additional 30 days for public comments. the Obligor will deposit with U.S. areas determined to have been adversely Written comments and suggestions affected by the event declared a major Immigration and Customs Enforcement regarding items contained in this notice, (ICE) the face value of the bond. The disaster by the President in his and especially with regard to the declaration of May 26, 2015. Obligor can designate a third party as an estimated public burden and associated Attorney in Fact to accept on their Canadian, Carter, Choctaw, Coal, Love, response time, should be directed to the behalf the return of the collateral Murray, and Okmulgee Counties for Public Office of Information and Regulatory security deposited to secure the surety Assistance. Affairs, Office of Management and bond upon cancellation of the bond or Le Flore and Pottawatomie Counties for Budget. Comments should be addressed performance of the Obligor. The Form Public Assistance (already designated for to the OMB Desk Officer for U.S. Individual Assistance). I–312, Designation of Attorney in Fact, Immigration and Customs Enforcement, is the instrument used by the Obligor to The following Catalog of Federal Domestic Department of Homeland Security, and Assistance Numbers (CFDA) are to be used officially designate their Attorney In sent via electronic mail to Fact. Upon receipt of a properly for reporting and drawing funds: 97.030, _ Community Disaster Loans; 97.031, Cora oira [email protected] or faxed executed Form I–312, ICE Financial Brown Fund; 97.032, Crisis Counseling; to (202) 395–5806. Operations will remit to the Attorney in 97.033, Disaster Legal Services; 97.034, Written comments and suggestions Fact the principal and interest on the Disaster Unemployment Assistance (DUA); from the public and affected agencies security deposit in the event of a bond 97.046, Fire Management Assistance Grant; concerning the proposed collection of cancellation, or the interest on the 97.048, Disaster Housing Assistance to information should address one or more security deposit in the event of a bond Individuals and Households In Presidentially of the following four points: breach. Immigration bonds might Declared Disaster Areas; 97.049, Presidentially Declared Disaster Assistance— (1) Evaluate whether the proposed remain in place for years, and Obligors Disaster Housing Operations for Individuals collection of information is necessary might choose to appoint a new Attorney and Households; 97.050 Presidentially for the proper performance of the In Fact as circumstances change. To Declared Disaster Assistance to Individuals functions of the agency, including ensure that ICE Financial Operations and Households—Other Needs; 97.036, whether the information will have properly executes its fiduciary duties to Disaster Grants—Public Assistance practical utility; the Obligor under the Form I–352 bond

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contract, and exercises due diligence in sent via electronic mail to oira_ (6) An estimate of the total public ensuring that remittances are made to [email protected] or faxed to burden (in hours) associated with the the proper person, ICE proposes to use (202) 395–5806. collection: 12,500 Annual burden hours. Form I–312A as the document by which Written comments and suggestions Dated: June 16, 2015. from the public and affected agencies the Obligor could expressly indicate Scott Elmore, that a previously valid Form I–312 concerning the proposed collection of information should address one or more Forms Management, U.S. Immigration and Attorney In Fact designation had been Customs Enforcement, Department of revoked. of the following four points: Homeland Security. (5) An estimate of the total number of (1) Evaluate whether the proposed [FR Doc. 2015–15282 Filed 6–22–15; 8:45 am] respondents and the amount of time collection of information is necessary BILLING CODE 9111–28–P estimated for an average respondent to for the proper performance of the respond: 12,500 responses at 30 minutes functions of the agency, including (.50 hours) per response. whether the information will have (6) An estimate of the total public practical utility; DEPARTMENT OF THE INTERIOR (2) Evaluate the accuracy of the burden (in hours) associated with the Fish and Wildlife Service collection: 6,250 annual burden hours. agencies estimate of the burden of the proposed collection of information, [FWS–R4–ES–2015–N114; Dated: June 18, 2015. including the validity of the FXES11120400000–156–FF04EF2000] Scott Elmore, methodology and assumptions used; Program Manager, Forms Management Office, (3) Enhance the quality, utility, and Endangered and Threatened Wildlife Office of the Chief Information Officer, U.S. clarity of the information to be and Plants; Receipt of Application for Immigration and Customs Enforcement, Incidental Take Permit Renewal; Department of Homeland Security. collected; and (4) Minimize the burden of the Availability of Low-Effect Habitat [FR Doc. 2015–15385 Filed 6–22–15; 8:45 am] collection of information on those who Conservation Plan and Associated BILLING CODE 9111–28–P are to respond, including through the Documents; Charlotte County, FL use of appropriate automated, AGENCY: Fish and Wildlife Service, electronic, mechanical, or other DEPARTMENT OF HOMELAND Interior. technological collection techniques or SECURITY ACTION: Notice of availability; request other forms of information technology, for comment/information. United States Immigration and e.g., permitting electronic submission of Customs Enforcement responses. SUMMARY: We, the Fish and Wildlife Overview of This Information Service (Service), announce the Agency Information Collection Collection availability of an incidental take permit Activities: Extension, With Changes, of (ITP) renewal application and a Habitat an Existing Information Collection; (1) Type of Information Collection: Conservation Plan (HCP). TAVCOR, LLC Comment Request Extension, with changes, of an existing (applicant) requests renewal of ITP information collection. TE207151–1 under the Endangered ACTION: 30-Day notice of information (2) Title of the Form/Collection: Species Act of 1973, as amended (Act). collection; File No. I–352, Immigration Immigration Bond. The applicant anticipates taking about Bond; OMB Control No. 1653–0022. (3) Agency form number, if any and 1.91 acres of feeding, breeding, and the applicable component of the sheltering habitat used by the Florida The Department of Homeland Department of Homeland Security scrub-jay (Aphelocoma coerulescens) Security, U.S. Immigration and Customs sponsoring the collection: I–352, U.S. (scrub-jay) incidental to land Enforcement (ICE), is submitting the Immigration and Customs Enforcement. preparation and construction in following information collection request (4) Affected public who will be asked Charlotte County, Florida. The for review and clearance in accordance or required to respond, as well as a brief applicant’s HCP describes proposed with the Paperwork Reduction Act of abstract: Primary: Individual or minimization measures and completed 1995. The information collection is Households; Business or other for-profit. mitigation measures to address the published in the Federal Register to The data collected on this collection effects of development on the covered obtain comments from the public and instrument is used by ICE to ensure that species. affected agencies. The information the person or company posting the bond collection was previously published in is aware of the duties and DATES: We must receive your written the Federal Register on March 30, 2015, responsibilities associated with the comments on the ITP application and Vol. 80 No. 16688 allowing for a 60 day bond. The collection instrument serves HCP on or before July 23, 2015. comment period. No comments were the purpose of instruction in the ADDRESSES: See the SUPPLEMENTARY received on this information collection. completion of the form, together with an INFORMATION section below for The purpose of this notice is to allow an explanation of the terms and conditions information on how to submit your additional 30 days for public comments. of the bond. Sureties have the capability comments on the ITP application and Written comments and suggestions of accessing, completing and submitting HCP. You may obtain a copy of the ITP regarding items contained in this notice, a bond electronically through ICE’s application and HCP by writing the and especially with regard to the eBonds system which encompasses the South Florida Ecological Services estimated public burden and associated I–352, while individuals are still Office, Attn: Permit number TE207151– response time should be directed to the required to complete the bond form 2, U.S. Fish and Wildlife Service, 1339 Office of Information and Regulatory manually. 20th Street, Vero Beach, FL 32960–3559. Affairs, Office of Management and (5) An estimate of the total number of In addition, we will make the ITP Budget. Comments should be addressed respondents and the amount of time application and HCP available for to the OMB Desk Officer for U.S. estimated for an average respondent to public inspection by appointment Immigration and Customs Enforcement, respond: 25,000 Responses at 30 during normal business hours at the Department of Homeland Security, and minutes (.50 hours) per response. above address.

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FOR FURTHER INFORMATION CONTACT: Ms. 30 feet in height or more when mature U.S.C. 1531 et seq.) and NEPA regulations Elizabeth Landrum, South Florida because they can be used as perches by (40 CFR 1506.6). Ecological Services Office (see predatory birds; and (4) refraining from Dated: June 16, 2015. ADDRESSES); telephone: keeping or feeding free-roaming cats. Roxanna Hinzman, 772–469 –4304. Mitigation for unavoidable impacts has Field Supervisor, South Florida Ecological SUPPLEMENTARY INFORMATION: been accomplished by the donation of Services Office. 4.3 acres of suitable habitat to Charlotte [FR Doc. 2015–15387 Filed 6–22–15; 8:45 am] Submitting Comments County for scrub-jay conservation. The BILLING CODE 4310–55–P If you wish to comment on the ITP Service listed the scrub-jay as application or HCP, you may submit threatened in 1987 (June 3, 1987; 52 FR comments by any one of the following 20715), effective July 6, 1987. DEPARTMENT OF THE INTERIOR methods: Our Preliminary Determination Email: [email protected]. Fish and Wildlife Service Use ‘‘Attn: Permit number TE207151–2’’ The Service has made a preliminary as your message subject line. [FWS–R4–R–2015–N125; FXRS1263040000– determination that the applicant’s 156–FF04R08000] Fax: Elizabeth Landrum, 772–562– project, including the mitigation 4288, Attn.: Permit number ‘‘TE207151– measures, will individually and Proposed Information Collection; 2.’’ cumulatively have a minor or negligible National Wildlife Refuge Visitor Check- U.S. mail: Elizabeth Landrum, South effect on the species covered in the In Permit and Use Report Florida Ecological Services Field Office, HCP. Therefore, renewal of the ITP is a Attn: Permit number ‘‘TE207151–2,’’ ‘‘low-effect’’ action and qualifies as a AGENCY: Fish and Wildlife Service, U.S. Fish and Wildlife Service, 1339 categorical exclusion under the National Interior. 20th Street, Vero Beach, FL 32960–3559. Environmental Policy Act (NEPA) (40 ACTION: Notice; request for comments. In-person drop-off: You may drop off CFR 1506.6), as provided by the SUMMARY: We (U.S. Fish and Wildlife comments or request information during Department of the Interior Manual (516 Service) will ask the Office of regular business hours at the above DM 2 Appendix 1 and 516 DM 6 Management and Budget (OMB) to office address. Appendix 1). We base our preliminary approve the information collection (IC) determination that issuance of the ITP Public Availability of Comments described below. As required by the qualifies as a low-effect action on the Before including your address, phone Paperwork Reduction Act of 1995 and following three criteria: (1) number, email address, or other as part of our continuing efforts to Implementation of the project would personal identifying information in your reduce paperwork and respondent result in minor or negligible effects on comments, you should be aware that burden, we invite the general public and federally listed, proposed, and your entire comment—including your other Federal agencies to take this candidate species and their habitats; (2) personal identifying information—may opportunity to comment on this IC. This Implementation of the project would be made publicly available at any time. IC is scheduled to expire on December result in minor or negligible effects on While you can request in your 31, 2015. We may not conduct or other environmental values or comments that your personal sponsor and a person is not required to resources; and (3) Impacts of the project, identifying information be withheld respond to a collection of information considered together with the impacts of from public review, we cannot unless it displays a currently valid OMB other past, present, and reasonably guarantee that we will be able to do so. control number. foreseeable similarly situated projects, Applicant’s Proposed Project would not result, over time, in DATES: To ensure that we are able to cumulative effects to environmental consider your comments on this IC, we We received an application from the must receive them by August 24, 2015. applicant for renewal of an incidental values or resources that would be ADDRESSES: Send your comments on the take permit. The applicant requests a considered significant. This preliminary IC to the Information Collection 5-year renewal of an ITP under section determination may be revised based on Clearance Officer, U.S. Fish and 10(a)(1)(B) of the Act (16 U.S.C. 1531 et our review of public comments that we Wildlife Service, MS BPHC, 5275 seq.). If we approve the renewal, the receive in response to this notice. Leesburg Pike, Falls Church, VA 22041– applicant anticipates taking a total of Next Steps 3803 (mail); or [email protected] approximately 1.91 acres of scrub-jay (email). Please include ‘‘1018–0153’’ in breeding, feeding, and sheltering The Service will evaluate the HCP the subject line of your comments. habitat, incidental to land preparation and comments submitted thereon to and construction in Section 9, determine whether the application FOR FURTHER INFORMATION CONTACT: To meets the requirements of section 10(a) request additional information about Township 40S, Range 23E, Charlotte _ County, Florida. The applicant currently of the Act. The Service will also this IC, contact Hope Grey at hope has neither a time frame for evaluate whether issuance of the section [email protected] (email) or 703–358–2482 development, nor a specific site plan; 10(a)(1)(B) ITP complies with section 7 (telephone). however, development of this parcel of the Act by conducting an intra- SUPPLEMENTARY INFORMATION: would likely include construction of Service section 7 consultation. The I. Abstract. The National Wildlife one or more structures, a parking area, results of this consultation, in Refuge System Administration Act of and installation of associated utilities. combination with the above findings, 1966 (16 U.S.C. 668dd–668ee), as The applicant proposes to minimize will be used in the final analysis to amended by the National Wildlife impacts to scrub-jays by: (1) Using scrub determine whether or not to renew the Refuge System Improvement Act of oaks and other native plants in post- ITP. If it is determined that the 1997, and the Refuge Recreation Act of construction landscaping; (2) avoiding requirements of the Act are met, the ITP 1962 (16 U.S.C. 460k–460k–4) govern land clearing activities during the scrub- will be renewed. the administration and uses of national jay nesting season (March 1 to June 30); Authority: We provide this notice under wildlife refuges and wetland (3) avoiding planting trees that will be Section 10 of the Endangered Species Act (16 management districts. We are

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authorized to allow public uses on lands Type of Request: Extension of a ACTION: Notice of availability; request of the National Wildlife Refuge System, currently approved collection. for comments. including hunting, fishing, wildlife Description of Respondents: observation, wildlife photography, and Individuals who visit national wildlife SUMMARY: We, the U.S. Fish and environmental education and refuges. Wildlife Service, invite the public to interpretation, and other visitor uses, Respondent’s Obligation: Required to comment on the following application when we find that the activities are obtain or retain a benefit. for a recovery permit to conduct compatible and appropriate with the Frequency of Collection: On occasion. activities with the purpose of enhancing purpose or purposes for which the Estimated Annual Number of the survival of an endangered species. refuges were established. Respondents: 650,000. The Endangered Species Act of 1973, as We collect information on hunters Estimated Annual Number of amended (Act), prohibits certain and anglers and other visitors to help us Responses: 650,000. activities with endangered species Estimated Completion Time per protect refuge resources and administer unless a Federal permit allows such Response: 5 minutes. and evaluate the success of visitor activity. The Act also requires that we Estimated Total Annual Burden invite public comment before issuing programs. Because of high demand and Hours: 54,167. limited resources, we often provide such permits. visitor opportunities by permit, based III. Comments DATES: To ensure consideration, please on dates, locations, or type of public send your written comments by July 23, We invite comments concerning this 2015. use. We may not allow all opportunities information collection on: on all refuges, and harvest information • Whether or not the collection of ADDRESSES: Program Manager, differs for each refuge. We use FWS information is necessary, including Restoration and Endangered Species Form 3–2405 (Self-Clearing Check-In whether or not the information will Classification, Ecological Services, U.S. Permit) to collect this information. Not have practical utility; Fish and Wildlife Service, Pacific all refuges will use the form, and some • The accuracy of our estimate of the Regional Office, 911 NE 11th Avenue, refuges may collect the information in a burden for this collection of Portland, OR 97232–4181. Please refer nonform format. We collect: information; to the permit number for the application • Information on the visitor (name, • Ways to enhance the quality, utility, when submitting comments. address, and contact information). We and clarity of the information to be FOR FURTHER INFORMATION CONTACT: use this information to identify the collected; and Colleen Henson, Fish and Wildlife visitor or driver/passengers of a vehicle • Ways to minimize the burden of the Biologist, at the above address, or by while on the refuge. Having this collection of information on telephone (503–231–6131) or fax (503– information readily available is critical respondents. 231–6243). in a search and rescue situation. We do Comments that you submit in SUPPLEMENTARY INFORMATION: response to this notice are a matter of not maintain or record this information. Background • Information on whether or not public record. We will include or hunters/anglers were successful summarize each comment in our request The Act (16 U.S.C. 1531 et seq.) (number and type of harvest/caught). to OMB to approve this IC. Before prohibits certain activities with respect • Purpose of visit (hunting, fishing, including your address, phone number, to endangered and threatened species wildlife observation, wildlife email address, or other personal unless a Federal permit allows such photography, auto touring, birding, identifying information in your activity. Along with our implementing hiking, boating/canoeing, visitor center, comment, you should be aware that regulations in the Code of Federal special event, environmental education your entire comment, including your Regulations (CFR) at 50 CFR 17, the Act class, volunteering, other recreation). personal identifying information, may provides for certain permits, and • Date of visit. be made publicly available at any time. requires that we invite public comment The above information is a vital tool While you can ask us in your comment before issuing these permits for in meeting refuge objectives and to withhold your personal identifying endangered species. maintaining quality visitor experiences. information from public review, we A permit granted by us under section It will help us: cannot guarantee that we will be able to 10(a)(1)(A) of the Act authorizes the • Administer and monitor visitor do so. permittee to conduct activities programs and facilities on refuges. Dated: June 17, 2015. (including take or interstate commerce) • with respect to U.S. endangered or Distribute visitor permits to ensure Tina A. Campbell, threatened species for scientific safety of visitors. Chief, Division of Policy, Performance, and • Ensure a quality visitor experience. purposes or enhancement of • Management Programs, U.S. Fish and Wildlife Minimize resource disturbance, Service. propagation or survival. Our regulations manage healthy game populations, and implementing section 10(a)(1)(A) of the [FR Doc. 2015–15329 Filed 6–22–15; 8:45 am] ensure the protection of fish and Act for these permits are found at 50 BILLING CODE 4310–55–P wildlife species. CFR 17.22 for endangered wildlife • Assist in Statewide wildlife species, 50 CFR 17.32 for threatened management and enforcement and DEPARTMENT OF THE INTERIOR wildlife species, 50 CFR 17.62 for develop reliable estimates of the number endangered plant species, and 50 CFR of all game fish and wildlife. Fish and Wildlife Service 17.72 for threatened plant species. • Determine facility and program Application Available for Review and needs and budgets. [FWS–R1–ES–2015–N116; FXES11130100000–156–FF01E00000] Comment II. Data Endangered Species; Recovery Permit We invite local, State, and Federal OMB Control Number: 1018–0153. Application agencies and the public to comment on Title: National Wildlife Refuge Visitor the following application. Please refer to Check-In Permit and Use Report. AGENCY: Fish and Wildlife Service, the permit number for the application Service Form Number: 3–2405. Interior. when submitting comments.

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Documents and other information Dated: June 15, 2015. I. Abstract submitted with this application are Jason Holm, available for review by request from the Regional Director, Pacific Region, U.S. Fish This notice is for renewal of Program Manager for Restoration and and Wildlife Service. information collection. Endangered Species Classification at the [FR Doc. 2015–15396 Filed 6–22–15; 8:45 am] The Office of Management and Budget address listed in the ADDRESSES section BILLING CODE 4310–55–P (OMB) regulations at 5 CFR part 1320, of this notice, subject to the which implement the Paperwork requirements of the Privacy Act Reduction Act of 1995, 44 U.S.C. 3501 (5 U.S.C. 552a) and the Freedom of DEPARTMENT OF THE INTERIOR et seq., require that interested members Information Act (5 U.S.C. 552). of the public and affected agencies have Office of the Secretary Permit Number: TE–67121B an opportunity to comment on [156D0102DM DS62200000 information collection and Applicant: Pacific Rim Conservation, DLSN00000.000000 DX.62201] recordkeeping activities (see 5 CFR Honolulu, Hawaii. 1320.8 (d)). Proposed Renewal of Information The applicant requests a new permit This notice identifies an information to take (survey, monitor, capture, Collection: OMB Control Number 1090–0009, Donor Certification Form collection activity that the Office of handle, weigh, measure, collect bio- Financial Management will submit to samples, band, translocate, captive AGENCY: Office of the Secretary, Office OMB for approval for the Department propagate, and release) Hawaiian dark- of Financial Management, Interior. and its bureaus to continue to collect rumped petrel chicks (Pterodroma ACTION: Notice and request for information from proposed donors phaeopygia sandwichensis) in Hawaii, comments. relative to their relationship(s) with the in conjunction with establishing a new Department. The Department and its breeding colony, for the purpose of SUMMARY: In compliance with the individual bureaus have gift acceptance enhancing the species’ survival. Paperwork Reduction Act of 1995, the authorities. In support of the variety of Office of Financial Management, Office Public Availability of Comments donation authorities in the Department of the Secretary, Department of the and increasing numbers of donations, it All comments and materials we Interior announces the proposed is the policy of the Department to ask receive in response to this request will extension of a public information those proposing to donate gifts valued at be available for public inspection, by collection and seeks public comments $25,000 or more to provide information appointment, during normal business on the provisions thereof. regarding their relationship with the hours at the address listed in the DATES: Consideration will be given to all Department. The purpose of this policy ADDRESSES section. comments received by August 24, 2015. is to ensure that the acceptance of a gift Before including your address, phone ADDRESSES: Send your written does not create legal or ethical issues for number, email address, or other comments to Paul Batlan, Office of the Department, its bureaus, or potential personal identifying information in your Financial Management, 1849 C St. NW., donors. The information will be comment, you should be aware that MS 2557 MIB, Washington, DC 20240, gathered through the use of a form that _ your entire comment—including your or email him at Paul Batlan@ collects information relevant to the personal identifying information—may ios.doi.gov. Individuals providing acceptability of the proposed donation be made publicly available at any time. comments should reference the ‘‘Donor in conformance with the Department’s While you can ask us in your comment Certification Form, OMB Control donations policy. The form is completed to withhold your personal identifying Number 1090–0009’’. and certified by the prospective donor information from public review, we FOR FURTHER INFORMATION CONTACT: To then submitted to the Department or its cannot guarantee that we will be able to request a copy of the information bureau for review. Having the donor do so. collection request, any explanatory certify his or her interactions with the information and related forms, see the Department gives the staff vetting the Authority contact information provided in the proposed donation basic information to We provide this notice under section ADDRESSES section above. be verified, resulting in a more efficient 10 of the Act (16 U.S.C. 1531 et seq.). SUPPLEMENTARY INFORMATION: and timely donation review process.

Information collected Reason for collection

Name, and indication whether executing in individual capacity, or on To identify the donor, and whether the donor is acting individually or on behalf of an organization. behalf of an organization. Declaration whether the donor is involved with litigation or controversy To assist the Department in determining whether there are any issues with the Department. associated with the proffer of the gift that need to be more closely examined. Declaration whether the donor is engaged in any financial or business To assist the Department in determining whether there are any issues relationship with the Department. associated with the proffer of the gift that need to be more closely examined. Declaration whether the donor has been debarred, excluded or dis- To assist the Department in determining whether there are any issues qualified from the non-procurement common rule, or otherwise de- associated with the proffer of the gift that need to be more closely clared ineligible from doing business with any Federal agency. examined. Declaration as to whether the donation is expected to be involved with To assist the Department in determining whether there are any issues marketing or advertising. associated with the proffer of the gift that need to be more closely examined. Declaration whether the donor is seeking to attach conditions to the do- To assist the Department in determining whether there are any issues nation. associated with the proffer of the gift that need to be more closely examined.

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Information collected Reason for collection

Declaration whether this proposed donation is or is not part of a series To assist the Department in determining the scope and context of the of donations to the Department. donation, and to assist in determining whether there are any issues associated with the proffer of the gift that need to be more closely examined. Signature, Printed Name, Date, Organization, Email address, City, To establish the contact information of the potential donor, and have State, Zip, and daytime or work phone number. the certifier sign the certification form.

II. Data persons to generate, maintain, retain, DEPARTMENT OF THE INTERIOR (1) Title: Donor Certification Form. disclose, or provide information to or OMB Control Number: 1090–0009. for a Federal agency. This includes the National Park Service Current Expiration Date: September time needed to review instructions; to [NPS–MWR–OZAR–17614;PPMWMWROW2/ 30, 2015. develop, acquire, install, and use PPM00UP05.YP0000] Type of Review: Information technology and systems for the purposes Collection Renewal. of collecting, validating, and verifying Notice of Availability of a Record of Affected Entities: Individuals or information, processing and Decision on the Final General households, Businesses, Not-for-profit maintaining information, and disclosing Management Plan/Environmental institutions, Tribal governments. and providing information; to train Impact Statement, Ozark National Estimated annual number of personnel and to be able to respond to Scenic Riverway, Missouri respondents: 250. Frequency of responses: Once per a collection of information, to search AGENCY: National Park Service, Interior. data sources, and to complete and prospective donation. ACTION: Notice of availability. (2) Annual reporting and review the collection of information; recordkeeping burden: and to transmit or otherwise disclose SUMMARY: The National Park Service Total annual reporting per response: the information. (NPS) announces the availability of the 20 minutes. All written comments, with names Record of Decision (ROD) for the Final Total number of estimated responses: and addresses, will be available for General Management Plan/ 250. Environmental Impact Statement (GMP/ Total annual reporting: 84 hours. public inspection. If you wish us to withhold your personal information, EIS), Ozark National Scenic Riverways (3) Description of the need and use of (Riverways), Missouri. the information: This information will you must prominently state at the ADDRESSES: provide Department staff with the basis beginning of your comment what Copies of the ROD are for beginning the evaluation as to personal information you want us to available by request by writing to whether the Department will accept the withhold. We will honor your request to Superintendent, Ozark National Scenic proposed donation. The authorized the extent allowable by law. If you wish Riverways, 404 Watercress Drive, P.O. employee will receive the donor to view any comments received, you Box 490, Van Buren, Missouri 63965. certification form with the proposed may do so by using the contact The document is also available on the internet at the NPS Planning, donation. The employee will then information in the ADDRESSES section Environment, and Public Comment Web review the totality of circumstances above. A valid picture identification is surrounding the proposed donation to site at: http://www.park required for entry into the Department planning.nps.gov/. determine whether the Department can of the Interior. accept the donation and maintain its FOR FURTHER INFORMATION CONTACT: integrity, impartiality, and public Comments submitted in response to Superintendent Bill Black at the address confidence. this notice will be summarized and/or above, or by telephone at 573–323– included in the request for OMB 4236. III. Request for Comments approval of this information collection; SUPPLEMENTARY INFORMATION: On The Departments invite comments on: they also will become a matter of public January 22, 2015, the Acting Regional (a) Whether the collection of record. Director for the Midwest Region signed information is necessary for the proper An agency may not conduct or performance of the functions of the the ROD for the Final GMP/EIS, thereby sponsor, and a person is not required to agencies, including whether the approving it. As soon as practicable, the respond to, a collection of information information will have practical utility; Riverways will begin the (b) The accuracy of the agencies’ unless it displays a currently valid implementation of the selected estimate of the burden of the collection Office of Management and Budget alternative B (the preferred alternative) of information and the validity of the control number. as described in the final GMP/EIS. Alternative B will enhance methodology and assumptions used; Douglas A. Glenn, (c) Ways to enhance the quality, opportunities for visitors to discover utility, and clarity of the information to Deputy Chief Financial Officer and Director, and learn about the natural wonders and be collected; and Office of Financial Management, Department Ozark heritage of the National (d) Ways to minimize the burden of of the Interior. Riverways, while maintaining a mix of the collection of information on [FR Doc. 2015–15350 Filed 6–22–15; 8:45 am] traditional recreational and commercial respondents, including through the use BILLING CODE 4334–63–P activities. Emphasis will be placed on of appropriate automated, electronic, increasing opportunities for visitor mechanical, or other collection education and connections to natural techniques or other forms of information resources and cultural landscapes. technology. This alternative focuses on providing ‘‘Burden’’ means the total time, effort, a balance of diverse recreational and financial resources expended by opportunities and visitor experiences

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along with increasing visitor education Dated: January 22, 2015. data management; protection of and appreciation of natural and cultural Patricia S. Trap, restoration plantings; education and resources of the park unit. This Acting Regional Director, Midwest Region. coordination; and enforcement of the alternative will provide a existing wildlife feeding ban. In Editor’s note: This document was received addition, the NPS will incorporate a comprehensive Riverways-wide for publication by the Office of the Federal approach to resource and visitor use Register on June 18, 2015. combination of lethal and nonlethal actions to address high deer density. management. Specific management [FR Doc. 2015–15417 Filed 6–22–15; 8:45 am] zones detailing acceptable resource Lethal actions (including sharpshooting, BILLING CODE 4310–MA–P conditions, visitor experience and use with very limited capture/euthanasia if levels, and appropriate activities and necessary) will be taken initially to reduce deer densities quickly. It is development will be applied to DEPARTMENT OF THE INTERIOR Riverways’ lands consistent with this anticipated that in years one through four, 335 deer will be removed by concept. National Park Service sharpshooting (in addition to small A mix of private and guided [NPS–MWR–CUVA–17695; PPMWMWROW2/ numbers of deer removed by capture traditional recreational activities like PMP00UP05.YP0000] and euthanasia) to meet the deer density boating, floating, and horseback riding Notice of Availability of a Record of goal. Population maintenance will will occur under this alternative. Decision for the White-Tailed Deer follow the initial reduction, and could Additional trails and a small learning Management Plan, Environmental be conducted by nonsurgical center at a rehabilitated Powder Mill Impact Statement, Cuyahoga Valley reproductive control methods, if an will be developed to better orient and National Park, Ohio acceptable agent is available, or by inform visitors. Natural resources will sharpshooting. Both maintenance be restored to more natural conditions, AGENCY: National Park Service, Interior. methods are included in the selected while maintaining greater opportunities ACTION: Notice of Availability. action to maintain maximum flexibility for visitor access. Most of the Big Spring for future management. All actions will SUMMARY: Wilderness Study Area will be The National Park Service be carried out by NPS personnel or (NPS) announces the availability of the recommended for wilderness authorized agents. Record of Decision (ROD) for the White- designation. The Record of Decision includes a Tailed Deer Management Plan/ summary of the purpose and need for The selected action and three other Environmental Impact Statement (plan/ action, identifies the selected action and alternatives were analyzed in the draft EIS), Cuyahoga Valley National Park all alternatives considered by the NPS, and final GMP/EIS. The full range of (Park), Ohio. a listing of measures to minimize foreseeable environmental ADDRESSES: Copies of the ROD are environmental harm, details about the consequences was assessed. Among the available by request by writing to the monitoring program that will inform alternatives the NPS considered, the Chief of the Resource Management implementation of the selected action, selected action best achieves a high Division, Lisa Petit, Cuyahoga Valley the basis for the decision, and a standard of natural and cultural National Park, 15610 Vaughn Road, description of the environmentally resource protection with improved Brecksville, Ohio 44141, telephone preferable alternative. opportunities for visitors in the park. (440) 546–5970. The document is also Dated: February 13, 2015. The NPS selected alternative B as its available on the internet at the NPS Patricia S. Trap, Planning, Environment, and Public preferred alternative following an Acting Regional Director, Midwest Region. evaluation of the effectiveness of each Comment Web site at: http:// alternative in meeting the stated www.parkplanning.nps.gov/. Editor’s Note: This document was received objectives of the general management FOR FURTHER INFORMATION CONTACT: for publication by the Office of Federal Register on June 18, 2015. plan, and the environmental benefits Chief of the Resource Management and adverse impacts for each Division, Lisa Petit at the address or [FR Doc. 2015–15477 Filed 6–22–15; 8:45 am] alternative. This alternative provides the telephone number above. BILLING CODE 4310–MA–P best combination of strategies to protect SUPPLEMENTARY INFORMATION: We have the park unit’s unique natural and issued a ROD for the final plan/EIS; on cultural resources and visitor February 13, 2015, the Acting Regional INTERNATIONAL TRADE experience, while improving the park Director for the Midwest Region COMMISSION approved the ROD. The plan/EIS unit’s operational effectiveness and Notice of Receipt of Complaint; sustainability. It also provides other analyzed four alternatives, including a no-action alternative. The full range of Solicitation of Comments Relating to advantages to the Riverways, regional the Public Interest communities, partners, and foreseeable environmental consequences was assessed, and stakeholders. AGENCY: U.S. International Trade appropriate mitigating measures were Commission. In addition, selection of the preferred identified. ACTION: Notice. alternative, as reflected by the analysis The NPS decision is to implement contained in the final GMP/EIS, will not alternative D (hereinafter referred to as SUMMARY: Notice is hereby given that result in the impairment of park the ‘‘selected action’’), which was the U.S. International Trade resources and will allow the National identified as the NPS preferred Commission has received a complaint Park Service to conserve National alternative in the final plan/EIS. The entitled Certain Resealable Packages Riverways’ resources and provide for selected action will utilize an adaptive with Slider Devices, DN 3072; the their enjoyment by visitors. management strategy. Under the Commission is soliciting comments on selected action, the NPS will continue any public interest issues raised by the current park deer management actions complaint or complainant’s filing under including: Research, monitoring, and section 210.8(b) of the Commission’s

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Rules of Practice and Procedure (19 CFR relief specifically requested by the directed to the Secretary to the 210.8(b)). complainant in this investigation would Commission and must include a full FOR FURTHER INFORMATION CONTACT: Lisa affect the public health and welfare in statement of the reasons why the R. Barton, Secretary to the Commission, the United States, competitive Commission should grant such U.S. International Trade Commission, conditions in the United States treatment. See 19 CFR 201.6. Documents 500 E Street SW., Washington, DC economy, the production of like or for which confidential treatment by the 20436, telephone (202) 205–2000. The directly competitive articles in the Commission is properly sought will be public version of the complaint can be United States, or United States treated accordingly. All nonconfidential accessed on the Commission’s consumers. written submissions will be available for Electronic Document Information In particular, the Commission is public inspection at the Office of the System (EDIS) at EDIS,1 and will be interested in comments that: Secretary and on EDIS.5 available for inspection during official (i) Explain how the articles This action is taken under the business hours (8:45 a.m. to 5:15 p.m.) potentially subject to the requested authority of section 337 of the Tariff Act in the Office of the Secretary, U.S. remedial orders are used in the United of 1930, as amended (19 U.S.C. 1337), International Trade Commission, 500 E States; and of sections 201.10 and 210.8(c) of Street SW., Washington, DC 20436, (ii) identify any public health, safety, the Commission’s Rules of Practice and telephone (202) 205–2000. or welfare concerns in the United States Procedure (19 CFR 201.10, 210.8(c)). General information concerning the relating to the requested remedial Issued: June 18, 2015. Commission may also be obtained by orders; By order of the Commission. accessing its Internet server at United (iii) identify like or directly Lisa R. Barton, competitive articles that complainant, States International Trade Commission Secretary to the Commission. (USITC) at USITC.2 its licensees, or third parties make in the The public record [FR Doc. 2015–15368 Filed 6–22–15; 8:45 am] for this investigation may be viewed on United States which could replace the BILLING CODE 7020–02–P the Commission’s Electronic Document subject articles if they were to be Information System (EDIS) at EDIS.3 excluded; Hearing-impaired persons are advised (iv) indicate whether complainant, DEPARTMENT OF JUSTICE that information on this matter can be complainant’s licensees, and/or third party suppliers have the capacity to obtained by contacting the Drug Enforcement Administration Commission’s TDD terminal on (202) replace the volume of articles 205–1810. potentially subject to the requested [Docket No. DEA–392] SUPPLEMENTARY INFORMATION: The exclusion order and/or a cease and Importer of Controlled Substances Commission has received a complaint desist order within a commercially Application: Midas Pharmaceuticals, and a submission pursuant to section reasonable time; and Inc. 210.8(b) of the Commission’s Rules of (v) explain how the requested remedial orders would impact United Practice and Procedure filed on behalf ACTION: Notice of application. of Reynolds Presto Products Inc. on June States consumers. Written submissions must be filed no 17, 2015. The complaint alleges DATES: Registered bulk manufacturers of later than by close of business, eight violations of section 337 of the Tariff the affected basic class, and applicants calendar days after the date of Act of 1930 (19 U.S.C. 1337) in the therefore, may file written comments on publication of this notice in the Federal importation into the United States, the or objections to the issuance of the Register. There will be further sale for importation, and the sale within proposed registration in accordance opportunities for comment on the the United States after importation of with 21 CFR 1301.34(a) on or before July public interest after the issuance of any certain resealable packages with slider 23, 2015. Such persons may also file a final initial determination in this devices. The complaint names as written request for a hearing on the investigation. respondents Interplast Group, Ltd. of application pursuant to 21 CFR 1301.43 Persons filing written submissions Livingston, NJ and Minigrip, LLC of on or before July 23, 2015. must file the original document Alpharetta, GA. The complainant electronically on or before the deadlines ADDRESSES: Written comments should requests that the Commission issue a stated above and submit 8 true paper be sent to: Drug Enforcement permanent general exclusion order, copies to the Office of the Secretary by Administration, Attention: DEA Federal cease and desist orders, and a bond noon the next day pursuant to section Register Representative/ODXL, 8701 upon respondents’ alleged infringing 210.4(f) of the Commission’s Rules of Morrissette Drive, Springfield, Virginia articles during the 60-day Presidential Practice and Procedure (19 CFR 22152. Request for hearings should be review period pursuant to 19 U.S.C. 210.4(f)). Submissions should refer to sent to: Drug Enforcement § 1337(j). the docket number (‘‘Docket No. 3072’’) Administration, Attention: Hearing Proposed respondents, other Clerk/LJ, 8701 Morrissette Drive, interested parties, and members of the in a prominent place on the cover page and/or the first page. (See Handbook for Springfield, Virginia 22152. public are invited to file comments, not SUPPLEMENTARY INFORMATION: The to exceed five (5) pages in length, Electronic Filing Procedures, Electronic Filing Procedures.4) Persons with Attorney General has delegated his inclusive of attachments, on any public authority under the Controlled interest issues raised by the complaint questions regarding filing should contact the Secretary (202–205–2000). Substances Act to the Administrator of or section 210.8(b) filing. Comments the Drug Enforcement Administration should address whether issuance of the Any person desiring to submit a document to the Commission in (DEA), 28 CFR 0.100(b). Authority to exercise all necessary functions with 1 Electronic Document Information System confidence must request confidential (EDIS): http://edis.usitc.gov. treatment. All such requests should be respect to the promulgation and 2 United States International Trade Commission implementation of 21 CFR part 1301, (USITC): http://edis.usitc.gov. 4 Handbook for Electronic Filing Procedures: 3 Electronic Document Information System http://www.usitc.gov/secretary/fed_reg_notices/ 5 Electronic Document Information System (EDIS): http://edis.usitc.gov. rules/handbook_on_electronic_filing.pdf. (EDIS): http://edis.usitc.gov.

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incident to the registration of Substances Act to the Administrator of destruction, and a synopsis of the manufacturers, distributors, dispensers, the Drug Enforcement Administration completed restoration projects. importers, and exporters of controlled (DEA), 28 CFR 0.100(b). Authority to NARA has determined that the substances (other than final orders in exercise all necessary functions with backup tapes do not warrant further connection with suspension, denial, or respect to the promulgation and retention. All required backup revocation of registration) has been implementation of 21 CFR part 1301, restoration projects have taken place, redelegated to the Deputy Assistant incident to the registration of NARA is preserving and permanently Administrator of the DEA Office of manufacturers, distributors, dispensers, retaining the restored records, and we Diversion Control (‘‘Deputy Assistant importers, and exporters of controlled have identified no further need to Administrator’’) pursuant to section 7 of substances (other than final orders in preserve or maintain the backup tapes. 28 CFR part 0, appendix to subpart R. connection with suspension, denial, or This notice constitutes a final agency In accordance with 21 CFR revocation of registration) has been action, as described in 44 U.S.C. 1301.34(a), this is notice that on January redelegated to the Deputy Assistant 2203(g)(3), and NARA will dispose of 12, 2015, Midas Pharmaceuticals, Inc., Administrator of the DEA Office of the described backup tapes on or after 300 Interpace Parkway, Suite 420, Diversion Control (‘‘Deputy Assistant the date below. Parsippany, New Jersey 07054–1100 Administrator’’) pursuant to section 7 of DATES: NARA will dispose of the applied to be registered as an importer 28 CFR part 0, appendix to subpart R. backup tapes on or after August 24, of remifentanil (9739), a basic class of In accordance with 21 CFR 2015. controlled substance listed in schedule 1301.34(a), this is notice that on FOR FURTHER INFORMATION CONTACT: II. February 19, 2015, Wildlife Director of Presidential Libraries Susan The company plans to import the Laboratories, Inc., 1230 W. Ash Street, K. Donius, by mail at National Archives listed controlled substance in order to Suite D, Windsor, Colorado 80550 and Records Administration, Suite bulk manufacture controlled substance applied to be registered as an importer 2200; 8601 Adelphi Road; College Park, in Active Pharmaceutical Ingredient of the following basic classes of Maryland 20740–6001, by telephone at (API) form. The company distributes the controlled substances: (301) 837–3250, by fax at (301) 837– manufactured APIs in bulk to its 3199, or by email at customers. Controlled substance Schedule [email protected]. Dated: June 12, 2015. Etorphine (except HCl) (9056) ..... I SUPPLEMENTARY INFORMATION: Public Joseph T. Rannazzisi, Etorphine HCl (9059) ...... II comments: NARA published a Deputy Assistant Administrator. ‘‘Presidential Records Act notice of [FR Doc. 2015–15331 Filed 6–22–15; 8:45 am] The company plans to import the proposed disposal of Reagan and George BILLING CODE 4410–09–P listed controlled substances for sale to H.W. Bush administration disaster its customer. recovery backup tapes; request for public comment’’ on February 6, 2015, DEPARTMENT OF JUSTICE Dated: June 12, 2015. Joseph T. Rannazzisi, in the Federal Register (80 FR 6770) for a 45-day comment period. NARA Drug Enforcement Administration Deputy Assistant Administrator. received one written comment, in which [Docket No. DEA–392] [FR Doc. 2015–15332 Filed 6–22–15; 8:45 am] a concerned citizen suggested that BILLING CODE 4410–09–P NARA should retain the Importer of Controlled Substances ‘‘documentation’’ so that it can be made Application: Wildlife Laboratories, Inc. available to the public. NATIONAL ARCHIVES AND RECORDS NARA has considered the comment. ACTION: Notice of application. ADMINISTRATION As described in the notice of proposed DATES: Registered bulk manufacturers of [NARA–2015–039] disposal, NARA is retaining the the affected basic classes, and recovered records from the backup applicants therefore, may file written Office of Presidential Libraries; tapes. All the Presidential and Federal comments on or objections to the Disposal of Presidential Records records that were on the tapes have been issuance of the proposed registration in restored, and NARA is permanently AGENCY: National Archives and Records accordance with 21 CFR 1301.34(a) on retaining those restored records. This is Administration (NARA). or before July 23, 2015. Such persons in line with the commenter’s suggestion may also file a written request for a ACTION: Presidential Records Act notice and goal, so NARA believes no further hearing on the application pursuant to of proposed disposal of Reagan and action is necessary in response to the 21 CFR 1301.43 on or before July 23, George H.W. Bush administration comment and is proceeding with 2015. disaster recovery backup tapes; final destruction of the backup tapes as agency action. outlined in the proposal notice. ADDRESSES: Written comments should be sent to: Drug Enforcement SUMMARY: NARA is issuing final notice NARA action Administration, Attention: DEA Federal that it intends to dispose of several NARA will dispose of 3,071 original Register Representative/ODXL, 8701 collections of disaster recovery backup disaster recovery backup tapes created Morrissette Drive, Springfield, Virginia tapes from the Ronald Reagan (Reagan) during the Reagan and GHW Bush 22152. Request for hearings should be and George H.W. Bush (GHW Bush) administrations, and subsequent sent to: Drug Enforcement administrations under the provisions of preservation copies of those media Administration, Attention: Hearing 44 U.S.C. 2203(g)(3). NARA published (maintained for the Professional/Office Clerk/LJ, 8701 Morrissette Drive, notice in the Federal Register (February Vision software (PROFS) system, the Springfield, Virginia 22152. 6, 2015 (80 FR 6770)), proposing to Sperry/VAX All-in-One system, and for SUPPLEMENTARY INFORMATION: The dispose of these backup tapes. That systems operated by the White House Attorney General has delegated his initial notice contains a detailed Situation Support Staff (WHSSS) and authority under the Controlled description of the tapes, the reasons for the White House Situation Room

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(WHSR)), on or after August 24, 2015, 4201 Wilson Boulevard, Suite 1265, physics’’ will be renamed ‘‘physical because NARA has determined that they Arlington, Virginia 22230 or send email sciences,’’ and will include appropriate lack sufficient administrative, historical, to [email protected]. Individuals who subfield examples. ‘‘Health and clinical informational, or evidentiary value. use a telecommunications device for the sciences’’ will be renamed ‘‘health Dated: June 16, 2015. deaf (TDD) may call the Federal sciences.’’ Some subfield examples will David S. Ferriero, Information Relay Service (FIRS) at 1– be updated in the various major S&E 800–877–8339, which is accessible 24 Archivist of the United States. fields. The survey information can be hours a day, 7 days a week, 365 days a used by Federal policy makers, [FR Doc. 2015–15333 Filed 6–22–15; 8:45 am] year (including federal holidays). BILLING CODE 7515–01–P planners, and budget analysts in making NSF may not conduct or sponsor a policy decisions, as well as by collection of information unless the institutional academic officials, the collection of information displays a scientific/engineering establishment, NATIONAL SCIENCE FOUNDATION currently valid OMB control number and state agencies and legislatures that and the agency informs potential fund universities. Detailed statistical Agency Information Collection persons who are to respond to the Activities: Comment Request collection of information that such tables and a summary InfoBrief are available at http://nsf.gov/statistics/ AGENCY: National Science Foundation. persons are not required to respond to the collection of information unless it srvyfacilities/. Data reports can also be ACTION: Submission for OMB Review; displays a currently valid OMB control run from the NSF Integrated Science comment request. number. and Engineering Resources Data System (WebCASPAR). SUMMARY: The National Science SUPPLEMENTARY INFORMATION: Foundation (NSF) has submitted the Title of Collection: Survey of Science Expected Respondents: The Facilities following information collection and Engineering Research Facilities. Survey is a census of institutions that requirement to OMB for review and OMB Control Number: 3145–0101. performed at least $1 million in clearance under the Paperwork Summary of Collection: The National separately budgeted science and Reduction Act of 1995, Public Law 104– Science Foundation Survey of Science engineering research and development 13. This is the second notice for public and Engineering Research Facilities is a in the previous fiscal year. comment; the first was published in the Congressionally mandated (Pub. L. 99– In the most recent FY 2013 Facilities Federal Register at 80 FR 16030 and no 159; NSF Act of 1950, as amended; Survey, a census of 588 academic comments were received. NSF is America COMPETES Reauthorization institutions was conducted. The forwarding the proposed renewal Act of 2010), biennial survey that has sampling frame used for the survey was submission to the Office of Management been conducted since 1986. As required and Budget (OMB) for clearance by law, the survey collects data on the the FY 2012 Higher Education Research simultaneously with the publication of amount, condition, and costs of the and Development Survey conducted by this second notice. The full submission physical facilities used to conduct the National Center for Science and may be found at: http:// science and engineering research. Engineering Statistics. Data are collected www.reginfo.gov/public/do/PRAMain. Congress expected this survey to through a Web-based interface, although Comments: Comments regarding this provide the data necessary to describe institutions have the option of printing information collection are best assured the status and needs of science and and completing a PDF that can be sent of having their full effect if received engineering research facilities. Data on by mail. within 30 days of this notification. computing and networking capacity, Estimate of Burden: The Facilities Copies of the submission(s) may be often termed ‘‘cyberinfrastructure’’ were Survey will be sent to approximately obtained by calling 703–292–7556. collected from 2003 to 2013. These 600 academic institutions for the FY Comments regarding (a) whether the questions are being eliminated from 2015 and FY 2017 data collection collection of information is necessary future questionnaires based on a review cycles. The completion time per for the proper performance of the by NSF that indicated the data did not academic institution is expected to functions of the NSF, including whether provide clear and useful metrics for average 19 hours, based on completion the information will have practical measuring cyberinfrastructure. time estimates provided by all survey utility; (b) the accuracy of the NSF’s Use of the Information: Analysis of participants in the FY 2013 survey. This estimate of the burden of the proposed the Facilities Survey data will provide would result in an estimated burden of collection of information; (c) ways to updated information on the status of enhance the quality, utility and clarity scientific and engineering research 11,210 hours per cycle. of the information to be collected, facilities and capabilities. In order to Comments: As required by 5 CFR including through the use of automated provide consistency and comparability 1320.8(d), comments on the information collection techniques or other forms of across national academic surveys, the collection activities as part of this study information technology; (d) ways to data collection field of ‘‘agricultural were solicited through publication of a minimize the burden of the collection of sciences and natural sciences’’ will be 60-Day Notice in the Federal Register information on those who are to divided into two fields: (1) Agricultural on March 23, 2015, at 80 FR 16030. We respond, including through the use of sciences and (2) natural resources and received no comments. appropriate automated or other forms of conservation. ‘‘Physical sciences, group Dated: June 17, 2015. information technology should be 1: Atmospheric, earth, and geological addressed to: Office of Information and sciences; meteorology; and Suzanne H. Plimpton, Regulatory Affairs of OMB, Attention: oceanography’’ will be renamed Reports Clearance Officer, National Science Desk Officer for National Science ‘‘geosciences, atmospheric, and ocean Foundation. Foundation, 725 7th Street NW., Room sciences,’’ and will include appropriate [FR Doc. 2015–15352 Filed 6–22–15; 8:45 am] 10235, Washington, DC 20503, and to subfield examples. ‘‘Physical sciences, BILLING CODE 7555–01–P Suzanne H. Plimpton, Reports Clearance group 2: Astronomy, astrophysics, Officer, National Science Foundation, chemistry, materials sciences, and

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NUCLEAR REGULATORY • Federal Rulemaking Web site: Go to public comment on its intention to COMMISSION http://www.regulations.gov and search request the OMB’s approval for the for Docket ID NRC–2015–0130. information collection summarized [NRC–2015–0130] • NRC’s Agencywide Documents below. Information Collection; ‘‘Rules of Access and Management System 1. The title of the information General Applicability to Domestic (ADAMS): You may obtain publicly- collection: 10 CFR part 30, ‘‘Rules of Licensing of Byproduct Material’’ available documents online in the General Applicability to Domestic ADAMS Public Documents collection at Licensing of Byproduct Material.’’ AGENCY: Nuclear Regulatory http://www.nrc.gov/reading-rm/ 2. OMB approval number: 3150–0017. Commission. adams.html. To begin the search, select 3. Type of submission: Extension. ACTION: Renewal of existing information ‘‘ ADAMS Public Documents’’ and then 4. The form number, if applicable: collection; request for comment. select ‘‘Begin Web-based ADAMS Not applicable. Search.’’ For problems with ADAMS, 5. How often the collection is required SUMMARY: The U.S. Nuclear Regulatory please contact the NRC’s Public or requested: Required reports are Commission (NRC) invites public Document Room (PDR) reference staff at collected and evaluated on a continuing comment on the renewal of Office of 1–800–397–4209, (301) 415–4737, or by basis as events occur. There is a one- Management and Budget (OMB) email to [email protected]. The time submittal of information to receive approval for an existing collection of supporting statement is available in a license. Renewal applications are information. The information collection ADAMS under Accession No. submitted every 10 years. Information is entitled, ‘‘Rules of General ML15099A079. submitted in previous applications may Applicability to Domestic Licensing of • NRC’s PDR: You may examine and be referenced without being Byproduct Material.’’ purchase copies of public documents at resubmitted. In addition, recordkeeping DATES: Submit comments by August 24, the NRC’s PDR, Room O1–F21, One must be performed on an on-going basis. 2015. Comments received after this date White Flint North, 11555 Rockville 6. Who will be required or asked to will be considered if it is practical to do Pike, Rockville, Maryland 20852. • respond: All persons applying for or so, but the Commission is able to ensure NRC’s Clearance Officer: A copy of holding a license to manufacture, consideration only for comments the collection of information and related produce, transfer, receive, acquire, own, received on or before this date. instructions may be obtained without possess, or use radioactive byproduct ADDRESSES: You may submit comments charge by contacting NRC’s Clearance material. by any of the following methods: Officer, Tremaine Donnell, Office of • 7. The estimated number of annual Federal Rulemaking Web site: Go to Information Services, U.S. Nuclear responses: 179,423 (22,044 NRC http://www.regulations.gov and search Regulatory Commission, Washington, Licensee responses [1,212 reporting for Docket ID NRC–2015–0130. Address DC 20555–0001; telephone: 301–415– responses + 2,600 for recordkeeping + questions about NRC dockets to Carol 6258; email: INFOCOLLECTS.Resource@ 18,232 third-party disclosures] and Gallagher; telephone: 301–287–3422; NRC.GOV. (157,379 Agreement State Licensee email: [email protected]. For B. Submitting Comments responses [13,790 reporting responses + technical questions, contact the Please include Docket ID NRC–2015– 17,988 for recordkeeping + 125,601 individual listed in the FOR FURTHER third-party disclosures]). INFORMATION CONTACT section of this 0130 in your comment submission. The NRC cautions you not to include 8. The estimated number of annual document. respondents: 20,588 (2,600 NRC • Mail comments to: Tremaine identifying or contact information in comment submissions that you do not licensees and 17,988 Agreement State Donnell, Office of Information Services, licensees). Mail Stop: T–5 F53, U.S. Nuclear want to be publicly disclosed in your 9. The estimated number of hours Regulatory Commission, Washington, comment submission. The NRC will needed annually to comply with the DC 20555–0001. post all comment submissions at information collection requirement or For additional direction on obtaining http://www.regulations.gov as well as request: 273,991 (NRC licensees 32,803 information and submitting comments, enter the comment submissions into hours [15,318 hours for reporting + see ‘‘Obtaining Information and ADAMS, and the NRC does not 15,615 hours for recordkeeping + 1,870 Submitting Comments’’ in the routinely edit comment submissions to hours for third-party disclosures] and SUPPLEMENTARY INFORMATION section of remove identifying or contact Agreement State licensees 241,188 this document. information. hours [111,209 hours for reporting + FOR FURTHER INFORMATION CONTACT: If you are requesting or aggregating 117,091 hours for recordkeeping + Tremaine Donnell, Office of Information comments from other persons for submission to the NRC, then you should 12,888 hours for third-party Services, U.S. Nuclear Regulatory disclosures]). Commission, Washington, DC 20555– inform those persons not to include identifying or contact information that 10. Abstract: Title 10 of the Code of 0001; telephone: 301–415–6258; email: Federal Regulations (10 CFR) part 30 [email protected]. they do not want to be publicly disclosed in their comment submission. establishes requirements that are SUPPLEMENTARY INFORMATION: Your request should state that the NRC applicable to all persons in the United I. Obtaining Information and does not routinely edit comment States governing domestic licensing of Submitting Comments submissions to remove such information radioactive byproduct material. The before making the comment application, reporting and A. Obtaining Information submissions available to the public or recordkeeping requirements are Please refer to Docket ID NRC–2015– entering the comment into ADAMS. necessary to permit the NRC to make a 0130 when contacting the NRC about determination whether the possession, the availability of information for this II. Background use, and transfer of byproduct material action. You may obtain publicly- In accordance with the Paperwork is in conformance with the available information related to this Reduction Act of 1995 (44 U.S.C. Commission’s regulations for protection action by any of the following methods: chapter 35), the NRC is requesting of the public health and safety.

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III. Specific Requests for Comments ADDRESSES: You may submit comments White Flint North, 11555 Rockville The NRC is seeking comments that by any of the following methods (unless Pike, Rockville, Maryland 20852. this document describes a different address the following questions: B. Submitting Comments 1. Is the proposed collection of method for submitting comments on a Please include Docket ID NRC–2015– information necessary for the NRC to specific subject): • 0155, facility name, unit number(s), properly perform its functions? Does the Federal Rulemaking Web site: Go to application date, and subject in your information have practical utility? http://www.regulations.gov and search comment submission. 2. Is the estimate of the burden of the for Docket ID NRC–2015–0155. Address questions about NRC dockets to Carol The NRC cautions you not to include information collection accurate? identifying or contact information that 3. Is there a way to enhance the Gallagher; telephone: 301–415–3463; you do not want to be publicly quality, utility, and clarity of the email: [email protected]. For disclosed in your comment submission. information to be collected? technical questions, contact the The NRC will post all comment 4. How can the burden of the individual listed in the FOR FURTHER submissions at http:// information collection on respondents INFORMATION CONTACT section of this www.regulations.gov as well as enter the be minimized, including the use of document. • comment submissions into ADAMS. automated collection techniques or Mail comments to: Cindy Bladey, The NRC does not routinely edit other forms of information technology? Office of Administration, Mail Stop: OWFN–12–H08, U.S. Nuclear comment submissions to remove Dated at Rockville, Maryland, this 18th day Regulatory Commission, Washington, identifying or contact information. of June 2015. DC 20555–0001. If you are requesting or aggregating For the Nuclear Regulatory Commission. For additional direction on obtaining comments from other persons for Tremaine Donnell, information and submitting comments, submission to the NRC, then you should NRC Clearance Officer, Office of Information see ‘‘Obtaining Information and inform those persons not to include Services. Submitting Comments’’ in the identifying or contact information that [FR Doc. 2015–15389 Filed 6–22–15; 8:45 am] SUPPLEMENTARY INFORMATION section of they do not want to be publicly BILLING CODE 7590–01–P this document. disclosed in their comment submission. FOR FURTHER INFORMATION CONTACT: Your request should state that the NRC Janet Burkhardt, Office of Nuclear does not routinely edit comment NUCLEAR REGULATORY Reactor Regulation, U.S. Nuclear submissions to remove such information COMMISSION Regulatory Commission, Washington DC before making the comment [NRC–2015–0155] 20555–0001; telephone: 301–415–1384, submissions available to the public or email: [email protected]. entering the comment into ADAMS. Biweekly Notice Applications and SUPPLEMENTARY INFORMATION: II. Notice of Consideration of Issuance Amendments to Facility Operating of Amendments to Facility Operating I. Obtaining Information and Licenses and Combined Licenses Licenses and Combined Licenses and Submitting Comments Involving No Significant Hazards Proposed No Significant Hazards Considerations A. Obtaining Information Consideration Determination AGENCY: Nuclear Regulatory Please refer to Docket ID NRC–2015– The Commission has made a Commission. 0155 when contacting the NRC about proposed determination that the ACTION: Biweekly notice. the availability of information for this following amendment requests involve action. You may obtain publicly- no significant hazards consideration. SUMMARY: Pursuant to Section 189a. (2) available information related to this Under the Commission’s regulations in of the Atomic Energy Act of 1954, as action by any of the following methods: § 50.92 of Title 10 of the Code of Federal amended (the Act), the U.S. Nuclear • Federal rulemaking Web site: Go to Regulations (10 CFR), this means that Regulatory Commission (NRC) is http://www.regulations.gov and search operation of the facility in accordance publishing this regular biweekly notice. for Docket ID NRC–2015–0155. with the proposed amendment would The Act requires the Commission to • NRC’s Agencywide Documents not (1) involve a significant increase in publish notice of any amendments Access and Management System the probability or consequences of an issued, or proposed to be issued and (ADAMS): You may obtain publicly- accident previously evaluated, or (2) grants the Commission the authority to available documents online in the create the possibility of a new or issue and make immediately effective ADAMS Public Documents collection at different kind of accident from any any amendment to an operating license http://www.nrc.gov/reading-rm/ accident previously evaluated; or (3) or combined license, as applicable, adams.html. To begin the search, select involve a significant reduction in a upon a determination by the ‘‘ADAMS Public Documents’’ and then margin of safety. The basis for this Commission that such amendment select ‘‘Begin Web-based ADAMS proposed determination for each involves no significant hazards Search.’’ For problems with ADAMS, amendment request is shown below. consideration, notwithstanding the please contact the NRC’s Public The Commission is seeking public pendency before the Commission of a Document Room (PDR) reference staff at comments on this proposed request for a hearing from any person. 1–800–397–4209, 301–415–4737, or by determination. Any comments received This biweekly notice includes all email to [email protected]. The within 30 days after the date of notices of amendments issued, or ADAMS accession number for each publication of this notice will be proposed to be issued from May 28, document referenced (if it is available in considered in making any final 2015, to June 10, 2015. The last ADAMS) is provided the first time that determination. biweekly notice was published on June it is mentioned in the SUPPLEMENTARY Normally, the Commission will not 9, 2015. INFORMATION section. issue the amendment until the DATES: Comments must be filed by July • NRC’s PDR: You may examine and expiration of 60 days after the date of 23, 2015. A request for a hearing must purchase copies of public documents at publication of this notice. The be filed by August 24, 2015. the NRC’s PDR, Room O1–F21, One Commission may issue the license

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amendment before expiration of the 60- with particular reference to the consideration, then any hearing held day period provided that its final following general requirements: (1) The would take place before the issuance of determination is that the amendment name, address, and telephone number of any amendment unless the Commission involves no significant hazards the requestor or petitioner; (2) the finds an imminent danger to the health consideration. In addition, the nature of the requestor’s/petitioner’s or safety of the public, in which case it Commission may issue the amendment right under the Act to be made a party will issue an appropriate order or rule prior to the expiration of the 30-day to the proceeding; (3) the nature and under 10 CFR part 2. comment period should circumstances extent of the requestor’s/petitioner’s B. Electronic Submissions (E-Filing) change during the 30-day comment property, financial, or other interest in period such that failure to act in a the proceeding; and (4) the possible All documents filed in NRC timely way would result, for example in effect of any decision or order which adjudicatory proceedings, including a derating or shutdown of the facility. may be entered in the proceeding on the request for hearing, a petition for leave Should the Commission take action requestor’s/petitioner’s interest. The to intervene, any motion or other prior to the expiration of either the petition must also identify the specific document filed in the proceeding prior comment period or the notice period, it contentions which the requestor/ to the submission of a request for will publish in the Federal Register a petitioner seeks to have litigated at the hearing or petition to intervene, and notice of issuance. Should the proceeding. documents filed by interested Commission make a final No Significant Each contention must consist of a governmental entities participating Hazards Consideration Determination, specific statement of the issue of law or under 10 CFR 2.315(c), must be filed in any hearing will take place after fact to be raised or controverted. In accordance with the NRC’s E-Filing rule issuance. The Commission expects that addition, the requestor/petitioner shall (72 FR 49139; August 28, 2007). The E- the need to take this action will occur provide a brief explanation of the bases Filing process requires participants to very infrequently. for the contention and a concise submit and serve all adjudicatory statement of the alleged facts or expert documents over the internet, or in some A. Opportunity To Request a Hearing opinion which support the contention cases to mail copies on electronic and Petition for Leave To Intervene and on which the requestor/petitioner storage media. Participants may not Within 60 days after the date of intends to rely in proving the contention submit paper copies of their filings publication of this notice, any person(s) at the hearing. The requestor/petitioner unless they seek an exemption in whose interest may be affected by this must also provide references to those accordance with the procedures action may file a request for a hearing specific sources and documents of described below. and a petition to intervene with respect which the petitioner is aware and on To comply with the procedural to issuance of the amendment to the which the requestor/petitioner intends requirements of E-Filing, at least ten subject facility operating license or to rely to establish those facts or expert (10) days prior to the filing deadline, the combined license. Requests for a opinion. The petition must include participant should contact the Office of hearing and a petition for leave to sufficient information to show that a the Secretary by email at intervene shall be filed in accordance genuine dispute exists with the [email protected], or by telephone with the Commission’s ‘‘Agency Rules applicant on a material issue of law or at 301–415–1677, to request (1) a digital of Practice and Procedure’’ in 10 CFR fact. Contentions shall be limited to identification (ID) certificate, which Part 2. Interested person(s) should matters within the scope of the allows the participant (or its counsel or consult a current copy of 10 CFR 2.309, amendment under consideration. The representative) to digitally sign which is available at the NRC’s PDR, contention must be one which, if documents and access the E-Submittal located at One White Flint North, Room proven, would entitle the requestor/ server for any proceeding in which it is O1–F21, 11555 Rockville Pike (first petitioner to relief. A requestor/ participating; and (2) advise the floor), Rockville, Maryland 20852. The petitioner who fails to satisfy these Secretary that the participant will be NRC’s regulations are accessible requirements with respect to at least one submitting a request or petition for electronically from the NRC Library on contention will not be permitted to hearing (even in instances in which the the NRC’s Web site at http:// participate as a party. participant, or its counsel or www.nrc.gov/reading-rm/doc- Those permitted to intervene become representative, already holds an NRC- collections/cfr/. If a request for a hearing parties to the proceeding, subject to any issued digital ID certificate). Based upon or petition for leave to intervene is filed limitations in the order granting leave to this information, the Secretary will by the above date, the Commission or a intervene, and have the opportunity to establish an electronic docket for the presiding officer designated by the participate fully in the conduct of the hearing in this proceeding if the Commission or by the Chief hearing. Secretary has not already established an Administrative Judge of the Atomic If a hearing is requested, the electronic docket. Safety and Licensing Board Panel, will Commission will make a final Information about applying for a rule on the request and/or petition; and determination on the issue of no digital ID certificate is available on the the Secretary or the Chief significant hazards consideration. The NRC’s public Web site at http:// Administrative Judge of the Atomic final determination will serve to decide www.nrc.gov/site-help/e-submittals/ Safety and Licensing Board will issue a when the hearing is held. If the final getting-started.html. System notice of a hearing or an appropriate determination is that the amendment requirements for accessing the E- order. request involves no significant hazards Submittal server are detailed in the As required by 10 CFR 2.309, a consideration, the Commission may NRC’s ‘‘Guidance for Electronic petition for leave to intervene shall set issue the amendment and make it Submission,’’ which is available on the forth with particularity the interest of immediately effective, notwithstanding agency’s public Web site at http:// the petitioner in the proceeding, and the request for a hearing. Any hearing www.nrc.gov/site-help/e- how that interest may be affected by the held would take place after issuance of submittals.html. Participants may results of the proceeding. The petition the amendment. If the final attempt to use other software not listed should specifically explain the reasons determination is that the amendment on the Web site, but should note that the why intervention should be permitted request involves a significant hazards NRC’s E-Filing system does not support

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unlisted software, and the NRC Meta Time, Monday through Friday, are filed after the 60-day deadline will System Help Desk will not be able to excluding government holidays. not be entertained absent a offer assistance in using unlisted Participants who believe that they determination by the presiding officer software. have a good cause for not submitting that the filing demonstrates good cause If a participant is electronically documents electronically must file an by satisfying the three factors in 10 CFR submitting a document to the NRC in exemption request, in accordance with 2.309(c)(1)(i)–(iii). accordance with the E-Filing rule, the 10 CFR 2.302(g), with their initial paper For further details with respect to participant must file the document filing requesting authorization to these license amendment applications, using the NRC’s online, Web-based continue to submit documents in paper see the application for amendment submission form. In order to serve format. Such filings must be submitted which is available for public inspection documents through the Electronic by: (1) First class mail addressed to the in ADAMS and at the NRC’s PDR. For Information Exchange System, users Office of the Secretary of the additional direction on accessing will be required to install a Web Commission, U.S. Nuclear Regulatory information related to this document, browser plug-in from the NRC’s Web Commission, Washington, DC 20555– see the ‘‘Obtaining Information and site. Further information on the Web- 0001, Attention: Rulemaking and Submitting Comments’’ section of this based submission form, including the Adjudications Staff; or (2) courier, document. installation of the Web browser plug-in, express mail, or expedited delivery service to the Office of the Secretary, Duke Energy Carolinas, LLC, Docket is available on the NRC’s public Web Nos. 50–413 and 50–414, Catawba site at http://www.nrc.gov/site-help/e- Sixteenth Floor, One White Flint North, 11555 Rockville Pike, Rockville, Nuclear Station, Units 1 and 2 (CNS), submittals.html. York County, South Carolina Once a participant has obtained a Maryland, 20852, Attention: digital ID certificate and a docket has Rulemaking and Adjudications Staff. Date of amendment request: April 30, been created, the participant can then Participants filing a document in this 2015. A publicly-available version is in submit a request for hearing or petition manner are responsible for serving the ADAMS under Accession No. document on all other participants. for leave to intervene. Submissions ML15125A149. Filing is considered complete by first- Description of amendment request: should be in Portable Document Format class mail as of the time of deposit in The proposed amendments would (PDF) in accordance with NRC guidance the mail, or by courier, express mail, or modify the Emergency Action Levels for available on the NRC’s public Web site expedited delivery service upon the CNS based on Nuclear Energy at http://www.nrc.gov/site-help/e- depositing the document with the Institute (NEI) 99–01, Revision 6, submittals.html. A filing is considered provider of the service. A presiding ‘‘Development of Emergency Action complete at the time the documents are officer, having granted an exemption Levels for Non-Passive Reactors.’’ submitted through the NRC’s E -Filing request from using E-Filing, may require Basis for proposed no significant system. To be timely, an electronic a participant or party to use E-Filing if hazards consideration determination: filing must be submitted to the E-Filing the presiding officer subsequently As required by 10 CFR 50.91(a), the system no later than 11:59 p.m. Eastern determines that the reason for granting licensee has provided its analysis of the Time on the due date. Upon receipt of the exemption from use of E-Filing no issue of no significant hazards a transmission, the E -Filing system longer exists. consideration, which is presented time-stamps the document and sends Documents submitted in adjudicatory below: the submitter an email notice proceedings will appear in the NRC’s 1. Does the proposed amendment involve confirming receipt of the document. The electronic hearing docket which is E-Filing system also distributes an email a significant increase in the probability or available to the public at http:// consequences of an accident previously notice that provides access to the ehd1.nrc.gov/ehd/, unless excluded evaluated? document to the NRC’s Office of the pursuant to an order of the Commission, Response: No. General Counsel and any others who or the presiding officer. Participants are These changes affect the CNS Emergency have advised the Office of the Secretary requested not to include personal Plan and do not alter any of the requirements that they wish to participate in the privacy information, such as social of the Operating License or the Technical Specifications. The proposed changes do not proceeding, so that the filer need not security numbers, home addresses, or serve the documents on those modify any plant equipment and do not home phone numbers in their filings, impact any failure modes that could lead to participants separately. Therefore, unless an NRC regulation or other law an accident. Additionally, the proposed applicants and other participants (or requires submission of such changes do not impact the consequence of their counsel or representative) must information. However, in some any analyzed accident since the changes do apply for and receive a digital ID instances, a request to intervene will not affect any equipment related to accident certificate before a hearing request/ require including information on local mitigation. Based on this discussion, the petition to intervene is filed so that they residence in order to demonstrate a proposed amendment does not increase the can obtain access to the document via proximity assertion of interest in the probability or consequences of an accident the E-Filing system. previously evaluated. proceeding. With respect to copyrighted 2. Does the proposed amendment create A person filing electronically using works, except for limited excerpts that the possibility of a new or different kind of the NRC’s adjudicatory E-Filing system serve the purpose of the adjudicatory accident from any accident previously may seek assistance by contacting the filings and would constitute a Fair Use evaluated? NRC Meta System Help Desk through application, participants are requested Response: No. the ‘‘Contact Us’’ link located on the not to include copyrighted materials in These changes affect the CNS Emergency NRC’s public Web site at http:// their submission. Plan and do no alter any of the requirements www.nrc.gov/site-help/e- Petitions for leave to intervene must of the Operating License or the Technical submittals.html, by email to be filed no later than 60 days from the Specifications. They do not modify any plant equipment and there is no impact on the [email protected], or by a toll- date of publication of this notice. capability of the existing equipment to free call at 1–866–672–7640. The NRC Requests for hearing, petitions for leave perform their intended functions. No system Meta System Help Desk is available to intervene, and motions for leave to setpoints are being modified and no changes between 8 a.m. and 8 p.m., Eastern file new or amended contentions that are being made to the method in which plant

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operations are conducted. No new failure consideration, which is presented Therefore, it is concluded that the modes are introduced by the proposed below: proposed change does not involve a changes. The proposed amendment does not significant reduction in a margin of safety. 1. Does the proposed amendment involve introduce accident initiators or malfunctions The NRC staff has reviewed the that would cause a new or different kind of a significant increase in the probability or accident. consequences of an accident previously licensee’s analysis and, based on this Therefore, the proposed amendment does evaluated? review, it appears that the three not create the possibility of a new or different Response: No. standards of 10 CFR 50.92(c) are The proposed change revises the Steam kind of accident from any accident satisfied. Therefore, the NRC staff Generator (SG) Program to modify the previously evaluated. proposes to determine that the frequency of verification of SG tube integrity 3. Does the proposed amendment involve and SG tube sample selection. A steam amendment request involves no a significant reduction in the margin of generator tube rupture (SGTR) event is one of significant hazards consideration. safety? the design basis accidents that are analyzed Attorney for licensee: Lara S. Nichols, Response: No. as part of a plant’s licensing basis. The Associate General Counsel, Duke Energy These changes affect the CNS Emergency proposed SG tube inspection frequency and Corporation, 526 South Church Street— Plan and do not alter any of the requirements sample selection criteria will continue to EC07H, Charlotte, NC 28202. of the Operating License or the Technical ensure that the SG tubes are inspected such Specifications. The proposed changes do not NRC Branch Chief: Robert J. that the probability of [an] SGTR is not Pascarelli. affect any of the assumptions used in the increased. The consequences of a SGTR are accident analysis, not do they affect any bounded by the conservative assumptions in Duke Energy Carolinas, LLC, Docket operability requirements for equipment the design basis accident analysis. The Nos. 50–369 and 50–370, McGuire important to plant safety. proposed change will not cause the Therefore, the proposed changes will not Nuclear Station (MNS), Units 1 and 2, consequences of [an] SGTR to exceed those Mecklenburg County, North Carolina result in a significant reduction in the margin assumptions. of safety as defined in the bases for technical Therefore, it is concluded that this change Date of amendment request: May 7, specifications covered in this license does not involve a significant increase in the 2015. A publicly-available version is in amendment request. probability or consequences of an accident ADAMS under Accession No. The NRC staff has reviewed the previously evaluated. ML15141A047. licensee’s analysis and, based on this 2. Does the proposed amendment create Description of amendment request: review, it appears that the three the possibility of a new or different kind of The proposed amendments would accident from any accident previously modify the Emergency Action Levels for standards of 10 CFR 50.92(c) are evaluated? satisfied. Therefore, the NRC staff Response: No. the MNS based on Nuclear Energy proposes to determine that the The proposed changes to the Steam Institute (NEI) 99–01, Revision 6, amendment request involves no Generator Program will not introduce any ‘‘Development of Emergency Action significant hazards consideration. adverse changes to the plant design basis of Levels for Non-Passive Reactors.’’ Attorney for licensee: Lara S. Nichols, postulated accidents resulting from potential Basis for proposed no significant Associate General Counsel, Duke Energy tube degradation. The proposed change does hazards consideration determination: Corporation, 526 South Church Street— not affect the design of the SGs or their As required by 10 CFR 50.91(a), the EC07H, Charlotte, NC 28202. method of operation. In addition, the licensee has provided its analysis of the NRC Branch Chief: Robert J. proposed change does not impact any other issue of no significant hazards plant system or component. Pascarelli. Therefore, it is concluded that this change consideration, which is presented does not create the possibility of a new or below: Duke Energy Carolinas, LLC, Docket 1. Does the proposed amendment involve Nos. 50–413 and 50–414, Catawba different kind of accident from any accident previously evaluated. a significant increase in the probability or Nuclear Station, Units 1 and 2, York 3. Does the proposed amendment involve consequences of an accident previously County, South Carolina; Docket Nos. a significant reduction in the margin of evaluated? 50–369 and 50–370, McGuire Nuclear safety? Response: No. Station, Units 1 and 2, Mecklenburg Response: No. These changes affect the MNS Emergency County, North Carolina; and Docket The SG tubes in pressurized water reactors Plan and do not alter any of the requirements Nos. 50–269, 50–270, and 50–287, are an integral part of the reactor coolant of the Operating License or the Technical pressure boundary and, as such, are relied Specifications. The proposed changes do not Oconee Nuclear Station, Units 1, 2, and modify any plant equipment and do not 3, Oconee County, South Carolina upon to maintain the primary system’s pressure and inventory. As part of the reactor impact any failure modes that could lead to Date of amendment request: April 16, coolant pressure boundary, the SG tubes are an accident. Additionally, the proposed 2015. A publicly-available version is unique in that they are also relied upon as changes do not impact the consequence of available at ADAMS Accession No. a heat transfer surface between the primary any analyzed accident since the changes do ML15119A224. and secondary systems such that residual not affect any equipment related to accident Description of amendment request: heat can be removed from the primary mitigation. Based on this discussion, the proposed amendment does not increase the The amendment would modify system. In addition, the SG tubes also isolate the radioactive fission products in the probability or consequences of an accident Technical Specification (TS) primary coolant from the secondary system. previously evaluated. requirements regarding steam generator In summary, the safety function of [an] SG is 2. Does the proposed amendment create tube inspections and reporting as maintained by ensuring the integrity of its the possibility of a new or different kind of described in Technical Specification tubes. accident from any accident previously Task Force (TSTF)-510, Revision 2, [SG] tube integrity is a function of the evaluated? ‘‘Revision to Steam Generator Program design, environment, and the physical Response: No. Inspection Frequencies and Tube condition of the tube. The proposed change These changes affect the MNS Emergency Sample Selection.’’ does not affect tube design or operating Plan and do not any of the requirements of environment. The proposed change will the Operating License or the Technical Basis for proposed no significant continue to require monitoring of the Specifications. They do not modify any plant hazards consideration determination: physical condition of the SG tubes such that equipment and there is no impact on the As required by 10 CFR 50.91(a), the there will not be a reduction in the margin capability of the existing equipment to licensee has provided its analysis of the of safety compared to the current perform its intended functions. No system issue of no significant hazards requirements. setpoints are being modified and no changes

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are being made to the method in which plant The proposed change to the CSP Nuclear, Entergy Services, Inc., 639 operations are conducted. No new failure Implementation Schedule is administrative Loyola Avenue, New Orleans, Louisiana modes are introduced by the proposed in nature. This change does not alter accident 70113. changes. The proposed amendment does not analysis assumptions, add any initiators, or NRC Branch Chief: Michael T. affect the function of plant systems or the introduce accident initiators or malfunctions Markley. that would cause a new or different kind of manner in which systems are operated, accident. maintained, modified, tested, or inspected. Southern Nuclear Operating Company, Therefore, the proposed amendment does The proposed change does not require any Inc., Docket Nos. 50–348 and 50–364, not create the possibility of a new or different plant modifications which affect the Joseph M. Farley Nuclear Plant, Units 1 performance capability of the structures, kind of accident from any accident and 2, Houston County, Alabama previously evaluated. systems, and components relied upon to 3. Does the proposed amendment involve mitigate the consequences of postulated Date of amendment request: May 12, a significant reduction in the margin of accidents and has no impact on the 2015. A publicly-available version is in safety? probability or consequences of an accident ADAMS under Accession No. Response: No. previously evaluated. ML15132A722. These changes affect the MNS Emergency Therefore, the proposed change does not involve a significant increase in the Description of amendment request: Plan and do not alter any of the requirements The proposed change revises and adds of the Operating License or the Technical probability or consequences of an accident Specifications. The proposed changes do not previously evaluated. Surveillance Requirements to verify that affect any of the assumptions used in the 2. Does the proposed change create the the system locations susceptible to gas accident analysis, nor do they affect any possibility of a new or different kind of accumulation are sufficiently filled with operability requirements for equipment accident from any accident previously water and to provide allowances that important to plant safety. evaluated? permit performance of the verification. Therefore, the proposed changes will not Response: No. The licensee stated that the proposed result in a significant reduction in the margin The proposed change to the CSP amendment is consistent with Technical of safety as defined in the bases for technical Implementation Schedule is administrative in nature. This proposed change does not Specification Task Force (TSTF)-523, specifications covered in this license Revision 2, ‘‘Generic Letter 2008–01, amendment request. alter accident analysis assumptions, add any initiators, or affect the function of plant Managing Gas Accumulation.’’ The NRC staff has reviewed the systems or the manner in which systems are Basis for proposed no significant licensee’s analysis and, based on this operated, maintained, modified, tested, or hazards consideration determination: review, it appears that the three inspected. The proposed change does not As required by 10 CFR 50.91(a), the standards of 10 CFR 50.92(c) are require any plant modifications which affect licensee has provided its analysis of the satisfied. Therefore, the NRC staff the performance capability of the structures, issue of no significant hazards proposes to determine that the systems, and components relied upon to consideration, which is presented amendment request involves no mitigate the consequences of postulated below: significant hazards consideration. accidents and does not create the possibility 1. Does the proposed change involve a Attorney for licensee: Lara S. Nichols, of a new or different kind of accident from any accident previously evaluated. significant increase in the probability or Associate General Counsel, Duke Energy Therefore, the proposed change does not consequences of an accident previously Corporation, 526 South Church Street— create the possibility of a new or different evaluated? EC07H, Charlotte, NC 28202. kind of accident from any accident Response: No. NRC Branch Chief: Robert J. previously evaluated. The proposed change revises [and] adds Pascarelli. 3. Does the proposed change involve a Surveillance Requirements (SRs) that require significant reduction in a margin of safety? verification that the Emergency Core Cooling Entergy Operations, Inc., Docket Nos. Response: No. System (ECCS), the Residual Heat Removal 50–313 and 50–368, Arkansas Nuclear Plant safety margins are established (RHR) System, and the Containment Spray One, Unit Nos. 1 and 2, Pope County, through limiting conditions for operation, (CS) System are not rendered inoperable due Arkansas limiting safety system settings, and safety to accumulated gas and to provide limits specified in the technical allowances which permit performance of the Date of amendment request: May 20, specifications. The proposed change to the revised verification. Gas accumulation in the 2015. A publicly-available version is in CSP Implementation Schedule is subject systems is not an initiator of any ADAMS under Accession No. administrative in nature. In addition, the accident previously evaluated. As a result, ML15140A611. milestone date delay for full implementation the probability of any accident previously Description of amendment request: of the CSP has no substantive impact because evaluated is not significantly increased. The The amendments would revise the full other measures have been taken which proposed SRs ensure that the subject systems implementation date (Milestone 8) of provide adequate protection during this continue to be capable to perform their the Arkansas Nuclear One, Units 1 and period of time. Because there is no change to assumed safety function and are not rendered 2, Cyber Security Plan (CSP), and revise established safety margins as a result of this inoperable due to gas accumulation. Thus, the consequences of any accident previously the associated Physical Protection change, the proposed change does not involve a significant reduction in a margin of evaluated are not significantly increased. license conditions for each Renewed safety. Therefore, the proposed change does not Facility Operating License. Therefore, the proposed change does not involve a significant increase in the Basis for proposed no significant involve a significant reduction in a margin of probability or consequences of an accident hazards consideration determination: safety. previously evaluated. As required by 10 CFR 50.91(a), the The NRC staff has reviewed the 2. Does the proposed change create the licensee has provided its analysis of the licensee’s analysis and, based on this possibility of a new or different kind of issue of no significant hazards review, it appears that the three accident from any accident previously consideration, which is presented standards of 10 CFR 50.92(c) are evaluated? Response: No. below: satisfied. Therefore, the NRC staff The proposed change revises [and] adds 1. Does the proposed change involve a proposes to determine that the SRs that require verification that the ECCS, significant increase in the probability or amendment request involves no the RHR System, and the CS System are not consequences of an accident previously significant hazards consideration. rendered inoperable due to accumulated gas evaluated? Attorney for licensee: Joseph A. and to provide allowances which permit Response: No. Aluise, Associate General Counsel— performance of the revised verification. The

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proposed change does not involve a physical System]—Operating.’’ This LCO increase in the probability or consequences alteration of the plant (i.e., no new or requires that two ECCS trains be of an accident previously evaluated. different type of equipment will be installed) OPERABLE in Modes 1, 2, or 3. An 2. Does the proposed change create the or a change in the methods governing normal ECCS train consists of a centrifugal possibility of a new or different accident plant operation. In addition, the proposed from any accident previously evaluated? change does not impose any new or different charging system, a safety injection (SI) Response: No. requirements that could initiate an accident. system, and a residual heat removal Replacement of the 1A RHR pump motor The proposed change does not alter (RHR) system. Condition 3.5.2.A for the extended Completion Time period assumptions made in the safety analysis and requires that, if one of the required does not introduce any new or unanalyzed is consistent with the safety analysis trains is inoperable, and that 100 modes of operation. The replacement of the assumptions. percent of the ECCS flow equivalent to pump motor does not involve any Therefore, the proposed change does not a single OPERABLE ECCS train is unanalyzed modifications to the design or operational limits of the RHR system. create the possibility of a new or different available, then the inoperable train must kind of accident from any accident Therefore, no new failure modes or accident previously evaluated. be restored to OPERABLE status in 72 precursors are created due to the motor 3. Does the proposed change involve a hours. Otherwise, the reactor must be replacement during the extended Completion significant reduction in a margin of safety? taken to Mode 3 in 6 hours and to Mode Time. Response: No. 4 in 12 hours. For the reasons noted above, the proposed The proposed change revises [and] adds The proposed amendment revises the change will not create the possibility of a SRs that require verification that the ECCS, Completion Time (CT) for Condition new or different accident from any the RHR System, and the CS System are not 3.5.2.A from 72 hours to 7 days to allow previously evaluated. rendered inoperable due to accumulated gas 3. Does the proposed change involve a for replacement of the train 1A RHR significant reduction in a margin of safety? and to provide allowances which permit pump motor. This change will be performance of the revised verification. The Response: No. proposed change adds new requirements to applicable only one time on VEGP prior The margin of safety is related to the ability manage gas accumulation in order to ensure to the Cycle 19 shutdown. of the fission product barriers to perform the subject systems are capable of performing Basis for proposed no significant their design functions during and following their assumed safety functions. The proposed hazards consideration determination: an accident situation. These barriers include SRs are more comprehensive than the current As required by 10 CFR 50.91(a), the the fuel cladding, the reactor coolant system, SRs and will ensure that the assumptions of licensee has provided its analysis of the and the containment. The performance of the safety analysis are protected. The these fission product barriers will not be issue of no significant hazards significantly affected by the proposed proposed change does not adversely affect consideration, which is presented any current plant safety margins or the change. The risk implications of this reliability of the equipment assumed in the below: amendment request were evaluated and safety analysis. 1. Does the proposed change involve a found to be acceptable. Therefore, there are no changes being made significant increase in the probability or During the extended Completion Time for to any safety analysis assumptions, safety consequences of an accident previously the 1A RHR pump, the ECCS will remain limits or limiting safety system settings that evaluated? capable of providing adequate flow to the would adversely affect plant safety as a result Response: No. reactor vessel to mitigate the consequences of of the proposed change. The emergency core cooling systems a design basis event such as LOCA. Also, Therefore, the proposed change does not (ECCS), including the Residual Heat Removal compensatory actions will be put in place to involve a significant reduction in a margin of system, are designed for the mitigation of minimize the probability of an initiating safety. design basis accidents or transients, such as event during the extended CT period as well a Loss of Coolant Accident (LOCA). as to minimize the chances of a loss of one The NRC staff has reviewed the They are not designed, nor do they serve, of the remaining ECCSs. A risk informed licensee’s analysis and, based on this for the prevention of those events. analysis has also been performed which review, it appears that the three Consequently, the proposed amendment does shows that the incremental plant risk has standards of 10 CFR 50.92(c) are not increase the probability of a previously increased by an acceptable amount. satisfied. Therefore, the NRC staff evaluated accident occurring. For the reasons noted above, there is no proposes to determine that the Should an accident occur during the significant reduction in a margin of safety. amendment request involves no period of time that the RHR pump is out of The NRC staff has reviewed the service, the remaining ECCS components significant hazards consideration. would serve to provide the minimum amount licensee’s analysis and, based on this Attorney for licensee: Leigh D. Perry, of flow assumed in the accident analyses. review, it appears that the three SVP & General Counsel of Operations Even assuming failure of a charging pump or standards of 10 CFR 50.92(c) are and Nuclear, Southern Nuclear an SI system on either of the trains, sufficient satisfied. Therefore, the NRC staff Operating Company, 40 Iverness Center ECCS flow would still be provided to the proposes to determine that the Parkway, Birmingham, AL 35201. reactor vessel to mitigate the consequences of amendment request involves no NRC Branch Chief: Robert J. the event. Furthermore, a risk informed significant hazards consideration. Pascarelli. analysis performed in support of this Attorney for licensee: Jennifer M. amendment request demonstrates that the Buettner, Associate General Counsel, Southern Nuclear Operating Company, consequences of an accident are not Southern Nuclear Operating Company, Inc., Docket No. 50–424, Vogtle Electric significantly increased. As such, the 40 Inverness Center Parkway, Generating Plant, Unit 1 (VEGP), Burke proposed change does not involve a Birmingham, AL 35201. County, Georgia significant increase in the probability or consequences of a previously evaluated NRC Branch Chief: Robert J. Date of amendment request: June 4, accident. Pascarelli. 2015. A publicly-available version is in Also, appropriate compensatory measures ADAMS under Accession No. will be implemented during the time of the Southern Nuclear Operating Company, ML15155B593. extended Completion Time for the RHR Inc., Docket Nos. 50–424 and 50–425, Description of amendment request: pumps. These actions are intended to Vogtle Electric Generating Plant, Units 1 The licensee proposes to modify the decrease the chances of an initiating event and 2 (VEGP), Burke County, Georgia occurring during the time of the extended CT VEGP Technical Specifications to and also to minimize the chances of losing Date of amendment request: May 6, provide a one-time change to Limiting any ECCS components. 2015. A publicly-available version is in Condition for Operation (LCO) 3.5.2, For the above reasons, the proposed ADAMS under Accession No. ‘‘ECCS [Emergency Core Cooling changes will not result in a significant ML15128A239.

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Description of amendment request: be installed) or a change in the methods Response: No. The licensee proposes to modify the governing normal plant operation. In The proposed change revises or adds VEGP Technical Specifications to addition, the change does not impose any Surveillance Requirements (SRs) that require new requirements. The change does not alter verification that the Emergency Core Cooling incorporate risk-informed requirements assumptions made in the safety analysis. for selected Required Action end states. System (ECCS), the Residual Heat Removal Therefore, the proposed change does not (RHR) System, and the Containment Spray Specifically, the proposed change create the possibility of a new or different (CS) System are not rendered inoperable due would permit a Required Action end kind of accident from any accident to accumulated gas and to provide state of Mode 4 rather than an end state previously evaluated. allowances which permit performance of the of Mode 5. The licensee states that the 3. Does the proposed change involve a revised verification. Gas accumulation in the proposed changes are consistent with significant reduction in a margin of safety? subject systems is not an initiator of any Technical Specification Task Force Response: No. accident previously evaluated. As a result, The proposed change modifies the end (TSTF) Technical Change Traveler 432– the probability of any accident previously state (e.g., mode or other specified condition) evaluated is not significantly increased. The A, Revision 1. which the Required Actions specify must be proposed SRs ensure that the subject systems Basis for proposed no significant entered if compliance with the LCO is not continue to be capable to perform their hazards consideration determination: restored. In some cases, other Conditions and As required by 10 CFR 50.91(a), the Required Actions are revised to implement assumed safety function and are not rendered inoperable due to gas accumulation. Thus, licensee has provided its analysis of the the proposed change. Remaining within the Applicability of the LCO is acceptable the consequences of any accident previously issue of no significant hazards evaluated are not significantly increased. consideration, which is presented because WCAP–16294–NP–A demonstrates that the plant risk in MODE 4 is similar to Therefore, the proposed change does not below: or lower than MODE 5. As a result, no margin involve a significant increase in the 1. Does the proposed change involve a of safety is significantly affected. probability or consequences of an accident significant increase in the probability or Therefore, the proposed changes do not previously evaluated. consequences of an accident previously involve a significant reduction in a margin of 2. Does the proposed change create the evaluated? safety. possibility of a new or different kind of accident from any accident previously Response: No. The NRC staff has reviewed the The proposed change modifies the end evaluated? state (e.g., mode or other specified condition) licensee’s analysis and, based on this Response: No. which the Required Actions specify must be review, it appears that the three The proposed change revises or adds SRs entered if compliance with the Limiting standards of 10 CFR 50.92(c) are that require verification that the ECCS, the Conditions for Operation (LCO) is not satisfied. Therefore, the NRC staff RHR System, and the CS System are not restored. The requested Technical proposes to determine that the rendered inoperable due to accumulated gas Specifications (TS) permit an end state of amendment request involves no and to provide allowances which permit Mode 4 rather than an end state of Mode 5 significant hazards consideration. performance of the revised verification. The contained in the current TS. In some cases, Attorney for licensee: Jennifer M. proposed change does not involve a physical other Conditions and Required Actions are Buettner, Associate General Counsel, alteration of the plant (i.e., no new or revised to implement the proposed change. different type of equipment will be installed) Required Actions are not an initiator of any Southern Nuclear Operating Company, 40 Inverness Center Parkway, or a change in the methods governing normal accident previously evaluated. Therefore, the plant operation. In addition, the proposed proposed change does not affect the Birmingham, AL 35201. change does not impose any new or different probability of any accident previously NRC Branch Chief: Robert J. requirements that could initiate an accident. evaluated. The affected systems continue to Pascarelli. The proposed change does not alter be required to be operable by the TS and the Southern Nuclear Operating Company, assumptions made in the safety analysis and Completion Times specified in the TS to is consistent with the safety analysis restore equipment to operable status or take Inc., Docket Nos. 50–424 and 50–425, Vogtle Electric Generating Plant (VEGP), assumptions. other remedial Actions remain unchanged. Therefore, the proposed change does not WCAP–16294–NP–A, Rev. 1, ‘‘Risk- Units 1 and 2, Burke County, Georgia create the possibility of a new or different Informed Evaluation of Changes to Date of amendment request: May 12, kind of accident from any accident [Technical Specification] Required Action previously evaluated. Endstates for Westinghouse NSSS PWRs 2015. A publicly-available version is in 3. Does the proposed change involve a [nuclear steam supply system pressurized- ADAMS under Accession No. significant reduction in a margin of safety? water reactors],’’ demonstrates that the ML15132A662. Response: No. proposed change does not significantly Description of amendment request: increase the consequences of any accident The licensee proposes to adopt The proposed change revises or adds SRs previously evaluated. [WCAP–16294–NP–A, Technical Specification Task Force that require verification that the ECCS, the RHR System, and the CS System are not Rev. 1 is publicly available in ADAMS at (TSTF) traveler TSTF–523, Revision 2, Accession No. ML103430249.] rendered inoperable due to accumulated gas ‘‘Generic Letter 2008–01, Managing Gas and to provide allowances which permit Therefore, the proposed change does not Accumulation’’ (ADAMS Accession No. involve a significant increase in the performance of the revised verification. The probability or consequences of an accident ML13053A075), which is an approved proposed change adds new requirements to previously evaluated. change to the standard technical manage gas accumulation in order to ensure 2. Does the proposed change create the specifications, into the VEGP, Units 1 the subject systems are capable of performing possibility of a new or different kind of and 2 technical specifications. their assumed safety functions. The proposed accident from any accident previously Basis for proposed no significant SRs are more comprehensive than the current evaluated? hazards consideration determination: SRs and will ensure that the assumptions of Response: No. As required by 10 CFR 50.91(a), the the safety analysis are protected. The The proposed change modifies the end licensee has provided its analysis of the proposed change does not adversely affect state (e.g., mode or other specified condition) issue of no significant hazards any current plant safety margins or the reliability of the equipment assumed in the which the Required Actions specify must be consideration, which is presented entered if compliance with the LCO is not safety analysis. restored. In some cases, other Conditions and below: Therefore, there are no changes being made Required Actions are revised to implement 1. Does the proposed change involve a to any safety analysis assumptions, safety the proposed change. The change does not significant increase in the probability or limits or limiting safety system settings that involve a physical alteration of the plant (i.e., consequences of an accident previously would adversely affect plant safety as a result no new or different type of equipment will evaluated? of the proposed change.

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Therefore, the proposed change does not consequences of an accident previously The NRC staff has reviewed the involve a significant reduction in a margin of evaluated? licensee’s analysis and, based on this safety. Response: No. review, it appears that the standards of The proposed change revises the Steam The NRC staff has reviewed the Generator (SG) Program to modify the 10 CFR 50.92(c) are satisfied. Therefore, licensee’s analysis and, based on this frequency of verification of SG tube integrity the NRC staff proposes to determine that review, it appears that the three and SG tube sample selection. A steam the request for amendments involves no standards of 10 CFR 50.92(c) are generator tube rupture (SGTR) event is one of significant hazards consideration. satisfied. Therefore, the NRC staff the design basis accidents that are analyzed Attorney for licensee: Steve Frantz, proposes to determine that the as part of a plant’s licensing basis. The Esq., Morgan, Lewis & Bockius, 1111 amendment request involves no proposed SG tube inspection frequency and Pennsylvania Avenue NW., Washington, sample selection criteria will continue to significant hazards consideration. DC 20004. ensure that the SG tubes are inspected such NRC Branch Chief: Michael T. Attorney for licensee: Jennifer M. that the probability of [an] SGTR is not Buettner, Associate General Counsel, increased. The consequences of [an] SGTR Markley. Southern Nuclear Operating Company, are bounded by the conservative assumptions Tennessee Valley Authority, Docket 40 Inverness Center Parkway, in the design basis accident analysis. The Nos. 50–259, 50–260, and 50–296, Birmingham, AL 35201. proposed change will not cause the Browns Ferry Nuclear Plant, Units 1, 2, NRC Branch Chief: Robert J. consequences of [an] SGTR to exceed those assumptions. The proposed change to and 3, Limestone County, Alabama Pascarelli. reporting requirements and clarifications of Date of amendment request: March 9, STP Nuclear Operating Company, the existing requirements have no [effect] on 2015. A publicly-available version is in Docket Nos. 50–498 and 50–499, South the probability or consequences of SGTR. ADAMS under Accession No. Therefore, it is concluded that this change Texas Project, Units 1 and 2 (STP), does not involve a significant increase in the ML15068A407. Matagorda County, Texas probability or consequences of an accident Description of amendment request: Date of amendment request: April 23, previously evaluated. The amendment would revise the 2015. A publicly-available version is in 2. Does the proposed change create the Technical Specifications (TSs) ADAMS under Accession No. possibility of a new or different kind of definition of ‘‘Shutdown Margin’’ (SDM) accident from any accident previously to require calculation of the SDM at a ML15121A818. evaluated? Description of amendment request: reactor moderator temperature of 68 Response: No. degrees Fahrenheit (°F) or a higher The amendment would modify the STP The proposed changes to the Steam Technical Specification (TS) Generator Program will not introduce any temperature that represents the most requirements regarding steam generator adverse changes to the plant design basis or reactive state throughout the operating tube inspections and reporting based on postulated accidents resulting from potential cycle. This change is needed to address Technical Specification Task Force tube degradation. The proposed change does new boiling water reactor (BWR) fuel not affect the design of the SGs or their (TSTF)–510–A, Revision 2, ‘‘Revision to designs, which may be more reactive at method of operation. In addition, the shutdown temperatures above 68 °F. Steam Generator Program Inspection proposed change does not impact any other Frequencies and Tube Sample This proposed change is in accordance plant system or component. with the industry Technical Selection.’’ The proposed change revises Therefore, the proposed change does not the TS Limiting Condition for Operation create the possibility of a new or different Specifications Task Force (TSTF) 3.4.5, ‘‘Steam Generator Tube Integrity’’; type of accident from any accident initiative identified as Change Traveler Surveillance Requirement 4.4.5.2; previously evaluated. TSTF–535, Revision 0, ‘‘Revise Administrative Controls Specification 3. Does the proposed change involve a Shutdown Margin Definition to Address significant reduction in a margin of safety? 6.8.3.o, ‘‘Steam Generator Program’’; Advanced Fuel Designs.’’ The Response: No. availability of this TS improvement was and TS 6.9.1.7, Steam Generator Tube The SG tubes in pressurized water reactors Inspection Report. The proposed announced in the Federal Register are an integral part of the reactor coolant published on February 26, 2013 (78 FR changes address implementation of pressure boundary and, as such, are relied inspection periods and other upon to maintain the primary system’s 13100), as part of NRC’s Consolidated administrative changes. pressure and inventory. As part of the reactor Line Item Improvement Process. Basis for proposed no significant The NRC staff issued a Notice of coolant pressure boundary, the SG tubes are hazards consideration determination: Availability of models for plant-specific unique in that they are also relied upon as a heat transfer surface between the primary As required by 10 CFR 50.91(a), the adoption of TSTF–510, Revision 2, in and secondary systems such that residual licensee has provided its analysis of the the Federal Register on October 27, heat can be removed from the primary issue of no significant hazards 2011 (76 FR 66763), as part of the system. In addition, the SG tubes also isolate consideration, which is presented Consolidated Line Item Improvement the radioactive fission products in the below: Process (CLIIP). The notice referenced a primary coolant from the secondary system. model safety evaluation and model no In summary, the safety function of [an] SG is 1. Does the proposed change involve a significant hazards consideration maintained by ensuring the integrity of its significant increase in the probability or determination published in the Federal tubes. consequences of an accident previously Steam generator tube integrity is a function evaluated? Register on August 2, 2002 (67 FR of the design, environment, and the physical Response: No. 50475). condition of the tube. The proposed change The proposed change revises the definition Basis for proposed no significant does not affect tube design or operating of SDM. SDM is not an initiator to any hazards consideration determination: environment. The proposed change will accident previously evaluated. Accordingly, As required by 10 CFR 50.91(a), the continue to require monitoring of the the proposed change to the definition of SDM licensee has provided its analysis of the physical condition of the SG tubes such that has no effect on the probability of any issue of no significant hazards there will not be a reduction in the margin accident previously evaluated. SDM is an consideration, which is presented of safety compared to the current assumption in the analysis of some requirements. previously evaluated accidents and below: Therefore, it is concluded that the inadequate SDM could lead to an increase in 1. Does the proposed change involve a proposed change does not involve a consequences for those accidents. However, significant increase in the probability or significant reduction in a margin of safety. the proposed change revises the SDM

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definition to ensure that the correct SDM is water and to provide allowances, which margins or the reliability of the equipment determined for all fuel types at all times permit performance of the verification. assumed in the safety analysis. Therefore, during the fuel cycle. As a result, the Basis for proposed no significant there are no changes being made to any safety proposed change does not adversely affect hazards consideration determination: analysis assumptions, safety limits, or the consequences of any accident previously As required by 10 CFR 50.91(a), the limiting safety system settings that would evaluated. adversely affect plant safety as a result of the Therefore, the proposed change does not licensee has provided its analysis of the proposed change. involve a significant increase in the issue of no significant hazards Therefore, the proposed change does not probability or consequences of an accident consideration, which is presented involve a significant reduction in a margin of previously evaluated. below: safety. 2. Does the proposed change create the 1. Does the proposed change involve a The NRC staff has reviewed the possibility of a new or different kind of significant increase in the probability or accident from any accident previously licensee’s analysis and, based on this consequences of an accident previously review, it appears that the three evaluated? evaluated? Response: No. Response: No. standards of 10 CFR 50.92(c) are The proposed change revises the definition The proposed change adds a Surveillance satisfied. Therefore, the NRC staff of SDM. The change does not involve a Requirement (SR) that requires verification proposes to determine that the physical alteration of the plant (i.e., no new that the SI System is not rendered inoperable amendment request involves no or different type of equipment will be due to accumulated gas and to provide significant hazards consideration. installed) or a change in the methods allowances which permit performance of the Attorney for licensee: Lillian M. governing normal plant operations. The revised verification. Gas accumulation in the change does not alter assumptions made in Cuoco, Senior Counsel, Dominion SI System is not an initiator of any accident Resources Services, Inc., 120 Tredegar the safety analysis regarding SDM. previously evaluated. As a result, the Therefore, the proposed change does not probability of any accident previously St., RS–2, Richmond, VA 23219. create the possibility of a new or different evaluated is not significantly increased. The NRC Branch Chief: Robert J. kind of accident from any accident proposed SR ensures that the SI System Pascarelli. previously evaluated. continues to be capable of performing its III. Previously Published Notice of 2. Does the proposed change involve a assumed safety function and is not rendered significant reduction in a margin of safety? inoperable due to gas accumulation. Thus, Consideration of Issuance of Response: No. the consequences of any accident previously Amendments to Facility Operating The proposed change revises the definition evaluated are not significantly increased. Licenses and Combined Licenses, of SDM. The change does not alter the Therefore, the proposed change does not Proposed No Significant Hazards manner in which safety limits, limiting safety involve a significant increase in the Consideration Determination, and system settings or limiting conditions for probability or consequences of an accident Opportunity for a Hearing operation are determined. The proposed previously evaluated. change ensures that the SDM assumed in 2. Does the proposed change create the The following notice was previously determining safety limits, limiting safety possibility of a new or different kind of published as a separate individual system settings, or limiting conditions for accident from any accident previously notice. The notice content was the same operation is correct for all BWR fuel types at evaluated? as above. It was published as an all times during the fuel cycle. Response: No. individual notice either because time Therefore, the proposed change does not The proposed change adds [an] SR that did not allow the Commission to wait involve a significant reduction in margin of requires verification that the SI System is not safety. rendered inoperable due to accumulated gas for this biweekly notice or because the and to provide allowances which permit action involved exigent circumstances. The NRC staff has reviewed the performance of the revised verification. The It is repeated here because the biweekly licensee’s analysis and, based on this proposed change does not involve a physical notice lists all amendments issued or review, it appears that the three alteration of the plant (i.e., no new or proposed to be issued involving no standards of 10 CFR 50.92(c) are different type of equipment will be installed) significant hazards consideration. satisfied. Therefore, the NRC staff or a change in the methods governing normal For details, see the individual notice proposes to determine that the plant operation. In addition, the proposed in the Federal Register on the day and change does not impose any new or different amendment request involves no page cited. This notice does not extend significant hazards consideration. requirements that could initiate an accident. The proposed change does not alter the notice period of the original notice. Attorney for licensee: General assumptions made in the safety analysis and Counsel, Tennessee Valley Authority, Tennessee Valley Authority, Docket No. is consistent with the safety analysis 50–390, Watts Bar Nuclear Plant, Unit 1, 400 West Summit Hill Drive, 6A West assumptions. Tower, Knoxville, TN 37902. Therefore, the proposed change does not Rhea County, Tennessee NRC Branch Chief: Shana R. Helton. create the possibility of a new or different Date of amendment request: April 1, kind of accident from any accident 2015, as supplemented by letter dated Virginia Electric and Power Company, previously evaluated. May 7, 2015. Publicly-available versions Docket Nos. 50–280 and 50–281, Surry 3. Does the proposed change involve a are in ADAMS under Accession Nos. Power Station, Unit Nos. 1 and 2, Surry significant reduction in a margin of safety? ML15096A151 and ML15127A511, County, Virginia Response: No. The proposed change adds [an] SR that respectively. Date of amendment request: January requires verification that the SI System is not Brief description of amendment 14, 2015. A publicly-available version is rendered inoperable due to accumulated gas request: The amendment would revise in ADAMS under Accession No. and to provide allowances which permit the approved Cyber Security Plan and ML15021A130. performance of the revised verification. The license condition and clarify the Description of amendment request: proposed change adds a new requirement to demarcation point between digital The amendments would add a manage gas accumulation to ensure the SI components under NRC jurisdiction and System is capable of performing its assumed Technical Specification (TS) safety functions. The proposed SR is those under the jurisdiction of the Surveillance Requirement (SR) [TS comprehensive and will ensure that the Federal Energy Regulatory Commission. 4.11.C.5.d] to verify the Safety Injection assumptions of the safety analysis are Date of publication of individual (SI) System locations susceptible to gas protected. The proposed change does not notice in Federal Register: June 1, accumulation are sufficiently filled with adversely affect any current plant safety 2015 (80 FR 31076).

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Expiration dates of individual notice: Spent and New Fuel Storage, Transfer, Date of initial notice in Federal July 1, 2015 (public comments); July 31, and Upper Containment Fuel Pools,’’ to Register: April 7, 2015 (80 FR 18658). 2015 (hearing requests). allow for movement of fuel pool gates The supplemental letter dated May 6, over fuel assemblies for maintenance. 2015, did not expand the scope of the IV. Notice of Issuance of Amendments This exception will also be described by application as originally noticed, and to Facility Operating Licenses and did not change the staff’s original Combined Licenses a revision to the Updated Safety Analysis Report (USAR) Section proposed no significant hazards During the period since publication of 9.1.2.2.2, ‘‘Fuel Building Fuel Storage,’’ consideration determination. the last biweekly notice, the and Section 9.1.2.3.3, ‘‘Protection The Commission’s related evaluation Commission has issued the following Features of Spent Fuel Storage of the amendment is contained in a amendments. The Commission has Facilities.’’ Safety Evaluation dated June 10, 2015. determined for each of these Date of issuance: June 2, 2015. No significant hazards consideration amendments that the application Effective date: As of the date of comments received: No. complies with the standards and issuance and shall be implemented 120 Florida Power & Light Company, et al., requirements of the Atomic Energy Act days from the date of issuance. Docket Nos. 50–335 and 50–389, St. of 1954, as amended (the Act), and the Amendment No.: 186. A publicly- Lucie Plant, Unit Nos. 1 and 2, St. Lucie Commission’s rules and regulations. available version is in ADAMS under County, Florida. The Commission has made appropriate Accession No. ML15117A575; findings as required by the Act and the Date of application for amendment: documents related to this amendment June 9, 2014, as supplemented by letter Commission’s rules and regulations in are listed in the Safety Evaluation 10 CFR Chapter I, which are set forth in dated April 3, 2015. enclosed with the amendment. Brief description of amendment: The the license amendment. Facility Operating License No. NPF– A notice of consideration of issuance amendments clarify the requirement for 47: The amendment revised the TRM of amendment to facility operating the Shift Technical Advisor (STA) in TS and the USAR. license or combined license, as 6.2.2.e to allow the STA position be Date of initial notice in Federal applicable, proposed no significant filled for each unit by a dedicated STA, Register: December 10, 2013 (78 FR hazards consideration determination, an STA qualified Shift Supervisor, or an 74181). The supplements dated and opportunity for a hearing in STA qualified Senior Reactor Operator. September 23, 2014, January 12, and connection with these actions, was Additionally, the dedicated STA or the March 30, 2015, provided additional published in the Federal Register as STA qualified Shift Supervisor can fill information that clarified the indicated. the STA position on both units. Unless otherwise indicated, the application, did not expand the scope of Date of issuance: June 1, 2015. Commission has determined that these the application as originally noticed, Effective date: As of the date of amendments satisfy the criteria for and did not change the NRC staff’s issuance and shall be implemented categorical exclusion in accordance original proposed no significant hazards within 90 days of issuance. Amendment Nos.: 221 and 171. A with 10 CFR 51.22. Therefore, pursuant consideration determination as publicly-available version is in ADAMS to 10 CFR 51.22(b), no environmental published in the Federal Register. under Accession No. ML14350A008; impact statement or environmental The Commission’s related evaluation documents related to these amendments assessment need be prepared for these of the amendment is contained in a Safety Evaluation dated June 2, 2015. are listed in the Safety Evaluation amendments. If the Commission has enclosed with the amendments. prepared an environmental assessment No significant hazards consideration comments received: No. Facility Operating License Nos. DPR– under the special circumstances 67 and NPF–16: Amendments revised provision in 10 CFR 51.22(b) and has FirstEnergy Nuclear Operating the license and technical specifications. made a determination based on that Company, et al., Docket No. 50–440, Date of initial notice in Federal assessment, it is so indicated. Perry Nuclear Power Plant, Unit No. 1, Register: September 30, 2014 (79 FR For further details with respect to the Lake County, Ohio 58818). The supplement dated April 3, action see (1) the applications for 2015, provided additional information amendment, (2) the amendment, and (3) Date of application for amendment: January 9, 2015, as supplemented by that clarified the application, did not the Commission’s related letter, Safety expand the scope of the application as Evaluation and/or Environmental letter dated May 6, 2015. Brief description of amendment: The originally noticed, and did not change Assessment as indicated. All of these the staff’s original proposed no items can be accessed as described in amendment revised the operating license to extend the completion date significant hazards consideration the ‘‘Obtaining Information and determination as published in the Submitting Comments’’ section of this for full implementation of Perry Nuclear Power Plant Cyber Security Plan from Federal Register. document. The Commission’s related evaluation the beginning of July 2015 to the end of of the amendments is contained in a Entergy Gulf States Louisiana, LLC, and December 2017. Safety Evaluation dated June 1, 2015. Entergy Operations, Inc., Docket No. 50– Date of issuance: June 10, 2015. 458, River Bend Station, Unit 1, West No significant hazards consideration Effective date: As of the date of comments received: No. Feliciana Parish, Louisiana issuance and shall be implemented Date of amendment request: July 29, within 30 days. Florida Power & Light Company, et al., 2013, as supplemented by letters dated Amendment No.: 167. A publicly- Docket Nos. 50–335 and 50–389, St. September 23, 2014, January 12, and available version is in ADAMS under Lucie Plant, Unit Nos. 1 and 2, St. Lucie March 30, 2015. Accession No. ML15133A502; County, Florida Brief description of amendment: The documents related to this amendment Date of amendment request: June 30, amendment added a permanent are listed in the Safety Evaluation 2014, as supplemented by letter dated exception to the River Bend Station, enclosed with the amendment. August 19, 2014. Unit 1 Technical Requirements Manual Facility Operating License No. NPF– Brief description of amendments: The (TRM) Section 3.9.14, ‘‘Crane Travel— 58: The amendment revised the License. amendments revised the completion

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date for Milestone 8, full described in the transition license Renewed Facility Operating License implementation, of the Cyber Security conditions. No. DPR–46: Amendment revised the Plan from December 31, 2015, to Amendment Nos.: 262 and 257. A Facility Operating License and December 17, 2017. publicly-available version is in ADAMS Technical Specifications. Date of Issuance: June 5, 2015. under Accession No. ML15061A237; Date of initial notice in Federal Effective date: As of the date of documents related to these amendments Register: September 30, 2014 (79 FR issuance and shall be implemented are listed in the Safety Evaluation 58819). within 90 days of issuance. enclosed with the amendments. The Commission’s related evaluation Amendment Nos.: 222 and 172. A Renewed Facility Operating License of the amendment is contained in a publicly-available version is in ADAMS Nos. DPR–31 and DPR–41: Amendments Safety Evaluation dated May 29, 2015. under Accession No. ML15121A182; revised the Renewed Facility Operating No significant hazards consideration documents related to these amendments Licenses and Technical Specifications. comments received: No. are listed in the Safety Evaluation Date of initial notice in Federal Northern States Power Company— enclosed with the amendments. Register: February 4, 2014 (79 FR Minnesota, Docket No. 50–263, Facility Operating License Nos. DPR– 6648). The supplemental letters dated Monticello Nuclear Generating Plant 67 and NPF–16: Amendments revised January 7, April 4, June 6, July 18, (MNGP), Wright County, Minnesota the Facility Operating Licenses and September 12, November 5, and Technical Specifications. December 2, 2014; and February 18, Date of amendment request: July 15, Date of initial notice in Federal 2015, provided additional information 2013, as supplemented by letters dated Register: November 4, 2014 (79 FR that clarified the application, did not January 31, 2014, March 12, 2014, April 65431). expand the scope of the application as 29, 2014, May 9, 2014 (two letters), and The Commission’s related evaluation originally noticed, and did not change November 11, 2014. of the amendments is contained in a the staff’s original proposed no Brief description of amendment: The Safety Evaluation dated June 5, 2015. significant hazards consideration amendment revised the Technical No significant hazards consideration determination as published in the Specifications (TSs) to reflect the use of comments received: No. Federal Register. fuel and safety analysis methods The Commission’s related evaluation appropriate for the AREVA ATRIUM Florida Power & Light Company, Docket of the amendment is contained in a 10XM fuel bundle design. Specifically, Nos. 50–250 and 50–251, Turkey Point Safety Evaluation dated May 28, 2015. the changes affect TS 2.1, ‘‘Safety Nuclear Generating Unit Nos. 3 and 4, No significant hazards consideration Limits,’’ to revise the reactor steam Miami-Dade County, Florida comments received: No. dome pressure safety limit value; TS Date of amendment requests: June 28, 4.2.1, ‘‘Fuel Assemblies,’’ to more Nebraska Public Power District, Docket 2012, as supplemented by letters dated accurately reflect the fuel assembly No. 50–298, Cooper Nuclear Station September 19, 2012; March 18, April 16, design feature as a ‘‘water channel’’ as (CNS), Nemaha County, Nebraska and May 15, 2013; January 7, April 4, opposed to a ‘‘water rod;’’ and TS 5.6.3, June 6, July 18, September 12, Date of amendment request: July 14, ‘‘Core Operating Limits Report (COLR),’’ November 5, and December 2, 2014; and 2014. to add AREVA safety analysis methods February 18, 2015. Brief description of amendment: The to the references list used in Brief description of amendments: The amendment deleted CNS Technical determining core operating limits in the amendments transition the Turkey Point Specification (TS) 5.5.3, ‘‘Post Accident COLR. Nuclear Generating Unit Nos. 3 and 4 Sampling,’’ thereby eliminating the Date of issuance: June 5, 2015. fire protection program to a new risk- program requirements to have and Effective date: As of the date of informed, performance-based alternative maintain the post-accident sampling issuance and shall be implemented in accordance with 10 CFR 50.48(c), system. The changes are consistent with within 120 days of issuance. which incorporates by reference the NRC-approved Industry/Technical Amendment No.: 188. A publicly- National Fire Protection Association Specification Task Force (TSTF) available version is in ADAMS under (NFPA) Standard 805 (NFPA 805), Standard Technical Specification Package Accession No. ML15072A143; ‘‘Performance-Based Standard for Fire Change Traveler, TSTF–413, documents related to this amendment Protection for Light Water Reactor ‘‘Elimination of Requirements for a Post are listed in the Safety Evaluation Electric Generating Plants,’’ 2001 Accident Sampling System (PASS).’’ enclosed with the amendment. Edition. Copies of NFPA 805 may be The availability of this TS improvement Renewed Facility Operating License purchased from the NFPA Customer was announced in the Federal Register No. DPR–22: This amendment revised Service Department, 1 Batterymarch on March 20, 2002 (67 FR 13027), as the Renewed Facility Operating License Park, P.O. Box 9101, Quincy, part of the consolidated line item and the Technical Specifications. Massachusetts 02269–9101 and in PDF improvement process. CNS will Date of initial notice in Federal format through the NFPA Online continue to have the ability to obtain Register: September 9, 2014 (79 FR Catalog (http://www.nfpa.org) or by samples, utilizing PASS, following an 53460). The supplemental letter dated calling 1–800–344–3555 or 617–770– accident. November 11, 2014, provided additional 3000. Copies are also available for Date of issuance: May 29, 2015. information that clarified the inspection at the NRC Library, Two Effective date: As of the date of application, did not expand the scope of White Flint North, 11545 Rockville issuance and shall be implemented the application as originally noticed, Pike, Rockville, Maryland 20852–2738, within 60 days of issuance. and did not change the staff’s original and at the NRC PDR, One White Flint Amendment No.: 250. A publicly- proposed no significant hazards North, Room O1–F15, 11555 Rockville available version is in ADAMS under consideration determination as Pike, Rockville, Maryland 20852–2738. Accession No. ML15135A005; published in the Federal Register. Date of issuance: May 28, 2015. documents related to this amendment The Commission’s related evaluation Effective date: As of the date of are listed in the Safety Evaluation of the amendment is contained in a issuance and shall be implemented as enclosed with the amendment. Safety Evaluation dated June 5, 2015.

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No significant hazards consideration significant hazards consideration Southern Nuclear Operating Company, comments received: No. determination. Inc., Docket Nos. 50–424 and 50–425, Vogtle Electric Generating Plant (VEGP), PPL Susquehanna, LLC, Docket Nos. 50– The Commission’s related evaluation 387 and 50–388, Susquehanna Steam of the amendments is contained in a Units 1 and 2, Burke County, Georgia Electric Station, Units 1 and 2, Luzerne Safety Evaluation dated April 10, 2015. and Southern Nuclear Operating County, Pennsylvania Company, Inc., Docket Nos. 50–348 and Comments received: Yes. The 50–364, Joseph M. Farley Nuclear Plant Date of amendment request: July 11, comments received on the License (Farley), Units 1 and 2, Houston County, 2014, as supplemented by letters dated Transfer Request are addressed in the Alabama October 24, 2014, November 6, 2014, Safety Evaluation dated April 10, 2015. November 25, 2014, December 10, 2014, Date of application for amendment: January 5, 2015, January 13, 2015, Southern California Edison Company, et September 17, 2014, as supplemented March 9, 2015, March 13, 2015, March al., Docket Nos. 50–206, 50–361, 50– by letter dated February 13, 2015. 18, 2015, March 31, 2015, April 24, 362, and 72–041 San Onofre Nuclear Brief description of amendments: The 2015, and May 1, 2015. Generating Station (SONGS), Units 1, 2, amendments revised the Technical Brief description of amendments: By and 3, and the Independent Spent Fuel Specification (TS) Surveillance Order dated April 10, 2015, as Storage Installation, San Diego County, Requirement 3.1.3.2 and TS 5.6.5 published in the Federal Register on California related to the moderator temperature April 20, 2015 (80 FR 21767), the NRC coefficient. approved an indirect license transfer for Date of amendment request: March Date of issuance: June 2, 2015. Renewed Facility Operating Licenses 31, 2014, as supplemented by letters Effective date: As of its date of NPF–14 and NPF–22 for the dated October 21, 2014, and April 29, issuance and shall be implemented Susquehanna Steam Electric Station, 2015. within 90 days from the date of issuance. Units 1 and 2. This amendment reflects Brief description of amendment: The Amendment Nos.: Farley Unit 1—198, the indirect transfer of the licenses to amendments revised the SONGS Farley Unit 2—194, VEGP Unit 1—174, Talen Energy Corporation and the name emergency action level scheme to reflect change of the licensee from PPL VEGP Unit 2—156. A publicly-available the low likelihood of any credible version is in ADAMS under Accession Susquehanna, LLC to Susquehanna accident at the facility in its Nuclear, LLC. No. ML15083A098, documents related permanently shutdown and defueled Date of issuance: June 1, 2015. to these amendments are listed in the Effective date: As of the date of condition that could result in Safety Evaluation enclosed with the issuance and shall be implemented radiological releases requiring offsite amendments. within 30 days protective measures. Facility Operating License Nos. NPF– Amendment Nos.: 262 for Unit 1 and Date of issuance: June 5, 2015. 2, NPF–8, NPF–68, NPF–81: The 243 for Unit 2. A publicly-available amendments revised the Renewed Effective date: As of the date of version of the Amendment and the Facility Operating Licenses and issuance and shall be implemented Order are in ADAMS under Accession Technical Specifications. within 60 days of issuance. Nos. ML15054A066 and ML15054A058, Date of initial notice in Federal respectively; documents related to these Amendment Nos.: Unit 1—166; Unit Register: December 2, 2014 (79 FR amendments are listed in the Safety 2—228; Unit 3—221. A publicly- 71455). The supplemental letter dated Evaluation enclosed with the Order available version is in ADAMS under February 13, 2015, provided additional dated April 10, 2015. Subsequent to the Accession No. ML15105A349; information that clarified the issuance of the Order, the licensee documents related to these amendments application, did not expand the scope of submitted letters dated April 24, 2015 are listed in the Safety Evaluation the application as originally noticed, (ADAMS Accession No. ML15127A263), enclosed with the amendments. and did not change the staff’s original and May 1, 2015 (ADAMS Accession Facility Operating License Nos. DPR– proposed no significant hazards No. ML15133A335). These letters consideration determination as 13, NPF–10, and NPF–15: The provided additional notifications of published in the Federal Register. amendments revised the emergency regulatory approvals and the closing The Commission’s related evaluation action levels. transaction date, as was required by the of the amendments is contained in a Order. Date of initial notice in Federal Safety Evaluation dated June 2, 2015. Renewed Facility Operating License Register: December 23, 2014 (79 FR No significant hazards consideration Nos. NPF–14 and NPF–22: The 77048). The supplemental letter dated comments received: No. amendments revised the Renewed April 29, 2015, provided additional Tennessee Valley Authority, Docket No. Facility Operating Licenses. information that clarified the Date of initial notice in Federal 50–390, Watts Bar Nuclear Plant, Unit 1, application, did not expand the scope of Rhea County, Tennessee Register: October 6, 2014 (79 FR the application as originally noticed, 60192). The supplemental letters dated and did not change the NRC staff’s Date of amendment request: July 24, October 24, 2014, November 6, 2014, original proposed no significant hazards 2014. November 25, 2014, December 10, 2014, consideration determination as Brief description of amendment: The January 5, 2015, January 13, 2015, published in the Federal Register. amendment revised the reactor coolant March 9, 2015, March 13, 2015, March pump flywheel inspection surveillance 18, 2015, March 31, 2015, April 24, The Commission’s related evaluation requirements to extend the allowable 2015, and May 1, 2015, contained of the amendments is contained in a inspection interval to 20 years. The NRC clarifying information, did not expand Safety Evaluation dated June 5, 2015. staff issued a notice of availability of a the application beyond the scope of the No significant hazards consideration model safety evaluation and model no notice as originally published in the comments received: No. significant hazards consideration Federal Register, and did not affect the (NSHC) determination for referencing in applicability of the generic no license amendment applications in the

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Federal Register on October 22, 2003 and Budget, Washington, DC 20503; submissions at http:// (68 FR 60422). The licensee affirmed the telephone: 202–395–7315, email: www.regulations.gov as well as entering applicability of the model NSHC [email protected]. the comment submissions into ADAMS. determination in its application dated FOR FURTHER INFORMATION CONTACT: The NRC does not routinely edit July 24, 2014. Tremaine Donnell, NRC Clearance comment submissions to remove Date of issuance: May 28, 2015. Officer, U.S. Nuclear Regulatory identifying or contact information. Effective date: As of the date of Commission, Washington, DC 20555– If you are requesting or aggregating issuance and shall be implemented 0001; telephone: 301–415–6258; email: comments from other persons for within 60 days of issuance. [email protected]. submission to the NRC, then you should Amendment No.: 99. A publicly- inform those persons not to include available version is in ADAMS under SUPPLEMENTARY INFORMATION: identifying or contact information that Accession No. ML15092A761; I. Obtaining Information and they do not want to be publicly documents related to this amendment Submitting Comments are listed in the Safety Evaluation disclosed in their comment submission. enclosed with the amendment. A. Obtaining Information Your request should state that the NRC Facility Operating License No. NPF– Please refer to Docket ID NRC 2015– does not routinely edit comment 90: Amendment revised the Facility 0020 when contacting the NRC about submissions to remove such information Operating License and Technical the availability of information for this before making the comment Specifications. action. You may obtain publicly- submissions available to the public or Date of initial notice in Federal available information related to this entering the comment submissions into Register: September 30, 2014 (79 FR action by any of the following methods: ADAMS. • 58827). Federal Rulemaking Web site: Go to II. Background The Commission’s related evaluation http://www.regulations.gov and search of the amendment is contained in a for Docket ID NRC 2015–0020. A copy Under the provisions of the Safety Evaluation dated May 28, 2015. of the collection of information and Paperwork Reduction Act of 1995 (44 NSHC determination comments related instructions may be obtained U.S.C. chapter 35), the NRC recently received: No. without charge by accessing Docket ID submitted a proposed collection of NRC 2015–0020 on this Web site. information to OMB for review entitled, Dated at Rockville, Maryland, this 12th day • of June 2015. NRC’s Agencywide Documents ‘‘NRC Request for Sodium Iodide I–131 Access and Management System For the Nuclear Regulatory Commission. Treatment and Patient Release (ADAMS): You may obtain publicly- Practices.’’ The NRC hereby informs A. Louise Lund, available documents online in the Acting Director, Division of Operating Reactor potential respondents that an agency ADAMS Public Documents collection at may not conduct or sponsor, and that a Licensing, Office of Nuclear Reactor http://www.nrc.gov/reading-rm/ Regulation. person is not required to respond to, a adams.html. To begin the search, select collection of information unless it [FR Doc. 2015–15275 Filed 6–22–15; 8:45 am] ‘‘ADAMS Public Documents’’ and then BILLING CODE 7590–01–P displays a currently valid OMB control select ‘‘Begin Web-based ADAMS number. Search.’’ For problems with ADAMS, please contact the NRC’s Public The NRC published an FRN with a 60- NUCLEAR REGULATORY day comment period on this information COMMISSION Document Room (PDR) reference staff at 1–800–397–4209, 301–415–4737, or by collection on March 3, 2015; 80 FR [NRC–2015–0020] email to [email protected]. The 11471, entitled ‘‘NRC Request for supporting statement and Patient Sodium Iodide I–131 Treatment and Information Collection: NRC Request Release Federal Register Notice (FRN) Patient Release Practices.’’ for Sodium Iodide I–131 Treatment and Soliciting Information is available in 1. The title of the information Patient Release Information ADAMS under Accession No. collection: ‘‘NRC Request for Sodium AGENCY: ML15134A123. Iodide I–131 Treatment and Patient Nuclear Regulatory • Commission. NRC’s PDR: You may examine and Release Practices.’’ purchase copies of public documents at ACTION: Notice of submission to the 2. OMB approval number: An OMB the NRC’s PDR, Room O1–F21, One Office of Management and Budget; control number has not yet been White Flint North, 11555 Rockville request for comment. assigned to this proposed information Pike, Rockville, Maryland 20852. • collection. SUMMARY: The U.S. Nuclear Regulatory NRC’s Clearance Officer: A copy of 3. Type of submission: New. Commission (NRC) has recently the collection of information and related submitted a proposed collection of instructions may be obtained without 4. The form number if applicable: Not information to the Office of charge by contacting the NRC’s Applicable. Clearance Officer, Tremaine Donnell, Management and Budget (OMB) for 5. How often the collection is required Office of Information Services, U.S. review. The information collection is or requested: Once. entitled, ‘‘NRC Request for Sodium Nuclear Regulatory Commission, 6. Who will be required or asked to Iodide I–131 Treatment and Patient Washington, DC 20555–0001; telephone: respond: Medical professional Release Practices.’’ 301–415–6258; email: [email protected]. organizations, physicians, patients, DATES: Submit comments by July 23, patient advocacy groups, NRC and 2015. B. Submitting Comments Agreement State medical use licensees, ADDRESSES: Submit comments directly The NRC cautions you not to include Agreement States, and other interested to the OMB reviewer at: Vlad Dorjets, identifying or contact information that individuals who use, receive, license or Desk Officer, Office of Information and you do not want to be publicly have interest in the use of I–131 sodium Regulatory Affairs, (3150–XXXX), disclosed in your comment submission. iodide (hereafter referred to as ‘‘I–131’’) NEOB–10202, Office of Management The NRC posts all comment for the treatment of thyroid conditions.

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7. The estimated number of annual NUCLEAR REGULATORY available information related to this responses: A one-time collection COMMISSION action by any of the following methods: estimated to have 1,180 responses (620 • [NRC–2015–0147] Federal rulemaking Web site: Go to medical community + 560 patients). http://www.regulations.gov and search 8. The estimated number of annual Information Collection: Environmental for Docket ID NRC–2015–0147. respondents: 1,180 respondents (620 Protection Regulations for Domestic • NRC’s Agencywide Documents medical community + 560 patients). Licensing and Related Regulatory Access and Management System 9. An estimate of the total number of Functions (ADAMS): You may obtain publicly- available documents online in the hours needed annually to comply with AGENCY: Nuclear Regulatory the information collection requirement Commission. ADAMS Public Documents collection at http://www.nrc.gov/reading-rm/ or request: 457.5 hours (255 medical ACTION: Renewal of existing information community + 202.5 patients). adams.html. To begin the search, select collection; request for comment. ‘‘ADAMS Public Documents’’ and then 10. Abstract: The NRC is requesting a select ‘‘Begin Web-based ADAMS one-time information collection that SUMMARY: The U.S. Nuclear Regulatory Commission (NRC) invites public Search.’’ For problems with ADAMS, will be solicited in an FRN. The FRN please contact the NRC’s Public will have specific I–131 patient release comment on the renewal of Office of Management and Budget (OMB) Document Room (PDR) reference staff at questions associated with: (1) Existing approval for an existing collection of 1–800–397–4209, 301–415–4737, or by Web sites that the responders believe information. The information collection email to [email protected]. The provide access to clear and consistent is entitled, ‘‘Environmental Protection supporting statement is available in patient information about I–131 Regulations for Domestic Licensing and ADAMS under Accession No. treatment processes and procedures; (2) Related Regulatory Functions.’’ ML15106A720. information the responders believe • DATES: Submit comments by August 24, NRC’s PDR: You may examine and represent best practices used in making 2015. Comments received after this date purchase copies of public documents at informed decisions on releasing I–131 will be considered if it is practical to do the NRC’s PDR, Room O1–F21, One patients and stand alone or so, but the Commission is able to ensure White Flint North, 11555 Rockville supplemental voluntary patient/licensee consideration only for comments Pike, Rockville, Maryland 20852. guidance acknowledgment forms, if received on or before this date. • NRC’s Clearance Officer: A copy of available; (3) an existing set of ADDRESSES: You may submit comments the collection of information and related guidelines that the responder developed by any of the following methods: instructions may be obtained without or received that provides instructions to • Federal Rulemaking Web site: Go to charge by contacting NRC’s Clearance released patients; and (4) an existing http://www.regulations.gov and search Officer, Tremaine Donnell, Office of guidance brochure that the responder for Docket ID NRC–2015–0147. Address Information Services, U.S. Nuclear believes would be acceptable for questions about NRC dockets to Carol Regulatory Commission, Washington, nationwide distribution. The responses Gallagher; telephone: 301–287–3422; DC 20555–0001; telephone: 301–415– will form the basis for patient release email: [email protected]. For 6258; email: INFOCOLLECTS.Resource@ guidance products developed in technical questions, contact the NRC.GOV. response to the NRC’s April 28, 2014, FOR FURTHER individual listed in the B. Submitting Comments Staff Requirements—COMAMM–14– INFORMATION CONTACT section of this 0001/COMWDM–14–0001— document. Please include Docket ID NRC–2015– ‘‘Background and Proposed Direction to • Mail comments to: Tremaine 0147 in your comment submission. NRC Staff to Verify Assumptions Made Donnell, Office of Information Services, The NRC cautions you not to include Mail Stop: T–5 F53, U.S. Nuclear Concerning Patient Release Guidance.’’ identifying or contact information in Regulatory Commission, Washington, The Commission, based on information comment submissions that you do not DC 20555–0001. from patients and patient advocacy want to be publicly disclosed in your For additional direction on obtaining groups, questioned the availability of comment submission. The NRC will information and submitting comments, clear, consistent, patient friendly and post all comment submissions at see ‘‘Obtaining Information and timely patient release information and http://www.regulations.gov as well as Submitting Comments’’ in the directed the staff to work with a wide enter the comment submissions into SUPPLEMENTARY INFORMATION section of variety of stakeholders when developing ADAMS, and the NRC does not this document. new guidance products. This routinely edit comment submissions to information collection effort was FOR FURTHER INFORMATION CONTACT: remove identifying or contact developed to gain input from as many Tremaine Donnell, Office of Information information. stakeholders as possible. The NRC Services, U.S. Nuclear Regulatory Commission, Washington, DC 20555– If you are requesting or aggregating solicitation in the Federal Register is to comments from other persons for obtain existing information from a 0001; telephone: 301–415–6258; email: [email protected]. submission to the NRC, then you should variety of stakeholders. inform those persons not to include SUPPLEMENTARY INFORMATION: Dated at Rockville, Maryland, this 18th day identifying or contact information that of June, 2015. I. Obtaining Information and they do not want to be publicly For the Nuclear Regulatory Commission. Submitting Comments disclosed in their comment submission. Your request should state that the NRC Tremaine Donnell, A. Obtaining Information does not routinely edit comment NRC Clearance Officer, Office of Information Please refer to Docket ID NRC–2015– submissions to remove such information Services. 0147 when contacting the NRC about before making the comment [FR Doc. 2015–15391 Filed 6–22–15; 8:45 am] the availability of information for this submissions available to the public or BILLING CODE 7590–01–P action. You may obtain publicly- entering the comment into ADAMS.

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II. Background be minimized, including the use of adams.html. To begin the search, select In accordance with the Paperwork automated collection techniques or ‘‘ADAMS Public Documents’’ and then Reduction Act of 1995 (44 U.S.C. other forms of information technology? select ‘‘Begin Web-based ADAMS Chapter 35), the NRC is requesting Dated at Rockville, Maryland, this 18th day Search.’’ For problems with ADAMS, public comment on its intention to of June, 2015. please contact the NRC’s Public request the OMB’s approval for the For the Nuclear Regulatory Commission. Document Room (PDR) reference staff at 1–800–397–4209, 301–415–4737, or by information collection summarized Tremaine Donnell, below. email to [email protected]. The NRC Clearance Officer, Office of Information ADAMS accession number for each 1. The title of the information Services. document referenced (if that document collection: Title 10 of the Code of [FR Doc. 2015–15390 Filed 6–22–15; 8:45 am] Federal Regulations (10 CFR) Part 51— is available in ADAMS) is provided the BILLING CODE 7590–01–P Environmental Protection Regulations first time that a document is referenced. • for Domestic Licensing and Related NRC’s PDR: You may examine and purchase copies of public documents at Regulatory Functions. NUCLEAR REGULATORY the NRC’s PDR, Room O1–F21, One 2. OMB approval number: 3150–0021. COMMISSION 3. Type of submission: Extension. White Flint North, 11555 Rockville 4. The form number, if applicable: [Docket No. 50–271; NRC–2015–0157] Pike, Rockville, Maryland 20852. N/A. FOR FURTHER INFORMATION CONTACT: Entergy Nuclear Operations, Inc.; 5. How often the collection is required James Kim, Office of Nuclear Reactor Vermont Yankee Nuclear Power or requested: Upon submittal of an Regulation, U.S. Nuclear Regulatory Station application for a combined license, Commission, Washington, DC 20555– construction permit, operating license, AGENCY: Nuclear Regulatory 0001; telephone: 301–415–4125; email: operating license renewal, early site Commission. [email protected]. permit, design certification, ACTION: Exemption; issuance. SUPPLEMENTARY INFORMATION: decommissioning or license termination review, or manufacturing license, or SUMMARY: The U.S. Nuclear Regulatory I. Background upon submittal of a petition for Commission (NRC) is issuing Entergy Nuclear Operations, Inc. rulemaking. exemptions in response to a January 6, (ENO), is the holder of Renewed Facility 6. Who will be required or asked to 2015, request from Entergy Nuclear Operating License No. DPR–28 for VY. respond: Licensees and applicants Operations, Inc. (ENO or the licensee). By letter dated January 12, 2015 requesting approvals for actions One exemption permits the use of the (ADAMS Accession No. ML15013A426), proposed in accordance with the Vermont Yankee Nuclear Power Station ENO submitted to the NRC a provisions of 10 CFR parts 30, 32, 33, (VY) Decommissioning Trust Fund certification in accordance with 34, 35, 36, 39, 40, 50, 52, 54, 60, 61, 70, (Trust) to implement the licensee’s plan Sections 50.82(a)(1)(i) and 50.82(a)(1)(ii) and 72. to manage irradiated fuel in accordance of Title 10 of the Code of Federal 7. The estimated number of annual with the updated Irradiated Fuel Regulations (10 CFR), indicating that it responses: 48.7. Management Plan and post-shutdown had permanently ceased power 8. The estimated number of annual decommissioning activities report operations at VY and had permanently respondents: 48.7. (PSDAR). The other exemption permits 9. The estimated number of hours defueled the VY reactor vessel. VY has the licensee to make withdrawals from not operated since December 29, 2014. needed annually to comply with the the Trust in accordance with the information collection requirement or The facility consists of a boiling water updated Irradiated Fuel Management reactor located in the town of Vernon, request: 48,104. Plan and PSDAR without prior 10. Abstract: The NRC’s regulations at Windham County, Vermont on the west notification to the NRC. 10 CFR part 51 specifies information to bank of the Connecticut River, DATES: be provided by applicants and licensees June 23, 2015. immediately upstream of the Vernon so that the NRC can make ADDRESSES: Please refer to Docket ID Hydroelectric Station. NRC–2015–0157 when contacting the determinations necessary to adhere to II. Request/Action the policies, regulations, and public NRC about the availability of laws of the United States, which are information regarding this document. By letter dated January 6, 2015 interpreted and administered in You may obtain publicly-available (ADAMS Accession No. ML15013A171), accordance with the provisions set forth information related to this document ENO submitted a request for exemptions using any of the following methods: from 10 CFR 50.82(a)(8)(i)(A) and 10 in the National Environmental Policy • Act of 1969, as amended. Federal Rulemaking Web site: Go to CFR 50.75(h)(1)(iv). The exemption http://www.regulations.gov and search from 10 CFR 50.82(a)(8)(i)(A) would III. Specific Requests for Comments for Docket ID NRC–2015–0157. Address permit ENO to make withdrawals from The NRC is seeking comments that questions about NRC dockets to Carol the VY Trust to implement its plan to address the following questions: Gallagher; telephone: 301–415–3463; manage irradiated fuel in accordance 1. Is the proposed collection of email: [email protected]. For with the updated Irradiated Fuel information necessary for the NRC to technical questions, contact the Management Plan and PSDAR. The properly perform its functions? Does the individual listed in the FOR FURTHER exemption from 10 CFR 50.75(h)(1)(iv) information have practical utility? INFORMATION CONTACT section of this would permit ENO to make these 2. Is the estimate of the burden of the document. withdrawals without prior notification information collection accurate? • NRC’s Agencywide Documents of the NRC, similar to withdrawals for 3. Is there a way to enhance the Access and Management System decommissioning activities made in quality, utility, and clarity of the (ADAMS): You may access publicly- accordance with 10 CFR 50.82(a)(8). By information to be collected? available documents online in the a separate letter dated December 19, 4. How can the burden of the ADAMS public document collection at 2014 (ADAMS Accession No. information collection on respondents http://www.nrc.gov/reading-rm/ ML14358A251), ENO submitted an

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update to the VY Irradiated Fuel A. The Exemptions are Authorized by C. The Exemptions are Consistent With Management Plan (as required by 10 Law the Common Defense and Security CFR 50.54(bb)). The PSDAR, as required The requested exemptions would by 10 CFR 50.82(a)(4)(i), was also The requested exemptions from 10 CFR 50.82(a)(8)(i)(A) and 10 CFR allow ENO to use funds from the Trust submitted on December 19, 2014 for irradiated fuel management. (ADAMS Accession No. ML14357A110). 50.75(h)(1)(iv) would allow ENO to use a portion of the funds from the Trust for Irradiated fuel management under 10 CFR 50.54(bb) is an integral part of the The requirements of 10 CFR irradiated fuel management without planned ENO decommissioning and 50.82(a)(8)(i)(A) restrict the use of Trust prior notice to the NRC, in the same final license termination process and withdrawals to expenses for legitimate manner that withdrawals are made will not adversely affect ENO’s ability to decommissioning activities consistent under 10 CFR 50.82(a)(8) for physically secure the site or protect with the definition of decommissioning decommissioning activities. As stated special nuclear material. This change to which appears in 10 CFR 50.2. This above, 10 CFR 50.12 allows the NRC to definition does not include activities enable the use of a portion of the funds grant exemptions from the requirements associated with irradiated fuel from the Trust for activities other than of 10 CFR part 50 when the exemptions management. Therefore, an exemption decommissioning activities has no are authorized by law. The NRC staff from 10 CFR 50.82(a)(8)(i)(A) is needed relation to security issues. Therefore, has determined, as explained below, to allow ENO to use funds from the the common defense and security is not that granting the licensee’s proposed Trust for irradiated fuel management. impacted by the requested exemptions. exemptions will not result in a violation The requirements of 10 CFR of the Atomic Energy Act of 1954, as D. Special Circumstances 50.75(h)(1)(iv) also restrict the use of amended, or the Commission’s Special circumstances, in accordance Trust disbursements (other than for regulations. Therefore, the exemptions with 10 CFR 50.12(a)(2)(ii), are present ordinary and incidental expenses) to are authorized by law. whenever application of the regulation decommissioning expenses until final in the particular circumstances is not B. The Exemptions Present No Undue decommissioning has been completed. necessary to achieve the underlying Risk to the Public Health and Safety The requirements of 10 CFR purpose of the regulation. 50.75(h)(1)(iv) further provide that, The underlying purpose of 10 CFR The underlying purpose of 10 CFR except for withdrawals being made 50.82(a)(8)(i)(A) and 10 CFR 50.82(a)(8)(i)(A) and 10 CFR under 10 CFR 50.82(a)(8) or for 50.75(h)(1)(iv) is to provide reasonable 50.75(h)(1)(iv) is to provide reasonable payments of ordinary administrative assurance that adequate funds will be assurance that adequate funds will be costs and incidental expenses, no available for radiological available for radiological disbursement may be made from the decommissioning of power reactors. Trust without written notice to the NRC decommissioning of power reactors. Based on the site-specific cost estimate Strict application of these requirements at least 30 working days in advance. would prohibit withdrawal of funds Therefore, an exemption from 10 CFR and the cash flow analysis, use of a portion of the Trust for irradiated fuel from the Trust for activities other than 50.75(h)(1)(iv) is needed to allow ENO decommissioning activities, such as to use funds from the Trust for management will not adversely impact ENO’s ability to complete radiological irradiated fuel management, until final irradiated fuel management without radiological decommissioning at VY has prior NRC notification. decommissioning within 60 years and terminate the VY license. Furthermore, been completed. III. Discussion exemption from 10 CFR 50.75(h)(1)(iv) The total VY Trust balance as of to allow the licensee to make October 31, 2014, was approximately Pursuant to 10 CFR 50.12, the withdrawals from the Trust for $655.0 million in 2014 dollars. The ENO Commission may, upon application by irradiated fuel management without analysis projects the total radiological any interested person or upon its own prior written notification to the NRC decommissioning cost of VY to be approximately $817.2 million (2014 initiative, grant exemptions from the should not affect the sufficiency of dollars). As required by 10 CFR requirements of 10 CFR part 50 (1) when funds in the Trust to accomplish 50.54(bb), ENO estimated the costs the exemptions are authorized by law, radiological decontamination of the site associated with the long-term irradiated will not present an undue risk to the because such withdrawals are still fuel management at VY to be $364.4 public health and safety, and are constrained by the provisions of 10 CFR million in 2014 dollars. consistent with the common defense 50.82(a)(8)(i)(B)–(C) and are reviewable The staff performed an independent and security; and (2) when any of the under the annual reporting cash flow analysis of the Trust through special circumstances listed in 10 CFR requirements of 10 CFR 50.82(a)(8)(v)– 2075, assuming an annual real rate of 50.12(a)(2) are present. These special (vii). circumstances include, among other return of two percent, as allowed by 10 things, the following: Based on the above, there are no new CFR 50.75(e)(1)(ii), and determined the accident precursors created by using the projected earnings of the Trust. The staff (a) Application of the regulation in Trust in the proposed manner. Thus, the confirmed that the current funds, the particular circumstances would not probability of postulated accidents is planned future contributions, and serve the underlying purpose of the rule not increased. Also, based on the above, projected earnings of the Trust provide or is not necessary to achieve the the consequences of postulated reasonable assurance of adequate underlying purpose of the rule; or accidents are not increased. No changes funding to complete all NRC required (b) Compliance would result in undue are being made in the types or amounts decommissioning activities and to hardship or other costs that are of effluents that may be released offsite. conduct irradiated fuel management in significantly in excess of those There is no significant increase in accordance with the updated Irradiated contemplated when the regulation was occupational or public radiation Fuel Management Plan and PSDAR. The adopted, or that are significantly in exposure. Therefore, the requested staff’s review and conclusions are based excess of those incurred by others exemptions will not present an undue on ENO’s specific financial situation, as similarly situated. risk to the public health and safety. described in its December 19, 2014,

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letter. Consequently, the staff concludes not preclude use of funds from the Trust increase in the amounts of any effluents that application of the requirement that in excess of those needed for that may be released offsite; (iii) there is funds from the Trust only be used for radiological decommissioning for other no significant increase in individual or decommissioning activities and not for purposes, such as irradiated fuel cumulative public or occupational irradiated fuel management is not management. The NRC has stated that radiation exposure; (iv) there is no necessary to achieve the underlying funding for irradiated fuel management significant construction impact; (v) purpose of the rule and, thus, that may be commingled in the Trust, there is no significant increase in the special circumstances are present provided the licensee is able to identify potential for or consequences from supporting the approval of the and account for the radiological radiological accidents; and (vi) the exemption request. decommissioning funds separately from requirements from which an exemption In its submittal, ENO also requested the funds set aside for irradiated fuel is sought are among those identified in exemption from the requirements of 10 management (see NRC Regulatory Issue 10 CFR 51.22(c)(25)(vi). CFR 50.75(h)(1)(iv) concerning prior Summary 2001–07, Revision 1, ‘‘10 CFR The Director, Division of Operating written notification to the NRC of 50.75 Reporting and Recordkeeping for Reactor Licensing, Office of Nuclear withdrawals from the Trust to fund Decommissioning Planning’’ dated Reactor Regulation, has determined that activities other than decommissioning January 8, 2009 (ADAMS Accession No. approval of the exemption request activities. The underlying purpose of ML083440158), and Regulatory Guide involves no significant hazards notifying the NRC prior to withdrawal 1.184, Revision 1, ‘‘10 CFR 50.75 consideration because allowing the of funds from the Trust is to provide an Reporting and Recordkeeping for licensee to use withdrawals from the opportunity for NRC intervention, when Decommissioning Planning’’ (ADAMS Trust, in accordance with the updated deemed necessary, if the withdrawals Accession No. ML13144A840)). To Irradiated Fuel Management Plan and are for expenses other than those prevent access to those excess funds in PSDAR, without prior notification to the authorized by 10 CFR 50.75(h)(1)(iv) the Trust because irradiated fuel NRC at the permanently shutdown and and 10 CFR 50.82(a)(8) that could result management is not associated with defueled VY power reactor, does not (1) in there being insufficient funds in the radiological decommissioning, would involve a significant increase in the Trust to accomplish radiological create an unnecessary financial burden probability or consequences of an decommissioning of the site. without any corresponding safety accident previously evaluated; or (2) As stated previously, the staff has benefit. The adequacy of the Trust to create the possibility of a new or determined that there are sufficient cover the cost of activities associated different kind of accident from any funds in the Trust to complete with irradiated fuel management, in accident previously evaluated; or (3) legitimate radiological decommissioning addition to radiological involve a significant reduction in a activities as well as to conduct decommissioning, is supported by the margin of safety. The exempted irradiated fuel management. Pursuant to site-specific decommissioning cost decommissioning trust fund regulations the annual reporting requirements in 10 analysis. If ENO cannot use its Trust for are unrelated to any operational CFR 50.82(a)(8)(v)–(vii), licensees are irradiated fuel management, it would restriction. Accordingly, there is no required to monitor and report the need to obtain additional funding that significant change in the types or status of the Trust and the funding would not be recoverable from the significant increase in the amounts of status for managing irradiated fuel. Trust, or ENO would have to modify its any effluents that may be released These reports provide the NRC with decommissioning approach and offsite; and no significant increase in awareness of, and the ability to take methods. The NRC staff concludes that individual or cumulative public or action on, any actual or potential either outcome would impose an occupational radiation exposure. The funding deficiencies. The requested unnecessary and undue burden exempted regulation is not associated exemptions would not allow significantly in excess of that with construction, so there is no withdrawal of funds from the VY Trust contemplated when the regulation was significant construction impact. The for any other purpose that is not adopted. exempted regulation does not concern currently authorized in the regulations Since the underlying purpose of 10 the source term (i.e., potential amount without prior notification to the NRC. CFR 50.82(a)(8)(i)(A) and 10 CFR of radiation in an accident), nor Therefore, the granting of this 50.75(h)(1)(iv) would be achieved by mitigation. Thus, there is no significant exemption to 10 CFR 50.75(h)(1)(iv) to allowing ENO to use a portion of the increase in the potential for or allow the licensee to make withdrawals Trust for irradiated fuel management consequences from radiological from the Trust for authorized expenses without prior NRC notification, and accidents. The requirements for using for irradiated fuel management without compliance with the regulations would decommissioning trust funds for prior written notification to the NRC result in an undue hardship or other decommissioning activities and for will still meet the underlying purpose of costs that are significantly in excess of providing prior written notice for other the regulation. those contemplated when the regulation withdrawals from which the exemption Special circumstances, in accordance was adopted, the special circumstances is sought involve recordkeeping with 10 CFR 50.12(a)(2)(iii) are present required by 10 CFR 50.12(a)(2)(ii) and requirements, reporting requirements, or whenever compliance would result in 10 CFR 50.12(a)(2)(iii) exist and support other requirements of an administrative, undue hardship or other costs that are the approval of the requested managerial, or organizational nature. significantly in excess of those exemptions. Therefore, pursuant to 10 CFR contemplated when the regulation was 51.22(b) and 51.22(c)(25), no E. Environmental Considerations adopted, or that are significantly in environmental impact statement or excess of those incurred by others Under 10 CFR 51.22(c)(25), granting environmental assessment need be similarly situated. The licensee states of an exemption from the requirements prepared in connection with the that the Trust contains funds in excess of any regulation of Chapter I is a approval of this exemption request. of the estimated costs of radiological categorical exclusion provided that (i) decommissioning and that these excess there is no significant hazards IV. Conclusions funds are needed for irradiated fuel consideration; (ii) there is no significant Accordingly, the Commission has management activities. The NRC does change in the types or significant determined that, pursuant to 10 CFR

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50.12(a), the exemptions are authorized Mail Stop: T–5 F53, U.S. Nuclear comment submission available to the by law, will not present an undue risk Regulatory Commission, Washington, public in this docket. to the public health and safety, and are DC 20555–0001. The NRC cautions you not to include consistent with the common defense For additional direction on obtaining identifying or contact information that and security. Also, special information and submitting comments, you do not want to be publicly circumstances are present. Therefore, see ‘‘Obtaining Information and disclosed in your comment submission. the Commission hereby grants ENO Submitting Comments’’ in the The NRC posts all comment exemptions from the requirements of 10 SUPPLEMENTARY INFORMATION section of submissions at http:// CFR 50.82(a)(8)(i)(A) and 10 CFR this document. www.regulations.gov as well as entering 50.75(h)(1)(iv) to allow withdrawals FOR FURTHER INFORMATION CONTACT: the comment submissions into ADAMS. from the VY Trust for irradiated fuel Tremaine Donnell, Office of Information The NRC does not routinely edit management without prior NRC Services, U.S. Nuclear Regulatory comment submissions to remove notification. Commission, Washington, DC 20555– identifying or contact information. The exemptions are effective upon 0001; telephone: 301–415–6258; email: If you are requesting or aggregating issuance. [email protected]. comments from other persons for Dated at Rockville, Maryland, this 17th day SUPPLEMENTARY INFORMATION: submission to the NRC, then you should of June 2015. inform those persons not to include I. Obtaining Information and identifying or contact information that For the Nuclear Regulatory Commission. Submitting Comments A. Louise Lund, they do not want to be publicly Acting Director, Division of Operating Reactor A. Obtaining Information disclosed in their comment submission. Your request should state that the NRC Licensing, Office of Nuclear Reactor Please refer to Docket ID NRC–2015– does not routinely edit comment Regulation. 0033 when contacting the NRC about submissions to remove such information [FR Doc. 2015–15473 Filed 6–22–15; 8:45 am] the availability of information for this before making the comment BILLING CODE 7590–01–P action. You may obtain publicly- submissions available to the public or available information related to this entering the comment submissions into action by any of the following methods: NUCLEAR REGULATORY • Federal Rulemaking Web site: Go to ADAMS. COMMISSION http://www.regulations.gov and search II. Background for Docket ID NRC–2015–0033. [NRC–2015–0033] In accordance with the Paperwork • NRC’s Agencywide Documents Reduction Act of 1995 (44 U.S.C. Information Collection; Physical Access and Management System chapter 35), the NRC is requesting Protection of Category 1 and Category (ADAMS): You may obtain publicly- public comment on its intention to 2 Quantities of Radioactive Material available documents online in the request the OMB’s approval for the ADAMS Public Documents collection at information collection summarized AGENCY: Nuclear Regulatory http://www.nrc.gov/reading-rm/ below. Commission. adams.html. To begin the search, select ACTION: Renewal of existing information ‘‘ADAMS Public Documents’’ and then 1. The title of the information collection; request for comment. select ‘‘Begin Web-based ADAMS collection: 10 CFR part 37, Physical Search.’’ For problems with ADAMS, Protection of Category 1 and Category 2 SUMMARY: The U.S. Nuclear Regulatory please contact the NRC’s Public Quantities of Radioactive Material. Commission (NRC) invites public Document Room (PDR) reference staff at 2. OMB approval number: 3150–0214. comment on the renewal of Office of 1–800–397–4209, 301–415–4737, or by 3. Type of submission: Extension. Management and Budget (OMB) email to [email protected]. The 4. The form number, if applicable: approval for an existing collection of supporting statement and burden Standard Fingerprint Form, FD–258. information. The information collection estimates are available in ADAMS under 5. How often the collection is required is entitled, ‘‘Physical Protection of Accession Nos.: ML15114A468 and or requested: One time for initial Category 1 and Category 2 Quantities of ML15114A470. compliance notifications and Radioactive Material.’’ • NRC’s PDR: You may examine and fingerprints for the reviewing officials; DATES: Submit comments by August 24, purchase copies of public documents at and as needed for implementation 2015. Comments received after this date the NRC’s PDR, Room O1–F21, One notifications, event notifications, will be considered if it is practical to do White Flint North, 11555 Rockville notifications of shipments of radioactive so, but the Commission is able to ensure Pike, Rockville, Maryland 20852. material, and fingerprinting of new consideration only for comments • NRC’s Clearance Officer: A copy of employees. received on or before this date. the collection of information and related 6. Who will be required or asked to ADDRESSES: You may submit comments instructions may be obtained without respond: Licensees that are authorized by any of the following methods: charge by contacting the NRC’s to possess and use category 1 or • Federal Rulemaking Web site: Go to Clearance Officer, Tremaine Donnell, category 2 quantities of radioactive http://www.regulations.gov and search Office of Information Services, U.S. material. for Docket ID NRC–2015–0033. Address Nuclear Regulatory Commission, 7. The estimated number of annual questions about NRC dockets to Carol Washington, DC 20555–0001; telephone: responses: 103,983. Gallagher; telephone: 301–287–3422; 301–415–6258; email: 8. The estimated number of annual email: [email protected]. For [email protected]. respondents: 1,500 (300 NRC Licensees technical questions, contact the + 1,200 Agreement State Licensees). individual listed in the FOR FURTHER B. Submitting Comments 9. The estimated number of hours INFORMATION CONTACT section of this Please include Docket ID NRC–2015– needed annually to comply with the document. 0033 in the subject line of your information collection requirement or • Mail comments to: Tremaine comment submission, in order to ensure request: 138,570.2 hours (1932.4 hours Donnell, Office of Information Services, that the NRC is able to make your reporting + 85,644.2 hours

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recordkeeping + 50,993.6 hours third- NUCLEAR REGULATORY the NRC’s PDR, Room O1–F21, One party disclosure). COMMISSION White Flint North, 11555 Rockville Pike, Rockville, Maryland 20852. 10. Abstract: Part 37 of Title 10 of the [Docket Nos. 50–250, 50–260, and 50–296; Code of Federal Regulations (10 CFR), NRC–2014–0054] FOR FURTHER INFORMATION CONTACT: contains security requirements for the Farideh Saba, Office of Nuclear Reactor use of category 1 and category 2 Browns Ferry Nuclear Plant, Units 1, 2, Regulation, U.S. Nuclear Regulatory quantities of radioactive material. and 3 Commission, Washington DC 20555– Licensees are required to: (1) Develop AGENCY: Nuclear Regulatory 0001; telephone: 301–415–1447, email: procedures for implementation of the Commission. [email protected]. security provisions; (2) develop a ACTION: License amendment application; SUPPLEMENTARY INFORMATION: The NRC security plan that describes how withdrawal by applicant. has granted the request of the TVA to security is being implemented; (3) SUMMARY: The U.S. Nuclear Regulatory withdraw its November 22, 2013, conduct training on the procedures and application for the proposed security plan; (4) conduct background Commission (NRC) has granted the request of the Tennessee Valley amendment to RFOLs for Browns Ferry, investigations for those individuals located in Limestone County, AL. permitted access to category 1 or Authority (TVA, the licensee) to category 2 quantities of radioactive withdraw its application dated By letter dated November 22, 2013 material; (5) coordinate with LLEAs so November 22, 2013, as supplemented by (ADAMS Accession No. ML14015A403), letters dated April 4, August 15, as supplemented by letters dated April the LLEAs would be better prepared to September 30, 2014, and January 29, 4, August 15, September 30, 2014, and respond in an emergency; (6) conduct 2015, for a proposed amendment to January 29, 2015 (ADAMS Accession preplanning and coordination activities Renewed Facility Operating License Nos. ML14100A143, ML14230A827, before shipping radioactive material; (RFOL) Nos. DPR–33, DPR–52, and ML14275A247, and ML15030A499, and (7) implement security measures for DPR–68, for the Browns Ferry Nuclear respectively), TVA proposed changing the protection of the radioactive Plant, Units 1, 2, and 3 (Browns Ferry). Browns Ferry Technical Specification material. Licensees are required to The proposed amendment would have 3.6.1.3, ‘‘Primary Containment Isolation promptly report any attempted or actual revised the Browns Ferry Technical Valves (PCIVs),’’ to reduce the theft or diversion of the radioactive Specifications to decrease the allowable individual and total leakage rate material. Licensees are required to keep leakage rate criteria for the Main Steam through the MSIVs. In the TVA letter copies of the security plan, procedures, Isolation Valves (MSIVs). dated August 30, 2013, ‘‘Updated Reply background investigation records, DATES: June 23, 2015. to Notice of Violation; EA–11–252,’’ the training records, and documentation ADDRESSES: Please refer to Docket ID Alternative Leakage Treatment (ALT) that certain activities have occurred. NRC–2014–0054 when contacting the Pathway was identified as being in a The NRC uses the information required NRC about the availability of nonconforming/degraded condition. by 10 CFR part 37 to fulfill its information regarding this document. The corrective actions that were responsibilities to respond to, You may obtain publicly-available outlined to change the ALT Pathway investigate, and correct situations that information related to this document included modification of licensing adversely affect public health and safety using any of the following methods: documents to show lower individual or the common defense and security. • Federal Rulemaking Web site: Go to and total leakage rates through the http://www.regulations.gov and search MSIVs. The proposed change would III. Specific Requests for Comments for Docket ID NRC–2014–0054. Address have made the current passive The NRC is seeking comments that questions about NRC dockets to Carol secondary ALT Pathway the primary address the following questions: Gallagher; telephone: 301–415–3463; pathway and decreased the leakage rates email: [email protected]. For from 100 standard cubic feet per hour 1. Is the proposed collection of technical questions, contact the (scfh) per valve to 60 scfh for individual information necessary for the NRC to individual listed in the FOR FURTHER MSIVs and the combined leakage rates properly perform its functions? Does the INFORMATION CONTACT section of this for all four main steam lines from 150 information have practical utility? document. scfh to 85 scfh. • 2. Is the estimate of the burden of the NRC’s Agencywide Documents The NRC published a Biweekly Notice information collection accurate? Access and Management System in the Federal Register on April 8, 2014 3. Is there a way to enhance the (ADAMS): You may obtain publicly (79 FR 19401), that gave notice that this quality, utility, and clarity of the available documents online in the proposed amendment was under information to be collected? ADAMS Public Documents collection at consideration by the NRC. However, by http://www.nrc.gov/reading-rm/ 4. How can the burden of the letter dated May 29, 2015 (ADAMS adams.html. To begin the search, select Accession No ML15159B009), the information collection on respondents ‘‘ADAMS Public Documents’’ and then be minimized, including the use of licensee requested to withdraw the select ‘‘Begin Web-based ADAMS proposed amendment. automated collection techniques or Search.’’ For problems with ADAMS, other forms of information technology? please contact the NRC’s Public Dated at Rockville, Maryland, this 16th day of June 2015. Dated at Rockville, Maryland, this 18th day Document Room (PDR) reference staff at For the Nuclear Regulatory Commission. of June, 2015. 1–800–397–4209, 301–415–4737, or by Farideh E. Saba, For the Nuclear Regulatory Commission. email to [email protected]. The ADAMS accession number for each Senior Project Manager, Plant Licensing Tremaine Donnell, document referenced (if that document Branch II–2, Division of Operating Reactor NRC Clearance Officer, Office of Information is available in ADAMS) is provided the Licensing, Office of Nuclear Reactor Services. first time that a document is referenced Regulation. [FR Doc. 2015–15392 Filed 6–22–15; 8:45 am] • NRC’s PDR: You may examine and [FR Doc. 2015–15478 Filed 6–22–15; 8:45 am] BILLING CODE 7590–01–P purchase copies of public documents at BILLING CODE 7590–01–P

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SECURITIES AND EXCHANGE Complex Orders on the Exchange. The other same-side orders. Instead, such COMMISSION Exchange’s Complex Order System order would have been considered for (‘‘System’’), which is governed by Rule execution alongside other same-priced [Release No. 34–75189; File No. SR–Phlx– 2015–49] 1080.07 includes an opening process same-side orders received in the same called the Complex Order Opening Complex Order Strategy, both before Self-Regulatory Organizations; Process or ‘‘COOP,’’ the Complex Order and during the COOP, consistent with a NASDAQ OMX PHLX LLC; Notice of Live Auction (‘‘COLA’’), an automated normal opening process. Specifically, Filing of Proposed Rule Change to auction for seeking additional liquidity for each Complex Order Strategy, the Rule 1080.07 and price improvement for Complex System will take into consideration all Orders, and a Complex Limit Order Complex Orders, identify the price at June 17, 2015. book, the CBOOK. which the maximum number of Pursuant to Section 19(b)(1) of the Except for the time period referred to contracts can trade and calculate the Securities Exchange Act of 1934 (the in Rule 1080.07(f)(i)(F) and the imbalance, if any, as follows: ‘‘Act’’),1 and Rule 19b–4 thereunder,2 acceptance and treatment of all-or-none • Pursuant to existing Rule notice is hereby given that on June 5, orders (both of which are discussed 1080.07(d)(i), the System will accept 2015, NASDAQ OMX PHLX LLC below), the Exchange proposes to pre-opening Complex Orders, and will (‘‘Phlx’’ or ‘‘Exchange’’) filed with the correct several inconsistencies between accept Complex Orders prior to re- Securities and Exchange Commission the existing Complex Orders rule, Rule opening following a halt in trading on (‘‘Commission’’) the proposed rule 1080.07, and the operation of the change as described in Items I, II, and Complex Orders System today. the Exchange. Complex Orders received III below, which Items have been prior to the opening or during a trading prepared by the Exchange. The Opening Inconsistencies halt will reside on the CBOOK (as Commission is publishing this notice to First, the Exchange proposes to defined above). There will be one such solicit comments on the proposed rule amend the rule text applicable to its COOP per Complex Order Strategy. change from interested persons. opening process. Specifically, Rule These provisions are not changing. • I. Self-Regulatory Organization’s 1080.07(d) currently provides for Rule 1080.07(d)(ii) will be amended Statement of the Terms of Substance of performing a COOP Evaluation in order to add reference to a timer. Specifically, the Proposed Rule Change to identify a COLA-eligible order and new rule text will provide that once then operating an auction respecting trading in each option component of a The Exchange proposes to amend and that order, similar to the way the COLA Complex Order Strategy has opened (or correct Rule 1080.07 in a number of operates.3 The Exchange proposes to re-opened following a trading halt) for a ways, as described further below. amend Rule 1080.07(d) to reflect that The text of the proposed rule change certain configurable time not to exceed the System operates the opening auction 7 is available on the Exchange’s Web site 60 seconds (and none of the conditions process for Complex Orders differently 8 at http:// described in Rule 1080.07(c)(ii) exist), than the COLA.4 Specifically, the COOP nasdaqomxphlx.cchwallstreet.com, at the System will initiate the COOP, identifies a price at which the maximum the principal office of the Exchange, and provided that a COOP will only be number of contracts can trade on the at the Commission’s Public Reference conducted for any Complex Order opening based on interest received in Room. Strategy that has a Complex Order the Complex Order Strategy.5 Thus, the received before the opening 9 of that II. Self-Regulatory Organization’s COOP operates like a traditional Complex Order Strategy. The Exchange Statement of the Purpose of, and opening process for non-Complex is proposing to add new rule text to Statutory Basis for, the Proposed Rule Orders (meaning, single leg orders), provide that the Exchange will not Change considering buys and sells, taking all conduct a COOP when a particular In its filing with the Commission, the interest into account (without bias Complex Order Strategy is already open Exchange included statements toward any participant) to determine as a result of another electronic auction concerning the purpose of and basis for which interest is executable and process, such as PIXL pursuant to Rule the proposed rule change and discussed identifying any imbalance.6 1080(n) or the Exchange’s Solicitation any comments it received on the Despite the current rule text, a mechanism or if another electronic proposed rule change. The text of these Complex Order on the opening would auction involving the same Complex statements may be examined at the not have been designated as the COLA- eligible Order with priority over all places specified in Item IV below. The 7 This is known as the opening delay timer, which Exchange has prepared summaries, set is intended to allow a brief period of time for the forth in Sections A, B, and C below, of 3 The COLA is an auction intended to solicit prices for the various series of an option to stabilize interest in a particular Complex Order other than the most significant parts of such after the opening of those series. on the opening. See Rule 1080.07(e). 8 These include: the Complex Order is received statements. 4 The rule provides that the System determines prior to the opening on the Exchange of any options which Complex Order, if any, on the CBOOK will component of the Complex Order; during an (A) Self-Regulatory Organization’s be the ‘‘COLA-eligible order’’ subject to a COLA. opening rotation for any options component of the Statement of the Purpose of, and This is not correct. Complex Order; during a trading halt for any Statutory Basis for, the Proposed Rule 5 A Complex Order Strategy means a particular options component of the Complex Order; when the Change combination of components of a Complex Order Exchange’s Risk Monitor Mechanism is engaged for and their ratios to one another. The Exchange will any options component of the Complex Order that 1. Purpose calculate both a bid price and an offer price for each represents all of the PBBO pursuant to Rule 1093; Complex Order Strategy based on the current PBBO or when the Exchange’s market for any options The purpose of the proposal is to (as defined below) for each component of the component of the Complex Order is disseminated amend and correct certain rule text and Complex Order. Each Complex Order Strategy will pursuant to Rule 1082(a)(ii)(B). provide additional clarity to Phlx be assigned a strategy identifier by the System. See 9 Currently, the Rule provides that the COOP is Participants regarding the trading of Rule 1080.07(a)(ii). conducted if a Complex Order is pending at the 6 An imbalance is the number of contracts that opening or re-opening. However, such Complex cannot be matched with other interest at a Order may no longer be pending (perhaps it was 1 15 U.S.C. 78s(b)(1). particular price. See e.g. NOM Chapter VI, Section canceled), such that a COOP is actually triggered by 2 17 CFR 240.19b–4. 8(a)(1). receipt of the order.

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Order Strategy is in progress.10 If that opening Complex Order trading when trade against other responding interest. Complex Order Strategy is already open, either: (a) The Exchange’s automated In fact, today, if an order that is not an a COOP is not needed and will not execution system was disengaged and IOC order (like a Day order) initiates a occur. subsequently re-engaged, or (b) the Phlx COOP and then is cancelled by the • The Exchange is also proposing to XL Risk Monitor Mechanism was entering participant before the end of add to Rule 1080.07(d)(ii) that following engaged and subsequently disengaged. It the COOP, responsive interest can a trading halt, a COOP will be further provides that, instead, the nevertheless trade. conducted for any Complex Order System will immediately begin the IOC and DNA orders are handled Strategy where a Complex Order was COOP Evaluation and will not initiate differently when received during a received before or during a trading halt the COOP Timer. This provision is COOP. IOC Complex Orders received or that Complex Order Strategy had incorrect and obsolete because the during a COOP will join the COOP and previously opened prior to the trading Exchange does not and cannot be treated like any other Complex halt. disengage its automatic execution Order, except such orders will be • The COOP will be conducted in two system; automatic execution is a cancelled at the end of the COOP Timer phases, the ‘‘COOP Timer’’ (as defined fundamental aspect of the System. With if not executed. This is intended to try below) and the ‘‘COOP Evaluation’’ respect to the Risk Monitor Mechanism, to execute the order, because the order (also defined below). A COOP can be its operation has no impact on the may be responding to the Complex occurring at the same time in different COOP Timer. Order Opening Auction Notification. Complex Order Strategies. The Exchange notes that IOC Complex • The Exchange proposes to amend To add specificity, the Exchange is Rule 1080.07(d)(ii)(A)(4) to specify in Orders are handled similarly in the proposing to add to Rule more detail that Complex Orders Exchange’s PIXL system for similar 1080.07(d)(ii)(A)(1) that the Exchange received prior to the COOP Timer and reasons; 16 that is, an attempt is made to will send a broadcast message Complex Orders received during the execute the IOC Complex PIXL order, indicating that a COOP has been COOP Timer (other than COOP Sweeps and therefore there is a delay in initiated. The broadcast message will and Complex Order Responses marked executing the order, even though it is 11 identify the Complex Order Strategy, as a response) will be visible to Phlx XL marked IOC. Accordingly, the Exchange the opening price (based on the participants upon receipt. does not believe that participants will maximum number of contracts that can be surprised about this handling. be executed at one particular price, Opening—Immediate-or-Cancel Orders The Exchange also notes that except if there is no price at which any and DNA Orders participants who want their order orders can be executed), and the Currently, Complex Orders marked as handled in a more immediate way imbalance side and volume, if any. This Immediate-or-Cancel (‘‘IOC’’) 13 and Do during a COOP can submit a DNA order, broadcast message is called the Complex Not Auction (‘‘DNA’’) 14 can be which would not join a COOP that is in Order Opening Auction Notification and submitted. The Exchange proposes to progress and instead be cancelled right is sent over an order feed, PHLX Orders, adopt into Rule 1080.07(d)(ii)(A)(5) how away, because that would involve a which contains Complex Order both IOC and DNA orders are handled delay. Consistent with the rule language information, as well as over the on the opening. Complex Orders marked that DNA Orders are cancelled if not Specialized Quote Feed (‘‘SQF’’).12 immediately executed,17 DNA Orders • as IOC or DNA received before the Pursuant to Rule COOP is initiated will be cancelled and do not participate in a COOP. 1080.07(d)(ii)(A)(1), the Complex Order will not participate in the COOP; Opening—Responses During COOP Opening Auction Notification starts a however, a COOP will nevertheless Timer COOP Timer, which will begin counting occur in that Complex Order Strategy. a number of seconds during which the Pursuant to proposed Rule The Exchange believes that it is 1080.07(d)(ii)(B), Phlx XL participants 18 Complex Order, if any, may not be appropriate for the COOP to occur even traded. The COOP Timer is configurable may bid and/or offer on either or both though the IOC or DNA order that side(s) of the market during the COOP to a period ranging from 0 to 600 triggered it is cancelled,15 because the seconds as determined by the Exchange Timer by submitting one or more opening process is intended to open key Complex Orders (‘‘Complex Order and communicated to Exchange strategies in which participants are membership on the Exchange’s Web Response’’). In addition, Phlx XL market interested. From a system perspective 19 site. The COOP Timer will be makers may also bid and/or offer on and as a practical matter, not every either or both side(s) of the market configured for the same number of Complex Order Strategy can be opened seconds for all options trading on the each day, as there are millions of 16 Exchange. During the COOP Timer, Phlx See Phlx Rule 1080(n) governing PIXL; the possible permutations, based on the Exchange notes that this provision does not XL Participants can submit responses to number of options and option series expressly describe how IOC orders are handled. the Complex Order Opening Auction available for trading today. This way, 17 See Phlx Rule 1080.07(a)(viii)(B). Notification pursuant to subparagraph 18 This term is currently defined in Rule the System can focus on the Complex 1080.07(a)(vii) as Streaming Quote Traders (B). Order Strategies that attract interest and The Exchange is proposing to delete (‘‘SQTs’’), Remote Streaming Quote Traders prepare to open those, making them (‘‘RSQTs’’), non-SQT Registered Options Traders Rule 1080.07(d)(ii)(A)(2), which available for trading on a particular day. (‘‘non-SQT ROTs’’), specialists and non-Phlx currently provides that the System will market makers on another exchange; non-broker- The Exchange believes it is not engage the COOP Timer upon re- dealer customers and non-market-maker off-floor appropriate for the COOP to occur, broker-dealers; and Floor Brokers using the Options because responsive interest on both Floor Broker Management System. Once amended 10 See SR–Phlx–2014–66. sides of the market can nevertheless to include Firms (as proposed herein), this term 11 Each Complex Order Strategy has an identifier. will cover all potential users of the Complex Orders See Rule 1080.07(a)(ii). system. 13 12 Securities Exchange Act Release Nos. 60877 See Rule 1080.07(b)(i)–(iii). 19 This is a new term that the Exchange believes (October 26, 2009), 74 FR 56255 (October 30, 2009) 14 See Rule 1080.07(a)(viii). will help distinguish Phlx XL market makers (SR–Phlx–2009–92) and 66993 (May 15, 2012), 77 15 A Complex Order Opening Auction (which include specialists, SQTs and RSQTs) from FR 30043 (May 21, 2012) (SR–Phlx–2012–63) Notification is sent with a price and size of zero, other types of Phlx participants. See proposed Rule (addressing TOPO Plus Orders/PHLX Orders). and a buy side. 1080.07(a)(vii).

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during the COOP Timer by submitting including for priority purposes.23 particular Complex Order Strategy, the one or more COOP Sweeps. The Furthermore, there is no timing price at which the maximum number of Exchange is proposing to codify COOP advantage of submitting a COOP Sweep contracts can trade, taking into account Sweeps in Rule 1080.07(d)(ii)(B). COOP versus a Complex Order (whether for a Complex Orders marked all-or-none, Sweeps are one-sided and always have Phlx XL market maker or not), because unless the maximum number of a limit price. Like COLA Sweeps, COOP none of the interest is processed until contracts can only trade without Sweeps can only be entered by Phlx XL after the COOP Timer ends and all Phlx including all-or-none orders.28 The market makers, participants who quote XL market maker interest is executed on Exchange will open at that price, electronically as market makers for their a pro-rata basis, not in time priority. executing marketable trading interest, in own account (SQTs, RSQTs and Conversely, there is no disadvantage to the following order: First, to non-broker- specialists). Because non-SQT ROTs do non-Phlx XL market makers that they dealer customers in time priority; next not quote electronically, they cannot cannot submit a COOP Sweep, just like to Phlx XL market makers on a pro-rata enter COOP Sweeps or COLA Sweeps, there is no such disadvantage that such basis; and then to all other participants which are electronic.20 Specifically, a participants cannot submit a quote. By on a pro-rata basis.29 The imbalance of COOP Sweep is a one-sided electronic definition, Phlx XL market makers Complex Orders that are unexecutable quotation for execution against opening submit, and are obligated to submit, at that price are placed on the CBOOK. trading interest in a particular Complex quotes; this is the core distinction The following examples illustrate the Order Strategy; this definition is between market makers and other handling of an all-or-none order on the proposed to be added to the rule text.21 market participants. opening. The Exchange believes it is A Phlx XL market maker may submit Example 1: appropriate to permit Phlx XL market multiple COOP Sweeps at different Complex Order #1: Buy 40 for $1.05 AON makers to submit COOP Sweeps, in prices (but not multiple COOP Sweeps customer addition to Complex Orders, for several at the same price, except as provided in Complex Order #2: Buy 30 for $1.05 reasons. Today, Phlx XL market makers sub-paragraph (2)), in increments of customer are the only participants who can $0.01 in response to a Complex Order Complex Order #3: Buy 20 for $1.05 customer submit quotes, sweeps of non-Complex Opening Auction Notification, regardless of the minimum trading Complex Order #4: Sell 50 at $1.04 AON Orders, COLA Sweeps and COOP customer Sweeps (‘‘Sweeps’’).22 All of these, increment applicable to the specific including COOP Sweeps, are submitted series.24 The result is that Complex Order #4 over the Specialized Quote Feed, SQF, In addition, Phlx XL market makers will trade against the full size of which is a method of submitting quoting may change the size of a previously Complex Order #1 (because it was first) information and receiving information submitted COOP Sweep during the and 10 contracts of Complex Order #2. back about those quotes and Sweeps. COOP Timer. The System will use the Example 2: Quotes and Sweeps can only be Phlx XL market maker’s most recently Complex Order #1: Buy 40 for $1.05 AON submitted over SQF, the quoting submitted COOP Sweep at each price customer protocol, because this protocol is level as that market maker’s response at Complex Order #2: Buy 30 for $1.05 designed to handle quotes and Sweeps. that price level, unless the COOP Sweep customer Complex Order #3: Buy 20 for $1.05 Some Phlx XL market makers choose to has a size of zero. A COOP Sweep with a size of zero will remove a Phlx XL customer submit their interest in the form of a Complex Order #4: Sell 20 at $1.04 AON Complex Order, which is submitted market maker’s COOP Sweep from that 25 customer through a different interface than SQF COOP at that price level. COOP and is geared toward the submission of Sweeps will not be visible to any The result is that Complex Order #4 orders (rather than quotes) to the participant and will not be disseminated will trade against 20 contracts of 26 Exchange. The Exchange developed by the Exchange. This is because Complex Order #2 since the all-or-none Sweeps in order for Phlx XL market COOP Sweeps are only available to contingency of Order #1 cannot be makers to be able to expeditiously trade during the COOP and will expire satisfied. submit one-sided responsive interest if unexecuted at the end of the COOP Opening—No trade possible. If at the without having to enter an order, which Timer once all executions are complete. end of the COOP Timer the System involves an entirely different protocol Similarly, Complex Order Responses are determines that no market or marketable and method of entry; this was intended not visible if marked as a response. A limit Complex Orders or COOP Sweeps, Complex Order Response will expire if Complex Orders or COOP Sweeps that to encourage Phlx XL market makers to 30 submit responsive interest while unexecuted at the end of the COOP are equal to or improve the cPBBO, managing risk, utilizing a single Timer once all executions are complete, but a Complex Order submitted during 28 The Exchange stopped accepting all-or-none protocol, which should promote just Complex Orders on March 17, 2014 in order to align and equitable principles of trade. the COOP Timer which is not marked as the System with the rule. The Exchange has a response will be available to be traded There is no advantage to submitting a incorporated a definition of all-or-none orders in after the opening of a Complex Order Securities Exchange Act Release No. 72351 (June 9, COOP Sweep versus a Complex Order; Strategy unless it is marked IOC. 2014), 79 FR 33977 (June 13, 2014) (SR–Phlx–2014– Phlx XL market maker interest is 39). Now, the Exchange proposes to begin accepting handled the same once it is submitted Opening—COOP Evaluation them again and explain how they are handled, regardless of how it is submitted, including how they are treated on the opening and Upon expiration of the COOP that they do not leg. See Rule 1080.07(d)(ii)(C), Timer,27 the System will conduct a (e)(vi)(A)(1) and (f)(iii)(A). 20 See Rule 1014(b)(ii)(C) and Rule 1080.07(e)(ix). COOP Evaluation to determine, for a 29 This is consistent with the Exchange’s normal 21 This definition parallels the definition of an priority allocation process. See e.g., Rule opening sweep in Rule 1017(l)(vii)(A). 1080.07(e)(vi)(B) and Rule 1014(g)(vii). 23 See e.g., proposed Rule 1080.07(d)(ii)(C). 22 Although Rule 1080.07(e)(iv) states that Phlx 30 The term ‘‘cPBBO’’ means the best net debit or 24 XL participants can submit COLA Sweeps, this is See proposed Rule 1080.07(d)(ii)(B)(1). credit price for a Complex Order Strategy based on not correct. Only Phlx XL market makers can 25 See Rule 1080.07(d)(ii)(B)(2). the Phlx Best Bid and/or Offer (‘‘PBBO’’) for the submit COLA Sweeps. The Exchange proposes to 26 See Rule 1080.07(d)(ii)(B)(3). individual options components of such Complex correct this in Rule 1080.07(a)(vii) and (e)(iv). 27 See Rule 1080.07(d)(ii)(C). Continued

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and/or Complex Orders or COOP System affords priority to customers on executable bid price of $3.77, rounded Sweeps that cross within the cPBBO the opening as well. Executable bids/ up to the closest minimum trading exist in the System, all Complex Orders offers include any interest which could increment. In this example, 40 strategies received during the COOP Timer will be be executed without trading through can be opened at multiple price points placed on the CBOOK, as described in residual interest or the cPBBO, or ranging from $3.74 up to $3.77. None of Rule 1080.07(f). This is because, without trading at the cPBBO where these potential opening prices will without an opening execution possible there is non-broker-dealer customer cause the unexecuted $3.74 buy order to based on the prices of orders and COOP interest. This is consistent with Rule be available at a price which crosses the Sweeps in a particular strategy, such 1080.07(c)(iii). opening price, therefore, the System Complex Orders shall rest on the To illustrate ‘‘if such interest crosses opens at the midpoint of such prices, CBOOK for potential execution later and does not match in size, the $3.76. while COOP Sweeps expire. execution price is based on the highest If the example were changed slightly Opening—Trade is possible. If at the (lowest) executable offer (bid) price such that Complex Order #1 and end of the COOP Timer the System when the larger sized interest is offering Complex Order #2 were market orders determines that there are market or (bidding)’’ as referenced above, assume instead of a limit orders, the COOP marketable limit Complex Orders or the following is present at the end the Opening execution price for the 40 COOP Sweeps, Complex Orders or COOP Timer for a given Complex Order strategies would be $3.82, which is the COOP Sweeps that are equal to or Strategy: midpoint of the potential opening prices improve the cPBBO, and/or Complex cPBBO = 3.50 (10)–3.90 (10) ranging from $3.74 to $3.90. Orders or COOP Sweeps that cross Complex Order #1: Buy 30 for $3.79 To illustrate ‘‘if the crossing interest is within the cPBBO in the Phlx XL Complex Order #2: Sell 20 at $3.56 equal in size, the execution price is the System, the System will do the COOP Opening execution will be for midpoint of lowest executable bid price following: If such interest crosses and 20 strategies at a price of $3.79 because and the highest executable offer price, does not match in size, the execution there were more contracts to buy than rounded, if necessary, up to the closest price is based on the highest (lowest) there were to sell. In this example, minimum trading increment’’ as executable offer (bid) price when the while there are multiple price points at referenced above, assume the following larger sized interest is offering (bidding), which the System can open the same is present at the end the COOP Timer provided, however, that if there is more number of contracts, there is only one for a given Complex Order Strategy: than one price at which the interest may price point, $3.79, at which there will cPBBO = 3.50 (10)–3.90 (10) execute, the execution price when the be no residual contracts available after Complex Order #1: Buy 10 for $3.78 larger sized interest is offering (bidding) the opening process at a price which Complex Order #2: Buy 20 for $3.74 is the midpoint of the highest (lowest) crosses the opening price. After the Complex Order #3: Buy 10 at $3.71 executable offer (bid) price and the next System executes 20 strategies at $3.79, Complex Order #4: Sell 20 at $3.64 available executable offer (bid) price Complex Order #5: Sell 20 at $3.66 rounded, if necessary, down (up) to the there will remain 10 unexecuted COOP Opening execution will be for closest minimum trading increment.31 If strategies to buy for $3.79. If the example were changed slightly 40 strategies at a price of $3.69. The the crossing interest is equal in size, the execution price of $3.69 is derived from execution price is the midpoint of such that Complex Order #1 was a the midpoint of the lowest executable lowest executable bid price and the market order instead of a limit order, the highest executable offer price, rounded, market order is limited by the cPBBO bid price of $3.71 and the highest if necessary, up to the closest minimum assuming no customer interest is executable offer price of $3.66, rounded trading increment. This process present, and the COOP execution price up to the closest minimum trading maximizes the interest which is traded for 20 strategies would be $3.90. The increment. If the example were changed during the opening process and delivers remaining 10 strategies of Complex slightly such that Complex Order #4 and a rational price for the available interest Order #1 will then leg to the simple Complex Order #5 were market orders on the opening. The opening price logic market at $3.90. rather than limit orders, the COOP maximizes the number of contracts To illustrate ‘‘if there is more than one Opening execution price for the 40 executed during the opening process price at which the interest may execute, strategies would be $3.61, which is and ensures that residual contracts of the execution price when the larger derived from the midpoint of the lowest partially executed orders or quotes are sized interest is offering (bidding) is the executable bid price of $3.71 and the at a price equal to or inferior to the midpoint of the highest (lowest) highest executable offer of $3.50, opening price, in other words, the logic executable offer (bid) price and the next rounded to the closest minimum trading ensures there is no remaining available executable offer (bid) price increment. unexecuted interest available at a price rounded, if necessary, down (up) to the To illustrate the application of the which crosses the opening price. If closest minimum trading increment’’ as Acceptable Complex Execution (ACE) multiple prices exist that ensure that referenced above, assume the following parameter as defined in Rule 1080.07(i), there is no remaining unexecuted is present at the end the COOP Timer assume the following is present at the interest available through such price(s), for a given Complex Order Strategy: end the COOP Timer for a given the opening logic chooses the midpoint cPBBO = 3.50 (10)–3.90 (10) Complex Order Strategy: of such price points. Complex Order #1: Buy 20 for $3.79 ACE Parameter of $0.05 In determining the execution price Complex Order #2: Buy 20 for $3.77 cPBBO = 3.50 (10)–4.00 (10) and which interest will trade, the Complex Order #3: Buy 20 at $3.74 cNBBO = 3.70 (10)–3.90 (10) Complex Order #4: Sell 20 at $3.60 Complex Order #1: Buy 10 for $3.78 Order Strategy, and, where the underlying security Complex Order #5: Sell 20 at $3.62 Complex Order #2: Buy 20 for $3.74 is a component of the Complex Order, the National COOP Opening execution will be for Complex Order #3: Buy 10 at $3.71 Best Bid and/or Offer for the underlying security. 40 strategies at a price of $3.76. The Complex Order #4: Sell 20 at market The cPBBO is a calculated number and does not Complex Order #5: Sell 20 at market include orders on the CBOOK or interest on other execution price of $3.76 is derived from exchanges. See Rule 1080.07(a)(iv). the midpoint of the lowest executable The COOP Opening execution may 31 See Rule 1080.07(d)(ii)(C)(2). bid price of $3.74 and the next available not occur more than $0.05 outside of the

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cNBBO, and thus cannot occur at a price of: (1) The proportion of the aggregate the same enhanced pro-rata specialist of less than $3.65 or more than $3.95. size at the cPBBO associated with such allocation that applies to non-Complex In this case, Complex Order #4 and specialist’s COLA Sweep, SQT and Orders.39 Complex Order #5 will both be RSQT COLA Sweeps, and non-SQT In addition, the Exchange proposes to considered in determining the COOP ROT Complex Orders on the CBOOK; 34 amend Rule 1080.07(e)(vi)(C) to correct Opening execution price as orders to (2) the Enhanced Specialist it by deleting the limitation of sell limited by the contra side cNBBO Participation as described in Rule aggregating size only at the cPBBO; the ACE limit of $3.65. Therefore, the COOP 1014(g)(ii) 35 (60/40/30%); or (3) 40% of size of the specialist’s COLA Sweep, Opening execution price for the 40 the remainder of the order.36 SQT and RSQT COLA Sweeps, and non- strategies would be $3.68, which is The Exchange proposes to better SQT ROT Complex Orders on the derived from the midpoint of the lowest define a COLA Sweep in Rule CBOOK are all aggregated at the executable bid price of $3.71 and the 1080.07(e)(iv). Specifically, a COLA execution price, regardless whether the highest executable offer of $3.65. Sweep, similar but not identical to a price is at cPBBO or not. Today, the If there is any remaining interest after COOP Sweep,37 is a one-sided System looks at all of a specialist’s complex interest has traded against electronic quotation submitted for COLA Sweeps at a particular price, not other complex interest and there is no execution against other trading interest just at the cPBBO and compares it to all component that consists of the in a particular Complex Order Strategy. other Phlx XL market maker interest at underlying security,32 such interest may Any COLA Sweeps which remain that price, so the Exchange proposes to ‘‘leg’’ whereby each options component unexecuted at the end of the COLA correct the rule. may trade at the PBBO with existing Timer once all executions are complete In short, the Specialist would be quotes and/or limit orders on the limit will expire. entitled to receive the greater of: (1) The order book for the individual The Exchange proposes to amend proportion of the aggregate size components of the Complex Order; Rule 1080.07(e)(vi)(C) to eliminate the associated with such specialist’s COLA provided that remaining interest may 40% component, because it does not Sweep, SQT and RSQT COLA Sweeps, execute against any eligible Complex currently operate.38 The Exchange and non-SQT ROT Complex Orders on Orders received before legging occurs.33 believes that the 40% language being the CBOOK; or (2) the 60/40/30% If the remaining interest has a deleted may have been an error, Enhanced Specialist Participation component that consists of the because, given the ‘‘greater of’’ language described in Rule 1014(g)(ii). The underlying security or is an all-or-none in this provision, the 30% guarantee Exchange believes that the specialist Complex Order, such Complex Order would never have operated. guarantee of 60/40/30% is a sufficient will be placed on the CBOOK. Although Accordingly, the Exchange proposes to incentive for participants to become the current rule text does not provide amend this provision to reflect that the specialists and make continuous for legging on the opening, the System specialist would be entitled to receive markets in individual options. The is currently programmed to consider the greater of: (1) The proportion of the Exchange notes that this is the same whether legging is possible in order to aggregate size associated with such enhanced pro-rata specialist allocation 40 maximize the number of executions. specialist’s COLA Sweep, SQT and that applies to non-Complex Orders. Accordingly, the Exchange proposes to RSQT COLA Sweeps, and non-SQT Furthermore, pursuant to Rule add rule text regarding legging to Rule ROT Complex Orders on the CBOOK; or 1080.07(e)(vi)(B), for allocation 1080.07(d)(ii)(C)(2). (2) the 60/40/30% Enhanced Specialist purposes, the rule states that the size of The Exchange also proposes to add Participation described in Rule a COLA Sweep or responsive Complex Order received during the COLA Timer that the Complex Order Strategy will be 1014(g)(ii). The Exchange believes that shall be limited to the size of the COLA- open for trading after the COOP even if the specialist guarantee of 60/40/30% is eligible order. In actuality, the Exchange no executions occur. This is intended to a sufficient incentive for participants to will accept size in excess of the COLA- attract additional interest to a Complex become specialists and make eligible order size and such size can be Order Strategy. If additional interest continuous markets in individual executed against remaining interest 41 arrives, the Exchange does not believe options. The Exchange notes that this is another COOP is needed, because such after the COLA-eligible order has been interest will under the normal processes executed to the fullest extent possible.42 34 This is commonly known as size pro-rata of the System either be subject to a allocation. For example, where there is a COLA- COLA, be placed on the CBOOK (both 35 Rule 1014(g)(ii) provides that when the eligible order bidding $2.00 for 20 of which are disseminated), or be registered specialist is on parity with a controlled contracts, and the other interest consists cancelled. account, in accordance with Exchange Rules 119 of a $2.10 bid for 10 contracts, a $2.10 and 120 and the number of contracts to be bought offer for 10 contracts and a $2.00 offer Other Inconsistencies or sold is greater than five, the specialist is entitled to receive an enhanced participation of 30% of the Second, Rule 1080.07(e)(vi)(C) Remainder of the Order (‘‘Enhanced Specialist 39 Unlike regular, single component options listed currently provides that when executing Participation’’), except in the following and traded on the Exchange, Complex Orders do against the COLA-eligible order after a circumstances: (1) Where there is one controlled not have a specialist or required market maker account on parity, the specialist is entitled to providing continuous markets. Complex Orders COLA, a participating specialist shall be receive 60% of the Remainder of the Order; or (2) operate as an order-driven process, with the prices entitled to receive, respecting an option where there are two controlled accounts on parity, derived from the prices of the individual in which he is the specialist, the greater in which case, the specialist is entitled to receive components. 40% of the Remainder of the Order. See also ISE 40 Rule 1014(g)(vii). 32 Complex Orders that are not executable at the Rule 722.05. 41 The remaining interest consists of any potential 36 opening price, including those that could not leg A specialist is not entitled to this enhanced interest that has been received, including orders, because there is a component that consists of the allocation in options in which he is not registered quotes and COLA Sweeps, as well as the individual underlying security, will be placed on the CBOOK. as the specialist. leg market. See proposed Rule 1080.07(d)(ii)(C). 37 See proposed Rule 1080.07(d)(ii)(B). 42 The Exchange notes that this reflects an 33 Remaining interest includes Complex Orders 38 Because the minimum 40% allocation did not internal inconsistency in this rule, because another that did not execute at the opening price and are operate, the specialist may have received less of an sub-paragraph in the rule addresses the execution therefore on the CBOOK and available to be traded allocation than expected when executing against of remaining bids or offers from the incoming non- before legging occurs as well as any new interest COLA-eligible interest in a limited number of customer Complex Order(s). See Rule that may have arrived during the legging process. situations. 1080.07(e)(viii)(C)(2)(e).

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for 10 contracts, even though only 10 executing and allocating in a COLA and market from the COLA-eligible order, contracts of the COLA-eligible order are such non-responsive interest is also not such orders will be executed in the executable, the buy and sell orders at restricted to the size of the COLA- order in which they were received. $2.10 can nevertheless execute against eligible volume. Instead, the System executes non- each other; thus, although the COLA- Fourth, Rule 1080.07(e)(viii) customer orders on a pro-rata basis eligible order was not fully executed, it determines the price at which orders are among Phlx market maker interest and was executed to the fullest extent executed while Rule 1080.07(e)(vi) then, again on a pro-rata basis, among possible,43 which permitted additional determines the execution priority of remaining Phlx XL participants at each executions of responsive interest at a such orders; the Exchange seeks to make price level, as described in Rule different price, to the benefit of those the interaction of these two provisions 1080.07(e)(vi)(B). Non-customer orders orders. clearer by adding descriptive language may have received a higher or lower As a result, participants would have to that effect in Rule 1080.07(e)(viii). allocation at a particular price than they had a greater opportunity for execution Rule 1080.07(e)(viii)(C)(1)(d) currently would have received in time priority and may have received executions in provides that if multiple customer allocation, depending on their particular excess of the COLA-eligible order Complex Orders are received on the time and size. volume, up to the full size of their order. opposite side of the market from the The Exchange proposes to amend the If the System operated as stated in the COLA-eligible order, customer orders rule to reflect that non-customer orders current rule text, fewer contracts would will be executed in the order in which are executed on a pro-rata basis, have been executed, because fewer they were received. This provision consistent with the priority rules contracts would have been available for operates to determine the price at which applicable in other aspects of the execution against the COLA-eligible the COLA-eligible order is executed execution of Complex Orders and order and other responsive interest. It is against customer Complex Orders and simple orders.48 likely that some of the interest in that defines the allocation algorithm utilized Sixth, the System recently operated Complex Order Strategy would not have for each type of customer. In the context such that when a Complex Order was traded but for the ability for COLA of determining the execution price of received during the final 3 seconds of Sweeps and Complex Orders to be such interest, the Exchange uses the the trading session, it was placed onto submitted for any size. term ‘‘customer’’ to include both non- the CBOOK.49 Pursuant to Rule The Exchange is proposing to amend broker-dealer customer orders as well as 1080.07(f)(i)(F), a Complex Order an the rule to reflect the current practice non-market maker off-floor broker- order should go on the CBOOK when is and permit the full size of responding dealer orders, because in this context received during the final 10 seconds of interest to trade against non-COLA- non-market maker off-floor broker- the trading session, rather than 3 eligible interest. This change is intended dealer orders seek liquidity and are seconds. Accordingly, more Complex to have as many contracts trade as therefore more like customer orders Orders may have started a COLA than possible. The Exchange does not believe versus other participants, which the rule provides for and were perhaps that the current size limitation in the generally provide liquidity. executed rather than resting on the 44 rule is useful. The Exchange notes that With respect to Rule 1080.07(e)(vi) CBOOK, which the Exchange believes the size of a COLA Sweep or responsive regarding the allocation within a may have been considered a benefit for Complex Order is only relevant where participant category, the System those orders. the resulting allocation of a trade is executes non-broker-dealer customer At this time, the Exchange proposes to conducted on a pro-rata basis, but not orders in the order in which they were change the rule to reflect a configurable respecting non-broker-dealer customer received and non-market maker off-floor time period (for all options) to allocations, which are based on time broker-dealer orders on a pro-rata basis determine how many seconds before the priority. The Exchange believes that at each price level. Thus, non-market end of the trading session that an order permitting interest in excess of the maker off-floor broker-dealer orders may is placed on the CBOOK. The Exchange COLA-eligible volume benefits market have received a higher or lower believes that this should maximize participants, because it helps ensure allocation at a particular price than they executions rather than applying a fixed that as many contracts as possible are would have received in time priority time period of 10 seconds. The executed. The Exchange does not allocation, which is required under the Exchange will notify participants on its believe that there is any negative effect current rule, depending on their Web site in advance when the number from permitting responsive interest of particular time and size. of seconds will change. The Exchange The Exchange proposes to change any size. Although in a pro-rata believes that this is a useful change, Rule 1080.07(e)(viii)(C)(1)(d) to reflect allocation, a greater allocation might because the Exchange believes that 10 that off-floor broker- dealer orders at the result, this is not harmful, but rather seconds may be too long and may same price are executed on a pro-rata enhances the liquidity in the prevent executions from occurring; a basis, consistent with the priority rules marketplace. It should also be noted that COLA can be triggered and completed applicable in other aspects of the the Exchange considers non-responsive in less than 3 seconds so the Exchange execution of Complex Orders 45 and interest present in the system when believes a smaller number than 10 simple orders.46 seconds is appropriate to maximize 43 Fifth, pursuant to Rule The Exchange is replacing the term ‘‘in its executions. entirety’’ with ‘‘to the fullest extent possible’’ 1080.07(e)(viii)(C)(2)(d), if multiple non- In addition, the Exchange is adding to respecting COLA-eligible orders, because COLA- customer 47 Complex Orders are this provision a reference to any eligible orders to [sic] not have to be fully executed received on the opposite side of the in order for other interest to be executed; such marketable portion of the Complex interest might, for example, be at a different price Order being executed, because the than the price of the COLA-eligible order. See Rule 45 See e.g., Rule 1080.07(e)(vi)(B). 1080.07(e)(vii), (e)(viii)(B), (e)(viii)(C)(1), 46 See Rule 1014(g)(vii). System seeks to execute any portion that (e)(viii)(C)(1)(e), (e)(viii)(C)(2), (e)(viii)(C)(2)(e) and 47 In the context of executing these orders, the (e)(viii)(C)(3). Exchange uses the term ‘‘non-customer’’ to include 48 See supra note 29. 44 The Exchange notes that this is similar to all interest other than non-broker-dealer customer 49 In order to comply with the current rule, the NYSEArca Rule 6.91(c)(7), which permits interest and non-market-maker off-floor broker- System was changed on March 7, 2014 to 10 executions above such size. dealer interest. seconds to align with the rule.

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can be traded before placing a Complex it is not an all-or-none order and there at OCC are Firms, including both Order on the CBOOK. is no component that consists of the broker-dealers trading for their own Seventh, after the COLA-eligible order underlying security,50 such interest may (proprietary) account who are OCC has been executed in its entirety, Rule ‘‘leg’’ whereby each options component members as well as JBO participants. In 1080.07(e)(viii)(C)(3) provides that the may trade at the PBBO with existing contrast, broker-dealers trading for their execution price of crossing interest is quotes and/or limit orders on the limit own (proprietary) account who are not based on the price of the smaller sized order book for the individual OCC members (and do not have a JBO interest. Crossing interest refers to any components of the Complex Order; arrangement) must have their trades buy or sell interest that crosses in price provided that remaining interest may cleared via an OCC member and do not such that a buyer order is at a higher execute against any eligible Complex clear in the firm range.55 Accordingly, price than the best sell price, for Orders received before legging occurs. the proposed definition of Firm example. If such interest crosses and This is intended to maximize the does not match in size, the execution number of contracts that execute. comports with the definition used in the price of the remaining interest is based Eighth, Rule 1080.07(b)(i) governs the pricing schedule, with respect to which on the highest (lowest) executable offer types of Complex Orders that different dozens of proposed rule changes have (bid) price when the larger sized interest participants may submit to the taken effect based on such pricing is offering (bidding), provided, however, Exchange. The rule does not currently differentiation being consistent with the that if there is more than one price at specify a category of participant known Act, including not being unfairly which the interest may execute, the as Firms. Because the current rule does discriminatory.56 execution price when the larger sized not define a Firm, under the current In addition, the Exchange proposes to interest is offering (bidding) is the language Firms are broker-dealers that specify the two ways in which Firm midpoint of the highest (lowest) fit the definition of non-market maker orders are handled like Phlx XL market executable offer (bid) price and the next off-floor broker-dealer. maker orders rather than non-market At this time, the Exchange is available executable offer (bid) price maker off-floor broker-dealer orders. rounded, if necessary, down (up) to the proposing to adopt a definition of Firm Specifically, the Exchange proposes to closest minimum trading increment. If in Rule 1080.07(a)(x), based on the amend Rule 1080.07(e)(i)(B)(1) to the crossing interest is equal in size, the current definition in the Phlx fee execution price is the midpoint of schedule.51 Specifically, the Exchange provide that Firm orders, like Phlx lowest executable bid price and the is proposing to define the term ‘‘Firm’’ market maker orders, are not COLA- highest executable offer price, rounded, to mean a broker-dealer trading for its eligible orders and therefore cannot start 57 if necessary, up to the closest minimum own (proprietary) account that is: (i) A a COLA; non-market-maker off-floor trading increment. member of The Options Clearing broker-dealer orders can start a COLA. In determining the execution price Corporation (‘‘OCC’’); or (ii) maintains a In addition, for purposes of Rule and which interest will trade, the Joint Back Office (‘‘JBO’’) 52 arrangement 1080.07(e)(viii)(C)(2), Firms orders are System affords priority to non-broker- with an OCC member. Firms are distinct proposed to be treated as ‘‘non- dealer customers. Executable bids/offers from non-market maker off-floor broker- customer’’ orders. Specifically, when include any interest which could be dealers because of their OCC the System determines how Complex executed without trading through membership, which implies that Firms, Orders on the opposite side of the residual interest or the cPBBO, or and thus the JBO participants with market from a COLA-eligible order are without trading at the cPBBO where whom they have established JBO executed, the System executes Firm there is non-broker-dealer customer arrangements are large, well-capitalized orders on a pro-rata basis along with interest. This is consistent with Rule entities. non-Phlx market maker orders. Non- 1080.07(c)(iii). The pricing schedule currently market-maker off-floor broker-dealer While participants are ‘‘blind’’ to the provides that Firm means a non- orders are executed along with non- determination of the execution price customer broker-dealer for which orders broker-dealer customer orders. In these because they do not know the size of all are identified by a member or member two ways, Firm orders are proposed to eligible interest, the participants that organization as clearing in the firm be treated the same way as non-Phlx were part of the smaller sized interest 53 range at OCC. The term ‘‘clearing in market makers, rather than the same would likely have received a better the firm range at OCC’’ refers to what way as off-floor broker-dealers, because execution price than the rule states. type of an account is held at OCC and the Exchange believes that the trading The Exchange proposes to amend is commonly used by exchanges.54 The style and needs of Firms are more like Rule 1080.07(e)(viii)(C)(3) to reflect the participants that clear in the firm range use of larger sized interest, because it is market makers. Firms are large, well- capitalized broker-dealers trading for indicative of the price of remaining 50 Complex Orders that are not executable, unexecuted interest. The Exchange including those that could not leg because there is their own account, generally submitting believes that this correction and level of a component that consists of the underlying large orders, including orders that detail should help participants security, will be placed on the CBOOK. See facilitate their clients’ orders or offset proposed Rule 1080.07(d)(ii)(C). often large positions taken to understand how their execution prices 51 See Securities Exchange Act Release No. 62140 are determined, and this method is fair (May 20, 2010), 75 FR 29788 (May 27, 2010) (SR– and orderly, based on both size and Phlx–2010–69). 55 These broker-dealer orders are ultimately midpoint, which reflect the totality of 52 A member organization can establish and cleared as customer orders at OCC. 56 the remaining interest. This is the same maintain a JBO arrangement with a clearing broker- See e.g., Securities Exchange Act Release Nos. dealer subject to the requirements of Regulation T 68880 (February 8, 2013), 78 FR 10664 (February process used in the COOP as proposed Section 220.7 of the Federal Reserve System if each 14, 2013) (SR–Phlx–2013–10); and 67189 (June 12, in Rule 1080.07(d)(ii)(C)(2). JBO participant is registered as a broker-dealer, 2012), 77 FR 36310 (June 18, 2012) (SR–Phlx–2012– This provision is also proposed to maintains a minimum account equity requirement 77). state that if there is any remaining of $1,000,000, and comply with certain ownership 57 See Rule 1080.07(e)(i)(B)(1) which defines a standards. See Rule 703(a)(vi). COLA-eligible order. The Exchange is deleting from interest, which means any interest 53 See preface to Phlx Pricing Schedule. this provision the requirement that such order present in the System in that Complex 54 See e.g., http://www.cboe.com/publish/RegCir/ improve the cPBBO, because that requirement is Order Strategy at that time provided that RG13-038.pdf. already stated in Rule 1080.07(e)(i)(A).

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accommodate their customers; 58 in treated. The various corrections are, for the day. The Exchange does not order to do so, Firms must have the together, intended to improve the rule believe that this raises regulatory issues, financial wherewithal that this role overall. The Exchange believes that this such as the potential for manipulation necessitates, which by OCC rule should promote just and equitable or abuse relating to the opening auction. applicable to OCC clearing members, principles of trade as well as protect The Exchange similarly treats non- generally requires a certain amount of investors and the public interest by Complex Orders marked IOC, in that net capital, risk management procedures making more clear how specifically such orders, if received prior to the addressing certain risks and margin Complex Orders are handled on the opening in an option, are cancelled requirements, among other things.59 Exchange. upon receipt. Thus, the fact that Thus, in general, Firms are commonly More specifically, the opening Complex Orders marked IOC do not viewed as providers of liquidity, much changes are intended to promote just participate in the opening auction does like market makers. and equitable principles of trade by not raise new concerns for Ninth, the Exchange proposes to seeking to execute as much interest as manipulation; today, if a participant accept all-or-none orders 60 and specify possible at the best possible price(s). enters a DAY or GTC order and then how they are handled. The handling of The opening process maximizes price immediately cancels it, an auction will all-or-none orders on the opening is discovery and liquidity while ensue without that order. Accordingly, explained above.61 Specifically, Rule employing price priority, which the the Exchange believes that its proposed 1080.07(e)(vi)(A)(1) will provide that Exchange believes is a fairer process on handling of IOC orders should promote all-or-none Complex Orders will not leg the opening when dealing with just and equitable principles of trade. into the prices of the individual potentially different sources of interest, Similarly, the proposal addresses how components of such Complex Order. In versus a single Complex Order DNA orders are handled, which also addition, Rule 1080.07(f)(iii)(A) will triggering a COLA during the day’s promotes just and equitable principles similarly provide that all-or-none trading. Although the COOP operates of trade by providing an order type that Complex Orders on the CBOOK will not differently than the COLA, the Exchange involves immediate handling. leg. notes that the COOP operates like a The Exchange believes that COOP Tenth, the Exchange proposes to traditional opening process, seeking to Sweeps, as described above, promote amend 1080.07(b)(iii) to specify in more execute as much interest as possible, just and equitable principles of trade by detail that only IOC Complex Orders which is consistent with just and providing an opportunity for a single can be accepted by Floor Brokers from equitable principles of trade. sided quote to be entered by Phlx XL SQTs, RSQTs, non-SQT ROTs, The opening delay timer promotes market makers responding to a COOP, specialists, non-Phlx market makers on just and equitable principles of trade by much like opening sweeps in Rule 1017 another exchange and Firms. Currently, allowing options prices to stabilize after and regular sweeps in Rule 1080. The this provision refers to broker-dealers or the options opening, before permitting Exchange does not believe it is unfairly affiliates of broker-dealers; these terms Complex Orders to become available for discriminatory for COOP Sweeps to be are not used elsewhere in the rule and trading. If a particular Complex Order available only to Phlx XL market is thus confusing. Strategy is already open, the COOP does makers, because the ability to enter two- not occur, which is consistent with just 2. Statutory Basis sided quotes is also available only to and equitable principles of trade, Phlx XL market makers, who use a The Exchange believes the proposed because there is no need for an opening particular protocol to submit quotes and rule change is consistent with the process. The Complex Order Opening sweeps to the Exchange. Other Phlx XL provisions of Section 6 of the Act,62 in Auction Notification is intended to participants can submit orders over the general, and with Section 6(b)(5) of the attract interest to the opening process protocol specific to orders, specifically Act,63 in particular, which requires, and encourage the opening of a IOC orders, which behave in the same among other things, that the rules of an Complex Order Strategy, like the COLA manner as a sweep. Accordingly, such exchange be designed to promote just message is intended to attract interest to other participants are not disadvantaged and equitable principles of trade as well the COLA. Accordingly, the Complex by the inability to submit sweeps, much as protect investors and the public Order Opening Auction Notification, like they are not disadvantaged by the interest. Specifically, the Exchange is which contains the opening price, inability to submit quotes or sweeps proposing various changes that should imbalance, if any, and volume, respecting non-Complex Orders. promote just and equitable principles of promotes just and equitable principles With respect to the provision in Rule trade, because Complex Orders will be of trade. 1080.07(d)(ii)(C)(3) that provides that a handled in a fair and orderly manner by The change to Rule Complex Order Strategy will be open the System, as described above. The 1080.07(d)(ii)(B)(3) enumerating that after a COOP even if no executions Exchange believes that the proposed COOP responses are not visible occur, the Exchange believes that this changes are consistent with how promotes just and equitable principles proposed language should promote just participants could reasonably expect of trade by making this clear to and equitable principles of trade by that their complex interest should be participants and because the temporary, opening a Complex Order Strategy quick nature of the COOP would not based on the fact that interest was 58 Of course, the clients/customers of a Firm render this information useful. The received, regardless of whether the could be other broker-dealers. 59 Complex Order Opening Auction responsive interest resulted in an See OCC Rules 301, 311 and 601. Notification is sufficient notification of execution. In addition, it promotes just 60 The Exchange stopped accepting all-or-none Complex Orders on March 17, 2014 in order to align the forthcoming opening of a particular and equitable principles of trade for the the System with the rule. The Exchange has Complex Order Strategy. rule to reflect this. incorporated a definition of all-or-none orders in The Exchange noted above that With respect to any priority Securities Exchange Act Release No. 72351 (June 9, Complex Orders marked IOC do not provisions addressed herein, the 2014), 79 FR 33977 (June 13, 2014) (SR–Phlx–2014– 39). participate in an auction that such order proposed treatment is similar to the 61 See proposed Rule 1080.07(d)(ii)(C). may trigger if that order would be the Exchange’s priority rule respecting 62 15 U.S.C. 78f. first order in that Complex Order orders other than Complex Orders, as 63 15 U.S.C. 78f(b)(5). Strategy, thereby opening that Strategy well as the comparable rules of other

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options exchanges.64 This includes on the price of the larger sized interest, order interaction with other market allocating to the specialist based on all which affects more options contracts participants, consistent with promoting of his interest at a particular price and is likely to result in more just and equitable principles of trade. pursuant to proposed Rule executions than the current rule The Exchange believes that its 1080.07(e)(vi)(C), off-floor broker-dealer provides, because the current rule is proposal to accept all-or-none Complex customer orders on a pro-rata basis based on the mid-point, regardless of Orders should promote just and pursuant to proposed Rule size. equitable principles of trade by offering 1080.07(e)(viii)(C)(1)(d), and to Phlx XL The reference to legging remaining this order type, commonly available for market makers and other non-customers interest in these same subparagraphs non-Complex Orders as well as complex each on a pro-rata basis pursuant to promotes just and equitable principles orders on other options exchanges, to of trade by providing an opportunity for proposed Rule 1080.07(e)(viii)(C)(2)(d). market participants, who may want a additional Complex Orders to trade. The The deletion of the 40% allocation certain minimum size. This contingency additional executions would be promotes just and equitable principles is particularly appropriate respecting expected by users who expressed an of trade both by correcting the rule text Complex Orders, because of the interest to trade by submitting their as well as by rendering meaning to the complexity of the strategies employed interest; their expression of interest is reference to Rule 1014(g)(ii), which is by users; the size of the order may be not limited to the COLA-eligible order otherwise pointless. relevant to such strategy. The Exchange The deletion of aggregating size only but rather to the Complex Order believes that its proposal to not leg all- at the cPBBO in Rule Strategy as a whole. or-none Complex Orders promotes just 1080.07(e)(vi)(C)(1) for purposes of In addition, this proposal is not and equitable principles of trade, determining the pro rata allocation unfairly discriminatory, including to the promotes just and equitable principles new category of Firm orders, because it because the all-or-none contingency of trade by taking into account all proposes to deal with Complex Orders complicates the execution of such expressed interest (the specialist’s and responsive interest in a reasonable orders expeditiously against the COLA Sweep, SQT and RSQT COLA way. As explained above, it is not individual components of such orders; Sweeps and non-SQT ROT Complex uncommon to have certain order types the Exchange does not believe that users Orders on the CBOOK) at each price and time-in-force conditions available would expect such orders to leg, as all- instead of only at one price, the cPBBO. only to certain participant types, both or-none orders are often treated on the Exchange 65 as well as other differently than other orders because of This should maximize the number of 68 contracts executed, to the benefit of exchanges.66 Indeed, the Exchange’s the nature of that contingency. those participating in that Complex pricing schedule has long distinguished The Exchange believes that its Order Strategy. Firms from other broker-dealers.67 The proposal to amend 1080.07(b)(iii) to The change to Rule 1080.07(e)(vi)(B) Exchange believes that certain order specify in more detail that Floor Brokers permitting responses for a size greater types and time-in-force conditions, if can only accept IOC Complex Orders than the size of the COLA-eligible made available, would likely not be from SQTs, RSQTs, non-SQT ROTs, orders is consistent with just and used by certain market participants, specialists, non-Phlx market makers on equitable principles of trade, because it because of the particular trading style of another exchange and Firms is merely enables as many contracts as possible to those participants. For example, Phlx replacing vague terms (broker-dealers or trade, which is also consistent with XL market makers are not permitted to affiliates of broker-dealers) to more protecting investors and the public send in GTC orders; the Exchange does precise ones that are linked to interest. Restricting responses to the size not believe that Phlx XL market makers definitions within the rule. Using of the COLA-eligible order serves no would be interested in submitting GTC defined terms should promote just and regulatory purpose and, instead, merely orders, as they generally participate in equitable principles of trade. limits the number of contracts that can the marketplace using electronic The Exchange believes that deleting trade. Restricting responses to the size quotations, which are updated and reference in Rule 1080.07(d)(ii)(A)(2) to of the COLA-eligible order could also replaced frequently, unlike GTC orders. disengaging the automated execution provide interest that has been submitted Similarly, the Exchange believes that system and the Phlx XL Risk Monitor coincidentally, without intentionally Firms do not expect or need their Mechanism clarifies that the COOP responding to an auction, to have an Complex Orders to trigger a COLA nor Timer nevertheless occurs in these unfair advantage since this interest to submit GTC orders, because these are situations. The COOP Timer facilitates would not be restricted to the size of the features commonly associated with price discovery and opening interest in COLA-eligible order. customers rather than liquidity a Complex Order Strategy, which The Exchange believes a configurable providers who function to accommodate should, in turn, promote just and end of day timer as proposed in Rule trading interest. Both of these features equitable principles of trade. 1080.07(f)(i)(F) is consistent with just involve a temporal component; both a and equitable principles of trade, delay and long-lasting interest are The Exchange believes that specifying because it can be tailored to maximize inconsistent with the sort of in more detail that Complex Orders the number of executions but is still accommodation that Firms provide. received prior to the COOP Timer and limited to 600 seconds, as originally Firms are interested in trading in a Complex Orders received during the approved. manner that offers liquidity to their COOP Timer (other than COOP Sweeps The Exchange also believes that the customers. Accordingly, the Exchange and Complex Order Responses marked proposed execution process in proposed believes that by tailoring its offerings to as a response) are visible to Phlx XL Rule 1080.07(d)(ii)(C)(2) and the needs and trading style of Firms, participants upon receipt should (e)(viii)(C)(3) for crossing interest is Firms are more likely to send orders to promote just and equitable principles of consistent with just and equitable the Exchange, which should increase trade by further attracting additional principles of trade, because it is based interest in a particular Complex Order 65 See Phlx Rule 1080(b). Strategy. 64 See Phlx Rule 1014(g)(vii)(B)(1)(b). See also 66 See CBOE Rule 6.53C(d)(iii). CBOE Rule 6.53C(d)(v). 67 See supra note 53. 68 See e.g., Options Floor Advice A–9.

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(B) Self-Regulatory Organization’s All submissions should refer to File SECURITIES AND EXCHANGE Statement on Burden on Competition Number SR–Phlx–2015–49. This file COMMISSION number should be included on the The Exchange does not believe that [Release No. 34–75193; File No. 4–668] the proposed rule change will result in subject line if email is used. To help the any burden on competition that is not Commission process and review your Joint Industry Plan; Notice of Filing of necessary or appropriate in furtherance comments more efficiently, please use Amendment No. 2 to the National of the purposes of the Act, as amended. only one method. The Commission will Market System Plan Governing the Specifically, the proposal does not post all comments on the Commission’s Process of Selecting a Plan Processor impose an intra-market burden on Internet Web site (http://www.sec.gov/ and Developing a Plan for the competition, because these changes rules/sro.shtml). Copies of the Consolidated Audit Trail by BATS make the rule clearer and more submission, all subsequent Exchange, Inc., BATS–Y Exchange, complete for all participants. Nor will amendments, all written statements Inc., BOX Options Exchange LLC, C2 the proposal impose a burden on with respect to the proposed rule Options Exchange, Incorporated, competition among the options change that are filed with the Chicago Board Options Exchange, exchanges, because of the vigorous Commission, and all written Incorporated, Chicago Stock competition for order flow among the communications relating to the Exchange, Inc., EDGA Exchange, Inc., options exchanges. To the extent that proposed rule change between the EDGX Exchange, Inc., Financial market participants disagree with the Commission and any person, other than Industry Regulatory Authority, Inc., particular approach taken by the those that may be withheld from the International Securities Exchange, Exchange herein, market participants public in accordance with the LLC, ISE Gemini, LLC, Miami can easily and readily direct complex provisions of 5 U.S.C. 552, will be International Securities Exchange LLC, order flow to competing venues. available for Web site viewing and NASDAQ OMX BX, Inc., NASDAQ OMX (C) Self-Regulatory Organization’s printing in the Commission’s Public PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., Statement on Comments on the Reference Room, 100 F Street NE., New York Stock Exchange LLC, NYSE Proposed Rule Change Received from Washington, DC 20549, on official MKT LLC, and NYSE Arca, Inc. Members, Participants or Others business days between the hours of No written comments were either 10:00 a.m. and 3:00 p.m. Copies of the June 17, 2015. solicited or received. filing will also be available for I. Introduction III. Date of Effectiveness of the inspection and copying at the principal office of the Exchange. All comments Pursuant to Section 11A of the Proposed Rule Change and Timing for Securities Exchange Act of 1934 Commission Action received will be posted without change; the Commission does not edit personal (‘‘Act’’) 1 and Rule 608 Thereunder,2 Within 45 days of the date of identifying information from notice is hereby given that, on March 6, publication of this notice in the Federal submissions. You should submit only 2015, BATS Exchange, Inc., BATS–Y Register or within such longer period (i) information that you wish to make Exchange, Inc., BOX Options Exchange as the Commission may designate up to available publicly. All submissions LLC, C2 Options Exchange, 90 days of such date if it finds such should refer to File Number SR–Phlx– Incorporated, Chicago Board Options longer period to be appropriate and Exchange, Incorporated, Chicago Stock 2015–49 and should be submitted on or publishes its reasons for so finding or Exchange, Inc., EDGA Exchange, Inc., before July 14, 2015. (ii) as to which the Exchange consents, EDGX Exchange, Inc., Financial the Commission will: (a) By order For the Commission, by the Division of Industry Regulatory Authority, Inc., approve or disapprove such proposed Trading and Markets, pursuant to delegated International Securities Exchange, LLC, rule change, or (b) institute proceedings authority.69 ISE Gemini, LLC, Miami International to determine whether the proposed rule Brent J. Fields, Securities Exchange LLC, NASDAQ change should be disapproved. Secretary. OMX BX, Inc., NASDAQ OMX PHLX IV. Solicitation of Comments [FR Doc. 2015–15339 Filed 6–22–15; 8:45 am] LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New BILLING CODE 8011–01–P Interested persons are invited to York Stock Exchange LLC, NYSE MKT submit written data, views, and LLC, and NYSE Arca, Inc. (collectively, arguments concerning the foregoing, ‘‘SROs’’ or ‘‘Participants’’), filed with including whether the proposed rule the Securities and Exchange change is consistent with the Act. Commission (the ‘‘Commission’’) a Comments may be submitted by any of proposal to amend the Plan Governing the following methods: the Process of Selecting a Plan Processor Electronic Comments and Developing a Plan for the Consolidated Audit Trail (the ‘‘Selection • Use the Commission’s Internet Plan’’). comment form (http://www.sec.gov/ rules/sro.shtml); or II. Background • Send an email to rule-comments@ On September 3, 2013, the SROs filed sec.gov. Please include File Number SR– for approval the Selection Plan 3 to Phlx–2015–49 on the subject line. govern how the SROs would proceed Paper Comments 1 • Send paper comments in triplicate 15 U.S.C. 78k–1. 2 17 CFR 242.608. to Brent J. Fields, Secretary, Securities 3 See Securities Exchange Act Release No. 70892 and Exchange Commission, 100 F Street (Nov. 15, 2013), 78 FR 69910 (Nov. 21, 2013) NE., Washington, DC 20549–1090. 69 17 CFR 200.30–3(a)(12). (Notice of Selection Plan).

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with formulating and submitting a A. Background Plan and mitigating potential conflicts national market system (‘‘NMS’’) plan to The Selection Plan, filed with the of interest related to the involvement of create, implement, and maintain a Commission on September 3, 2013,10 Bidding Participants through consolidated audit trail (‘‘CAT NMS and approved on February 21, 2014,11 information barriers and the voting 4 13 Plan’’). The Selection Plan sets forth governs the process for Participant limitations. Based on their experience the process for the SROs to review, review and vote for Bids for the role of with these measures as currently set evaluate, and narrow down the Bids Plan Processor for the CAT NMS Plan.12 forth in the Plan, the Participants submitted in response to the SROs’ After gaining experience with the believe that the Plan has adequately request for proposals (‘‘RFP’’) for a Plan development process for the CAT NMS addressed the potential conflicts of Processor to build, operate, administer, Plan, the Participants believe it is interest related to Bidding Participants. and maintain the consolidated audit advisable to amend the Selection Plan to Nonetheless, the Participants believe trail, and ultimately for the SROs to ensure that the Participants will be able that requiring recusal in all rounds of 5 select the Plan Processor. The Selection to choose a Plan Processor without any the selection process will further the Plan was approved on February 21, potential conflict of interest raised by Participants’ goal of ensuring the fair 6 2014. having a Participant vote in any round and impartial consideration and The SROs now propose to amend the in the selection process where that selection of the Plan Processor. Selection Plan to require an SRO that is Participant has submitted a Bid, a Bid B. Requirements Pursuant to Rule 608(a) a Bidding Participant 7 to be recused has been submitted by an Affiliate of from voting in any round by the that Participant, or a Bid has been 1. Description of the Amendments to the Selection Committee to select the Plan submitted that includes that Participant Selection Plan Processor in which a Bid from or or its Affiliate, and any such Bid is The Participants propose amending including such Bidding Participant or under consideration in that round. The the Selection Plan to prohibit a Bidding its Affiliate is being considered. A copy Participants propose amending the Participant from voting in any round to of the proposed amendment to the Selection Plan to require recusal of that select the Plan Processor from among Selection Plan (‘‘Amendment No. 2’’) is Bidding Participant in any of those the Shortlisted Bidders where that attached as Exhibit A hereto. The situations. Bidding Participant has submitted a Bid, Commission is publishing this notice to a Bid has been submitted by an Affiliate 1. The Selection Plan Currently solicit comments from interested of that Bidding Participant, or a Bid has Requires Recusal on a Vote Only in the persons on proposed Amendment No. 2 been submitted that includes that Second Round of the Selection Process to the Selection Plan. Participant or its Affiliate, and any such Under the Selection Plan, a Bidding III. Description of the Plan Bid is under consideration in that Participant is recused from a vote only round. Set forth in this Section III is the in the second round of voting by the statement of the purpose of Amendment Selection Committee to select the Plan 2. Governing or Constituent Documents No. 2 to the Selection Plan, along with Processor (as set forth in Section Not applicable. the information required by Rule VI(E)(4) of the Selection Plan) where 3. Implementation of Amendment 608(a)(4) and (5) under the Exchange that Participant has submitted a Bid, a Act,8 prepared and submitted by the Bid has been submitted by an Affiliate The terms of the proposed SROs to the Commission.9 of that Participant, or a Bid has been amendment will be operative submitted that includes that Participant immediately upon approval of the 4 See Securities Exchange Act Release No. 67457 or its Affiliate, and any such Bid is amendment by the Commission. (July 18, 2012), 77 FR 45722 (Aug. 1, 2012) (Rule under consideration in that round. 613 Adopting Release). 4. Development and Implementation 5 See Notice of Selection Plan, supra note 3. 2. Requiring Recusal on a Vote in all Phases 6 See Securities Exchange Act Release No. 71596 Rounds of the Selection Will Ensure Not applicable. (Feb. 21, 2014), 79 FR 11152 (Feb. 27, 2014) That All Participants Voting on the Plan (Selection Plan Approval Order). On December 12, Processor Do Not Have Any Conflict of 5. Analysis of Impact on Competition 2014, the SROs filed a proposed amendment to the Selection Plan, which was published for notice and Interest The proposed amendment does not comment in the Federal Register on February 11, As noted in the Selection Plan impose any burden on competition that 2015, to allow the SROs to accept revised Bids prior is not necessary or appropriate in to Commission approval of the CAT NMS Plan, and Approval Order, the Selection Plan as to narrow the list of Shortlisted Bidders prior to currently drafted balances the furtherance of the purposes of the Commission approval of the CAT NMS Plan competing goals of ensuring all Exchange Act. The SROs believe that (‘‘Amendment No. 1’’). See Securities Exchange Act Participants participate meaningfully in the amendment further helps assure the Release No. 74223 (Feb. 6, 2015), 80 FR 7654 (Feb. fair and impartial consideration and 11, 2015) (Notice of Amendment No. 1 to the the process of developing the CAT NMS Selection Plan). The Commission is separately selection of the Plan Processor for the issuing an approval order for Amendment No. 1 10 See Notice of Selection Plan, supra note 3. CAT NMS Plan. concurrently with this Notice. See Securities 11 See Selection Plan Approval Order, supra note 6. Written Understanding or Agreements Exchange Act Release No. 75192 (June 17, 2015). 6. 7 The Selection Plan defines ‘‘Bidding 12 The Participants also have filed a proposed Relating to Interpretation of, or Participant’’ as a Participant that: (1) Submits a Bid; amendment to the Selection Plan (Amendment No. Participation in, Plan (2) is an Affiliate of an entity that submits a Bid; 1) that would allow the Participants to accept or (3) is included, or is an Affiliate of an entity that revised Bids prior to the Commission’s approval of Not applicable. is included, as a Material Subcontractor as part of the CAT NMS Plan, and to narrow the list of 7. Statement that the Amendments Have a Bid. See Notice of Selection Plan, supra note 3, Shortlisted Bidders prior to the Commission’s Exhibit A at 2. The Selection Plan defines approval of the CAT NMS Plan. See Notice of Been Approved by the Plan Sponsors ‘‘Participant’’ as a party to the Selection Plan (i.e., Amendment No. 1 to the Selection Plan, supra note The Selection Plan provides that an SRO). See id., Exhibit A at 3. 6. Amendment No. 1 also requires recusal of a 8 See 17 CFR 242.608(a)(4) and (a)(5). Bidding Participant from voting in the narrowing amendments to the Selection Plan shall 9 See Letter from the Participants to Brent J. process if a Bid submitted by or including the Fields, Secretary, Commission, dated March 4, Participant or an Affiliate of the Participant is a 13 See Selection Plan Approval Order, supra note 2015. Shortlisted Bid. 6 at 11157.

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be effected by means of a written those that may be withheld from the of the Participant is considered in such amendment that: (1) Sets forth the public in accordance with the [the second] round. [Until the second change, addition, or deletion; (2) is provisions of 5 U.S.C. 552, will be round, Bidding Participants may vote executed by over two-thirds of the available for Web site viewing and for any Shortlisted Bid.] Participants; and (3) is approved by the printing in the Commission’s Public (3) First Round Voting by the SEC pursuant to Rule 608, or otherwise Reference Room, 100 F Street NE., Selection Committee becomes effective under Rule 608.14 Washington, DC 20549 on official (a) In the first round of voting, each The proposed amendment has been business days between 10:00 a.m. and Voting Senior Officer, subject to the executed by all of the Participants, and 3:00 p.m. Copies of the submission will recusal provisions in Paragraph (E)(2) has consequently been approved by the also be available for inspection and above, shall select a first and second SROs. copying at the Participants’ principal choice from among the Shortlisted Bids. offices. All comments received will be *** 8. Terms and Conditions of Access posted without change; the Commission [FR Doc. 2015–15364 Filed 6–22–15; 8:45 am] Not applicable. does not edit personal identifying BILLING CODE 8011–01–P 9. Method of Determination and information from submissions. You Imposition, and Amount of, Fees and should submit only information that Charges you wish to make available publicly. All SECURITIES AND EXCHANGE submissions should refer to File COMMISSION Not applicable. Number 4–668 and should be submitted [Investment Company Act Release No. 10. Method and Frequency of Processor on or before July 23, 2015. 31677; 812–14325] Evaluation By the Commission. American Funds Insurance Series, et Not applicable. Brent J. Fields, Secretary. al.; Notice of Application 11. Dispute Resolution Exhibit A June 17, 2015. Not applicable. AGENCY: Proposed new language is italicized; Securities and Exchange IV. Solicitation of Comments proposed deletions are in [brackets]. Commission (‘‘Commission’’). ACTION: Notice of an application for an Interested persons are invited to PROPOSED AMENDMENT TEXT submit written data, views, and order under section 12(d)(1)(J) of the arguments concerning the foregoing, Additions underlined; deletions Investment Company Act of 1940 (the 15 including whether the Amendment No. bracketed ‘‘Act’’) for an exemption from sections 2 to the Selection Plan is consistent 12(d)(1)(A) and (B) of the Act, and Plan Processor Evaluation and Selection under sections 6(c) and 17(b) of the Act with the Act. Comments may be Plan submitted by any of the following for an exemption from sections 17(a)(1) methods: V. Selection Committee and (2) of the Act. *** Electronic Comments SUMMARY OF THE APPLICATION: The • Use the Commission’s Internet (B) Voting requested order would permit certain comment form (http://www.sec.gov/ *** registered management investment rules/sro.shtml); or (3) No Bidding Participant shall vote companies to acquire shares of certain • Send an email to rule-comments@ in any [the second] round set forth [in registered open-end management sec.gov. Please include File Number Section VI(E)(4)] below if a Bid investment companies that are outside 4–668 on the subject line. submitted by or including the the same group of investment Participant or an Affiliate of the companies as the acquiring investment Paper Comments Participant is a part of such [the second] companies. • Send paper comments in triplicate round. APPLICANTS: American Funds Insurance to Brent J. Fields, Secretary, Securities *** Series (the ‘‘Trust’’), Capital Research and Management Company (‘‘Capital and Exchange Commission, 100 F Street VI. RFP Bid Evaluation and Plan Research’’ or the ‘‘Adviser’’),1 and NE., Washington, DC 20549–1090. Processor Selection All submissions should refer to File American Funds Distributors, Inc. (the *** Number 4–668. This file number should ‘‘Distributor’’). be included on the subject line if email (E) Selection of Plan Processor Under FILING DATES: The application was filed is used. To help the Commission the CAT NMS Plan on June 27, 2014 and amended on May process and review your comments *** 7, 2015. more efficiently, please use only one (2) Each Participant shall have one HEARING OR NOTIFICATION OF HEARING: An method. The Commission will post all vote in each round, except that no order granting the application will be comments on the Commission’s Internet Bidding Participant shall be entitled to issued unless the Commission orders a Web site (http://www.sec.gov/rules/ vote in any [the second] round if the hearing. Interested persons may request sro.shtml). Copies of the submission, all Participant’s Bid, a Bid submitted by an a hearing by writing to the subsequent amendments, all written Affiliate of the Participant, or a Bid Commission’s Secretary and serving statements with respect to the including the Participant or an Affiliate applicants with a copy of the request, Amendment to the Plan that are filed personally or by mail. Hearing requests with the Commission, and all written 15 The marked additions and deletions show the communications relating to the proposed changes to the current Selection Plan 1 All references to the term ‘‘Adviser’’ herein Amendment to the Plan between the without taking into account Amendment No.1. The include successors-in-interest to Capital Research. effect of the proposed additions and deletions on Successors-in-interest are limited to any entity Commission and any person, other than the Selection Plan, taking into account Amendment resulting from a reorganization of Capital Research No. 1, would be renumbering Section V.(B)(3) as into another jurisdiction or a change in the type of 14 17 CFR 242.608. Section V.(B)(4). business organization.

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should be received by the Commission separate series of the Trust (‘‘Underlying 3. Certain Underlying Funds may by 5:30 p.m. on July 13, 2015, and Funds’’) 2 in excess of the limits in currently or in the future operate should be accompanied by proof of section 12(d)(1)(A) of the Act, and to pursuant to a master-feeder structure or service on applicants, in the form of an permit Underlying Funds, any principal pursuant to a Managed Risk Fund affidavit or, for lawyers, a certificate of underwriter for an Underlying Fund, Structure (defined below). Each service. Pursuant to rule 0–5 under the and any broker or dealer registered Underlying Fund operating pursuant to Act, hearing requests should state the under the Exchange Act (‘‘Broker’’) to a master-feeder structure will operate in nature of the writer’s interest, any facts sell shares of an Underlying Fund to an compliance with section 12(d)(1)(E) of bearing upon the desirability of a Unrelated Fund of Funds in excess of the Act. Each Underlying Fund hearing on the matter, the reason for the the limits in section 12(d)(1)(B) of the operating pursuant to a Managed Risk request, and the issues contested. Act. Applicants are also requesting Fund Structure 4 will comply with all Persons who wish to be notified of a relief from sections 17(a)(1) and (2) to provisions of section 12(d)(1)(E), hearing may request notification by permit an Underlying Fund to sell its including paragraph (ii), except as is writing to the Commission’s Secretary. shares and to redeem its shares from necessary to permit its investment in the ADDRESSES: Secretary, U.S. Securities Unrelated Funds of Funds that own 5% Managed Risk Strategy Component and Exchange Commission, 100 F Street or more of the shares of an Underlying (defined below) to pursue its 5 NE., Washington, DC 20549–1090. Fund. Applicants request that the relief objectives. Applicants: Paul F. Roye, Esq. and apply to: (a) Each registered open-end 4. Applicants represent that the Michael J. Triessl, Esq., Capital Research management investment company or ‘‘Managed Risk Fund Structure’’ is an integrated two-tier fund structure that is and Management Company, 333 South series thereof that currently or substantially similar to a master-feeder Hope Street, Los Angeles, CA 90071. subsequently is part of the same ‘‘group structure. Like the feeder fund in a FOR FURTHER INFORMATION CONTACT: of investment companies,’’ within the Kay- master-feeder structure, the top-tier meaning of section 12(d)(1)(G)(ii) of the Mario Vobis, Senior Counsel, at (202) fund in a Managed Risk Fund Structure Act, as the Trust, and that is advised by 551–6728, or Daniele Marchesani, (the Managed Risk Fund) invests its Capital Research or any entity Branch Chief, at (202) 551–6821 assets in only one other mutual fund (Division of Investment Management, controlling, controlled by, or under (the Managed Risk Acquired Fund). Chief Counsel’s Office). common control with Capital Research Applicants state that the one difference SUPPLEMENTARY INFORMATION: The (such advisers are included in the term between the master-feeder structure and following is a summary of the ‘‘Adviser’’ and such registered open-end the Managed Risk Fund Structure is application. The complete application management investment companies or that, while a feeder fund only invests in may be obtained via the Commission’s their series are included in the term a master fund, a Managed Risk Fund Web site by searching for the file ‘‘Underlying Funds’’); (b) each may also invest in cash, cash number, or an applicant using the Unrelated Fund of Funds that enters equivalents, and certain hedging Company name box, at http:// into a Participation Agreement (as instruments in connection with a risk- www.sec.gov/search/search.htm or by defined below) with an Underlying management strategy that is specifically calling (202) 551–8090. Fund to purchase shares of the designed to reduce the volatility of the Underlying Fund; and (c) any principal Applicants’ Representations Managed Risk Acquired Fund and the underwriter to an Underlying Fund or risk of large net asset value declines (the 1. The Trust is an open-end Broker selling shares of an Underlying ‘‘Managed Risk Strategy Component’’).6 management investment company Fund.3 registered under the Act and organized 4 Each Managed Risk Fund operates pursuant to as a Massachusetts business trust. The 2 As of the date of the application, the Underlying Section 12(d)(1)(G) and the relief provided by rule Trust is comprised of separate series, Funds include the following series of the Trust: 12d1–2 as well as the further relief granted by the each of which may be an Underlying Asset Allocation Fund; Blue Chip Income and Commission to the Trust from the restrictions under Fund (as defined below), pursuing Growth Fund; Bond Fund; Capital Income Builder; rule 12d1–2(a), which permits series of the Trust to Cash Management Fund; Global Bond Fund; Global invest in hedging instruments that would not be distinct investment objectives and Growth Fund; Global Growth and Income Fund; deemed securities within the meaning of Section strategies. Capital Research is a Global Small Capitalization Fund; Growth Fund; 2(a)(36) of the Act. Delaware corporation and is registered Global Balanced Fund; Growth-Income Fund; High- 5 An Unrelated Fund of Funds may not rely on as an investment adviser under the Income Bond Fund; International Fund; the requested order to invest in an Underlying Fund International Growth and Income Fund; Managed that serves as a feeder fund unless the Underlying Investment Advisers Act of 1940 Risk Asset Allocation Fund; Managed Risk Blue Fund is part of the same ‘‘group of investment (‘‘Advisers Act’’) and serves as Chip Income and Growth Fund; Managed Risk companies,’’ within the meaning of section investment adviser to each Underlying Growth Fund; Managed Risk Growth-Income Fund; 12(d)(1)(G)(ii) of the Act, as its corresponding Fund. The Distributor is a California Managed Risk International Fund; Mortgage Fund; master fund (each, a ‘‘Master Fund’’). As defined in New World Fund; and U.S. Government/AAA- the application, a ‘‘Master Fund’’ is not an corporation and is registered as a Rated Securities Fund. In instances where an ‘‘Underlying Fund.’’ Similarly, an Unrelated Fund broker-dealer under the Securities Unrelated Fund of Funds acquires shares of a of Funds may not rely on the requested order to Exchange Act of 1934 (the ‘‘Exchange Managed Risk Fund (as defined below), the term invest in an Underlying Fund that is a Managed Act’’). The Distributor serves as ‘‘Underlying Fund’’ includes both the Managed Risk Fund unless the Managed Risk Fund and the Risk Fund as well as its respective Managed Risk fund in which it invests (the ‘‘Managed Risk distributor for the shares of the Acquired Fund (as defined below). The term Acquired Fund’’) have the same investment adviser Underlying Funds. ‘‘Underlying Fund’’ also includes any Managed and are part of the same ‘‘group of investment 2. Applicants request an exemption to Risk Acquired Fund to the extent that an Unrelated companies.’’ permit registered management Fund of Funds invests directly in the Managed Risk 6 The Managed Risk Strategy Component of each Acquired Fund in reliance on the requested relief. Managed Risk Fund is executed by Milliman investment companies that operate as a 3 All entities that currently intend to rely on the Financial Risk Management LLC (‘‘Milliman’’), a ‘‘fund of funds’’ and that are not part of requested order are named as applicants. Any other Delaware LLC, as a sub-adviser to that Managed the same ‘‘group of investment entity that relies on the order in the future will Risk Fund. No Unrelated Fund of Funds investing companies,’’ within the meaning of comply with the terms and conditions of the in a Managed Risk Fund will be advised or sub- application. An Unrelated Fund of Funds may rely advised by Milliman or any other sub-adviser to section 12(d)(1)(G)(ii) of the Act, as the on the requested order only to invest in an that Managed Risk Fund (or by any person directly Trust (‘‘Unrelated Funds of Funds’’) to Underlying Fund and not in any other registered or indirectly controlling, controlled by, or under acquire shares of current or future investment company. Continued

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5. Each Unrelated Fund of Funds will will adequately address the policy 3(c)(7) of the Act (or portion of such be advised by an investment adviser, concerns underlying sections investment company or issuer) advised within the meaning of section 12(d)(1)(A) and (B), which include or sponsored by the Unrelated Fund of 2(a)(20)(A) of the Act, that is registered concerns about undue influence by a Funds Sub-Adviser or any person as an investment adviser under the fund of funds over underlying funds, controlling, controlled by, or under Advisers Act (an ‘‘Unrelated Fund of excessive layering of fees, and overly common control with the Unrelated Funds Adviser’’). An Unrelated Fund of complex fund structures. Accordingly, Fund of Funds Sub-Adviser (the Funds or its Unrelated Fund of Funds applicants believe that the requested ‘‘Unrelated Fund of Funds Sub- Adviser may contract with an exemption is consistent with the public Advisory Group’’). Applicants propose investment adviser that meets the interest and the protection of investors. other conditions to limit the potential definition of section 2(a)(20)(B) of the 4. Applicants believe that neither an for undue influence over the Underlying Act (an ‘‘Unrelated Fund of Funds Sub- Unrelated Fund of Funds nor an Funds, including that no Unrelated Adviser’’). Applicants state that Unrelated Fund of Funds Affiliate 7 Fund of Funds or Unrelated Fund of Unrelated Funds of Funds will be would be able to exert undue influence Funds Affiliate (except to the extent it interested in using the Underlying over the Underlying Funds.8 To limit is acting in its capacity as an investment Funds as part of their overall investment the control that an Unrelated Fund of adviser to an Underlying Fund) will strategy. Funds may have over an Underlying cause an Underlying Fund to purchase Applicants’ Legal Analysis Fund, applicants propose a condition a security in an offering of securities prohibiting the Unrelated Fund of during the existence of any A. Section 12(d)(1) Funds Adviser, any person controlling, underwriting or selling syndicate of 1. Section 12(d)(1)(A) of the Act, in controlled by or under common control which a principal underwriter is an relevant part, prohibits a registered with the Unrelated Fund of Funds Underwriting Affiliate (‘‘Affiliated investment company from acquiring Adviser, and any investment company Underwriting’’). An ‘‘Underwriting shares of an investment company if the or issuer that would be an investment Affiliate’’ is a principal underwriter in securities represent more than 3% of the company but for section 3(c)(1) or any underwriting or selling syndicate total outstanding voting stock of the 3(c)(7) of the Act that is advised or that is an officer, director, member of an acquired company, more than 5% of the sponsored by the Unrelated Fund of advisory board, investment adviser, sub- total assets of the acquiring company, Funds Adviser or any person adviser or employee of the Unrelated or, together with the securities of any controlling, controlled by or under Fund of Funds, or a person of which other investment companies, more than common control with the Unrelated any such officer, director, member of an 10% of the total assets of the acquiring Fund of Funds Adviser (the ‘‘Unrelated advisory board, investment adviser, sub- company. Section 12(d)(1)(B) of the Act Fund of Funds Advisory Group’’) from adviser or employee is an affiliated prohibits a registered open-end controlling (individually or in the person. An Underwriting Affiliate does investment company, its principal aggregate) an Underlying Fund within not include any person whose underwriter, and any Broker from the meaning of section 2(a)(9) of the Act. relationship to an Underlying Fund is selling the investment company’s shares The same prohibition would apply to covered by section 10(f) of the Act. to another investment company if the the Unrelated Fund of Funds Sub- 5. Applicants do not believe that the sale will cause the acquiring company Adviser, any person controlling, proposed arrangement will involve to own more than 3% of the acquired controlled by or under common control excessive layering of fees. The board of company’s voting stock, or if the sale with the Unrelated Fund of Funds Sub- directors or trustees (the ‘‘Board’’) of will cause more than 10% of the Adviser, and any investment company each Unrelated Fund of Funds, acquired company’s voting stock to be or issuer that would be an investment including a majority of the directors or owned by investment companies company but for section 3(c)(1) or trustees who are not ‘‘interested generally. persons’’ (within the meaning of section 2. Section 12(d)(1)(J) of the Act 7 An ‘‘Unrelated Fund of Funds Affiliate’’ is 2(a)(19) of the Act) (the ‘‘Independent defined as the Unrelated Fund of Funds Adviser, provides that the Commission may Trustees’’), will find that the advisory exempt any person, security, or Unrelated Fund of Funds Sub-Adviser, a promoter, or a principal underwriter of an Unrelated Fund of fees charged under such advisory transaction, or any class or classes of Funds, and any person controlling, controlled by, contract are based on services provided persons, securities or transactions, from or under common control with any of those entities. that will be in addition to, rather than any provision of section 12(d)(1) if the An ‘‘Underlying Fund Affiliate’’ is defined as an investment adviser, sponsor, promoter or principal duplicative of, the services provided exemption is consistent with the public under the advisory or management interest and the protection of investors. underwriter of an Underlying Fund (or its respective Master Fund), and any person agreement of any Underlying Fund in Applicants seek an exemption under controlling, controlled by or under common control which the Unrelated Fund of Funds section 12(d)(1)(J) of the Act to permit with any of those entities. may invest. In addition, an Unrelated Unrelated Funds of Funds to acquire 8 For purposes of the investment calculations Fund of Funds Adviser will waive fees shares of the Underlying Funds in required by Conditions 1, 4, 6, 7, and 8 in the application with respect to investments in an otherwise payable to it by the Unrelated excess of the limits in section Underlying Fund, each Participation Agreement Fund of Funds in an amount at least 12(d)(1)(A), and an Underlying Fund, (defined below) will require that an Unrelated Fund equal to any compensation (including any principal underwriter for an of Funds (or with the members of the Unrelated fees received pursuant to any plan Underlying Fund, and any Broker to sell Fund of Funds Advisory Group and the Unrelated Fund of Funds Sub-Advisory Group, as applicable) adopted by an Underlying Fund under shares of an Underlying Fund to an separately calculate its investments in each Unrelated Fund of Funds in excess of rule 12b–1 under the Act) received from Managed Risk Fund and the respective Managed an Underlying Fund by the Unrelated the limits in section 12(d)(1)(B) of the Risk Acquired Fund. In calculating its investments Act. in the Managed Risk Acquired Fund, however, an Fund of Funds Adviser, or an affiliated 3. Applicants state that the terms and Unrelated Fund of Funds (or with the members of person of the Unrelated Fund of Funds the Unrelated Fund of Funds Advisory Group and conditions of the proposed arrangement Adviser, other than any advisory fees the Unrelated Fund of Funds Sub-Advisory Group, paid to the Unrelated Fund of Funds as applicable) will aggregate its direct and indirect common control with Milliman or such other sub- (through a Managed Risk Fund) investments in the Adviser or its affiliated person by the adviser). Managed Risk Acquired Fund. Underlying Fund, in connection with

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the investment by the Unrelated Fund of in an overly complex arrangement. company and any affiliated person of Funds in the Underlying Fund. Applicants also have agreed to certain the company. Section 2(a)(3) of the Act Applicants also state that with respect representations to further ensure that defines an ‘‘affiliated person’’ of another to registered separate accounts that investments in the Managed Risk Fund person to include any person 5% or invest in an Unrelated Fund of Funds, Structure do not raise concerns about more of whose outstanding voting no sales load will be charged at the complex structures, undue influence or securities are directly or indirectly Unrelated Fund of Funds level or at the the layering of fees.11 owned, controlled, or held with power Underlying Fund level.9 Other sales 8. Applicants also represent that to to vote by the other person. charges and service fees, as defined in ensure that Unrelated Funds of Funds 2. Applicants seek relief from section Rule 2830 of the Conduct Rules of the comply with the terms and conditions 17(a) to permit an Underlying Fund that NASD (‘‘NASD Conduct Rules’’), if any, of the requested exemption from section is an affiliated person of an Unrelated will only be charged at the Unrelated 12(d)(1)(A) of the Act, an Unrelated Fund of Funds because the Unrelated Fund of Funds level or at the Fund of Funds must enter into a Fund of Funds holds 5% or more of the Underlying Fund level, not both. With participation agreement between the Underlying Fund’s shares to sell its respect to other investments in an Trust, on behalf of the relevant shares to and redeem its shares from an Unrelated Fund of Funds, any sales Underlying Fund, and the Unrelated Unrelated Fund of Funds. Applicants charges and/or service fees charged with Funds of Funds (‘‘Participation state that any proposed transactions respect to shares of the Unrelated Fund Agreement’’) before investing in an directly between an Underlying Fund of Funds will not exceed the limits Underlying Fund in excess of the limits and an Unrelated Fund of Funds will be applicable to a fund of funds as set forth in section 12(d)(1)(A). The Participation consistent with the policies of each in NASD Conduct Rule 2830.10 Agreement will require the Unrelated Underlying Fund and each Unrelated 6. Applicants submit that the Fund of Funds to adhere to the terms Fund of Funds and the general purposes proposed arrangement will not create an and conditions of the requested order. of the Act. The Participation Agreement overly complex fund structure. An Unrelated Fund of Funds may rely will require any Unrelated Fund of Applicants note that no Underlying on the requested order only to invest in Funds that purchases shares from an Fund will acquire securities of any other the Underlying Funds and not in any Underlying Fund to represent that the investment company or company other registered investment company. purchase of shares from the Underlying relying on section 3(c)(1) or 3(c)(7) of B. Section 17(a) Fund by the Unrelated Fund of Funds the Act in excess of the limits contained will be accomplished in compliance 1. Section 17(a) of the Act generally in section 12(d)(1)(A) of the Act, except with the investment restrictions of the prohibits sales or purchases of securities in certain circumstances identified in Unrelated Fund of Funds and will be between a registered investment condition 12 below. consistent with the investment policies 7. With respect to Underlying Funds set forth in the Unrelated Fund of 11 In particular, applicants represent that: (1) The that operate using a Managed Risk Fund Funds’ registration statement. Structure, applicants believe that having Adviser will serve as the investment adviser to both the Managed Risk Fund and the Managed Risk 3. Section 17(b) of the Act authorizes an Unrelated Fund of Funds as an Acquired Fund in which it invests; (2) the Managed the Commission to grant an order investor will also not raise concerns Risk Fund will invest only in one Managed Risk permitting a transaction otherwise Acquired Fund and the Managed Risk Strategy about complex structures, undue prohibited by section 17(a) if it finds influence or the layering of fees. Component; (3) other than to permit its investment in the Managed Risk Strategy Component, the that (i) the terms of the proposed Applicants note that an Unrelated Fund Managed Risk Fund will comply with all of the transaction are fair and reasonable and of Funds investing in a Managed Risk provisions of section 12(d)(1)(E) of the Act; (4) the do not involve overreaching on the part Fund could technically result in a three- hedging instruments purchased in connection with the Managed Risk Strategy Component will be of any person concerned; (ii) the tier arrangement. However, given that purchased solely to assist the Managed Risk Fund proposed transaction is consistent with the Managed Risk Funds effectively in achieving its investment strategy of stabilizing the policies of each registered operate as an integrated two-tier fund volatility and providing downside protection and investment company involved; and (iii) structure that is substantially similar to will not be purchased for speculative purposes; (5) the Board of the Managed Risk Funds will not the proposed transaction is consistent a master-feeder structure, and given the authorize the payment of any investment advisory with the general purposes of the Act. transparency of the Managed Risk Fund fee by a Managed Risk Fund to the Adviser unless Section 6(c) of the Act permits the it is based on the provision of services that are in Structure, including the fact that each Commission to exempt any person or Managed Risk Fund may invest in only addition to, rather than duplicative of, the services that the Adviser provides to the Managed Risk transactions from any provision of the one Managed Risk Acquired Fund and Acquired Fund; (6) the Board of the Managed Risk Act if such exemption is necessary or the Managed Risk Strategy Component, Funds, including a majority of the Independent appropriate in the public interest and applicants do not believe this will result Trustees, will authorize the Adviser to manage volatility and provide downside protection based consistent with the protection of only on the portfolio holdings of the Managed Risk investors and the purposes fairly 9 Applicants represent that each Unrelated Fund Acquired Fund, consistent with the applicable intended by the policy and provisions of of Funds that enters into a Participation Agreement Managed Risk Fund’s investment objective, and (as defined below) will represent therein that no will review the appropriateness of this the Act. insurance company sponsoring a registered separate authorization at least annually; (7) the Board will 4. Applicants submit that the account funding variable insurance contracts will review and approve at least annually the continuing proposed transactions satisfy the be permitted to invest in the Unrelated Fund of appropriateness of the operations of each Managed Funds unless the insurance company has certified standards for relief under sections 17(b) Risk Fund, including with respect to (i) the 12 to the Unrelated Fund of Funds that the aggregate Managed Risk Fund’s use of derivatives, (ii) how and 6(c) of the Act. Applicants state of all fees and charges associated with each contract the Adviser (and any relevant sub-adviser) assesses that invests in the Unrelated Fund of Funds, and manages risk with respect to the Managed Risk 12 Applicants acknowledge that receipt of including fees and charges at the separate account, Fund’s use of derivatives; and (iii) whether the compensation by (a) an affiliated person of an Unrelated Fund of Funds and Underlying Fund Managed Risk Fund’s disclosure of its use of Unrelated Fund of Funds, or an affiliated person of levels, will be reasonable in relation to the services derivatives in its offering documents and periodic such person, for the purchase by the Unrelated rendered, the expenses expected to be incurred and reports is consistent with relevant Commission and Fund of Funds of shares of an Underlying Fund or the risks assumed by the insurance company. staff guidance; and (8) no Unrelated Fund of Funds (b) an affiliated person of an Underlying Fund, or 10 Any references to NASD Conduct Rule 2830 may invest in a feeder fund that is investing in a an affiliated person of such person, for the sale by include any successor or replacement FINRA Rule Managed Risk Fund in reliance on section the Underlying Fund of its shares to an Unrelated to NASD Conduct Rule 2830. 12(d)(1)(E) of the Act. Continued

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that the terms of the transactions are the instructions received and vote those capacity as an investment adviser to an reasonable and fair and do not involve shares for which no instructions were Underlying Fund (or its respective overreaching. Applicants note that any received in the same proportion as the Master Fund)) will cause an Underlying consideration paid for the purchase or shares for which instructions were Fund (or its respective Master Fund) to redemption of shares directly from an received. purchase a security in any Affiliated Underlying Fund will be based on the 2. No Unrelated Fund of Funds or Underwriting. net asset value of the Underlying Fund. Unrelated Fund of Funds Affiliate will 6. The Board of an Underlying Fund Applicants state that any proposed cause any existing or potential (or of its respective Master Fund), transactions directly between an investment by the Unrelated Fund of including a majority of the Independent Underlying Fund and an Unrelated Funds in shares of an Underlying Fund Trustees, will adopt procedures Fund of Funds will be consistent with to influence the terms of any services or reasonably designed to monitor any the policies of each Underlying Fund transactions between the Unrelated purchases of securities by the and each Unrelated Fund of Funds and Fund of Funds or an Unrelated Fund of Underlying Fund (or its respective the general purposes of the Act. Funds Affiliate and the Underlying Master Fund) in an Affiliated Fund (or its respective Master Fund) or Underwriting once an investment by an Applicants’ Conditions an Underlying Fund Affiliate. Unrelated Fund of Funds in the Applicants agree that any order 3. The board of directors or trustees of securities of the Underlying Fund granting the requested relief will be an Unrelated Fund of Funds, including exceeds the limit of section subject to the following conditions: a majority of the Independent Trustees, 12(d)(1)(A)(i) of the Act, including any 1. The members of an Unrelated Fund will adopt procedures reasonably purchases made directly from an of Funds Advisory Group will not designed to ensure that the Unrelated Underwriting Affiliate. The Board of the control (individually or in the aggregate) Fund of Funds Adviser and any Underlying Fund (or its respective an Underlying Fund (or its respective Unrelated Fund of Funds Sub- Master Fund) will review these Master Fund) within the meaning of Adviser(s) are conducting the purchases periodically, but no less section 2(a)(9) of the Act. The members investment program of the Unrelated frequently than annually, to determine of an Unrelated Fund of Funds Sub- Fund of Funds without taking into whether the purchases were influenced Advisory Group will not control account any consideration received by by the investment by the Unrelated (individually or in the aggregate) an the Unrelated Fund of Funds or an Fund of Funds in shares of the Underlying Fund (or its respective Unrelated Fund of Funds Affiliate from Underlying Fund. The Board of the Master Fund) within the meaning of an Underlying Fund (or its respective Underlying Fund (or its respective section 2(a)(9) of the Act. If, as a result Master Fund) or an Underlying Fund Master Fund) shall consider, among of a decrease in the outstanding voting Affiliate in connection with any services other things, (i) whether the purchases securities of an Underlying Fund, the or transactions. were consistent with the investment Unrelated Fund of Funds Advisory 4. Once an investment by an objectives and policies of the Group or the Unrelated Fund of Funds Unrelated Fund of Funds in the Underlying Fund (or its respective Sub-Advisory Group, each in the securities of an Underlying Fund Master Fund); (ii) how the performance aggregate, becomes a holder of more exceeds the limit in section of securities purchased in an Affiliated than 25 percent of the outstanding 12(d)(1)(A)(i) of the Act, the Board of Underwriting compares to the voting securities of an Underlying Fund, the Underlying Fund (or its respective performance of comparable securities it (except for any member of the Master Fund), including a majority of purchased during a comparable period Unrelated Fund of Funds Advisory the Independent Trustees, will of time in underwritings other than Group or Unrelated Fund of Funds Sub- determine that any consideration paid Affiliated Underwritings or to a Advisory Group that is a separate by the Underlying Fund (or its benchmark such as a comparable market account funding variable insurance respective Master Fund) to the index; and (iii) whether the amount of contracts) will vote its shares of the Unrelated Fund of Funds or an securities purchased by the Underlying Underlying Fund in the same Unrelated Fund of Funds Affiliate in Fund (or its respective Master Fund) in proportion as the vote of all other connection with any services or Affiliated Underwritings and the holders of the Underlying Fund’s transactions: (a) Is fair and reasonable in amount purchased directly from an shares. A registered separate account relation to the nature and quality of the Underwriting Affiliate have changed funding variable insurance contracts services and benefits received by the significantly from prior years. The will seek voting instructions from its Underlying Fund (or its respective Board of the Underlying Fund shall take contract holders and will vote its shares Master Fund); (b) is within the range of any appropriate actions based on its in accordance with the instructions consideration that the Underlying Fund review, including, if appropriate, the received and will vote those shares for (or its respective Master Fund) would be institution of procedures designed to which no instructions were received in required to pay to another unaffiliated ensure that purchases of securities in the same proportion as the shares for entity in connection with the same Affiliated Underwritings are in the best which instructions were received. An services or transactions; and (c) does not interest of shareholders. unregistered separate account funding involve overreaching on the part of any 7. Each Underlying Fund (or its variable insurance contracts will either person concerned. This condition does respective Master Fund) shall maintain (i) vote its shares of the Underlying not apply with respect to any services and preserve permanently in an easily Fund in the same proportion as the vote or transactions between an Underlying accessible place a written copy of the of all other holders of the Underlying Fund (or its respective Master Fund) procedures described in the preceding Fund’s shares; or (ii) seek voting and its investment adviser(s) or any condition, and any modifications to instructions from its contract holders person controlling, controlled by, or such procedures, and shall maintain and vote its shares in accordance with under common control with such and preserve for a period of not less investment adviser(s). than six years from the end of the fiscal Fund of Funds may be prohibited by Section 5. No Unrelated Fund of Funds or year in which any purchase in an 17(e)(1) of the Act. The Participation Agreement Unrelated Fund of Funds Affiliate Affiliated Underwriting occurred, the will also include this acknowledgement. (except to the extent it is acting in its first two years in an easily accessible

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place, a written record of each purchase Master Fund) under rule 12b–1 under receives securities of another of securities in Affiliated Underwritings the Act) received from an Underlying investment company as a dividend or as once an investment by an Unrelated Fund (or its respective Master Fund) by a result of a plan of reorganization of a Fund of Funds in the securities of an the Unrelated Fund of Funds Adviser, company (other than a plan devised for Underlying Fund exceeds the limit in or an affiliated person of the Unrelated the purpose of evading section 12(d)(1) section 12(d)(1)(A)(i) of the Act, setting Fund of Funds Adviser, other than any of the Act); or (c) acquires (or is deemed forth from whom the securities were advisory fees paid to the Unrelated to have acquired) securities of another acquired, the identity of the Fund of Funds Adviser or its affiliated investment company pursuant to underwriting syndicate’s members, the person by the Underlying Fund (or its exemptive relief from the Commission terms of the purchase and the respective Master Fund), in connection permitting such Underlying Fund or its information or materials upon which with the investment by the Unrelated respective Master Fund to: (i) Acquire the Board’s determinations were made. Fund of Funds in the Underlying Fund. securities of one or more investment 8. Before investing in shares of an Any Unrelated Fund of Funds Sub- companies for short-term cash Underlying Fund in excess of the limits Adviser will waive fees otherwise management purposes, or (ii) engage in in section 12(d)(1)(A), each Unrelated payable to the Unrelated Fund of Funds inter-fund borrowing and lending Fund of Funds and Underlying Fund Sub-Adviser, directly or indirectly, by transactions. will execute a Participation Agreement the Unrelated Fund of Funds in an For the Commission, by the Division of stating, without limitation, that their amount at least equal to any Investment Management, pursuant to boards of directors or trustees and their compensation received from any delegated authority. investment advisers understand the Underlying Fund (or its respective Brent J. Fields, terms and conditions of the order and Master Fund) by the Unrelated Fund of Secretary. agree to fulfill their responsibilities Funds Sub-Adviser, or an affiliated [FR Doc. 2015–15337 Filed 6–22–15; 8:45 am] under the order. At the time of its person of the Unrelated Fund of Funds BILLING CODE 8011–01–P investment in shares of an Underlying Sub-Adviser, other than any advisory Fund in excess of the limit in section fees paid to the Unrelated Fund of 12(d)(1)(A)(i), an Unrelated Fund of Funds Sub-Adviser or its affiliated SECURITIES AND EXCHANGE Funds will notify the Underlying Fund person by the Underlying Fund (or its COMMISSION of the investment. At such time, the respective Master Fund), in connection Unrelated Fund of Funds will also [Extension: Rule 12b–1]; OMB Control No. with the investment by the Unrelated 3235–0212, SEC File No. 270–188] transmit to the Underlying Fund a list Fund of Funds in the Underlying Fund of the names of each Unrelated Fund of made at the direction of the Unrelated Submission for OMB Review; Funds Affiliate and Underwriting Fund of Funds Sub-Adviser. In the Comment Request Affiliate. The Unrelated Fund of Funds event that the Unrelated Fund of Funds will notify the Underlying Fund of any Sub-Adviser waives fees, the benefit of Upon Written Request, Copies Available changes to the list of the names as soon the waiver will be passed through to the From: Securities and Exchange as reasonably practicable after a change Unrelated Fund of Funds. Commission, Office of FOIA Services, occurs. The Underlying Fund and the 11. With respect to registered separate 100 F Street NE., Washington, DC Unrelated Fund of Funds will maintain accounts that invest in an Unrelated 20549–2736. and preserve a copy of the order, the Fund of Funds, no sales load will be Notice is hereby given that, pursuant Participation Agreement and the list charged at the Unrelated Fund of Funds to the Paperwork Reduction Act of 1995 with any updated information for the level or at the Underlying Fund level. (44 U.S.C. 3501 et seq.), the Securities duration of the investment and for a Other sales charges and service fees, as and Exchange Commission (the period of not less than six years defined in NASD Conduct Rule 2830, if ‘‘Commission’’) has submitted to the thereafter, the first two years in an any, will only be charged at the Office of Management and Budget a easily accessible place. Unrelated Fund of Funds level or at the request for extension of the previously 9. Prior to approving any advisory Underlying Fund level, not both. With approved collection of information contract under section 15 of the Act, the respect to other investments in an discussed below. board of directors or trustees of each Rule 12b–1 under the Investment Unrelated Fund of Funds, including a Unrelated Fund of Funds, any sales charges and/or service fees charged with Company Act of 1940 (17 CFR 270.12b– majority of the Independent Trustees, 1) permits a registered open-end will find that the advisory fees charged respect to shares of the Unrelated Fund of Funds will not exceed the limits investment company (‘‘fund’’ or under such advisory contracts are based ‘‘mutual fund’’) to bear expenses on services provided that will be in applicable to a fund of funds as set forth in NASD Conduct Rule 2830. associated with the distribution of its addition to, rather than duplicative of, shares, provided that the mutual fund the services provided under the 12. No Underlying Fund or its respective Master Fund will acquire complies with certain requirements, advisory contract(s) of any Underlying including, among other things, that it Fund (or its respective Master Fund) in securities of any other investment company or company relying on section adopt a written plan (‘‘rule 12b–1 plan’’) which the Unrelated Fund of Funds and that it has in writing any may invest. These findings and their 3(c)(1) or 3(c)(7) of the Act in excess of the limits contained in section agreements relating to the rule 12b–1 basis will be recorded fully in the plan. The rule in part requires that (i) minute books of the appropriate 12(d)(1)(A) of the Act, except to the extent that such Underlying Fund or its the adoption or material amendment of Unrelated Fund of Funds. a rule 12b–1 plan be approved by the 10. An Unrelated Fund of Funds respective Master Fund: (a) Acquires such securities in compliance with mutual fund’s directors, including its Adviser will waive fees otherwise independent directors, and, in certain section 12(d)(1)(E) of the Act; 13 (b) payable to it by the Unrelated Fund of circumstances, its shareholders; (ii) the Funds in an amount at least equal to any 13 Solely for the purposes of condition 12, the board review quarterly reports of compensation (including fees received investment by a Managed Risk Fund in a Managed pursuant to any plan adopted by an Risk Acquired Fund will be deemed to have been notwithstanding the fact that such arrangement Underlying Fund (or its respective made pursuant to section 12(d)(1)(E), does not comply with section 12(d)(1)(E)(ii).

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amounts spent under the rule 12b–1 portfolios are part of an affiliated group approximately three funds per year plan; and (iii) the board, including the of funds or mutual fund family that is prepare a proxy in connection with the independent directors, consider overseen by a common board of adoption or material amendment of a continuation of the rule 12b–1 plan and directors. Although the board must rule 12b–1 plan. Funds typically hire any related agreements at least annually. review and approve the rule 12b–1 plan outside legal counsel and proxy Rule 12b–1 also requires mutual funds for each fund separately, we have solicitation firms to prepare, print, and relying on the rule to preserve for six allocated the costs and hourly burden mail such proxies. The staff further years, the first two years in an easily related to rule 12b–1 based on the estimates that the cost of each fund’s accessible place, copies of the rule 12b– number of fund families that have at proxy is $34,372. Thus the total annual 1 plan and any related agreements and least one fund that charges rule 12b–1 cost burden of rule 12b–1 to the fund reports, as well as minutes of board fees, rather than on the total number of industry is $103,116 (3 funds requiring meetings that describe the factors mutual fund portfolios that individually a proxy × $34,372 per proxy). considered and the basis for adopting or have a rule 12b–1 plan.2 Based on The estimate of average burden hours continuing a rule 12b–1 plan. information filed with the Commission, is made solely for the purposes of the Rule 12b–1 also prohibits funds from the staff estimates that there are Paperwork Reduction Act, and is not paying for distribution of fund shares approximately 330 fund families with derived from a comprehensive or even with brokerage commissions on their common boards of directors that have at a representative survey or study of the portfolio transactions. The rule requires least one fund with a rule 12b–1 plan. costs of Commission rules and forms. funds that use broker-dealers that sell Based on previous conversations with The collections of information their shares to also execute their fund representatives, Commission staff required by rule 12b–1 are necessary to portfolio securities transactions, to estimates that for each of the 330 mutual obtain the benefits of the rule. Notices implement policies and procedures fund families with a portfolio that has to the Commission will not be kept reasonably designed to prevent: (i) The a rule 12b–1 plan, the average annual confidential. An agency may not persons responsible for selecting broker- burden of complying with the rule is conduct or sponsor, and a person is not dealers to effect transactions in fund 425 hours. This estimate takes into required to respond to a collection of portfolio securities from taking into account the time needed to prepare information unless it displays a account broker-dealers’ promotional or quarterly reports to the board of currently valid control number. sales efforts when making those directors, the board’s consideration of The public may view the background decisions; and (ii) a fund, its adviser or those reports, and the board’s initial or documentation for this information principal underwriter, from entering annual consideration of whether to collection at the following Web site, into any agreement under which the continue the plan.3 We therefore www.reginfo.gov. Comments should be fund directs brokerage transactions or estimate that the total hourly burden per revenue generated by those transactions year for all funds to comply with directed to: (i) Desk Officer for the to a broker-dealer to pay for distribution current information collection Securities and Exchange Commission, of the fund’s (or any other fund’s) requirements under rule 12b–1, is Office of Information and Regulatory shares. 140,250 hours (330 fund families × 425 Affairs, Office of Management and The board and shareholder approval hours per fund family = 140,250 hours). Budget, Room 10102, New Executive If a currently operating fund seeks to Office Building, Washington, DC 20503, requirements of rule 12b–1 are designed _ to ensure that fund shareholders and (i) adopt a new rule 12b–1 plan or (ii) or by sending an email to: Shagufta directors receive adequate information materially increase the amount it spends [email protected]; and (ii) Pamela to evaluate and approve a rule 12b–1 for distribution under its rule 12b–1 Dyson, Director/Chief Information plan and, thus, are necessary for plan, rule 12b–1 requires that the fund Officer, Securities and Exchange investor protection. The requirement of obtain shareholder approval. As a Commission, c/o Remi Pavlik-Simon, consequence, the fund will incur the 100 F Street NE., Washington, DC 20549 quarterly reporting to the board is _ designed to ensure that the rule 12b–1 cost of a proxy.4 Based on previous or send an email to: PRA Mailbox@ plan continues to benefit the fund and conversations with fund representatives, sec.gov. Comments must be submitted to its shareholders. The recordkeeping Commission staff estimates that OMB within 30 days of this notice. requirements of the rule are necessary to Dated: June 18, 2015. enable Commission staff to oversee 2 This allocation is based on previous Brent Fields, conversations with fund representatives on how compliance with the rule. The fund boards comply with the requirements of rule Secretary. requirement that funds or their advisers 12b–1. Despite this allocation of hourly burdens [FR Doc. 2015–15378 Filed 6–22–15; 8:45 am] and costs, the number of annual responses each implement, and fund boards approve, BILLING CODE 8011–01–P policies and procedures in order to year will continue to depend on the number of fund portfolios with rule 12b–1 plans rather than the prevent persons charged with allocating number of fund families with rule 12b–1 plans. The fund brokerage from taking distribution staff estimates that the number of annual responses SECURITIES AND EXCHANGE efforts into account is designed to per fund portfolio will be four per year (quarterly, COMMISSION ensure that funds’ selection of brokers to with the annual reviews taking place at one of the quarterly intervals). Thus, we estimate that funds effect portfolio securities transactions is will make 31,348 responses (7837 fund portfolios × Sunshine Act Meeting not influenced by considerations about 4 responses per fund portfolio = 31,348 responses) the sale of fund shares. each year. Notice is hereby given, pursuant to Based on information filed with the 3 We do not estimate any costs or time burden the provisions of the Government in the Commission by funds, Commission staff related to the recordkeeping requirements in rule Sunshine Act, Public Law 94–409, that 12b–1, as funds are either required to maintain the Securities and Exchange estimates that there are approximately these records pursuant to other rules or would keep 7837 mutual fund portfolios that have at these records in any case as a matter of business Commission will hold a Closed Meeting least one share class subject to a rule practice. on Thursday, June 25, 2015 at 2:00 p.m. 4 12b–1 plan.1 However, many of these In general, a fund adopts a rule 12b–1 plan Commissioners, Counsel to the before it begins operations. Therefore, the fund is Commissioners, the Secretary to the not required to obtain the approval of its public 1 This estimate is based on information from the shareholders because the fund’s shares have not yet Commission, and recording secretaries Commission’s NSAR database. been offered to the public. will attend the Closed Meeting. Certain

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staff members who have an interest in Register on October 21, 2014.3 On Exchange, the quote mitigation plan was the matters also may be present. December 2, 2014, pursuant to Section designed to reduce the number of The General Counsel of the 19(b)(2) of the Act,4 the Commission quotation messages sent by the Commission, or her designee, has designated a longer period within which Exchange to the Options Price Reporting certified that, in her opinion, one or to approve the proposed rule change, Authority (‘‘OPRA’’) by only submitting more of the exemptions set forth in 5 disapprove the proposed rule change, or quote messages for ‘‘active’’ series.10 U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) institute proceedings to determine The Exchange defines active series and 17 CFR 200.402(a)(3), (a)(5), (a)(7), whether to approve or disapprove the under the quote mitigation plan in (a)(9)(ii) and (a)(10), permit proposed rule change.5 On January 8, Commentary .03 to Exchange Rule 6.86 consideration of the scheduled matter at 2015, the Exchange submitted a as: (i) Series that have traded on any the Closed Meeting. comment letter in further support of its options exchange in the previous 14 Commissioner Piwowar, as duty proposal.6 On January 16, 2015, the calendar days; or (ii) series that are officer, voted to consider the items Commission issued an Order Instituting solely listed on the Exchange; or (iii) listed for the Closed Meeting in closed Proceedings to Determine Whether to series that have been trading ten days or session. Approve or Disapprove the proposed less; or (iv) series for which the The subject matter of the Closed rule change.7 On February 27, 2015 and Exchange has received an order.11 In Meeting will be: June 4, 2015, the Exchange submitted addition, under the Exchange’s quote Institution and settlement of injunctive comment letters in further support of its mitigation plan, the Exchange may actions; proposal.8 No additional comment define a series as active on an intraday Institution and settlement of letters were submitted. This order basis if: (i) The series trades at any administrative proceedings; disapproves the proposed rule change. options exchange; (ii) the Exchange Resolution of litigation claims; and receives an order in the series; or (iii) Other matters relating to enforcement II. Description of the Proposal the Exchange receives a request for proceedings. In 2007, the Exchange adopted a 12 At times, changes in Commission quote from a customer in that series. quote mitigation plan in connection The Exchange proposes to remove its priorities require alterations in the with the Options Penny Pilot Program quote mitigation plan from its rules by scheduling of meeting items. (‘‘Penny Pilot’’).9 According to the For further information and to deleting Commentary .03 to Exchange Rule 6.86.13 The Exchange states that its ascertain what, if any, matters have been 3 See Securities Exchange Act Release No. 73362 quote mitigation plan is no longer added, deleted, or postponed, please (October 15, 2014), 79 FR 62983 (‘‘Notice’’). contact the Office of the Secretary at 4 15 U.S.C. 78s(b)(2). necessary primarily for three reasons. (202) 551–5400. 5 See Securities Exchange Act Release No. 73720, First, the Exchange states that its 79 FR 72747 (December 8, 2014). The Commission incorporation of select provisions of the Dated: June 18, 2015. designated January 19, 2015, as the date by which Options Listing Procedures Plan Brent J. Fields, it should approve, disapprove, or institute 14 proceedings to determine whether to approve or (‘‘OLPP’’) in Exchange Rule 6.4A Secretary. disapprove the proposed rule change. serves to reduce the potential for excess [FR Doc. 2015–15449 Filed 6–19–15; 11:15 am] 6 See Letter from Elizabeth King, Secretary & quoting because the OLPP limits the BILLING CODE 8011–01–P General Counsel, Exchange, to Kevin O’Neill, number of options series eligible to be Deputy Secretary, Commission, dated January 8, 2015 (‘‘NYSE Arca Letter 1’’) available at http:// listed, which, according to the www.sec.gov/comments/sr-nysearca-2014-117/ Exchange, reduces the number of SECURITIES AND EXCHANGE nysearca2014117.shtml. options series a market maker would be COMMISSION 7 See Securities and Exchange Release No. 74088, obligated to quote.15 Second, the 80 FR 3687 (January 23, 2015) (Order Instituting [Release No. 34–75191; File No. SR– Proceedings to Determine Whether to Approve or quote mitigation plan the Commission stated that NYSEArca–2014–117] Disapprove a Proposal Rule Change to Remove the ‘‘because the Commission expects that the Penny Exchange’s Quote Mitigation Plan as Provided by Pilot Program will increase quote message traffic, Commentary .03 to Exchange Rule 6.86) (‘‘OIP’’). Self-Regulatory Organizations; NYSE the Commission is also approving the Exchange’s 8 Arca, Inc.; Order Disapproving See Letters from Elizabeth King, Secretary & proposal to reduce the number of quotations it Proposed Rule Change To Remove the General Counsel, Exchange, to Kevin O’Neill, disseminates.’’ See Quote Mitigation Approval Deputy Secretary, Commission, dated February 27, Order at 4760. Exchange’s Quote Mitigation Plan as 2015 (‘‘NYSE Arca Letter 2’’) available athttp:// 10 See Notice, supra note 3, at 62983. www.sec.gov/comments/sr-nysearca-2014-117/ Provided in Commentary .03 to 11 Exchange Rule 6.86 nysearca2014117-2.pdf and to Brent Fields, See Exchange Rule 6.86, Commentary .03, and Secretary, Commission, dated June 4, 2015 (‘‘NYSE Notice, supra note 3, at 62983. 12 See id. June 17, 2015. Arca Letter 3’’) available at http://www.sec.gov/ comments/sr-nysearca-2014-117/nysearca2014117- 13 See Notice, supra note 3, at 62984. In addition, I. Introduction 3.pdf. the Exchange proposes to amend paragraphs (b)(1) 9 See Securities and Exchange Release No. 55156 and (b)(2) of Exchange Rule 6.86 to delete On October 2, 2014, NYSE Arca, Inc. (January 23, 2007), 72 FR 4759 (February 1, 2007) references to the ‘‘Quote Mitigation Plan,’’ which (‘‘NYSE Arca’’ or ‘‘Exchange’’) filed (Order Granting Approval of SR–NYSEArca–2006– refer to the quote mitigation plan set forth in with the Securities and Exchange 73) (‘‘Quote Mitigation Approval Order’’). In this Commentary .03 to Exchange Rule 6.86. See id. 14 Commission (‘‘Commission’’), pursuant Order, the Commission approved a proposed rule See Amendment to Plan for the Purpose of change to amend the NYSE Arca rules to (i) permit Developing and Implementing Procedures Designed to Section 19(b)(1) of the Securities thirteen options classes to be quoted in pennies on to Facilitate the Listing and Trading of Exchange Act of 1934 (‘‘Act’’) 1 and Rule a pilot basis and (ii) adopt a quote mitigation plan. Standardized Options Submitted Pursuant to 19b–4 thereunder,2 a proposed rule In approving the Penny Pilot, the Commission Section 11A(a)(3)(B) of the Securities Exchange Act change to remove the Exchange’s quote analyzed data provided by the options exchanges to available at http://www.theocc.com/clearing/ assess the potential impact the Penny Pilot would industry-services/olpp.jsp (providing for the most mitigation plan as provided by have on, among other things, the increase in current OLPP). See also Securities and Exchange Commentary .03 to NYSE Arca Rule quotation message traffic. According to the Release No. 44521 (July 6, 2001), 66 FR 36809 (July 6.86. The proposed rule change was Exchange, the quote mitigation plan was designed 13, 2001) (order approving the OLPP). published for comment in the Federal to mitigate the volume of data processed and 15 See Notice, supra note 3, at 62983. See also disseminated by OPRA. See Securities and Securities and Exchange Release No. 61977 (April Exchange Release No. 55590 (October 12, 2006), 72 23, 2010), 75 FR 22884 (April 30, 2010) (SR– 1 15 U.S.C. 78s(b)(1). FR 4759 (October 18, 2006) (Notice of SR– NYSEArca–2010–30) (in which the Exchange 2 17 CFR 240.19b–4. NYSEArca-2006–73). In approving the Exchange’s Continued

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Exchange states its view that Exchange together with the current exceptions need to quote in approximately 5,000 Rule 6.37B Commentary .01, which from a market maker’s continuous options series, thereby decreasing quote removes certain options series from quoting obligations for certain options message traffic.30 market makers’ continuous quoting series would be sufficient as a quote The Exchange argues that it has obligations, reduces the number of mitigation plan; 23 (2) provides sufficient capacity to handle quoting in quote messages that the Exchange sends additional information to support its all options series, including quotes in to OPRA.16 The Exchange states that argument that relying on the OLPP those series that are inactive and not reliance on the OLPP, via Exchange requirements in Rule 6.4A would suffice currently disseminated pursuant to the Rule 6.4A, and the refined market maker as a quote mitigation plan; and (3) Exchange’s quote mitigation plan.31 In quoting obligations, pursuant to supports its argument that the Exchange support of this statement, the Exchange Commentary .01 to Exchange Rule and OPRA have sufficient capacity to explains that although quotes in 6.37B, is sufficient as a quote mitigation accommodate an increase in quote inactive series do not generate quote plan.17 Third, the Exchange states that message traffic resulting from traffic from NYSE Arca, the Exchange both the Exchange’s systems capacity elimination of the Exchange’s quote must nonetheless receive and process and OPRA’s systems capacity are more mitigation plan.24 quotes in such series, and perform than sufficient to accommodate any The Exchange states that at least one additional processing to suppress quotes additional increase in quote message other options exchange primarily relies in these series to comply with their traffic that might be sent to OPRA as a on the OLPP requirements in Rule 6.4A quote mitigation plan.32 The Exchange result of the deletion of the quote as a quote mitigation plan.25 The states that because it is already mitigation plan.18 The Exchange Exchange explains that the OLPP Rule processing the quotes it suppresses, it is represents that it continually assesses its 6.4A puts a restriction on the range of ‘‘confident that its own systems capacity capacity needs and ensures that the permissible strike prices based on the is more than sufficient to accommodate capacity that it requests from OPRA is price of the underlying security.26 The any increase in the traffic that might be sufficient and compliant with the Exchange states its view that reliance on sent to OPRA.’’ 33 The Exchange notes requirements established in the OPRA the OLPP requirements is consistent that in its requests for capacity Capacity Guidelines.19 with the Act and would sufficiently submitted to the Independent Systems The Exchange further represents that limit the number of options series listed Capacity Advisory (‘‘ISCA’’) (which it has in place certain measures that act on the Exchange.27 OPRA uses to ensure overall aggregate as additional safeguards against Next, the Exchange argues that capacity), NYSE Arca assumes that (1) excessive quoting.20 According to the eliminating its quote mitigation plan is options series that are inactive at that Exchange, these safeguards include consistent with the Act because refined time could become active in the future, monitoring and alerting market makers market maker quoting obligations thereby increasing overall message disseminating an unusual number of currently in place on the Exchange, traffic sent to OPRA, and (2) that all quotes, a business plan designed to which exempt certain options series options series that it lists, including ensure that new listings are actively from market makers’ continuous quoting those without continuous quoting traded,21 and a ratio threshold fee obligations, reduce the universe of obligations for market makers, will designed to encourage the efficient use series in which a market maker is generate message traffic to OPRA.34 The of orders.22 required to quote.28 The Exchange notes Exchange further states its belief that OPRA also would be able to III. Summary of Comment Letters that these refined obligations were adopted following implementation of its accommodate any increase in quote NYSE Arca submitted three comment quote mitigation plan,29 and believes message traffic resulting from NYSE letters in which it: (1) Supports its that as a result, market makers do not Arca no longer suppressing quotes in position that Rule 6.4A of the OLPP inactive series.35 23 See NYSE Arca Letter 1, supra note 6, at 1. See The Exchange further argues that adopted select provisions of the OLPP into also NYSE Arca Letter 2, supra note 8, at 1–2. The eliminating its quote mitigation plan is Exchange Rule 6.4A). Exchange also supplies an actual illustration of how consistent with the Act because the 16 Commentary .01 to Exchange Rule 6.37B the Rule results in quote mitigation. Id. at 2. Exchange actively monitors market provides that Exchange market makers continuous 24 See NYSE Arca Letter 1, supra note 6. maker quoting activity and alerts market quoting obligations do not apply ‘‘to adjusted 25 See NYSE Arca Letter 1, supra note 6, at 1–2. option series, and series with a time to expiration The comment letter further notes that the Miami makers to heightened levels of quoting of nine months or greater, for options on equities International Securities Exchange, LLC (‘‘MIAX’’) activity, which could result from and Exchange Traded Fund Shares, and series with stated in a response to comments on a proposed systems issues or an incorrectly set a time to expiration of twelve months or greater for rule change relating to increasing the number of Index options.’’ See also Notice, supra note 3, at parameter that generates erroneous options series associated with Short Term Options 36 62984. Series that it was not using a quote mitigation quotes. The Exchange notes that NYSE 17 See Notice, supra note 3, at 62984. The strategy, but instead employs a listing policy that Arca’s requests for capacity to the ISCA Exchange states its view that limiting the number mitigates the number of classes and series listed on are adjusted to account for ‘‘some level’’ of options series listed on the Exchange is its exchange by not listing illiquid options classes of erroneous quoting.37 preferable to suppressing the quotes of inactive and products that are not already trading on another options series, as required under current Exchange market. (See NYSE Arca Letter 1, supra note 6, at The Exchange also states that the Rule 6.86, because all quotes sent by Exchange 2 (citing Letter to Elizabeth Murphy, Secretary, U.S. landscape regarding quote message market makers are actionable even if not displayed. Securities Exchange Commission, from Brian traffic and capacity has changed since See id. O’Neill, VP and Senior Counsel, MIAX, dated June the adoption of the Penny Pilot.38 NYSE 18 See Notice, supra note 3, at 62984. 2, 2013, available at http://www.sec.gov/comments/ 19 See id. sr-miax-2013-23/miax201323-2.pdf.)). NYSE Arca 30 Id. 20 See id. notes that it has a similar policy designed to help 31 See NYSE Arca Letter 1, supra note 6, at 2. 21 See id. (citing to NYSE Arca Options Listing ensure that the Exchange does not list options that 32 See NYSE Arca Letter 1, supra note 6, at 2. Policy Statement, available at, http:// generate quote volume without providing the 33 www.nyse.com/pdfs/ benefit of trading volume. See NYSEArca Letter 1, See NYSE Arca Letter 1, supra note 6, at 2–3. 34 TraderNoticeArcaLOPSChanges092713.pdf). supra note 6, at 2 and 4. Id. 26 35 22 See id. (citing to NYSE Arca Options Fee See NYSE Arca Letter 2, supra note 8, at 1–2. See NYSE Arca Letter 1, supra note 6, at 2. Schedule, available at, https://www.theice.com/ 27 See NYSE Arca Letter 1, supra note 6, at 1. 36 See NYSE Arca Letter 1, supra note 6, at 3–4. publicdocs/nyse/markets/arca-options/NYSE_ 28 See NYSE Arca Letter 1, supra note 6, at 1. 37 Id. at 4. Arca_Options_Fee_Schedule.pdf). 29 See id. 38 See NYSE Arca Letter 3, supra note 8, at 2.

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Arca represents that in January 2007, proposed rule change is consistent with continue to employ its quote mitigation 15% of quotes received by the Exchange the requirements of the Act and the strategy.51 were not sent to OPRA, compared to rules and regulations thereunder When considering whether the 5.8% as of April 2015.39 The Exchange applicable to a national securities Exchange’s quote mitigation plan was also states that at the time the Penny exchange.46 In particular, the consistent with the Act, the Commission Pilot was adopted, OPRA’s total Commission cannot find that the relied upon supporting data and capacity was set to 359,000 messages proposed rule change is consistent with analysis provided by the Exchange.52 In per seconds (‘‘mps’’), and that by July Section 6(b)(5) of the Act,47 which its proposal to provide for a quote 2015, OPRA’s peak capacity is requires that the rules of a national mitigation plan, NYSE Arca represented anticipated to be 42,100,000 mps.40 In securities exchange be designed, among that the quote mitigation plan was addition, the Exchange states, based on other things, to prevent fraudulent and intended to reduce the number of peak message traffic figures on the manipulative acts and practices, to quotations generated by the Exchange Exchange for one day in May 2015,41 promote just and equitable principles of for all option issues traded at NYSE that if the quotes the Exchange trade, to remove impediments to and Arca, not just options on issues suppressed on that day had been sent to perfect the mechanism of a free and included in the Penny Pilot, and that OPRA, industry quotes published by open market and a national market the Exchange anticipated the quote OPRA would have increased by no more system, and to protect investors and the mitigation plan would reduce quote than 1%, and that this would use less public interest. message traffic by 20–30%.53 In than .05% of total OPRA capacity.42 In conjunction with the adoption of approving NYSE Arca’s proposal in February 2007, the Commission stated IV. Discussion the Penny Pilot in 2007 that permitted the options exchanges to quote certain that because it expected that the Penny Under Section 19(b)(2)(C) of the Act, options series in one and five cent Pilot would increase quote message the Commission shall approve a increments, and in response to a letter traffic, the Commission also approved proposed rule change of a self- sent by the then Chairman of the the Exchange’s proposal to reduce the regulatory organization if the 54 Commission,48 the options exchanges, number of quotations it disseminates. Commission finds that such proposed including NYSE Arca, adopted quote In 2007 and 2009, the Commission rule change is consistent with the mitigation plans.49 The Commission approved rule changes submitted by requirements of the Act, and the rules emphasized the importance of options NYSE Arca expanding the number of and regulations thereunder that are exchanges’ quote mitigation strategies in classes eligible to participate in the applicable to such organization.43 The 55 connection with the Penny Pilot in its Penny Pilot. In so approving, the Commission shall disapprove a Commission reviewed data provided by proposed rule change if it does not make orders approving an expansion of the Penny Pilot in 2007. In those orders, the the options exchanges, including data such a finding.44 Rule 700(b)(3) of the relating to OPRA’s capacity to process Commission’s Rules of Practice states Commission noted that options exchanges participating in the Penny the increase in quotes resulting from the that the ‘‘burden to demonstrate that a expansion of the Penny Pilot and the proposed rule change is consistent with Pilot would continue to use quote mitigation strategies.50 Likewise, when effectiveness of its quote mitigation the [Act] . . . is on the self-regulatory 56 the Commission approved NYSE Arca’s plan. In approving each of these organization that proposed the rule expansions, the Commission noted that change’’ and that a ‘‘mere assertion that proposal to again expand the Penny Pilot in 2009, the Commission reiterated the proposed rule change is consistent 51 See Securities Exchange Act Release No. 60711, with those requirements . . . is not that the Exchange would retain and 74 FR 49419 (September 28, 2009) (SR–NYSEArca– sufficient.’’ 45 2009–44). See also Securities Exchange Act Nos. After careful consideration, the 46 In disapproving the proposed rule change, the 60373 (October 23, 2009), 74 FR 56675 (November Commission cannot find that the Commission has considered the proposed rule’s 2, 2009) (Phlx–2009–91); 60864 (October 22, 2009), impact on efficiency, competition, and capital 74 FR 55876 (October 29, 2009) (CBOE–2009–076); formation. 15 U.S.C. 78c(f). 60865 (October 22, 2009), 74 FR 55880 ((ISE–2009– 39 Id. 47 15 U.S.C. 78f(b)(5). 82); 60886 (October 27, 2009), 74 56897 (November 40 Id. 48 In a letter sent to the options exchanges on June 3, 2009); 60874 (October 23, 2009), 74 FR 56682 41 Id. The Exchange represents that as of Friday 7, 2006, encouraging the implementation of a penny (November 2, 2009) (NASDAQ–2009–091); and May 29, 2015, peak message traffic for the Exchange pilot program, then Chairman Cox noted that 61106 (December 3, 2009), 74 FR 65193 (December was 1,707,820 mps, measured over a 100 quoting options in pennies would increase quote 9, 2009) (NYSEAmex–2009–74). millisecond period. Based on this, the Exchange message traffic, which the systems of exchanges, 52 See Quote Mitigation Approval Order, supra believes that if the highest percentage of quotes market data vendors, and securities firms must be note 9. suppressed by the Exchange during this period able to manage, and for that reason, quoting options 53 See Quote Mitigation Approval Order, supra (8.3%) had been published at the same rate as in pennies would begin in a small number of note 9, at 4760. quotes the Exchange had not suppressed during this options. To assist in managing the anticipated 54 See Quote Mitigation Approval Order, supra time, the mps rate would instead be 1,849,569. Id. increase in quote traffic, Chairman Cox asked that note 9, at 4760. 42 Id. options exchanges include a workable quote 55 The Commission approved thirteen classes to 43 15 U.S.C. 78s(b)(2)(C)(i). mitigation strategy in any proposal to allow quoting participate in the Penny Pilot on January 23, 2007. 44 15 U.S.C. 78s(b)(2)(C)(i); see also 17 CFR in pennies. See Commission Press Release 2006–91, See Quote Mitigation Approval Order, supra note 201.700(b)(3) and note 45 infra, and accompanying ‘‘SEC Chairman Cox Urges Options Exchanges to 9. On September 27, 2007, the Commission text. Start Limited Penny Quoting,’’ June 7, 2006. approved an expansion of Penny Pilot, which raised 45 17 CFR 201.700(b)(3). The description of a 49 See Quote Mitigation Approval Order, supra the number of participating classes to 63. See proposed rule change, its purpose and operation, its note 9. Securities Exchange Act Release No. 56568, 72 FR effect, and a legal analysis of its consistency with 50 See Securities Exchange Act Release No. 56568, 56422 (October 3, 2007) (SR–NYSEArca–2007–88) applicable requirements must all be sufficiently 72 FR 56422 (October 3, 2007) (SR–NYSEArca– (‘‘Order Approving Expansion 1’’). On September detailed and specific to support an affirmative 2007–88); 56567 (September 27, 2007), 72 FR 56307 23, 2009, the Commission approved another Commission finding. See id. Any failure of a self- (October 3, 2007) (Amex–2007–96); 56565 expansion, raising the number of participating regulatory organization to provide the information (September 27, 2007), 72 FR 56403 (October 3, classes to 363. See Securities Exchange Act Release solicited by Form 19b–4 may result in the 2007) (CBOE–2007–98); 56564 (September 27, No. 60711, 74 FR 49419 (September 28, 2009) (SR– Commission not having a sufficient basis to make 2007), 72 FR 56412 (October 3, 2007) (ISE–2007– NYSEArca–2009–44) (‘‘Order Approving Extension an affirmative finding that a proposed rule change 74); 56563 (September 27, 2007), 72 FR 56429 2’’). is consistent with the Act and the rules and (October 3, 2007) (Phlx–2007–62); and 56566 56 See Order Approving Expansion 1 and Order regulations issued thereunder that are applicable to (September 27, 2007), 72 FR 56400 (October 3, Approving Expansion 2, supra note 55 at 56423–24 the self-regulatory organization. Id. 2007) (BSE–2007–40). and 49422–23, respectively.

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it relied, in part, on the Exchange’s published by OPRA would increase by The Commission notes that the representation that it would continue to no more than 1%. The Exchange asserts Exchange’s comment letter stated its use its quote mitigation plan to suppress that this increase would use less than belief that as a result of refined quoting certain quotation traffic that would .05% of total OPRA capacity across all obligations, market makers do not need otherwise be sent to OPRA.57 The option exchanges. Importantly, to quote in approximately 5,000 options Commission also relied on data however, the Exchange does not provide series, and that this has resulted in a provided by the options exchanges to data that shows the excess capacity decrease in message traffic,64 however, support representations that capacity between peak quote message traffic sent the Exchange did not provide data to was not a concern, and that the quote from all options exchanges and OPRA’s quantify the decrease in message traffic mitigation plans in place were Peak Capacity for the May 29, 2015 for the Commission to consider. Absent successful.58 For example, NYSE Arca, sample. If peak quote message traffic sufficient information and data of this provided the Commission with data sent to OPRA by all the options type, the Commission is not able to supporting its claim that the Exchange’s exchanges was at or approached OPRA’s adequately evaluate the Exchange’s quote mitigation plan mitigated 12.1 Peak Capacity, then potentially even a assertion that ‘‘reliance on the OLPP, via million quotes a day or 13 percent of small increase in quote message traffic Rule 6.4A, together with the refined NYSE Arca’s daily quote traffic sent to from one exchange could result in market maker obligation, pursuant to OPRA.59 In another report, NYSE Arca OPRA’s capacity being exceeded. Commentary .01 to Rule 6.37B, is provided data on OPRA’s then-current In addition, the Exchange does not sufficient as a quote mitigation strategy capacity, future capacity, and peaks in provide data or analysis demonstrating and obviates the need for Rule 6.86.’’ 65 message traffic sent to OPRA to support the potential impact the Exchange’s Other information or data may also be its argument that quote traffic increases proposal would have on market helpful for the Commission’s were manageable.60 participants who consume the OPRA consideration of the proposed rule As noted above, the Exchange and/or the Exchange’s quotation change. Without sufficient supporting believes that its quote mitigation plan is message feeds.61 Nor does the Exchange data and analysis, the Commission is no longer necessary because: (1) the quantify the number or percentage of not able to adequately assess the impact Exchange has incorporated select quote messages that have been and of NYSE Arca’s proposed rule change to provisions of the OLPP in Exchange would continue to be suppressed as a eliminate its quote mitigation plan and Rule 6.4A, which the Exchange believes result of the implementation of make a determination that the proposed limits the number of series eligible to be Exchange Rule 6.4A 62 or current rule change is consistent with the Act. traded; (2) current Exchange Rule 6.37B Exchange Rule 6.37B Commentary .01.63 Given the limitations in the data Commentary .01 removes certain provided by NYSE Arca, as described options series from market makers’ 61 See Order Approving Expansion 2, supra note above, the Commission cannot find a continuous quoting obligations, which 55 at 49421 (The Commission noted that several sufficient basis to conclude that the commenters expressed concerns that increased the Exchange believes reduces the quotation message traffic imposes costs on proposal is consistent with the Act. The number of quote messages that the exchanges and other market participants to process Commission notes, however, that the Exchange sends to OPRA; and (3) both and store the additional quotations and they Penny Pilots for each of the options the system capacity at the Exchange and questioned the ability of market systems to exchanges are anticipated to be effectively handle the increased quote message at OPRA are more than sufficient to traffic that would likely result from the expansion extended for an additional year, until accommodate any additional increase in of the Penny Pilot to 363 classes. In approving the June 30, 2016. In connection with any quote message traffic that might be expansion, the Commission noted that NYSE Arca future requests to extend the Penny disseminated if NYSE Arca’s quote ‘‘had adopted and [would] continue to utilize quote Pilots after that date, the Commission mitigate strategies that should continue to mitigate mitigation plan is eliminated. However, the expected increase in quotation traffic.’’) Id. at intends to require each exchange to the Exchange has not provided the 49422–23. submit detailed information to allow for Commission with sufficient data 62 In 2009, the OLPP Participants, including permanent approval or disapproval by regarding potential changes in quote NYSE Arca, represented that the new strategy they the Commission. Such proposals message traffic if the Commission were proposing as Amendment No. 3 to the OLPP (which was subsequently codified as Rule 6.4A on should, among other things, provide approves its proposal. the Exchange’s rulebook) would be ‘‘an additional detailed data and analysis to support the For example, the Exchange does not strategy’’ to be used to address overall capacity efficacy, or any proposed modification provide sufficient data about the concerns in the industry. See Securities Exchange or elimination, of any exchanges’ quote Act Release No. 60365 (July 22, 2009), 74 FR 37266 number of quote messages that its quote 66 (July 28, 2009) (Notice of Filing of Amendment No. mitigation plan. mitigation plan currently suppresses 3 to the OLPP proposing uniform standards to the For the foregoing reasons, the relative to capacity at OPRA. range of options series exercise prices available for Commission does not believe that NYSE Specifically, the Exchange provided trading). Although it was anticipated that the data from May 29, 2015 that purports to exercise price limitation bands set forth in Amendment No. 3 would also have the attendant proposed rule change, and the Exchange did not show that if all quote messages benefit of further reducing increases in quote provide any data on what the impact of the suppressed by the Exchange were message traffic, nothing in the language in the proposal on quote volume would be. See Securities instead sent to OPRA, industry quotes exchanges’ OLPP filings suggest that the Exchange Act Release No. 65210 (August 26, 2011), methodology set forth in Amendment No. 3 (to limit 76 FR 54516 (September 1, 2011) (SR–NYSEArca– the number of options series available for trading) 2011–59). Additionally, the Commission did not 57 Id. was intended to replace the options exchanges’ consider the potential impact of the proposal on 58 Id. For example, in Order Approving Expansion quote mitigation strategies, nor does the language in quote mitigation as a basis for approving the 2, the Commission noted that on June 2, 2009, the those filings suggest that it was contemplated at the elimination of continuous quoting obligation in sustained message traffic peak of 852,350 messages time that the options exchanges would eliminate certain series. See Securities Exchange Act Release per second reported by OPRA is still well below the their existing exchange-specific quote mitigation No. 65573 (October 14, 2011), 76 FR 65305 (October OPRA’s current message per second capacity limit strategies. 20, 2011) (SR–NYSEArca–2011–59). of 2,050,000. See Order Approving Expansion 2, 63 While NYSE Arca stated in its proposed rule 64 See NYSE Arca Letter 1, supra note 6, at 3. supra note 55 at 49422. change to adopt Exchange Rule 6.37B Commentary 65 See Notice, supra note 3, at 62984. 59 See Understanding Economic and Capacity .01 that the burden of continuous quoting in 66 In reviewing the quote mitigation plans in this Impacts of the Penny Pilot, NYSE ARCA Options, adjusted series is counter to efforts to mitigate the manner, the Commission would be able to consider May 31, 2007. number of quotes collected and disseminated, and the market-wide impact of any proposed 60 See The Options Penny Pilot, NYSE ARCA, that the proposal would further the goal of quote modification to or elimination of an exchange’s received August 18, 2009. mitigation, this was not a basis given for the quote mitigation practices.

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Arca has met its burden to demonstrate HEARING OR NOTIFICATION OF HEARING: An 2. Innovator is a Delaware limited that the proposed rule change is order granting the application will be partnership registered as an investment consistent with the requirements of the issued unless the Commission orders a adviser under the Investment Advisers Act and the rules and regulations hearing. Interested persons may request Act of 1940 (‘‘Advisers Act’’). Innovator thereunder, including that the rules of a hearing by writing to the provides investment management an exchange be designed to promote just Commission’s Secretary and serving services to the Funds under an and equitable principles of trade, to applicants with a copy of the request, investment advisory agreement with the remove impediments to and perfect the personally or by mail. Hearing requests Trust (the ‘‘Advisory Agreement’’).2 The mechanism of a free and open market should be received by the Commission terms of the Advisory Agreement and a national market system, and, in by 5:30 p.m. on July 8, 2015, and should comply or will comply with section general, to protect investors and the be accompanied by proof of service on 15(a) of the Act. Each Advisory public interest.67 the applicants, in the form of an Agreement was or will be approved by affidavit or, for lawyers, a certificate of the board of trustees of the relevant IV. Conclusion service. Pursuant to rule 0–5 under the Fund (the board of trustees of any Fund, For the reasons set forth above, the Act, hearing requests should state the a ‘‘Board’’), including by a majority of Commission does not believe that NYSE nature of the writer’s interest, any facts the trustees who are not ‘‘interested Arca has met its burden to demonstrate bearing upon the desirability of a persons’’ (as defined in section 2(a)(19) that the proposed rule change is hearing on the matter, the reason for the of the Act) of the Trust or Adviser (the consistent with the requirements of the request, and the issues contested. ‘‘Independent Trustees’’), and by the Act and the rules and regulations Persons who wish to be notified of a shareholders of the respective Fund in thereunder applicable to a national hearing may request notification by the manner required by sections 15(a) securities exchange, and in particular, writing to the Commission’s Secretary. and (c) of the Act and rule 18f–2 thereunder.3 Section 6(b)(5) of the Act. ADDRESSES: Secretary, U.S. Securities 3. Under the terms of each Advisory It is therefore ordered, pursuant to and Exchange Commission, 100 F Street Agreement, Innovator is responsible for Section 19(b)(2) of the Act, that the NE., Washington, DC 20549–1090. the overall management of the Funds’ proposed rule change (SR–NYSEArca– Applicants: 123 South Broad Street, business affairs and selecting 2014–117) be, and hereby is, Suite 1630, Philadelphia, PA 19109. disapproved. investments in accordance with the FOR FURTHER INFORMATION CONTACT: Funds’ investment objectives, policies For the Commission, by the Division of Bruce R. MacNeil, Senior Counsel, at and restrictions. For the investment Trading and Markets, pursuant to delegated (202) 551–6817, or James M. Curtis, authority.68 management services that it provides to Branch Chief, at (202) 551–6712 Brent J. Fields, the Funds, the Adviser receives the fee (Division of Investment Management, specified in the Advisory Agreements. Secretary. Chief Counsel’s Office). In addition, pursuant to the Advisory [FR Doc. 2015–15341 Filed 6–22–15; 8:45 am] SUPPLEMENTARY INFORMATION: The Agreement, Innovator may retain one or BILLING CODE 8011–01–P following is a summary of the more subadvisers (each, a ‘‘Subadviser’’) application. The complete application for the purpose of managing all or a may be obtained via the Commission’s portion of the assets of the Funds. SECURITIES AND EXCHANGE Web site by searching for the file Pursuant to its authority under the COMMISSION number, or an applicant using the Advisory Agreements, the Adviser [Investment Company Act Release No. Company name box, at http:// intends to enter into subadvisory 31679; 812–14358] www.sec.gov/search/search.htm or by agreements (the ‘‘Subadvisory calling (202) 551–8090. Agreements’’) with certain unaffiliated Academy Funds Trust and Innovator Subadvisers to provide investment Management LLC; Notice of Applicants’ Representations advisory services to the Funds. Each Application 1. The Trust is organized as a Subadvisory Agreement has been or will June 17, 2015. Delaware statutory trust and is be approved by the Board, including by registered as an open-end management a majority of the Independent Trustees ACTION: Notice of an application under investment company with multiple in accordance with Sections 15(a) and section 6(c) of the Investment Company series. Each series of the Trust has its 15(c) of the Act. In addition, the terms Act of 1940 (the ‘‘Act’’) for an own investment objective, policies and of each Subadvisory Agreements exemption from section 15(a) of the Act restrictions, and each is managed by the comply or will comply fully with the and rule 18f–2 under the Act. Adviser and may be managed by various requirements of Sections 15(a) and 15(c) subadvisers.1 of the Act other than the shareholder SUMMARY OF APPLICATION: Applicants approval required under Section 15(a). request an order that would permit them 1 Applicants also request relief with respect to Each Subadviser to a Fund will be an to enter into and materially amend any existing or future series of the Trust and any ‘‘investment adviser,’’ as defined in subadvisory agreements without other existing or future registered open-end section 2(a)(20)(B) of the Act, and shareholder approval. management investment company or series thereof that: (a) Is advised by Innovator or its successors, registered as an investment adviser APPLICANTS: Academy Funds Trust (the including any entity controlling, controlled by or ‘‘Trust’’) and Innovator Management under common control with Innovator or its a reorganization into another jurisdiction or a LLC (‘‘Innovator’’ or the ‘‘Adviser’’). successors (included in the term ‘‘Adviser’’); (b) change in the type of organization. uses the manager-of-managers structure (‘‘Manager 2 Innovator or another Adviser will enter into FILING DATES: The application was filed of Managers Structure’’) described in the substantially similar investment advisory on September 12, 2014 and amended on application; and (c) complies with the terms and agreements to provide investment management January 28, 2015, May 12, 2015 and conditions of the application (each a ‘‘Fund’’ and services to each future Fund (each included in the June 3, 2015. together, the ‘‘Funds’’). The only existing term ‘‘Advisory Agreement’’). Each other Adviser investment company that currently intends to rely will also be registered as an investment adviser on the requested order, the Trust, is named as an under the Advisers Act. 67 15 U.S.C. 78f(b)(5). applicant. For purposes of the requested order, 3 Applicants are not seeking any exemptions with 68 17 CFR 200.30–3(a)(12). ‘‘successor’’ is limited to an entity that results from respect to the Advisory Agreements.

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under the Advisers Act or not subject to make the Multi-manager Information management or administrative such registration.4 Statement available on the Web site responsibilities with respect to the 4. The Adviser will supervise the identified in the Multi-manager Notice Funds. Applicants state that requiring management and investment programs no later than when the Multi-manager shareholder approval of each and operations of the Funds and Notice (or Multi-manager Notice and Subadvisory Agreement would impose evaluate the abilities and performance Multi-manager Information Statement) costs and unnecessary delays on the of other money management firms in is first sent to shareholders, and will Funds, and may preclude the Adviser order to identify appropriate maintain it on that Web site for at least from acting promptly in a manner Subadvisers for the Fund’s investment 90 days. considered advisable by the Board. Applicants note that the Advisory strategy. After a Subadviser is selected, Applicants’ Legal Analysis the Adviser will continuously supervise Agreements and any subadvisory and monitor the Subadviser’s 1. Section 15(a) of the Act provides, agreement with an Affiliated Subadviser performance and periodically in relevant part, that it is unlawful for will remain subject to sections 15(a) and recommend to the Board which any person to act as an investment (c) of the Act and rule 18f–2 thereunder. adviser to a registered investment Subadvisers should be retained or Applicants’ Conditions released. Neither the Trust nor the company except pursuant to a written Funds will be responsible for paying contract that has been approved by the Applicants agree that any order subadvisory fees to any Subadviser. The vote of a majority of the company’s granting the requested relief will be Adviser will compensate the outstanding voting securities. Rule 18f– subject to the following conditions: Subadvisers for a Fund out of the 2 under the Act provides that each 1. Before a Fund may rely on the advisory fees that are paid to the series or class of securities in a series requested order, the operation of the Adviser under the applicable Advisory investment company affected by a Fund in the manner described in the Agreement. matter must approve that matter if the application will be approved by a 5. Applicants request an order to Act requires shareholder approval. majority of the Fund’s outstanding permit the Adviser, subject to the 2. Section 6(c) of the Act provides that voting securities, as defined in the Act, approval of the Board, to do the the Commission may exempt any or in the case of a Fund whose public following without obtaining shareholder person, security, or transaction or any shareholders purchase shares on the approval: (a) Select certain unaffiliated class or classes of persons, securities, or basis of a prospectus containing the Subadvisers to manage all or a portion transactions from any provisions of the disclosure contemplated by condition 2 of the assets of the Funds or future Act, or from any rule thereunder, if such below, by the initial shareholder(s) Funds pursuant to Subadvisory exemption is necessary or appropriate before offering shares of that Fund to the Agreements, and (b) materially amend in the public interest and consistent public. Subadvisory Agreements with the with the protection of investors and the 2. Each Fund relying on the requested Subadvisers. Each Fund’s prospectus purposes fairly intended by the policy order will disclose in its prospectus the will contain, at all times following the and provisions of the Act. Applicants existence, substance, and effect of any approval of the Manager of Managers state that the requested relief meets this order granted pursuant to the Structure, the disclosure required by standard for the reasons discussed application. Each Fund will hold itself condition 2 below. below. out to the public as utilizing the 6. The requested relief will not extend 3. Applicants assert that the requested Manager of Managers Structure. The to any subadviser that is an affiliated relief is consistent with the protection of prospectus will prominently disclose person, as defined in section 2(a)(3) of investors. Primary responsibility for that the Adviser has ultimate the Act, of the Trust, a Fund or the management of the Funds, including the responsibility (subject to oversight by Adviser (other than by reason of serving selection and supervision of the the Board) to oversee the Subadvisers as a subadviser to one or more Funds) Subadvisers, is vested in the Adviser, and recommend their hiring, (‘‘Affiliated Subadviser’’). subject to the oversight of the Board. termination, and replacement. 7. The Funds will inform Applicants state that from the 3. The Funds will inform shareholders of the hiring of a new perspective of the investor, the role of shareholders of the hiring of a new Subadviser pursuant to the following the Subadvisers with respect to the Subadviser within 90 days after the procedures (‘‘Modified Notice and Funds is substantially equivalent to the hiring of the new Subadviser pursuant Access Procedures’’): (a) Within 90 days role of the individual portfolio managers to the Modified Notice and Access after a new Subadviser is hired for any employed by the Adviser for a Fund’s Procedures. Fund, that Fund will send its assets managed by the Adviser. Both the 4. The Adviser will not enter into a shareholders either a Multi-manager portfolio managers and the Subadvisers subadvisory agreement with any Notice or a Multi-manager Notice and are concerned principally with the Affiliated Subadviser without such Multi-manager Information Statement, selection of portfolio investments in agreement, including the compensation as applicable; 5 and (b) the Fund will accordance with each Fund’s respective to be paid thereunder, being approved investment objectives and policies and by the shareholders of the applicable 4 If the name of any Fund contains the name of have no significant supervisory, Fund. a subadviser, the name of the Adviser will precede 5. At all times, at least a majority of the name of the subadviser. (e) provide instructions for accessing and printing the Board will be Independent Trustees, 5 The ‘‘Multi-manager Notice’’ will be modeled on the Multi-manager Information Statement; and (f) and the nomination of new or additional a Notice of Internet Availability as defined in rule instruct the shareholder that a paper or email copy Independent Trustees will be placed 14a–16 under the Securities Exchange Act of 1934 of the Multi manager Information Statement may be (‘‘Exchange Act’’), and specifically will, among obtained, without charge, by contacting the Funds. within the discretion of the then- other things: (a) Summarize the relevant A ‘‘Multi-manager Information Statement’’ will existing Independent Trustees. information regarding the new Subadviser; (b) meet the requirements of Regulation 14C, Schedule 6. Whenever a subadviser change is inform shareholders that the Multi-manager 14C and Item 22 of Schedule 14A under the proposed for a Fund with an Affiliated Information Statement is available on a Web site; Exchange Act for an information statement. Multi- Subadviser, the Board, including a (c) provide the Web site address; (d) state the time manager Information Statements will be filed period during which the Multi-manager Information electronically with the Commission via the EDGAR majority of the Independent Trustees, Statement will remain available on that Web site; system. will make a separate finding, reflected

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in the Board minutes, that such change SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s is in the best interests of the Fund and COMMISSION Statement of the Purpose of, and its shareholders, and does not involve a Statutory Basis for, the Proposed Rule conflict of interest from which the [Release No. 34–75188; File No. SR–CBOE– Change Adviser or the Affiliated Subadviser 2015–058] 1. Purpose derives an inappropriate advantage. Self-Regulatory Organizations; The Exchange proposes to make 7. The Adviser will provide general certain changes to its Fees Schedule.3 Chicago Board Options Exchange, management services to each Fund, First, the Exchange proposes to amend Incorporated; Notice of Filing and including overall supervisory its Volume Incentive Program (‘‘VIP’’). responsibility for the general Immediate Effectiveness of a Proposed Under VIP, the Exchange credits each management and investment of each Rule Change To Amend the Fees Trading Permit Holder (‘‘TPH’’) the per Fund’s assets and, subject to review and Schedule contract amount set forth in the VIP approval of the Board, will: (a) Set each June 17, 2015. table resulting from each public Fund’s overall investment strategies; (b) customer (‘‘C’’ origin code) order evaluate, select and recommend Pursuant to Section 19(b)(1) of the transmitted by that TPH (with certain Subadvisers to manage all or a part of Securities Exchange Act of 1934 (the exceptions) which is executed 1 2 each Fund’s assets; (c) allocate and, ‘‘Act’’), and Rule 19b–4 thereunder, electronically on the Exchange in all when appropriate, reallocate each notice is hereby given that on June 9, underlying symbols excluding 4 Fund’s assets among one or more 2015, Chicago Board Options Exchange, Underlying Symbol List A, DJX, Subadvisers; (d) monitor and evaluate Incorporated (the ‘‘Exchange’’ or MXEA, MXEF, XSP, XSPAM, and mini- options, provided the TPH meets certain the performance of Subadvisers; and (e) ‘‘CBOE’’) filed with the Securities and volume thresholds in a month.5 The implement procedures reasonably Exchange Commission (the Exchange proposes to increase the VIP designed to ensure that the Subadvisers ‘‘Commission’’) the proposed rule change as described in Items I, II, and credit for complex orders in Tier 2 from comply with each Fund’s investment $0.16 per contract to $0.21 per contract, objective, policies and restrictions. III, below, which Items have been prepared by the Exchange. The in Tier 3 from $0.16 per contract to 8. No trustee or officer of the Trust or $0.22 per contract and in Tier 4 from Commission is publishing this notice to a Fund, or member, manager, or officer $0.17 per contract to $0.23 per contract. solicit comments on the proposed rule of the Adviser, will own, directly or The purpose of this change is to change from interested persons. indirectly (other than through a pooled incentivize the sending of complex investment vehicle that is not controlled I. Self-Regulatory Organization’s orders to the Exchange and to adjust the by such person), any interest in a Statement of the Terms of Substance of incentive tiers accordingly as Subadviser, except for (a) ownership of the Proposed Rule Change competition requires while maintaining interests in the Adviser or any entity an incremental incentive for TPH’s to that controls, is controlled by, or is The Exchange proposes to amend its strive for the highest tier level. The Exchange next proposes to amend under common control with the Adviser Fees Schedule. The text of the proposed the Complex Order Book (‘‘COB’’) Taker or (b) ownership of less than 1% of the rule change is available on the Surcharge. By way of background, the outstanding securities of any class of Exchange’s Web site (http:// www.cboe.com/AboutCBOE/ COB Taker Surcharge (‘‘Surcharge’’) is a equity or debt of any publicly traded $0.05 per contract per side surcharge for company that is either a Subadviser or CBOELegalRegulatoryHome.aspx), at the Exchange’s Office of the Secretary, non-customer complex order executions an entity that controls, is controlled by, that take liquidity from the COB in all or is under common control with a and at the Commission’s Public Reference Room. underlying classes except Underlying Subadviser. Symbol List A and mini-options. 9. Any new Subadvisory Agreement II. Self-Regulatory Organization’s Additionally, the Surcharge is not or any amendment to an existing Statement of the Purpose of, and assessed on non-customer complex Advisory Agreement or Subadvisory Statutory Basis for, the Proposed Rule order executions in the Complex Order Agreement that directly or indirectly Change Auction (‘‘COA’’), the Automated Aim results in an increase in the aggregate Mechanism (‘‘AIM’’), orders originating In its filing with the Commission, the advisory fee rate payable by the Fund from a Floor Broker PAR, electronic Exchange included statements will be submitted to the Fund’s executions against single leg markets, or concerning the purpose of and basis for shareholders for approval. stock-option order executions. The the proposed rule change and discussed 10. In the event the Commission any comments it received on the 3 The Exchange initially filed the proposed fee adopts a rule under the Act providing proposed rule change. The text of these changes on June 1, 2015 (SR–CBOE–2015–054). On substantially similar relief to that in the statements may be examined at the June 9, 2015, the Exchange withdrew that filing and order requested in the application, the submitted this filing. places specified in Item IV below. The 4 The following products are included in requested order will expire on the Exchange has prepared summaries, set ‘‘Underlying Symbol List A’’: OEX, XEO, RUT, SPX effective date of that rule. forth in sections A, B, and C below, of (including SPXw), SPXpm, SRO, VIX, VXST, VOLATILITY INDEXES and binary options. For the Commission, by the Division of the most significant aspects of such 5 Excluded from the VIP credit are options in Investment Management, under delegated statements. Underlying Symbol List A, DJX, MXEA, MXEF, authority. XSP, XSPAM, mini-options, QCC trades, public customer to public customer electronic complex Brent J. Fields, order executions, and executions related to Secretary. contracts that are routed to one or more exchanges [FR Doc. 2015–15384 Filed 6–22–15; 8:45 am] in connection with the Options Order Protection and Locked/Crossed Market Plan referenced in Rule BILLING CODE 8011–01–P 1 15 U.S.C. 78s(b)(1). 6.80 (see CBOE Fees Schedule, Volume Incentive 2 17 CFR 240.19b–4. Program).

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Exchange first proposes to increase the Tier Appointment Fee in the Fees complex orders that reach certain amount of the Surcharge from $0.05 per Schedule provides that ‘‘In order for a volume thresholds to receive an contract to $0.08 per contract. Market-Maker Trading Permit to be used increased credit for doing so. The Additionally, the Exchange proposes to to act as a Market-Maker in VIX, the amounts of the credits being proposed eliminate the exclusion of non-customer Trading Permit Holder must obtain a are also closer to the amounts of credits complex order executions in the COA VIX Tier Appointment for that Market- paid to market participants by another and AIM mechanisms from the Maker Trading Permit.’’ The Exchange exchange for similar transactions.10 Surcharge. Specifically, the Exchange seeks to add clarifying language to this Additionally, the Exchange notes that notes that all complex order auction sentence in the Fees Schedule. increasing the credit (and providing responses executed in COA and AIM Particularly, the Exchange seeks to higher credits for complex orders than will be assessed the Surcharge (i.e., clarify that Trading Permit Holders must for simple orders) is reasonable, initiating orders and AIM Contra orders obtain a VIX Tier Appointment in order equitable and not unfairly will not be assessed the Surcharge). The for a Market-Maker Trading Permit to be discriminatory because it is intended to Exchange proposes these changes in used to act electronically as a Market- incentivize the sending of more order to help offset the increased rebates Maker in VIX. The Exchange notes that complex orders to the Exchange. This given to complex orders under VIP. In Rule 8.3(i) provides that during Regular should provide greater liquidity and light of the abovementioned changes, Trading Hours, a Market-Maker has an trading opportunities, including for the Exchange also proposes to rename appointment to trade open outcry in all market participants who send simple the COB Taker Surcharge to ‘‘Complex Hybrid classes traded on the Exchange. orders to the Exchange (as simple orders Taker Fee.’’ Particularly, the surcharge As VIX is a Hybrid class, a Market- can trade with the legs of complex is no longer limited to COB executions Maker does not need an appointment to orders). The greater liquidity and as the Surcharge will now include trade open outcry. Accordingly, the trading opportunities should benefit not auction responses in COA and AIM. As Exchange seeks to amend the first just public customers (whose orders are such, the Exchange believes it is sentence of the VIX Tier Appointment the only ones that qualify for the VIP) appropriate to rename the Surcharge to description to clarify in the Fees but all market participants. more accurately reflect what Schedule that a VIX Tier Appointment The Exchange believes that the transactions are being charged and is only necessary for acting as a Market- proposed increase to the amount of the avoid potential confusion. Additionally, Maker electronically. COB Contra Surcharge from $0.05 per contract per side to $0.08 per contract the Exchange proposes to change the 2. Statutory Basis term ‘‘Surcharge’’ to ‘‘Fee’’ to avoid per side is reasonable because the total confusion with other surcharges The Exchange believes the proposed amount assessed to these transactions, currently listed in the Fees Schedule. rule change is consistent with the including the Surcharge, is still within The Exchange next notes that it Securities Exchange Act of 1934 (the the range of fees paid by other market currently assesses a $0.65 per contract ‘‘Act’’) and the rules and regulations participants for similar transactions.11 fee for electronic executions by Broker- thereunder applicable to the Exchange Further, other exchanges assess higher Dealers, non-Trading Permit Holders and, in particular, the requirements of fees for complex orders than for (‘‘non-TPHs’’) Market-Makers, Section 6(b) of the Act.7 Specifically, noncomplex ones.12 Applying the Professionals/Voluntary Professionals the Exchange believes the proposed rule Surcharge to all market participants and Joint Back-Offices (‘‘JBOs’’) in non- change is consistent with the Section except customers is equitable and not Penny Pilot equity, ETF, ETN and index 6(b)(5) 8 requirements that the rules of unfairly discriminatory because options (excluding Underlying Symbol an exchange be designed to prevent customer order flow enhances liquidity List A) classes. The Exchange proposes fraudulent and manipulative acts and on the Exchange for the benefit of all increasing this transaction fee from practices, to promote just and equitable market participants. Specifically, $0.65 per contract to $0.75 per contract. principles of trade, to foster cooperation Customer liquidity benefits all market The Exchange also proposes to increase and coordination with persons engaged participants by providing more trading the Marketing Fee for all non-Penny in regulating, clearing, settling, opportunities, which attracts Market- Pilot option classes from $0.65 per processing information with respect to, contract to $0.70 per contract. The and facilitation transactions in 10 See International Securities Exchange, LLC securities, to remove impediments to (‘‘ISE’’) Schedule of Fees, Section II (which lists Exchange notes that these increases are complex order fees and rebates). For each public similar to, and in line with, the amounts and perfect the mechanism of a free and customer order transmitted by a market participant assessed by another exchange for similar open market and a national market (with certain exceptions) a rebate of between $0.30 transactions.6 system, and, in general, to protect per contract and $0.46 per contract in Select investors and the public interest. Symbols and between $0.63 per contract and $0.83 Lastly, the Exchange proposes to per contract is given to that market participant, amend language in the Fees Schedule Additionally, the Exchange believes the depending on the qualifying thresholds that market relating to the VIX Tier Appointment proposed rule change is consistent with participant meets. Surcharge. The VIX Tier Appointment is Section 6(b)(4) of the Act,9 which 11 See e.g., NYSE Arca, Inc. (‘‘Arca’’) Options Fees requires that Exchange rules provide for Schedule, page 7 (Electronic Complex Order assessed to any Market-Maker that Executions) which provides that for complex order- either (a) has a VIX Tier Appointment the equitable allocation of reasonable to-complex order transactions, non-customers are at any time during a calendar month dues, fees, and other charges among its assessed $0.50 in penny pilot options and $0.85 in and trades at least 100 VIX options Trading Permit Holders and other non-penny pilot options. Depending upon the type persons using its facilities. of market participant a CBOE TPH is, non-customer contracts electronically while that CBOE TPHs would be assessed between $0.11 and appointment is active; or (b) trades at The Exchange believes that increasing $0.73 (which includes the proposed COB Contra least 1,000 VIX options contracts in the VIP complex order credits is Surcharge increase) for such transactions (see CBOE open outcry during a calendar month. reasonable because it will allow all Fees Schedule). TPHs transmitting public customer 12 See ISE Schedule of Fees, Section I (which lists Additionally, a description of the VIX regular Maker rebates and fees and Taker fees for Select Symbols) as compared to Section II (which 6 See NASDAQ OMX PHLX LLC (‘‘PHLX’’) 7 15 U.S.C. 78f(b). lists complex order fees and rebates for Select Pricing Schedule, Section II, Multiply Listed 8 15 U.S.C. 78f(b)(5). Symbols). Market participants are assessed higher Options Fees. 9 15 U.S.C. 78f(b)(4). fees for executing complex orders.

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Makers. An increase in the activity of the market and regulatory requirements, mechanism of a free and open market these market participants in turn which normally do not apply to other and a national market system, and, in facilitates tighter spreads, which may market participants (e.g., obligations to general, protect investors and the public cause an additional corresponding make continuous markets). Further, interest. increase in order flow from other market Market-Makers will pay a $0.70 per B. Self-Regulatory Organization’s participants. By exempting customer contract Marketing Fee for many non- Statement on Burden on Competition orders, the Surcharge will not Penny Pilot transactions, which broker- discourage the sending of customer dealers, non-Trading Permit Holder The Exchange does not believe that orders, and therefore there should still Market-Makers, Professionals/Voluntary the proposed rule changes will impose be plenty of customer orders for other Professionals and JBOs do not pay.14 any burden on competition that are not market participants to trade with. The Clearing Trading Permit Holder necessary or appropriate in furtherance Exchange believes it’s reasonable, Proprietary orders are assessed lower of the purposes of the Act. The equitable and not unfairly options transaction fees in Non-Penny Exchange does not believe that the discriminatory to assess the Surcharge Pilot options because they also have proposed rule change will impose any to complex order auction responses obligations, which normally do not burden on intramarket competition that executed in COA and AIM (and not on apply to other market participants (e.g., is not necessary or appropriate in initiating orders or AIM contra orders) must have higher capital requirements, furtherance of the purposes of the Act because auction responses in COA and clear trades for other market because, while different fees and rebates AIM, like other non-customer complex participants, must be members of the are assessed to different market order executions that take liquidity from Options Clearing Corporation). participants in some circumstances, the COB and are assessed the Surcharge, Accordingly, the differentiation between these different market participants have remove liquidity from the market and electronic transaction fees for different obligations and different because the proposed change applies Customers, Market-Makers, Clearing circumstances (as described in the uniformly to all TPHs. The Exchange Trading Permit Holders and other ‘‘Statutory Basis’’ section above). For believes renaming the surcharge from market participants recognizes the example, Clearing TPHs have clearing ‘‘COB Taker Surcharge’’ to ‘‘Complex differing obligations and contributions obligations that other market Taker Fee’’ alleviates potential made to the liquidity and trading participants do not have. Market-Makers confusion as to what transactions the environment on the Exchange by these have quoting obligations that other surcharge applies to and therefore market participants. Assessing higher market participants do not have. There prevents potential confusion, thereby fees for transactions in electronic, non- is a history in the options markets of removing impediments to and Penny Pilot classes is equitable and not providing preferential treatment to perfecting the mechanism of a free and unfairly discriminatory because in non- Customers. Further, the Exchange fees open market and a national market Penny Pilot classes the spreads are and rebates, both current and those system, and, in general, protecting naturally larger than in Penny Pilot proposed to be changed, are intended to investors and the public interest. classes, and these wider spreads allow encourage market participants to bring Increasing the fee for electronic for greater profit potential. Limiting this increased volume to the Exchange executions by broker-dealers, non-TPHs, fee increase to electronic transactions is (which benefits all market participants), Market-Makers, Professionals/Voluntary equitable and not unfairly while still covering Exchange costs Professionals and JBOs in non-Penny discriminatory because electronic (including those associated with the Pilot equity, ETF, ETN and Index trading requires constant system upgrading and maintenance of Exchange options (excluding Underlying Symbol development and maintenance. systems). List A) classes is reasonable because the Increasing the Marketing Fee for all The Exchange does not believe that proposed fee amount is similar to the non-Penny Pilot options classes is the proposed rule changes will impose amount assessed by another exchange reasonable, equitable and not unfairly any burden on intermarket competition for similar transactions.13 The Exchange discriminatory because the proposed fee that is not necessary or appropriate in believes that the proposed increase is amount is in line with the amount furtherance of the purposes of the Act also equitable and not unfairly assessed by another exchange for similar because the proposed changes are discriminatory because the Exchange transactions and because it applies to all intended to promote competition and will assess broker-dealers, non-TPH Market-Makers.15 Additionally, better improve the Exchange’s Market-Makers, Professionals/Voluntary assessing higher fees for transactions in competitive position and make CBOE a Professionals and JBOs the same non-Penny Pilot classes is equitable and more attractive marketplace in order to electronic options transaction fees in not unfairly discriminatory because in encourage market participants to bring Non-Penny Pilot options classes. The non-Penny Pilot classes the spreads are increased volume to the Exchange Exchange notes that it does not assess naturally larger than in Penny Pilot (while still covering costs as necessary). Customers the electronic options classes, and these wider spreads allow Further, the proposed changes only transaction fees in Non-Penny Pilot for greater profit potential. affect trading on CBOE. To the extent options because Customer order flow Finally, the Exchange believes that the proposed changes make CBOE enhances liquidity on the Exchange for clarifying its Fees Schedule with regards a more attractive marketplace for market the benefit of all market participants, as to when a VIX Tier Appointment is participants at other exchanges, such discussed above. The Exchange notes necessary (i.e., acting as a Market-Maker market participants are welcome to that Market-Makers are assessed lower electronically versus on-floor) maintains become CBOE market participants. electronic options transaction fees in clarity in the rules and eliminates C. Self-Regulatory Organization’s Non-Penny Pilot options as compared to potential confusion. The alleviation of Statement on Comments on the Professionals, JBOs, Broker Dealers and potential confusion will remove Proposed Rule Change Received From non-Trading Permit Holder Market- impediments to and perfect the Members, Participants, or Others Makers because they have obligations to 14 See CBOE Fees Schedule, Marketing Fee. The Exchange neither solicited nor 13 See PHLX Pricing Schedule, Section II, 15 See PHLX Pricing Schedule, Section II, received comments on the proposed Multiply Listed Options Fees. Multiply Listed Options Fees. rule change.

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III. Date of Effectiveness of the Reference Room, 100 F Street NE., On January 8, 2015, the Exchange Proposed Rule Change and Timing for Washington, DC 20549, on official submitted a comment letter in further Commission Action business days between the hours of support of its proposal.6 On January 16, The foregoing rule change has become 10:00 a.m. and 3:00 p.m. Copies of such 2015, the Commission issued an Order effective pursuant to Section 19(b)(3)(A) filing will also be available for Instituting Proceedings to Determine of the Act 16 and paragraph (f) of Rule inspection and copying at the principal Whether to Approve or Disapprove the 19b–4 17 thereunder. At any time within office of the Exchange. All comments proposed rule change.7 On February 27, 60 days of the filing of the proposed rule received will be posted without change; 2015 and June 4, 2015, the Exchange change, the Commission summarily may the Commission does not edit personal submitted comment letters in further temporarily suspend such rule change if identifying information from support of its proposal.8 No additional it appears to the Commission that such submissions. You should submit only comment letters were submitted. This action is necessary or appropriate in the information that you wish to make order disapproves the proposed rule public interest, for the protection of available publicly. All submissions change. should refer to File Number SR–CBOE– investors, or otherwise in furtherance of II. Description of the Proposal the purposes of the Act. If the 2015–058 and should be submitted on Commission takes such action, the or before July 14, 2015. In 2007, the Exchange adopted a Commission will institute proceedings For the Commission, by the Division of quote mitigation plan in connection to determine whether the proposed rule Trading and Markets, pursuant to delegated with the Options Penny Pilot Program change should be approved or authority.18 (‘‘Penny Pilot’’).9 The Exchange’s quote disapproved. Brent J. Fields, mitigation plan consisted of several Secretary. different strategies used together to IV. Solicitation of Comments 10 [FR Doc. 2015–15338 Filed 6–22–15; 8:45 am] mitigate quotes. In 2009, the Exchange adopted the quote mitigation plan used Interested persons are invited to BILLING CODE 8011–01–P submit written data, views, and by NYSE Arca.11 According to the arguments concerning the foregoing, Exchange, the quote mitigation plan was including whether the proposed rule SECURITIES AND EXCHANGE designed to reduce the number of change is consistent with the Act. COMMISSION quotation messages sent by the Comments may be submitted by any of Exchange to the Options Price Reporting the following methods: [Release No. 34–75190; File No. SR– Authority (‘‘OPRA’’) by only submitting NYSEMKT–2014–86] Electronic Comments Self-Regulatory Organizations; proceedings to determine whether to approve or • Use the Commission’s Internet disapprove the proposed rule change. NYSEMKT LLC.; Order Disapproving comment form (http://www.sec.gov/ 6 See Letter from Elizabeth King, Secretary & Proposed Rule Change To Remove the rules/sro.shtml); or General Counsel, Exchange, to Kevin O’Neill, • Send an email to rule-comments@ Exchange’s Quote Mitigation Plan as Deputy Secretary, Commission, dated January 8, Provided in Exchange Rule 970.1NY 2015 (‘‘NYSE MKT Letter 1’’) available at http:// sec.gov. Please include File Number SR– www.sec.gov/comments/sr-nysemkt-2014-86/ CBOE–2015–058 on the subject line. June 17, 2015. nysemkt201486-1.pdf. 7 See Securities and Exchange Release No. 74087, Paper Comments I. Introduction 80 FR 3697 (January 23, 2015) (Order Instituting • Send paper comments in triplicate Proceedings to Determine Whether to Approve or On October 2, 2014, NYSE MKT LLC, Disapprove a Proposal Rule Change to Remove the to Secretary, Securities and Exchange (‘‘NYSE MKT’’ or ‘‘Exchange’’) filed Exchange’s Quote Mitigation Plan as Provided by Commission, 100 F Street NE., with the Securities and Exchange Exchange Rule 970.1NY) (‘‘OIP’’). Washington, DC 20549–1090. Commission (‘‘Commission’’), pursuant 8 See Letters from Elizabeth King, Secretary & All submissions should refer to File General Counsel, Exchange, to Kevin O’Neill, to section 19(b)(1) of the Securities Deputy Secretary, Commission, dated February 27, Number SR–CBOE–2015–058. This file Exchange Act of 1934 (‘‘Act’’) 1 and Rule 2015 (‘‘NYSE MKT Letter 2’’) available at http:// number should be included on the 19b–4 thereunder,2 a proposed rule www.sec.gov/comments/sr-nysemkt-2014-86/ subject line if email is used. To help the change to remove the Exchange’s quote nysemkt201486-2.pdf and to Brent Fields, Commission process and review your Secretary, Commission, dated June 4, 2015 (‘‘NYSE mitigation plan as provided by NYSE MKT Letter 3’’) available at http://www.sec.gov/ comments more efficiently, please use MKT Rule 970.1NY. The proposed rule comments/sr-nysemkt-2014-86/nysemkt201486- only one method. The Commission will change was published for comment in 3.pdf. post all comments on the Commission’s the Federal Register on October 21, 9 See Securities and Exchange Release No. 55162 Internet Web site (http://www.sec.gov/ 3 (January 24, 2007), 72 FR 4738 (February 1, 2007) 2014. On December 2, 2014, pursuant (Order Granting Approval of SR–Amex–2006–106) rules/sro.shtml). Copies of the 4 to section 19(b)(2) of the Act, the (‘‘Quote Mitigation Approval Order’’). In this Order, submission, all subsequent Commission designated a longer period the Commission approved a proposed rule change amendments, all written statements within which to approve the proposed to amend the American Stock Exchange LLC (n/k/ with respect to the proposed rule rule change, disapprove the proposed a NYSE MKT) rules to (i) permit thirteen options change that are filed with the classes to be quoted in pennies on a pilot basis and rule change, or institute proceedings to (ii) adopt various quote mitigation strategies. In Commission, and all written determine whether to approve or approving the Penny Pilot, the Commission communications relating to the disapprove the proposed rule change.5 analyzed data provided by the options exchanges to proposed rule change between the assess the potential impact the Penny Pilot would have on, among other things, the increase in Commission and any person, other than 18 17 CFR 200.30–3(a)(12). quotation message traffic. The Exchange those that may be withheld from the 1 15 U.S.C. 78s(b)(1). subsequently adopted the quote mitigation plan public in accordance with the 2 17 CFR 240.19b–4. used by NYSE Arca. See Securities and Exchange provisions of 5 U.S.C. 552, will be 3 See Securities Exchange Act Release No. 73367 Release No. 59472 (February 27, 2009), 74 FR 9843 available for Web site viewing and (October 15, 2014), 79 FR 63009 (‘‘Notice’’). (March 6, 2009) (SR–ALTR–2008–14) (‘‘Quote 4 Mitigation Approval Order No. 2’’). printing in the Commission’s Public 15 U.S.C. 78s(b)(2). 5 See Securities Exchange Act Release No. 73718, 10 See Order Granting Approval of SR–Amex– 79 FR 72748 (December 8, 2014). The Commission 2006–106, supra note 9, at 4739. 16 15 U.S.C. 78s(b)(3)(A). designated January 19, 2015, as the date by which 11 See Quote Mitigation Approval Order No. 2, 17 17 CFR 240.19b–4(f). it should approve, disapprove, or institute supra note 9.

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quote messages for ‘‘active’’ series.12 that reliance on the OLPP, via Exchange quote message traffic resulting from The Exchange defines active series Rule 903A, and the refined market elimination of the Exchange’s quote under the quote mitigation plan in maker quoting obligations, pursuant to mitigation plan.26 Exchange Rule 970.1NY as: (i) Series Commentary .01 to Exchange Rule The Exchange states that at least one that have traded on any options 925.1NY, is sufficient as a quote other options exchange primarily relies exchange in the previous 14 calendar mitigation plan.19 Third, the Exchange on the OLPP requirements in Rule 903A days; or (ii) series that are solely listed states that both the Exchange’s systems as a quote mitigation plan. 27 The on the Exchange; or (iii) series that have capacity and OPRA’s systems capacity Exchange explains that OLPP Rule 903A been trading ten days or less; or (iv) are more than sufficient to puts a restriction on the range of series for which the Exchange has accommodate any additional increase in permissible strike prices based on the received an order.13 In addition, under quote message traffic that might be sent price of the underlying security.28 The the Exchange’s quote mitigation plan, to OPRA as a result of the deletion of Exchange states its view that reliance on the Exchange may define a series as the quote mitigation plan.20 The the OLPP requirements is consistent active on an intraday basis if: (i) the Exchange represents that it continually with the Act and would sufficiently series trades at any options exchange; assesses its capacity needs and ensures limit the number of options series listed (ii) the Exchange receives an order in that the capacity that it requests from on the Exchange.29 the series; or (iii) the Exchange receives OPRA is sufficient and compliant with Next, the Exchange argues that a request for quote from a customer in the requirements established in the eliminating its quote mitigation plan is that series.14 OPRA Capacity Guidelines.21 consistent with the Act because refined The Exchange proposes to remove its The Exchange further represents that market maker quoting obligations quote mitigation plan from its rules by it has in place certain measures that act currently in place on the Exchange, deleting Exchange Rule 970.1NY.15 The as additional safeguards against which exempt certain options series Exchange states that its quote mitigation excessive quoting.22 According to the from market makers’ continuous quoting plan is no longer necessary primarily for Exchange, these safeguards include obligations, reduce the universe of three reasons. First, the Exchange states monitoring and alerting market makers series in which a market maker is that its incorporation of select disseminating an unusual number of required to quote.30 The Exchange notes provisions of the Options Listing quotes, a business plan designed to that these refined obligations were Procedures Plan (‘‘OLPP’’) 16 in ensure that new listings are actively adopted following implementation of its Exchange Rule 903A serves to reduce traded,23 and a ratio threshold fee quote mitigation plan,31 and believes the potential for excess quoting because designed to encourage the efficient use that as a result, market makers do not the OLPP limits the number of options of orders.24 need to quote in approximately 5,000 options series, thereby decreasing quote series eligible to be listed, which, III. Summary of Comment Letters according to the Exchange, reduces the message traffic.32 number of options series a market maker NYSE MKT submitted three comment The Exchange argues that it has would be obligated to quote.17 Second, letters in which it: (1) supports its sufficient capacity to handle quoting in the Exchange states its view that position that Rule 903A of the OLPP all options series, including quotes in Exchange Rule 925.1NY Commentary together with the current exceptions those series that are inactive and not .01, which removes certain options from a market maker’s continuous currently disseminated pursuant to the series from market makers’ continuous quoting obligations for certain options Exchange’s quote mitigation plan.33 In quoting obligations, reduces the number series would be sufficient as a quote support of this statement, the Exchange 25 of quote messages that the Exchange mitigation plan, (2) provides explains that although quotes in sends to OPRA.18 The Exchange states additional information to support its inactive series do not generate quote argument that relying on the OLPP traffic from NYSE MKT, the Exchange 12 See Notice, supra note 3, at 63009. requirements in Rule 903A would 13 See Exchange Rule 970.1NY, and Notice, supra suffice as a quote mitigation plan; and 26 See NYSE MKT Letter 1 supra note 6. note 3, at 63009. (3) supports its argument that the 27 See NYSE MKT Letter 1, supra note 6, at 1– 14 See Exchange Rule 970.1NY. Exchange and OPRA have sufficient 2. The comment letter further notes that the Miami 15 See Notice, supra note 3, at 63010. In addition, capacity to accommodate an increase in International Securities Exchange, LLC (‘‘MIAX’’) the Exchange proposes to amend paragraphs (b)(1) stated in a response to comments on a proposed and (b)(2) of Exchange Rule 970NY (Firm Quotes) rule change relating to increasing the number of to delete references to the ‘‘Quote Mitigation Plan.’’ a time to expiration of twelve months or greater for options series associated with Short Term Options Id. Index options.’’ See also Notice, supra note 3, at Series that it was not using a quote mitigation 63009–10. strategy, but instead employs a listing policy that 16 See Amendment to Plan for the Purpose of 19 mitigates the number of classes and series listed on Developing and Implementing Procedures Designed See Notice, supra note 3, at 63010. The its exchange by not listing illiquid options classes to Facilitate the Listing and Trading of Exchange states its view that limiting the number and products that are not already trading on another Standardized Options Submitted Pursuant to of options series listed on the Exchange is market. (See NYSE MKT Letter 1, supra note 6, at Section 11A(a)(3)(B) of the Securities Exchange Act preferable to suppressing the quotes of inactive 2 (citing Letter to Elizabeth Murphy, Secretary, U.S. available at http://www.theocc.com/clearing/ options series, as required under current Exchange Securities Exchange Commission, from Brian industry-services/olpp.jsp (providing for the most Rule 970.1NY, because all quotes sent by Exchange O’Neill, VP and Senior Counsel, MIAX, dated June current OLPP). See also Securities and Exchange market makers are actionable even if not displayed. See id. 2, 2013, available at http://www.sec.gov/comments/ Release No. 44521 (July 6, 2001), 66 FR 36809 (July 20 sr-miax-2013-23/miax201323-2.pdf)). NYSE MKT 13, 2001) (order approving the OLPP). See Notice, supra note 3, at 63010. 21 notes that it has a similar policy designed to help 17 See Notice, supra note 3, at 63009. See also See id. 22 See id. ensure that the Exchange does not list options that Securities and Exchange Release No. 61978 (April generate quote volume without providing the 23 See id. (citing to Commentary .09(b) to 23, 2010), 75 FR 22886 (April 30, 2010) benefit of trading volume. See NYSE MKT Letter 1, Exchange Rule 915). (NYSEAmex–2010–39) (in which the Exchange supra note 6, at 2 and 4. adopted select provisions of the OLPP into 24 See id. (citing to NYSE Amex Options Fee 28 See NYSE MKT Letter 2, supra note 8, at 1– Exchange Rule 903A). Schedule, available at, https://www.theice.com/ 2. 18 Commentary .01 to Exchange Rule 925.1NY publicdocs/nyse/markets/amex-options/NYSE_ 29 See NYSE MKT Letter 1, supra note 6, at 1. provides that Exchange market makers continuous Amex_Options_Fee_Schedule.pdf). 30 quoting obligations do not apply ‘‘to adjusted 25 See NYSE MKT Letter 1, supra note 6, at 1. See See NYSE MKT Letter 1, supra note 6, at 3. option series, and series with a time to expiration also NYSE MKT Letter 2, supra note 8, at 1–2. The 31 Id. of nine months or greater, for options on equities Exchange also supplies an actual illustration of how 32 Id. and Exchange Traded Fund Shares, and series with the Rule results in quote mitigation. Id. at 2. 33 See NYSE MKT Letter 1, supra note 6, at 2.

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must nonetheless receive and process to 359,000 messages per seconds Commission cannot find that the quotes in such series, and perform (‘‘mps’’), and that by July 2015, OPRA’s proposed rule change is consistent with additional processing to suppress quotes peak capacity is anticipated to be section 6(b)(5) of the Act,49 which in these series to comply with their 42,100,000 mps.42 In addition, the requires that the rules of a national quote mitigation plan.34 The Exchange Exchange states, based on peak message securities exchange be designed, among states that because it is already traffic figures on the Exchange for one other things, to prevent fraudulent and processing the quotes it suppresses, it is day in May 2015,43 that if the quotes the manipulative acts and practices, to ‘‘confident that its own systems capacity Exchange suppressed on that day had promote just and equitable principles of is more than sufficient to accommodate been sent to OPRA, industry quotes trade, to remove impediments to and any increase in the traffic that might be published by OPRA would have perfect the mechanism of a free and sent to OPRA.’’ 35 The Exchange notes increased by no more than 1.5%, and open market and a national market that in its requests for capacity that this would use less than .05% of system, and to protect investors and the submitted to the Independent Systems total OPRA capacity.44 public interest. Capacity Advisory (‘‘ISCA’’) (which IV. Discussion In conjunction with the adoption of OPRA uses to ensure overall aggregate the Penny Pilot in 2007 that permitted capacity), NYSE MKT assumes that (1) Under section 19(b)(2)(C) of the Act, the options exchanges to quote certain options series that are inactive at that the Commission shall approve a options series in one and five cent time could become active in the future, proposed rule change of a self- increments, and in response to a letter thereby increasing overall message regulatory organization if the sent by the then Chairman of the traffic sent to OPRA, and (2) that all Commission finds that such proposed Commission,50 the options exchanges, options series that it lists, including rule change is consistent with the including NYSE MKT, adopted quote those without continuous quoting requirements of the Act, and the rules mitigation plans.51 The Commission obligations for market makers, will and regulations thereunder that are 45 emphasized the importance of options generate message traffic to OPRA.36 The applicable to such organization. The exchanges’ quote mitigation strategies in Exchange further states its belief that Commission shall disapprove a connection with the Penny Pilot in its OPRA also would be able to proposed rule change if it does not make 46 orders approving an expansion of the accommodate any increase in quote such a finding. Rule 700(b)(3) of the Penny Pilot in 2007. In those orders, the message traffic resulting from NYSE Commission’s Rules of Practice states Commission noted that options MKT no longer suppressing quotes in that the ‘‘burden to demonstrate that a exchanges participating in the Penny inactive series.37 proposed rule change is consistent with Pilot would continue to use quote The Exchange further argues that the [Act] . . . is on the self-regulatory mitigation strategies.52 Likewise, when eliminating its quote mitigation plan is organization that proposed the rule the Commission approved NYSE Arca’s consistent with the Act because the change’’ and that a ‘‘mere assertion that proposal to again expand the Penny Exchange actively monitors market the proposed rule change is consistent Pilot in 2009, the Commission reiterated maker quoting activity and alerts market with those requirements . . . is not 47 that the NYSE Arca would retain and makers to heightened levels of quoting sufficient.’’ continue to employ its quote mitigation After careful consideration, the activity, which could result from strategy.53 systems issues or an incorrectly set Commission cannot find that the parameter that generates erroneous proposed rule change is consistent with impact on efficiency, competition, and capital 38 quotes. The Exchange notes that NYSE the requirements of the Act and the formation. 15 U.S.C. 78c(f). MKT’s requests for capacity to the ISCA rules and regulations thereunder 49 15 U.S.C. 78f(b)(5). are adjusted to account for ‘‘some level’’ applicable to a national securities 50 In a letter sent to the options exchanges on June of erroneous quoting.39 exchange.48 In particular, the 7, 2006, encouraging the implementation of a penny The Exchange also states that the pilot program, then Chairman Cox noted that quoting options in pennies would increase quote 42 landscape regarding quote message Id. message traffic, which the systems of exchanges, traffic and capacity has changed since 43 Id. The Exchange represents that as of Friday market data vendors, and securities firms must be the adoption of the Penny Pilot.40 NYSE May 29, 2015, peak message traffic for the Exchange able to manage, and for that reason, quoting options was 3,121,570 mps, measured over a 100 MKT represents that in January 2007, in pennies would begin in a small number of millisecond period. Based on this, the Exchange options. To assist in managing the anticipated using the quote mitigation plan believes that if the highest percentage of quotes increase in quote traffic, Chairman Cox asked that currently in place on the Exchange, 15% suppressed by the Exchange during this period the options exchanges include a workable quote of quotes received by the NYSE Arca, (6.7%) had been published at the same rate as mitigation strategy in any proposal to allow quoting were not sent to OPRA, compared to quotes the Exchange had not suppressed during this in pennies. See Commission Press Release 2006–91, time, the mps rate would instead be 3,330,715. Id. ‘‘SEC Chairman Cox Urges Options Exchanges to 4.3% received by the Exchange as of 44 Id. Start Limited Penny Quoting,’’ June 7, 2006. 41 April 2015. The Exchange also states 45 15 U.S.C. 78s(b)(2)(C)(i). 51 See Quote Mitigation Approval Order, supra that at the time the Penny Pilot was 46 15 U.S.C. 78s(b)(2)(C)(i); see also 17 CFR note 9. adopted, OPRA’s total capacity was set 201.700(b)(3) and note 47 infra, and accompanying 52 See Securities Exchange Act Release No. 56568, text. 72 FR 56422 (October 3, 2007) (SR–NYSEArca– 47 17 CFR 201.700(b)(3). The description of a 2007–88); 56567 (September 27, 2007), 72 FR 56307 34 Id. proposed rule change, its purpose and operation, its (October 3, 2007) (Amex–2007–96); 56565 35 Id. effect, and a legal analysis of its consistency with (September 27, 2007), 72 FR 56403 (October 3, 36 See NYSE MKT Letter 1, supra note 6, at 2– applicable requirements must all be sufficiently 2007) (CBOE–2007–98); 56564 (September 27, 3. detailed and specific to support an affirmative 2007), 72 FR 56412 (October 3, 2007) (ISE–2007– 37 See NYSE MKT Letter 1, supra note 6, at 1– Commission finding. See id. Any failure of a self- 74); 56563 (September 27, 2007), 72 FR 56429 2. regulatory organization to provide the information (October 3, 2007) (Phlx–2007–62); and 56566 38 See NYSE MKT Letter 1, supra note 6, at 3– solicited by Form 19b-4 may result in the (September 27, 2007), 72 FR 56400 (October 3, 4. Commission not having a sufficient basis to make 2007) (BSE–2007–40). 39 Id. at 4. an affirmative finding that a proposed rule change 53 See Securities Exchange Act Release No. 60711, 40 See NYSE MKT Letter 3, supra note 8, at 2. is consistent with the Act and the rules and 74 FR 49419 (September 28, 2009) (SR–NYSEArca– 41 Id. Although the Exchange had not yet adopted regulations issued thereunder that are applicable to 2009–44). See also Securities Exchange Act Nos. its current quote mitigation plan in January 2007, the self-regulatory organization. Id. 60373 (October 23, 2009), 74 FR 56675 (November it provided data from NYSE Arca from this time 48 In disapproving the proposed rule change, the 2, 2009) (Phlx–2009–91); 60864 (October 22, 2009), period for comparative purposes. Id. Commission has considered the proposed rule’s 74 FR 55876 (October 29, 2009) (CBOE–2009–076);

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In approving NYSE MKT’s proposal As noted above, the Exchange quantify the number or percentage of in February 2007, the Commission believes that its quote mitigation plan is quote messages that have been and stated that because it expected that the no longer necessary because: (1) The would continue to be suppressed as a Penny Pilot would increase quote Exchange has incorporated select result of the implementation of message traffic, the Commission also provisions of the OLPP in Exchange Exchange Rule 903A 61 or current approved the Exchange’s proposal to Rule 903A, which the Exchange believes Exchange Rule 925.1NY Commentary reduce the number of quotations it limits the number of series eligible to be .01.62 The Commission notes that the 54 disseminates. In 2009, the traded; (2) current Exchange Rule 925.1 Exchange’s comment letter stated its Commission approved NYSE MKT’s NY Commentary .01 removes certain belief that as a result of refined quoting implementation of a quote mitigation options series from market makers’ obligations, market makers do not need strategy identical to that in place on continuous quoting obligations, which to quote in approximately 5,000 options NYSE Arca.55 the Exchange believes reduces the series, and that this has resulted in a In 2007 and 2009, the Commission number of quote messages that the decrease in message traffic,63 however, approved rule changes expanding the Exchange sends to OPRA; and (3) both the Exchange did not provide data to number of classes eligible to participate the system capacity at the Exchange and in the Penny Pilot.56 In so approving, at OPRA are more than sufficient to quantify the decrease in message traffic the Commission reviewed data provided accommodate any additional increase in for the Commission to consider. Absent by the options exchanges, including quote message traffic that might be sufficient information and data of this data relating to OPRA’s capacity to disseminated if NYSE MKT’s quote type, the Commission is not able to process the increase in quotes resulting mitigation plan is eliminated. However, adequately evaluate the Exchange’s from the expansion of the Penny Pilot the Exchange has not provided the assertion that ‘‘reliance on the OLPP, via and the effectiveness of its quote Commission with sufficient data Rule 903A, together with the refined mitigation plan.57 In approving each of regarding potential changes in quote market maker obligation, pursuant to these expansions, the Commission message traffic if the Commission Commentary .01 to Rule 925.1NY, is noted that it relied, in part, on the approves its proposal. sufficient as a quote mitigation strategy Exchange’s representation that it would For example, the Exchange does not continue to use its quote mitigation plan provide sufficient data about the traffic that would likely result from the expansion to suppress certain quotation traffic that number of quote messages that its quote of the Penny Pilot to 363 classes. In approving the 58 would otherwise be sent to OPRA. The mitigation plan currently suppresses expansion, the Commission noted that NYSE Arca ‘‘had adopted and [would] continue to utilize quote Commission also relied on data relative to capacity at OPRA. provided by the options exchanges to mitigate strategies that should continue to mitigate Specifically, the Exchange provided the expected increase in quotation traffic.’’) Id. at support representations that capacity data from May 29, 2015 that purports to 49422–23. was not a concern, and that the quote show that if all quote messages 61 In 2009, the OLPP Participants, including mitigation plans in place were suppressed by the Exchange were NYSE MKT, represented that the new strategy they successful.59 were proposing as Amendment No. 3 to the OLPP instead sent to OPRA, industry quotes (which was subsequently codified as Rule 903A on published by OPRA would increase by the Exchange’s rulebook) would be ‘‘an additional 60865 (October 22, 2009), 74 FR 55880 ((ISE–2009– no more than 1.5%. The Exchange strategy’’ to be used to address overall capacity 82); 60886 (October 27, 2009), 74 56897 (November concerns in the industry. See Securities Exchange 3, 2009); 60874 (October 23, 2009), 74 FR 56682 asserts that this increase would use less Act Release No. 60365 (July 22, 2009), 74 FR 37266 (November 2, 2009) (NASDAQ–2009–091); and than .05% of total OPRA capacity across (July 28, 2009) (Notice of Filing of Amendment No. 61106 (December 3, 2009), 74 FR 65193 (December all option exchanges. Importantly, 3 to the OLPP proposing uniform standards to the 9, 2009) (NYSEAmex–2009–74). however, the Exchange does not provide range of options series exercise prices available for 54 See Quote Mitigation Approval Order, supra trading). Although it was anticipated that the note 9, at 4740. data that shows the excess capacity exercise price limitation bands set forth in 55 See Quote Mitigation Approval Order No. 2, between peak quote message traffic sent Amendment No. 3 would also have the attendant supra note 9. from all options exchanges and OPRA’s benefit of further reducing increases in quote 56 The Commission approved thirteen classes to Peak Capacity for the May 29, 2015 message traffic, nothing in the language in the participate in the Penny Pilot on January 24, 2007. exchanges’ OLPP filings suggest that the See Quote Mitigation Approval Order, supra note sample. If peak quote message traffic methodology set forth in Amendment No. 3 (to limit 9. On September 27, 2007, the Commission sent to OPRA by all the options the number of options series available for trading) approved an expansion of the Penny Pilot, which exchanges was at or approached OPRA’s was intended to replace the options exchanges’ raised the number of participating classes to 63. See Peak Capacity, then potentially even a quote mitigation strategies, nor does the language in Securities Exchange Act Release No. 56567, 72 FR those filings suggest that it was contemplated at the 56396 (October 3, 2007) (Amex–2007–96) (Order small increase in quote message traffic time that the options exchanges would eliminate Approving Expansion 1). On September 23, 2009, from one exchange could result in their existing exchange-specific quote mitigation the Commission approved another expansion, OPRA’s capacity being exceeded. strategies. raising the number of participating classes to 363. In addition, the Exchange does not 62 While NYSE MKT stated in its proposed rule See Securities Exchange Act Release No. 60711, 74 provide data or analysis demonstrating change to adopt Commentary .01 to Exchange Rule FR 49419 (September 28, 2009) (NYSEArca–2009– 925.1NY that the burden of continuous quoting in 44) (Order Approving Expansion 2). NYSE MKT the potential impact the Exchange’s adjusted series is counter to efforts to mitigate the filed a proposed rule change for immediate proposal would have on market number of quotes collected and disseminated, and effectiveness, copying the expansion approved by participants who consume the OPRA that the proposal would further the goal of quote the Commission in NYSE Arca–2009–44. See mitigation, this was not a basis given for the Securities Exchange Act Release No. 61106 and/or the Exchange’s quotation 60 proposed rule change, and the Exchange did not (December 3, 2009), 74 FR 65193 (December 9, message feeds. Nor does the Exchange provide any data on what the impact of the 2009)(Notice of Filing and Immediate Effectiveness proposal on quote volume would be. See Securities of NYSEAmex–2009–74). below the OPRA’s current message per second Exchange Act Release No. 65209 (August 26, 2011), 57 See Order Approving Expansion 1 and Order capacity limit of 2,050,000. Id. 76 FR 54518 (September 1, 2011) (NYSEAmex– Approving Expansion 2, supra note 56, at 56398 60 See Order Approving Expansion 2, supra note 2011–61). Additionally, the Commission did not and 49422–23, respectively. 56, at 49421 (The Commission noted that several consider the potential impact of the proposal on 58 Id. commenters expressed concerns that increased quote mitigation as a basis for approving the 59 See Order Approving Expansion 2, supra note quotation message traffic imposes costs on elimination of continuous quoting obligation in 56, at 49422. For example, in the order approving exchanges and other market participants to process certain series. See Securities Exchange Act Release Expansion 2, the Commission noted that on June 2, and store the additional quotations and they No. 65572 (October 14, 2011), 76 FR 65310 (October 2009, the sustained message traffic peak of 852,350 questioned the ability of market systems to 20, 2011) (NYSEAmex–2011–61). messages per second reported by OPRA is still well effectively handle the increased quote message 63 See NYSE MKT Letter 1, supra note 6, at 3.

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and obviates the need for Rule 970.1.’’ 64 For the Commission, by the Division of for the Consolidated Audit Trail Other information or data may also be Trading and Markets, pursuant to delegated (‘‘Selection Plan’’).3 Amendment No. 1 helpful for the Commission’s authority.67 was published for comment in the consideration of the proposed rule Brent J. Fields, Federal Register on February 11, 2015.4 change. Without sufficient supporting Secretary. The Commission received one comment data and analysis, the Commission is [FR Doc. 2015–15340 Filed 6–22–15; 8:45 am] letter 5 and the SROs submitted a not able to adequately assess the impact BILLING CODE 8011–01–P response to that comment letter.6 This of NYSE MKT’s proposed rule change to order approves Amendment No. 1 to the eliminate its quote mitigation plan and Selection Plan. make a determination that the proposed SECURITIES AND EXCHANGE II. Background and Description of the rule change is consistent with the Act. COMMISSION Proposal Given the limitations in the data [Release No. 34–75192; File No. 4–668] provided by NYSE MKT, as described A. Background above, the Commission cannot find a Joint Industry Plan; Order Approving On July 11, 2012, the Commission sufficient basis to conclude that the Amendment No. 1 to the National adopted Rule 613 to require the SROs to proposal is consistent with the Act. The Market System Plan Governing the jointly submit an NMS plan to create, Commission notes, however, that the Process of Selecting a Plan Processor implement, and maintain a consolidated Penny Pilots for each of the options and Developing a Plan for the audit trail (‘‘CAT NMS Plan’’).7 In exchanges are anticipated to be Consolidated Audit Trail by BATS response, the SROs engaged in a request extended for an additional year, until Exchange, Inc., BATS–Y Exchange, for proposal (‘‘RFP’’) process to help June 30, 2016. In connection with any Inc., BOX Options Exchange LLC, C2 them develop an NMS Plan proposal future requests to extend the Penny Options Exchange, Incorporated, and to solicit bids (‘‘Bids’’) for the role Pilots after that date, the Commission Chicago Board Options Exchange, of Plan Processor 8 to build, operate, intends to require each exchange to Incorporated, Chicago Stock administer, and maintain the submit detailed information to allow for Exchange, Inc., EDGA Exchange, Inc., consolidated audit trail.9 The Selection permanent approval or disapproval by EDGX Exchange, Inc., Financial Plan, which was approved by the the Commission. Such proposals Industry Regulatory Authority, Inc., Commission on February 21, 2014, sets should, among other things, provide International Securities Exchange, forth the process by which the detailed data and analysis to support the LLC, ISE Gemini, LLC, Miami Participants will review, evaluate, and efficacy, or any proposed modification International Securities Exchange LLC, narrow down the Bids, and ultimately or elimination, of any exchanges’ quote NASDAQ OMX BX, Inc., NASDAQ OMX 65 select the Plan Processor, following mitigation plan. PHLX LLC, The NASDAQ Stock Market Commission approval of the CAT NMS For the foregoing reasons, the LLC, National Stock Exchange, Inc., Plan.10 Currently, the Participants have Commission does not believe that NYSE New York Stock Exchange LLC, NYSE narrowed the universe of Bids received MKT has met its burden to demonstrate MKT LLC, and NYSE Arca, Inc. to a set of six ‘‘Shortlisted Bidders.’’ that the proposed rule change is Under the Selection Plan, a Shortlisted consistent with the requirements of the June 17, 2015. Bidder is only eligible to revise its Bid Act and the rules and regulations I. Introduction following Commission approval of the thereunder, including that the rules of CAT NMS Plan and approval of a On December 12, 2014, BATS an exchange be designed to promote just majority of the Selection Committee.11 Exchange, Inc., BATS–Y Exchange, Inc., and equitable principles of trade, to Additionally, the Participants are not BOX Options Exchange LLC, C2 Options remove impediments to and perfect the permitted to narrow the set of mechanism of a free and open market Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, and a national market system, and, in 3 The Selection Plan is an NMS Plan approved by general, to protect investors and the Chicago Stock Exchange, Inc., EDGA the Commission pursuant to Section 11A of the Act public interest.66 Exchange, Inc., EDGX Exchange, Inc., and Rule 608 thereunder. See Securities Exchange Financial Industry Regulatory Act Release No. 71596 (Feb. 21, 2014), 79 FR 11152 IV. Conclusion (Feb. 27, 2014) (‘‘Order Approving Selection Plan’’); Authority, Inc., International Securities see also Securities Exchange Act Release No. 70892 For the reasons set forth above, the Exchange, LLC, ISE Gemini, LLC, Miami (Nov. 15, 2013), 78 FR 69910 (Nov. 21, 2013) Commission does not believe that NYSE International Securities Exchange LLC, (‘‘Notice of Selection Plan’’). MKT has met its burden to demonstrate NASDAQ OMX BX, Inc., NASDAQ 4 See Securities Exchange Act Release No. 74223 that the proposed rule change is (Feb. 6, 2015), 80 FR 7654 (‘‘Notice of Amendment OMX PHLX LLC, The NASDAQ Stock No. 1’’). consistent with the requirements of the Market LLC, National Stock Exchange, 5 See letter to Brent J. Fields, Secretary, Act and the rules and regulations Inc., New York Stock Exchange LLC, Commission, from Manisha Kimmel, Managing thereunder applicable to a national NYSE MKT LLC, and NYSE Arca, Inc. Director, Financial Information Forum (‘‘FIF’’), securities exchange, and in particular, (collectively, ‘‘SROs’’ or ‘‘Participants’’) dated March 13, 2015 (‘‘FIF Letter’’). 6 See letter to Brent J. Fields, Secretary, section 6(b)(5) of the Act. filed with the Securities and Exchange Commission, from the SROs, dated March 27, 2015 It is therefore ordered, pursuant to Commission (‘‘Commission’’ or ‘‘SEC’’) (‘‘SRO Response Letter’’). section 19(b)(2) of the Act, that the pursuant to section 11A of the 7 Securities Exchange Act Release No. 67457 (July proposed rule change (SR–NYSEMKT– Securities Exchange Act of 1934 18, 2012), 77 FR 45722 (Aug. 1, 2012). 8 2014–86) be, and hereby is, 1 2 Unless otherwise noted, capitalized terms are (‘‘Act’’), and Rule 608 thereunder, an used as defined in Rule 613, in the Selection Plan, disapproved. amendment (‘‘Amendment No. 1’’) to or in this Order. the National Market System (‘‘NMS’’) 9 See Notice of Amendment No. 1, supra note 4, 64 See Notice, supra note 3, at 63010. Plan Governing the Process of Selecting at 7655. 65 In reviewing the quote mitigation plans in this a Plan Processor and Developing a Plan 10 See Order Approving Selection Plan, supra manner, the Commission would be able to consider note 3. the market-wide impact of any proposed 11 See id. at 11154. The Selection Committee is modification to or elimination of an exchange’s 67 17 CFR 200.30–3(a)(12). composed of one senior officer from each SRO and quote mitigation practices. 1 15 U.S.C. 78k–1. is charged with evaluating the Bids and selecting 66 15 U.S.C. 78f(b)(5). 2 17 CFR 242.608. the Plan Processor. Id. at 11153.

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Shortlisted Bidders prior to approval of Bidders to better facilitate the ultimate SRO or an Affiliate of the SRO is a the CAT NMS Plan, but must proceed selection of the CAT Plan Processor Shortlisted Bid.23 with selection of the CAT Plan within the time limits imposed by Rule III. Summary of Comment Letter and Processor from among the Shortlisted 613 in an appropriately thoughtful and Response Bidders in a two-round voting process.12 deliberative manner.18 As described in more detail below, As noted above, the Commission Amendment No. 1 would revise the B. Description of the Proposal received one comment letter from FIF. FIF, on behalf of its Consolidated Audit Selection Plan to allow the SROs to The SROs propose to amend the accept revised Bids prior to Commission Trail Working Group, supports Selection Plan to permit the Shortlisted approval of the CAT NMS Plan and Amendment No. 1 but offers two Bidders to revise their Bids one or more 24 allow the SROs to narrow the list of recommendations. First, FIF times prior to Commission approval of Shortlisted Bids prior to Commission recommends, in the interest of the CAT NMS Plan if the Selection approval of the CAT NMS Plan. The efficiency, that the Participants narrow SROs believe that providing the Committee determines, by majority vote, the list of Bidders before any revision of Shortlisted Bidders with an additional subject to the applicable recusal Bids takes place. FIF believes that in opportunity (or opportunities) to revise provisions, that such revisions are view of the substantial efforts already 19 their Bids prior to the approval of the necessary and appropriate. undertaken by the Participants, there CAT NMS Plan is critical to the timely Amendment No. 1 would not affect should be sufficient information for the and considered selection of the CAT section VI.(D) of the Selection Plan, Participants to take action and narrow Plan Processor, and more importantly, which states that, following approval of the list of Bidders. FIF argues that it is the adherence to the other timelines for the CAT NMS Plan by the Commission, unnecessary to require all six of the the CAT NMS Plan set forth in Rule Shortlisted Bidders for the role of Plan current Shortlisted Bidders to revise 613(a).13 The SROs state that since the Processor may be permitted to revise their Bids. Further, FIF argues that time the Bidders submitted their Bids, their Bids only upon approval by a narrowing the list of Bidders prior to the SROs have gathered and evaluated majority of the Selection Committee, permitting the revision of Bids would data and information from a variety of subject to certain recusal provisions in reduce the amount of effort the SROs market participants, including Bidders, the Selection Plan.20 would need to expend in reviewing the revised Bids. broker-dealers, vendors, regulators and In Amendment No. 1, the Participants others, and have made progress in Second, FIF recommends that once also propose to provide the Selection the Participants further narrow the list developing an optimal solution and Committee discretion to narrow the set formalizing the solution in the proposed of Shortlisted Bidders, each of the of Shortlisted Bids prior to Commission remaining Bidders should receive CAT NMS Plan and related technical approval of the CAT NMS Plan. documents.14 Given these detailed information on Order Audit Specifically, Amendment No. 1 would Trail System (‘‘OATS’’), electronic blue developments, the SROs believe that authorize an additional round of Bidders should be permitted to revise sheets (‘‘EBS’’), and Large Trader so that voting 21 to narrow the number of Bidders can consider all of the required their Bids using the new information Shortlisted Bids, currently six, down to provided in the proposed CAT NMS functionality to retire these systems in as few as three Bids. This round of Plan and technical documents prior to preparing their revised Bids. FIF notes voting, which could occur either before approval of the CAT NMS Plan.15 The that the retirement of these systems is or after any revisions to Shortlisted Bids SROs also state that given the passage of critical to managing the cost of CAT’s are accepted, would commence upon at time since the Bids were submitted, implementation, and additional least a two-thirds vote of the Selection Bidders have indicated that new information concerning the technological and other beneficial Committee, and would proceed in a functionality required to retire these solutions are now available that may manner similar to the initial round of systems would aid in revising Bids. FIF further improve the Bids, and, voting for determining the Shortlisted believes that understanding the precise 22 ultimately, the proposed solutions.16 Bids. Proposed Amendment No. 1 functional requirements for retiring The SROs also explain that given the includes a recusal provision providing OATS is critical and imperative for a large amount of information they expect that no SRO shall vote in the process level playing field among Bidders. The SROs considered FIF’s will be included in any revised Bids and narrowing the set of Shortlisted Bidders recommendations, but declined to the importance of appropriately if a Bid submitted by or including the propose modifications to the analyzing such information, the SROs 25 18 Amendment. do not believe that two months will be Id. With regard to FIF’s sufficient to select the CAT Plan 19 Id. at 7655, 57. suggestion that the SROs narrow the list 20 See Order Approving Selection Plan, supra of Bidders before allowing any revisions Processor from as many as six note 3, at 11154. 17 to the Bids, the SROs state that one of Shortlisted Bidders. However, the 21 This additional narrowing round would occur the main purposes of the Amendment is SROs believe that if the existing prior to the two-round voting process for selection to provide greater flexibility to the SROs Shortlisted Bidders were able to revise of the CAT Plan Processor under Section VI.(E) of to narrow the list of Bidders.26 their Bids, including the option to the Selection Plan. See id. The 22 reflect any new technology or other See Notice of Amendment No. 1, supra note 4, SROs, however, note that they recognize at 7655, 57. In voting to narrow the list of of the value of a streamlined process for all relevant developments, the SROs could Shortlisted Bids, the voting representative from each SRO would choose a first, second, and third further narrow the list of Shortlisted 23 choice of Shortlisted Bid, with each choice See id. The SROs have also submitted, and the Commission is currently considering, a second 12 See id. at 11154. receiving a weight of, respectively, three points, two points, and one point. The three Bids receiving the proposed amendment to the Selection Plan 13 See Notice of Amendment No. 1, supra note 4, highest cumulative number of points would extending this recusal requirement to all selection at 7655. constitute the new set of Shortlisted Bids. The voting rounds. See Securities Exchange Act Release 14 Id. Amendment also provides for a tie-breaking No. 75193 (June 17, 2015). 15 Id. process, which could result in more than three 24 See FIF Letter, supra note 5. 16 Id. Shortlisted Bids continuing in the process for 25 See SRO Response Letter, supra note 6, at 3. 17 Id. selection of the CAT Plan Processor. 26 Id. at 2.

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parties and intend to consider this reasonable. Permitting the SROs to SECURITIES AND EXCHANGE factor, among others, in determining accept revised Bids prior to Commission COMMISSION when to narrow the list of Shortlisted approval of the CAT NMS Plan, and to Bidders.27 narrow the number of Shortlisted Bids [Extension: Form N–5; OMB Control No. 3235–0169, SEC File No. 270–172] The SROs concur with FIF in the prior to Commission approval of the significance of retiring overlapping and CAT NMS Plan,30 will allow the SROs Submission for OMB Review; redundant systems, but do not see this to position themselves to avoid any Comment Request as linked to the proposed amendment to delays in selecting the CAT Plan the Selection Plan. The SROs reiterate Processor,31 thus removing any Upon Written Request, Copy Available their commitment to the retirement of impediments to meeting the additional From: Securities and Exchange systems as provided in the CAT NMS deadlines set forth in Rule 613(a)(3).32 Commission, Office of FOIA Services, Plan,28 noting that the Plan describes 100 F Street NE., Washington, DC the major data attributes that will be Regarding FIF’s recommendation that, 20549–2736. required to retire such systems. Going prior to any Bid revisions, the SROs Notice is hereby given that, pursuant forward, as additional technical provide Bidders with detailed to the Paperwork Reduction Act of 1995 specifications are developed in functional requirements concerning (44 U.S.C. 3501 et seq.), the Securities accordance with milestones included in OATS, EBS, and Large Trader to and Exchange Commission (the the CAT NMS Plan, the SROs will facilitate retirement of those systems, ‘‘Commission’’) has submitted to the provide this information to Bidders. the Commission notes that the SROs’ Office of Management and Budget IV. Discussion Response Letter outlines the steps taken (‘‘OMB’’) a request for extension of the to date by the SROs to furnish pertinent After careful review of Amendment previously approved collection of information to assist in eliminating No. 1, the comment received, and the information discussed below. SROs’ response, the Commission finds redundant systems and contains Form N–5 (17 CFR 239.24 and 274.5) that Amendment No. 1 is necessary or commitments to supplement that is the form used by small business appropriate in the public interest, for material in the future as outlined in the investment companies (‘‘SBICs’’) to the protection of investors and the CAT NMS Plan. register their securities under the Securities Act of 1933 (15 U.S.C. 77a et maintenance of fair and orderly markets, IV. Conclusion and to remove impediments to, and seq.) (‘‘Securities Act’’) and the perfect the mechanisms of, a national For the reasons discussed above, the Investment Company Act of 1940 (15 market system. The Commission Commission finds that Amendment No. U.S.C. 80a–1 et seq.) (‘‘Investment believes Amendment No. 1 would 1 is necessary or appropriate in the Company Act’’). Form N–5 is the registration statement form adopted by provide the SROs with additional public interest, for the protection of the Commission for use by an SBIC that flexibility with respect to the process of investors and the maintenance of fair has been licensed as such under the reviewing Shortlisted Bids and selecting and orderly markets, and to remove the CAT Plan Processor. Such Small Business Investment Act of 1958 impediments to, and perfect the or which has received the preliminary additional flexibility is aimed at mechanisms of, a national market allowing the SROs to be more efficient approval of the Small Business system, or otherwise in furtherance of Administration (‘‘SBA’’) and has been in selecting the CAT Plan Processor, the purposes of the Act. which is particularly important given notified by the SBA that the company additional deadlines contained in Rule It is therefore ordered, pursuant to may submit a license application Form 613(a)(3).29 The Commission believes section 11A of the Act,33 and the rules N–5 is an integrated registration form that the SROs’ explanation that they thereunder, that Amendment No. 1 to and may be used as the registration prefer to retain flexibility in the process the Selection Plan be, and it hereby is, statement under both the Securities Act to select the Plan Processor, without any approved. and the Investment Company Act. The purpose of Form N–5 is to meet the additional conditions or restrictions, in By the Commission. response to FIF’s suggestion that they filing and disclosure requirements of Brent J. Fields, narrow the list of Bidders before both the Securities Act and Investment allowing Bidders to revise their Bids, is Secretary. Company Act, and to provide investors [FR Doc. 2015–15365 Filed 6–22–15; 8:45 am] with information sufficient to evaluate 27 Id. BILLING CODE 8011–01–P an investment in an SBIC. The 28 Rule 613(a)(viii) requires ‘‘a plan to eliminate information that is required to be filed existing audit trail rules and systems (or with the Commission permits components thereof) that will be rendered verification of compliance with duplicative by the consolidated audit trail, including identification of such audit trail rules and securities law requirements and assures systems (or components thereof); to the extent that the public availability and any existing audit trail rules or systems provide dissemination of the information. information that is not rendered duplicative by the The Commission has received one consolidated audit trail, an analysis of whether collection of such information continues to be filing on Form N–5 in the last three appropriate and, if so, whether such information 30 See Notice of Amendment No. 1, supra note 4, years, and we therefore estimate that could instead be incorporated into the consolidated at 7655, 57. SBICs will file about 0.333 filings on audit trail; the steps the plan sponsors propose to 31 Rule 613(a)(3)(i) requires the Participants to Form N–5 per year. The currently take to seek Commission approval for the select the CAT Plan Processor within two months approved burden of Form N–5 is 352 elimination of such audit trail rules and systems (or after effectiveness of the CAT NMS Plan. 17 CFR components thereof); and a timetable for such 242.613(a)(3)(i). hours per response. Therefore, the elimination, including a description of how the 32 See, e.g., Rule 613(a)(3)(iii), which requires number of currently approved aggregate plan sponsors propose to phase in the consolidated burden hours, when calculated using audit trail and phase out such existing audit trail Participants to begin providing data to the central rules and systems (or components thereof)[.]’’ 17 repository within one year after effectiveness of the the current estimate for number of CFR 242.613(a)(viii). CAT NMS Plan. filings is about 117 hours per year. The 29 17 CFR 242.613(a)(3). 33 15 U.S.C. 78k–1. currently approved cost burden of Form

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N–5 is $30,000 per filing. We continue Avenue, Suite 206, Wayne, PA 19087, SSA is soliciting comments on the to believe this estimate for Form N–5’s Federal Licensees under the Small accuracy of the agency’s burden cost burden is appropriate. Therefore, Business Investment Act of 1958, as estimate; the need for the information; we estimate that the aggregate cost amended (‘‘the Act’’), in connection its practical utility; ways to enhance its burden, when calculated using the with the financing of a small concern, quality, utility, and clarity; and ways to Commission’s estimate of 0.333 filings has sought an exemption under section minimize burden on respondents, per year, is about $10,000 in external 312 of the Act and section 107.730, including the use of automated costs per year. Financings which Constitute Conflicts collection techniques or other forms of Estimates of average burden hours of Interest of the Small Business information technology. Mail, email, or and costs are made solely for the Administration (‘‘SBA’’) Rules and fax your comments and purposes of the Paperwork Reduction Regulations (13 CFR 107.730). recommendations on the information Act, and are not derived from a Boathouse Capital II, L.P. provided collection(s) to the OMB Desk Officer comprehensive or even representative financing to AvidXchange, Inc., 4421 and SSA Reports Clearance Officer at survey or study of the costs of Stuart Andrew Boulevard, Suite 200, the following addresses or fax numbers. Commission rules and forms. Charlotte, NC 28217. The financing was (OMB); Office of Management and Compliance with the collection of contemplated for the acquisition of Budget, Attn: Desk Officer for SSA, information requirements of Form N–5 Strongroom Solutions, Inc. and working Fax: 202–395–6974, Email address: is mandatory. Responses to the capital purposes. [email protected]. collection of information will not be The financing is brought within the (SSA); Social Security Administration, kept confidential. An agency may not purview of § 107.730(a)(1) of the OLCA, Attn: Reports Clearance conduct or sponsor, and a person is not Regulations because Boathouse Capital, Director, 3100 West High Rise, 6401 required to respond to, a collection of L.P., an Associate of Boathouse Capital Security Blvd., Baltimore, MD 21235, information unless it displays a II, L.P., has the potential to own more Fax: 410–966–2830, Email address: currently valid OMB control number. than ten percent of AvidXchange. [email protected]. The public may view the background Therefore, this transaction is considered documentation for this information a financing of an Associate requiring an Or you may submit your comments collection at the following Web site, exemption. online through www.regulations.gov, www.reginfo.gov. Comments should be Notice is hereby given that any referencing Docket ID Number [SSA– directed to: (i) Desk Officer for the interested person may submit written 2015–0035]. Securities and Exchange Commission, comments on the transaction within I. The information collections below Office of Information and Regulatory fifteen days of the date of this are pending at SSA. SSA will submit Affairs, Office of Management and publication to the Acting Associate them to OMB within 60 days from the Budget, Room 10102, New Executive Administrator for Investment, U.S. date of this notice. To be sure we Office Building, Washington, DC 20503, Small Business Administration, 409 consider your comments, we must or by sending an email to: Shagufta_ Third Street SW., Washington, DC receive them no later than August 24, [email protected]; and (ii) Pamela 20416. 2015. Individuals can obtain copies of Dyson, Chief Information Officer, the collection instruments by writing to Javier Saade, Securities and Exchange Commission, c/ the above email address. o Remi Pavlik-Simon, 100 F Street NE., Associate Administrator, Office of Investment & Innovation. 1. Physician’s/Medical Officer’s Washington, DC 20549 or send an email Statement of Patient’s Capability to to: [email protected]. Comments [FR Doc. 2015–15349 Filed 6–22–15; 8:45 am] BILLING CODE P Manage Benefits—20 CFR 404.2015 and must be submitted to OMB within 30 416.615—0960–0024. SSA appoints a days of this notice. representative payee in cases where we Dated: June 18, 2015. SOCIAL SECURITY ADMINISTRATION determine beneficiaries are not capable Brent Fields, of managing their own benefits. In those Secretary. [Docket No: SSA–2015–0035] instances, we require medical evidence to determine the beneficiaries’ [FR Doc. 2015–15379 Filed 6–22–15; 8:45 am] Agency Information Collection BILLING CODE 8011–01–P capability of managing or directing their Activities: Proposed Request and benefit payments. SSA collects medical Comment Request evidence on Form SSA–787 to (1) SMALL BUSINESS ADMINISTRATION The Social Security Administration determine beneficiaries’ capability or (SSA) publishes a list of information inability to handle their own benefits, [License No. 03/03–0264] collection packages requiring clearance and (2) assist in determining the by the Office of Management and beneficiaries’ need for a representative Boathouse Capital II, L.P.; Notice payee. The respondents are Seeking Exemption Under Section 312 Budget (OMB) in compliance with Public Law 104–13, the Paperwork beneficiaries’ physicians, or medical of the Small Business Investment Act, officers of the institution in which the Conflicts of Interest Reduction Act of 1995, effective October 1, 1995. This notice includes revisions beneficiary resides. Notice is hereby given that Boathouse and extensions of OMB-approved Type of Request: Revision of an OMB- Capital II, L.P., 200 West Lancaster information collections. approved information collection.

Average Number of Frequency of burden per Estimated total Modality of completion respondents response response annual burden (minutes) (hours)

SSA–787 ...... 120,000 1 10 20,000

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2. State Supplementation Provisions: general, states report their compliance or noncompliance with the Agreement; Payments—20 CFR supplementary payment information pass-along requirements of the Act to 416.2095–416.2098, 20 CFR 416.2099— annually by the maintenance-of- determine eligibility for Medicaid 0960–0240. Section 1618 of the Social payment levels method. However, SSA reimbursement. If a state fails to keep Security Act (Act) requires those states may ask them to report up to four times payments at the required level, it administering their own supplementary in a year by the total-expenditures becomes ineligible for Medicaid income payment program(s) to method. Regardless of the method, the reimbursement under Title XIX of the demonstrate compliance with the Act by states confirm their compliance with the Act. Respondents are state agencies passing Federal cost-of-living increases requirements, and provide any changes administering supplemental programs. on to individuals who are eligible for to their optional supplementary state supplementary payments, and payment rates. SSA uses the Type of Request: Extension of an informing SSA of their compliance. In information to determine each state’s OMB-approved information collection.

Average Number of Frequency of burden per Estimated total Modality of completion respondents response response annual burden (minutes) (hours)

Total Expenditures ...... 7 4 60 28 Maintenance of Payment Levels ...... 26 1 60 26

Total ...... 33 ...... 54

3. Surveys in Accordance with E.O. include paper, Internet, and telephone versions of services. The respondents 12862 for the Social Security. surveys; mailed questionnaires; and are recipients of SSA services (including Administration—0960–0526. Under the customer comment cards. The purpose most members of the public), auspices of E. O. 12862, Setting of these questionnaires is to assess professionals, and individuals who Customer Service Standards, SSA customer satisfaction with the work on behalf of SSA beneficiaries. conducts multiple customer satisfaction timeliness, appropriateness, access, and Type of Request: Extension of an surveys each year. These voluntary overall quality of existing SSA services customer satisfaction assessments and proposed modifications or new OMB-approved information collection.

Burden Number of Range of (burden for all respondents Frequency of response activities within (burden for all response times that year; activities within (minutes) reported in that year) hours)

Year 1 ...... 7,094,640 1 3–30 1,173,904 Year 2 ...... 7,100,140 1 3–30 1,174,904 Year 3 ...... 7,105,640 1 3–30 1,176,004

Totals ...... 21,300,420 ¥ ¥ 5,722,003

1. Application for Circuit Court Law— the claimant’s case, and if the claimant provide to request readjudication. 20 CFR 404.985 & 416.1458—0960– is entitled to readjudication. If Respondents are claimants for Social 0581. Persons claiming an acquiescence readjudication is appropriate, SSA Security benefits and Supplemental ruling (AR) would change SSA’s prior considers the issues the AR covers. Any Security Income (SSI) payments who determination or decision must submit new determination or decision is subject request readjudication. a written readjudication request with to administrative or judicial review as Type of Request: Extension of an specific information. SSA reviews the specified in the regulations. This OMB-approved information collection. information in the request to determine information collection request (ICR) is if the issues stated in the AR pertain to for the information claimants must

Average Number of Frequency of burden per Estimated total Modality of completion respondents response response annual burden (minutes) (hours)

AR-based Readjudication ...... Requests ...... 10,000 1 17 2,833

2. The Ticket to Work and Self- toward independence by allowing them networks (ENs), to supervise participant Sufficiency Program—20 CFR 411— to receive Social Security payments progress through the stages of TTW 0960–0644. SSA’s Ticket to Work (TTW) while maintaining employment under Program participation, such as job Program transitions Social Security the auspices of the program. SSA uses searches and interviews, progress Disability Insurance and SSI recipients service providers, called employment reviews, and changes in ticket status.

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ENs can be private for-profit and for helping the beneficiary achieve oversight of the program. SSA collects nonprofit organizations, as well as state certain work goals. Since the ENs are this information through several vocational rehabilitation agencies (VRs). not PRA-exempt, the multiple modalities, including forms, electronic SSA and the ENs utilize the TTW information collections within the TTW exchanges, and written documentation. program manager to operate the TTW program manager require OMB The respondents are the ENs or state Program and exchange information approval, and we clear them under this VRs, as well as SSDI beneficiaries and about participants. For example, the ICR. Most of the categories of blind or disabled SSI recipients working ENs use the program manager to provide information in this ICR are necessary for under the auspices of the TTW Program. updates on tasks such as selecting a SSA to: (1) comply with the Ticket to Type of Request: Revision of an OMB- payment system or requesting payments Work legislation; and (2) provide proper approved information collection.

Average Number of Frequency of burden per Estimated total Modality of completion respondents response response annual burden (minutes) (hours)

a) 20 CFR 411.140(d)(2)—Interactive Voice Recognition Telephone ...... 6,428 1 2.5 268 a) 20 CFR 411.140(d)(2)—Portal ...... 25,713 1 1.25 536 a) 20 CFR 411.140(d)(3); 411.325(a); 411.150(b)(3)—SSA–1365 ...... 948 1 15 237 a) 20 CFR 411.140(d)(3); 411.325(a); 411.150(b)(3)—SSA–1365 Portal ...... 3,792 1 11 695 a) 20 CFR 411.140(d)(3); 411.325(a); 411.150(b)(3)—SSA–1370 ...... 1,956 1 60 1,956 a) 20 CFR 411.140(d)(3); 411.325(a); 411.150(b)(3)—SSA–1370 Portal ...... 5,868 1 10 978 a) 20 CFR 411.166; 411.170(b)—Electronic File Submission ...... 40,324 1 5 3,360 b) 20 CFR 411.145; 411.325 ...... 2,494 1 15 624 b) 20 CFR 411.145; 411.325—Portal ...... 7,481 1 11 1,372 b) 20 CFR 411.535(a)(1)(iii)—Data Sharing/Portal ...... 8,505 1 5 709 c) 20 CFR 411.192(b)&(c) ...... 6 1 30 3 c) 20 CFR 411.200(b)—SSA–1375 ...... 112,362 1 15 28,091 c) 20 CFR 411.200(b)—Portal ...... 64,824 1 5 5,402 c) 20 CFR 411.210(b) ...... 41 1 30 21 c)20 CFR 411.200(b) Wise Webinar Registration Page ...... 24,000 1 3 1,200 c) 20 CFR 411.200(b) Virtual Job Fair Registration ...... 9,500 1 10 1,583 d) 20 CFR 411.365; 411.505; 411.515 ...... 6 1 10 1 e) 20 CFR 411.325(d); 411.415 ...... 1 1 480 8 f) 20 CFR 411.575—SSA–1389; SSA–1391; SSA–1393; SSA–1396; SSA– 1398; SSA–1399 ...... 2,805 1 40 1,870 f) 20 CFR 411.575—Portal ...... 42,075 1 22 15,428 f) 20 CFR 411.575—Automatic Payments ...... 11,220 1 0 0 f) 20 CFR 411.560—SSA–1401 ...... 100 1 20 33 g) 20 CFR 411.325(f) ...... 1,371 1 45 1,028 h) 20 CFR 411.435; 411.615; 411.625 ...... 2 1 120 4 i) 20 CFR 411.320—SSA–1394 ...... 52 1 10 9 i) 20 CFR 411.320—SSA–1394 Portal ...... 158 1 5 13

Totals ...... 372,032 ...... 65,429

II. SSA submitted the information 0960–0045. SSA uses Form SSA–795 in eligibility; ongoing benefit amounts; use collections below to OMB for clearance. special situations where there is no of funds by a representative payee; fraud Your comments regarding the authorized form or questionnaire, yet investigation; and a myriad of other information collections would be most we require a signed statement from the program-related matters. The most useful if OMB and SSA receive them 30 applicant, claimant, or other persons typical respondents are applicants for days from the date of this publication. who have knowledge of facts, in Social Security, SSI, or recipients of To be sure we consider your comments, connection with claims for Social these programs. However, respondents we must receive them no later than July Security benefits or SSI. The also include friends and relatives of the 23, 2015. Individuals can obtain copies information we request on the SSA–795 involved parties, coworkers, neighbors, is of sufficient importance that we need of the OMB clearance packages by or anyone else in a position to provide both a signed statement and a penalty writing to OR.Reports.Clearance@ information pertinent to the issue(s). ssa.gov. clause. SSA uses this information to 1. Statement of Claimant or Other process, in addition to claims for Type of Request: Revision of an OMB- Person—20 CFR 404.702 & 416.570— benefits, issues about continuing approved information collection.

Average Number of Frequency of burden per Estimated total Modality of completion respondents response response annual burden (minutes) (hours)

SSA–795 ...... 305,500 1 15 76,375

2. Disability Report—Adult—20 CFR State Disability Determination Services electronic versions to determine if adult 404.1512 and 416.912—0960–0579. (DDS) use the SSA–3368 and its disability applicants’ impairments are

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severe and, if so, how the impairments to be disabled and entitled to SSI Type of Request: Revision of an OMB- affect the applicants’ ability to work. payments. The respondents are approved information collection. This determination dictates whether the applicants for Title II disability benefits DDSs and SSA will find the applicant or Title XVI SSI payments.

Average Number of Frequency of burden per Estimated total Modality of completion respondents response response annual burden (minutes) (hours)

SSA–3368 ...... (Paper form) ...... 7,571 1 90 11,357 Electronic Disability Collection System (EDCS) ...... 2,484,231 1 90 3,726,346 i3368 (Internet) ...... 1,060,360 1 90 1,590,540

Totals ...... 3,552,162 ...... 5,328,243

3. Request for Internet Services— third parties who seek personal personal information from SSA, and Authentication; Automated Telephone information from SSA records, or who individuals and third parties who are Speech Technology—Knowledge-Based register to participate in SSA’s online registering for SSA’s online business Authentication (RISA–KBA)—20 CFR business services, to provide certain services. 401.45—0960–0596. The Request for identifying information. As an extra This is a correction notice. SSA Internet Services and 800# Automated measure of protection, SSA asks published this information collection as Telephone Services (RISA) Knowledge- requestors who use the Internet and a revision on April 9, 2015 at 80 FR Based Authentication (KBA) is one of telephone services to provide additional 19102. Since we are not revising the the authentication methods SSA uses to identifying information unique to those Privacy Act Statement, this is now an allow individuals access to their individuals so SSA can authenticate extension of an OMB-approved personal information through our their identities before releasing personal information collection. Internet and Automated Telephone information. The respondents are Type of Request: Extension of an Services. SSA asks individuals and current beneficiaries who are requesting OMB-approved information collection.

Average Number of Frequency of burden per Estimated total Modality of completion respondents response response annual burden (minutes) (hours)

Internet Requestors ...... 10,373,917 1 2.5 432,247 Telephone Requestors ...... 1,703,367 1 4 113,558 * Change of Address (on hold) ...... 1 ...... 1

Totals ...... 12,077,286 ...... 545,806 * Reducing the burden to a one-hour placeholder burden; Screen Splash and Change of Address applications are on hold.

4. Application for Special Benefits for monthly payments. These regulations the relevant regulations and Form SSA– World War II Veterans—20 CFR 408, establish the requirements individuals 2006–F6. The respondents are Subparts B, C, and D—0960–0615. Title need to qualify for and become entitled individuals applying for SVB under VIII of the Act (Special Benefits for to Special Veterans Benefits (SVB). SSA Title VIII of the Act. Certain World War II Veterans) allows uses Form SSA–2000–F6 to elicit the Type of Request: Revision of an OMB- qualified World War II veterans residing information we need to determine approved information collection. outside the United States to receive entitlement to SVB. This ICR comprises

Average Total Number of Frequency of burden per estimated Regulations section and modality of completion respondents response response annual burden (minutes) (hours)

SSA–7 ...... 50 1 20 17 § 408.420 (a), (b) ...... 35 1 15 9 §§ 408.430 & .432 ...... 33 1 30 17 § 408.435 (a), (b), (c) ...... 35 1 15 9

Totals ...... 153 ...... 52

5. Representative Payment Policies Regulations, if SSA determines it may recipients provide SSA with Regulation—20 CFR 404.2011(a)(1), cause substantial harm for Title II or information the agency uses to 404.2025, 416.611(a)(1), 416.625—0960– Title XVI recipients to receive their reevaluate its determination. In 0679. Per 20 CFR 404.2011 and 20 CFR payments directly, recipients may addition, our regulations state that after 416.611 of the Code of Federal dispute that decision. To do so, SSA selects a representative payee to

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receive benefits on a recipient’s behalf, recipients’ payments. Sections 20 CFR performance. The respondents are Title the payees provide SSA with 404.2025 and 20 CFR 416.625 of the II and Title XVI recipients, and their information on their continuing Code of Federal Regulations provide a representative payees. relationship and responsibility for the process to follow up with the Type of Request: Extension of an recipients, and explain how they use the representative payee to verify payee OMB-approved information collection.

Average Number of Frequency of burden per Estimated total CFR citation respondents response response annual burden (minutes) (hours)

404.2011(a)(1); ...... 416.611(a)(1) ...... 250 1 15 63 404.2025; ...... 416.625 ...... 3,000 1 6 300

Totals ...... 3,250 ...... 363

Faye I. Lipsky, integration of all of these energy modernize charting for safe and efficient Reports Clearance Officer, Social Security resources into plans for meeting future navigation. Administration. demands for electricity in the TVA DATES: June 23, 2015. [FR Doc. 2015–15380 Filed 6–22–15; 8:45 am] region. FOR FURTHER INFORMATION CONTACT: For It has been determined that the BILLING CODE 4191–02–P questions or comments concerning this Council continues to be needed to action, contact Mr. Eric Freed, provide an additional mechanism for Aeronautical Information Services, public input regarding energy-related TENNESSEE VALLEY AUTHORITY Enroute and Visual Charting Group, issues. Manager, Air Traffic Organization, AJV– Renewal of the Regional Energy Dated: June 15, 2015. 5200, Federal Aviation Administration, Resource Council Charter Joseph J. Hoagland, 1305 East-West HWY, Silver Spring, MD AGENCY: Tennessee Valley Authority Vice President, Stakeholder Relations, 20910; telephone (301) 427–5080, email (TVA). Tennessee Valley Authority. [email protected]. ACTION: Notice of Charter Renewal. [FR Doc. 2015–15422 Filed 6–22–15; 8:45 am] SUPPLEMENTARY INFORMATION: BILLING CODE 8120–08–P SUMMARY: Pursuant to the Federal Authority Advisory Committee Act (FACA) (5 Title 49 of the United States Code, U.S.C. Appendix), the TVA Board of DEPARTMENT OF TRANSPORTATION section 44721, authorizes the FAA to Directors has renewed the Regional arrange for the publication of Energy Resource Council (Council) Federal Aviation Administration aeronautical maps and charts necessary charter for an additional two-year for the safe and efficient movement of period beginning on August 1, 2015. Policy for Discontinuance of World aircraft in air navigation. Specifically, FOR FURTHER INFORMATION CONTACT: Beth Aeronautical Chart Series paragraphs (d)(2)and (3) of this section A. Keel, 400 West Summit Hill Drive, AGENCY: Federal Aviation provide that that the Administrator may WT 9D–K, Knoxville, Tennessee 37902– Administration (FAA), DOT. ‘‘ . . . (2) compile, print, and 1499, (865) 632–6113. ACTION: Notice of policy to discontinue disseminate aeronautical charts and SUPPLEMENTARY INFORMATION: Pursuant the World Aeronautical Chart. related products and services of the to FACA and its implementing United States and its territories and regulations, and following consultation SUMMARY: This notice announces the possessions; (3) compile, print, and with the Committee Management FAA’s decision to discontinue disseminate aeronautical charts and Secretariat, General Services providing the World Aeronautical Chart related products and services covering Administration (GSA), notice is hereby series. Technological advances in international airspace as required given that the Council has been renewed aviation navigation capabilities and primarily by United Stated civil aviation for a two-year period beginning August charting products have made the World . . . ’’ (See 49 U.S.C. 44721(d)(2) and 1, 2015. The Council will provide Aeronautical Chart series largely (3).) advice to TVA on its energy related obsolete. Charting customers have Background resource activities and the priorities shifted towards digital chart products. among competing objectives and values. The World Aeronautical Charts are a The FAA is continuing to expand the The Council was originally derivative product from our more availability and capability of modern established in 2013 to advise TVA on its detailed Sectional Aeronautical Chart aeronautical navigation products. At the energy related resource activities which series. With aviators using the more same time, we must rigorously analyze include the construction and operation detailed large scale Sectional our suite of products and determine the of various supply-side resources, Aeronautical Charts and often the feasibility and practicability of including fossil-fueled power plants, digital versions in the moving map providing products that are no longer in nuclear plants, hydroelectric dams, and technology found in modern electronic demand from the public or have become renewable resources; the development flight bag system, the World obsolete due to technological advances. and management of demand-side Aeronautical Charts are no longer Since 2007, unit sales of the World resources, including energy efficiency; needed. The discontinuance of this low- Aeronautical Charts are down 73 the design, construction and operation demand product allows the FAA to percent. (Sales are down 10% year over of power delivery systems; and the apply those resources to continue to year 2013/2014.) The cost to develop

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this product is independent of the sales. areas encompassing sovereign nations in comments received go to the Federal The cost of resources drives a steady the Caribbean, we recognize that limited eRulemaking Portal: Go to http:// and consistent rise in costs associated independent charting may be available. www.regulations.gov. Follow the online with the production of the World As a courtesy to those sovereign nations instructions for submitting comments. Aeronautical Chart to the FAA. in the Caribbean, the three U.S. WAC Fax: 1–202–493–2251. The National Geospatial-Intelligence charts with Caribbean coverage (CH–25, Mail: Docket Management Facility, Agency has stopped purchasing the CJ–26, and CJ–27) will be maintained, U.S. Department of Transportation, World Aeronautical Chart products for marginally longer than other U.S. WAC West Building Ground Floor, Room distribution to the military and has charts, until the last scheduled edition W12–140, 1200 New Jersey Avenue SE., advised that electronic flight bag printing per the Dates of Latest Editions. Washington, DC 20590–0001. moving map technology and reliance on All other U.S. WAC charts will end Hand Delivery or Courier: U.S. the larger scale Sectional Aeronautical upon their last printing previously Department of Transportation, West Chart series have made the World scheduled in FY 15. Building Ground Floor, Room W12–140, Aeronautical Chart products obsolete for 1200 New Jersey Avenue SE., its purposes. General aviation similarly Policy Washington, DC 20590, between 9 a.m. has embraced the readily available and Based on the foregoing, the FAA will and 5 p.m. ET, Monday through Friday, affordable electronic flight bag discontinue the compilation, printing, except Federal holidays. technology and flight planning and dissemination of the World FOR FURTHER INFORMATION CONTACT: applications. Aeronautical Chart series and we will Mary Jane Daluge, 202–366–2035, The FAA has obligations to meet continue to maintain the compliment of [email protected]; Office of Real International Civil Aviation other comprehensive visual aeronautical Estate Services, Federal Highway Organization requirements for the charts. Charts: CC–8, CC–9; CD–10, CD– Administration, Department of availability of visual air navigation 11, CD–12; CE–12, CE–13, CE–15; CF– Transportation, New Jersey Avenue SE., charts. (See Annex 4 to the Convention 16, CF–17, CF–18, CF–19; CG–18, CG– Washington, DC 20590–0001. Office on International Civil Aviation.) This 19, CG–20, CG–21; CH–22, CH–23, and hours are from 7:45 a.m. to 4:15 p.m., availability can be met when CH–24 will cease to be printed beyond Monday through Friday, except Federal operational or chart production September 17, 2015. Charts: CH–25; CJ– holidays. considerations indicate that operational 26, and CJ–27 production will end upon requirements can be effectively satisfied SUPPLEMENTARY INFORMATION: their next scheduled printing dates of Title: Fixed Residential Moving Cost by Aeronautical Charts at the 1:500,000 December 10, 2015; February 04, 2016, scale. Schedule and March 31, 2016 respectively. (See OMB Control #: 2125–0616. The FAA concludes that maintenance the Dates of Latest Edition). of both VFR series charts (the World Background: Relocation assistance Aeronautical Charts at a scale of Abigail Smith, payments to owners and tenants who 1:1,000,000 and the Sectional Director, Aeronautical Navigation Products. move personal property for a Federal or Aeronautical Charts at a scale of [FR Doc. 2015–15271 Filed 6–22–15; 8:45 am] federally-assisted program or project is governed by the Uniform Relocation 1:500,000) is unsustainable. As a BILLING CODE 4910–13–P derivative product, the World Assistance and Real Property Aeronautical Chart does not contain the Acquisition Policies Act of 1970, as full aeronautical and base information DEPARTMENT OF TRANSPORTATION amended (Uniform Act). 49 Code of available to users of the Sectional Federal Regulations (CFR), part 24, is Aeronautical Charts. Federal Highway Administration the implementing regulation for the Uniform Act. 49 CFR 24.301 addresses The FAA presented, Discontinuation [Docket No. FHWA–2015–0014] of World Aeronautical Charts (WAC) an payments for actual and reasonable Initial Discussion, to attendees of the Agency Information Collection moving and related expenses. The fixed Aeronautical Charting Forum meeting Activities; Request for Comments for a residential moving cost schedule is an on May 1, 2014 and to the Air Traffic New Information Collection administrative alternative to Procedures Advisory Committee reimbursement of actual moving costs. meeting on May 7, 2014. Both of these AGENCY: Federal Highway This option provides flexibility for the public forums are attended by a broad Administration (FHWA), DOT. agency and affected property owners segment of the industry and flying ACTION: Notice and request for and tenants. The FHWA requests the public (the military, airlines, airline comments. State Departments of Transportation pilots, air traffic control personnel, (State DOTs) to analyze moving cost SUMMARY: general aviation pilots and business The FHWA invites public data periodically to assure that the fixed pilots, and their representatives) comments about our intention to request residential moving cost schedules interested in charting specifications, the the Office of Management and Budget’s accurately reflect reasonable moving overall organizational structure, and the (OMB) approval for a new information and related expenses. The regulation management approach of the FAA with collection, which is summarized below allows State DOTs flexibility in SUPPLEMENTARY INFORMATION. respect to charting issues. Initial under We determining how to collect the cost data industry reactions naturally reflected a are required to publish this notice in the in order to reduce the burden of defense of their niche segments Federal Register by the Paperwork government regulation. Updated State utilization of the WAC product. No Reduction Act of 1995. fixed residential moving costs are substantive support was found to DATES: Please submit comments by submitted to the FHWA electronically. sustain production. August 24, 2015. Respondents: State Departments of Therefore, the FAA has determined to ADDRESSES: You may submit comments Transportation (52, including the discontinue the World Aeronautical identified by DOT Docket ID 2015–0014 District of Columbia and Puerto Rico). Chart series. by any of the following methods: Frequency: Once every 3 years. While no explicit obligation exists for Web site: For access to the docket to Estimated Average Burden per the United States to chart international read background documents or Response: 24 hours per respondent.

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Estimated Total Annual Burden 12300 W. Dakota Avenue, Lakewood, 5. Historic and Cultural Resources: Hours: 24 hours for each of the 52 State Colorado 80228, 720–963–3013, Section 106 of the National Historic Departments of Transportation. The [email protected] normal Preservation Act of 1966 [54 U.S.C. total is 1,248 burden hours, once every business hours are 8:30 a.m. to 5:00 p.m. 306108]); Archaeological Resources 3 years, or 416 hours annually. (Mountain time); or Vanessa Henderson, Protection Act of 1977 [16 U.S.C. 470aa– Public Comments Invited: You are NEPA Program Manager, Colorado 470mm]; Archaeological and Historic asked to comment on any aspect of this Department of Transportation, 4201 E. Preservation Act [16 U.S.C. 469–469c– information collection, including: (1) Arkansas Avenue, Shumate Building, 2]; Native American Grave Protection Whether the proposed collection is Denver, Colorado 80222, 303–757–9878, and Repatriation Act [25 U.S.C. 3001– necessary for the FHWA’s performance; [email protected], normal 3013]. (2) the accuracy of the estimated business hours are 7:00 a.m. to 4:30 p.m. burdens; (3) ways for the FHWA to (Mountain time). 6. Social and Economic: Civil Rights enhance the quality, usefulness, and SUPPLEMENTARY INFORMATION: Notice is Act of 1964 [42 U.S.C. 2000(d)– clarity of the collected information; and hereby given that the FHWA and other 2000(d)(1)]; American Indian Religious (4) ways that the burden could be Federal agencies have taken final agency Freedom Act [42 U.S.C. 1996]; the minimized, including the use of actions by issuing approvals for the Uniform Relocation Assistance and Real electronic technology, without reducing following highway project in the State Property Acquisition Policies Act of the quality of the collected information. of Colorado: State Highway 82, Grand 1970 [42 U.S.C. 61]. The agency will summarize and/or Avenue Bridge. Project Overview: The 7. Wetlands and Water Resources: include your comments in the request project involves the replacement and Clean Water Act [33 U.S.C. 1251–1387] for OMB’s clearance of this information minor realignment of the existing Grand collection. (Section 404, Section 401, Section 319); Avenue Bridge and adjacent pedestrian Land and Water Conservation Fund Act bridge over the Colorado River. The Authority: The Paperwork Reduction Act [16 U.S.C. 460l–4–460l–11]; Safe of 1995; 44 U.S.C. chapter 35, as amended; purpose of the project is to provide a and 49 CFR 1.48. safe, secure, and effective multimodal Drinking Water Act [42 U.S.C. 300f– 300j–9.]; Rivers and Harbors Act of 1899 Issued On: June 17, 2015. connection from downtown Glenwood Springs across the Colorado River and I– [33 U.S.C. 401–406]; Transportation Michael Howell, Equity Act for the 21st Century (TEA– Information Collection Officer. 70 to the historic Glenwood Hot Springs area that will address the functional and 21) [23 U.S.C. 103(b)(6)(m), 133(b)(11)] [FR Doc. 2015–15369 Filed 6–22–15; 8:45 am] structural deficiencies of the old (wetlands mitigation banking); Flood BILLING CODE 4910–22–P bridges. The actions by the Federal Disaster Protection Act of 1973 [42 agencies on the project, and the laws U.S.C. 4001–4129]. DEPARTMENT OF TRANSPORTATION under which such actions were taken, 8. Hazardous Materials: are described in the Environmental Comprehensive Environmental Federal Highway Administration Assessment (EA) signed on October 20, Response, Compensation, and Liability 2014, in the Finding of No Significant Act [42 U.S.C. 9601–9675]; Superfund Notice of Final Federal Agency Actions Impact (FONSI) signed June 2, 2015 and Amendments and Reauthorization Act on Proposed Highways in Colorado in other key project documents. The EA, of 1986 [PL 99–499]; Resource FONSI and other key documents for the AGENCY: Federal Highway project are available by contacting the Conservation and Recovery Act [42 Administration (FHWA), DOT. FHWA or the Colorado Department of U.S.C. 6901–6992(k)]. ACTION: Notice of Limitation on Claims Transportation at the addresses 9. Executive Orders: E.O. 11990 for Judicial Review of Actions by FHWA provided above. The EA and FONSI Protection of Wetlands; E.O. 11988 and Other Federal Agencies. documents can be viewed and Floodplain Management; E.O. 12898 SUMMARY: This notice announces actions downloaded from the project Web sites Federal Actions to Address taken by the FHWA and other Federal at www.codot.gov/projects/sh82grand Environmental Justice in Minority agencies that are final within the avenuebridge. Populations and Low Income meaning of 23 U.S.C. 139(l)(1). The This notice applies to all Federal Populations; E.O. 11593 Protection and actions relate to the State Highway 82, agency decisions, actions, approvals, Enhancement of Cultural Resources; Grand Avenue Bridge project located in licenses and permits on the project as of E.O. 13007 Indian Sacred Sites; E.O. the issuance date of this notice, Glenwood Springs, Colorado. Those 13287 Preserve America; E.O. 13175 including but not limited to those actions grant approvals for the project. Consultation and Coordination with arising under the following laws, as DATES: By this notice, the FHWA is amended: Indian Tribal Governments; E.O. 11514 advising the public of final agency 1. General: National Environmental Protection and Enhancement of actions subject to 23 U.S.C. 139(l)(1). A Policy Act [42 U.S.C. 4321–4370h]; Environmental Quality; E.O. 13112 claim seeking judicial review of the Federal-Aid Highway Act [23 U.S.C. Invasive Species. Federal agency actions on the highway 109]. Authority: 23 U.S.C. 139(l)(1) project will be barred unless the claim 2. Air: Clean Air Act, as amended [42 is filed on or before November 20, 2015. U.S.C. 7401–7671(q)] (transportation John M. Cater, If the Federal law that authorizes conformity). Division Administrator, Lakewood, Colorado. judicial review of a claim provides a 3. Land: Section 4(f) of the [FR Doc. 2015–15395 Filed 6–22–15; 8:45 am] time period of less than 150 days for Department of Transportation Act of BILLING CODE 4910–22–P filing such claim, then that shorter time 1966 [49 U.S.C. 303]. period still applies. 4. Wildlife: Endangered Species Act FOR FURTHER INFORMATION CONTACT: [16 U.S.C. 1531–1544]; Fish and Stephanie Gibson, Environmental Wildlife Coordination Act [16 U.S.C. Program Manager, Federal Highway 661–667(e)]; Migratory Bird Treaty Act Administration Colorado Division, [16 U.S.C. 703–712].

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DEPARTMENT OF TRANSPORTATION fiscally constrained long range EIS, a variety of scoping and public transportation plan. FHWA and VDOT involvement opportunities were Federal Highway Administration also studied separate improvements to provided to notify the public about the the Hampton Roads Bridge Tunnel in a project, provide information and Supplemental Environmental Impact DEIS that was issued in December 2012. updates, and solicit feedback. These Statement, City of Newport News and A preferred alternative was not selected opportunities included but were not City of Hampton to the City of Norfolk, following the circulation of the DEIS, limited to a series of public hearings in City of Portsmouth, City of Suffolk, and and the study has not advanced. With the corridor when the Hampton Roads City of Chesapeake, Virginia a separate notice, the Notice of Intent to Crossing Study DEIS was issued in AGENCY: Federal Highway prepare an EIS for the Hampton Roads 1999. To ensure that a full range of Administration (FHWA), DOT. Bridge Tunnel will be cancelled. issues related to the project are Regardless, this SEIS will review addressed and all significant issues ACTION: Notice of Intent to prepare a information from the Hampton Roads identified, VDOT will host two Citizen Supplemental Environmental Impact Bridge Tunnel DEIS, Hampton Roads Information/Scoping Meetings in July. Statement. Crossing Study FEIS/ROD, and the Those meetings are scheduled for SUMMARY: The Federal Highway NEPA re-evaluations referenced above Tuesday, July 21st at the Academy for Administration (FHWA) in cooperation and incorporate relevant information Discovery at Lakewood School in with the Virginia Department of into the SEIS; revisit the purpose and Norfolk and Wednesday, July 22nd at Transportation (VDOT) will prepare a need; update the alternatives and St. Mary’s Star of the Sea School in Supplemental Environmental Impact impacts analyses; and assess impacts Hampton. VDOT will provide additional Statement (SEIS) to evaluate the not previously evaluated in these NEPA information for the meetings and notify Hampton Roads Crossing Study Final documents. the public of any changes, including Environmental Impact Statement (FEIS). 2. Alternatives—Alternatives to be inclement weather dates, through a The purpose of the SEIS is to evaluate considered for the proposed project will variety of means including newspaper new information regarding include but not be limited to the No- notices and a project Web site. A environmental impacts and the Build Alternative and the selected separate meeting for the resource, alternatives described in the March alternative from the 2001 FEIS/ROD regulatory, and participating agencies is 2001 FEIS. (CBA–9). The selected alternative, as also scheduled for July 21st, and notices described in the FEIS/ROD, would begin FOR FURTHER INFORMATION CONTACT: will be sent directly to those agencies. on the Peninsula at the I–664/I–64 Notification of the availability of the Edward Sundra, Director of Program interchange in the City of Hampton and Draft SEIS for public and agency review Development, Federal Highway would widen I–664 to the I–64/I–264 will be made in the Federal Register Administration, 400 North 8th Street, interchange in the City of Chesapeake. and using other methods to be jointly Suite 750, Richmond, VA 23219; email: An interchange with I–664 near the determined by FHWA and VDOT. Those [email protected]; (804) 775–3357. south approach structure of the Monitor methods will identify where interested SUPPLEMENTARY INFORMATION: Merrimac Memorial Bridge Tunnel parties can go to review a copy of the 1. Description of the Proposed Action would provide a connection to a new Draft SEIS. For the Draft SEIS, public and Background—In 1991, the roadway and bridge tunnel extending meetings will be held and a minimum Intermodal Surface Transportation from I–664 over to I–564 in the City of 45-day comment period will be Efficiency Act allocated demonstration Norfolk. A second interchange on the provided. The public meetings will be funds for a number of innovative new facility would provide a connection conducted by VDOT and announced a projects which included the I–64 to a new roadway running south along minimum of 30 days in advance of the crossing of Hampton Roads. A Major the eastern side of Craney Island, meetings. At the appropriate time, Investment Study of the crossing was terminating at Virginia Route 164 VDOT will provide information for the completed in 1997, and the Hampton (Western Freeway) in the City of public meetings, including date, time Roads Crossing Study Draft Portsmouth. Revisions to the location of and location through a variety of means Environmental Impact Statement (DEIS) the alignment between Craney Island including newspaper notice and the was issued in March 1999. The FEIS for and Virginia Route 164 will be project Web site. the study was issued in March 2001, evaluated because of new information 4. Issues—Based on coordination identifying Candidate Build Alternative regarding the land use in the area. between FHWA and VDOT, the issues to (CBA) 9 as the preferred alternative. Consideration will also be given to the be analyzed in the SEIS will include, FHWA selected CBA 9 in a Record of alternatives from the 1999 DEIS to but are not limited to, purpose and Decision that was issued in June 2001. improve the Hampton Roads Bridge need, alternatives and environmental In 2003, FHWA completed a National Tunnel (CBA–1) and an alternative to effects including effects to wetlands and Environmental Policy Act (NEPA) re- extend the improvements included in streams, cultural resources, threatened evaluation after VDOT received CBA–1 south to I–564 where a new and endangered species, and unsolicited proposals from the private bridge tunnel would cross the Elizabeth environmental justice communities. sector to build the project. Efforts to River and connect to VA 164 in the City 5. Additional Review and advance the private sector proposals of Portsmouth (CBA–2). Finally, Consultation—The SEIS will comply were eventually terminated, but consideration will be given to with other Federal and State portions of CBA 9, collectively known alternatives based on public and agency requirements including the State water as Patriots Crossing, were re-evaluated feedback during the scoping process. quality certification under Section 401 in 2013 because there was support to The SEIS will document the alternatives of the Clean Water Act; protection of move forward on that section. At the previously eliminated from water quality under the Virginia/ time, no federal action was taken in consideration as well as consider National Pollutant Discharge response to the re-evaluation because options for tolling. Elimination System; protection of there was no funding to construct the 3. Scoping and Public Review endangered and threatened species project in the Hampton Roads Process—Throughout the development under Section 7 of the Endangered Transportation Planning Organization’s of the Hampton Roads Crossing Study Species Act; and protection of cultural

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resources under Section 106 of the Infrastructure, Federal Highway articulated programs that are optimally National Historic Preservation Act. Administration, Department of positioned and equipped to deliver the Authority: 23 U.S.C. 315; 23 CFR 771. Transportation, 1200 New Jersey FHWA’s mission. In general, the Avenue SE., Washington, DC 20590. components of the ‘‘National TPM (Catalog of Federal Domestic Assistance Office hours are from 8 a.m. to 5 p.m., Implementation Review, TPM State-of- Program Number 20.205, Highway Planning Practice Questionnaires, and TPM and Construction. The regulations Monday through Friday, except Federal implementing Executive Order 12372 holidays. Toolbox’’ will involve questions related regarding intergovernmental consultation on SUPPLEMENTARY INFORMATION: to: Federal programs and activities apply to this Title: National Transportation 1. TPM and MAP–21 related program.) Performance Management (TPM) implementation efforts, programs, and Implementation Review, TPM Toolbox, activities, Issued by: 2. Needs for guidance and policy Dated: June 17, 2015. and TPM State-of-Practice concerning MAP–21’s TPM related Edward Sundra, Questionnaires. Type of request: New information provisions; Director of Program Development, Federal 3. TPM capacity building needs; Highway Administration, Richmond, collection requirement. 4. Effectiveness implementing Virginia. Background: Moving Ahead for performance based planning and [FR Doc. 2015–15419 Filed 6–22–15; 8:45 am] Progress in the 21st Century Act (MAP– programming and TPM processes. BILLING CODE 4910–22–P 21) transformed the Federal-aid The most consequential activity highway program by establishing new covered by the ICR is the ‘‘National requirements for transportation TPM Implementation Review,’’ which DEPARTMENT OF TRANSPORTATION performance management to ensure the will be conducted twice. The first most efficient investment of Federal National TPM Implementation Review Federal Highway Administration transportation funds. Transportation is scheduled to be administered in the [Docket No. FHWA–2015–0013] performance management increases the spring of 2016 and will establish a accountability and transparency of the baseline to assess: Agency Information Collection Federal-aid highway program and 1. FHWA and its partners progress Activities; Notice of Request for provides for a framework to support implementing MAP–21 performance Approval of a New Information improved investment decision making provisions and related TPM best Collection through a focus on performance practices; and outcomes for key national transportation 2. The effectiveness of performance- AGENCY: Federal Highway goals. State transportation agencies based planning and programming Administration (FHWA), DOT. (STAs) will be expected to use the processes and transportation ACTION: Notice of Request for Approval information and data generated as a performance management. of a New Information Collection. result of the new regulations to make The second National TPM better informed transportation planning Implementation Review will be SUMMARY: The FHWA invites public and programming decisions. The new conducted several years later and will comments about our intention to request performance aspects of the Federal-aid be used to assess FHWA and its the Office of Management and Budget’s program will allow FHWA to better partners’ progress addressing any gaps (OMB) approval of a new information communicate a national performance or issues identified during the first collection that is summarized below. story and to more reliably assess the review. DATES: Please submit comments by impacts of Federal funding investments. The findings from the first review will August 24, 2015. Overview: Under the ‘‘National be used in a pair of statutory reports to ADDRESSES: You may submit comments Transportation Performance Congress due in 2017 on the identified by DOT Docket ID Number Management (TPM) Implementation effectiveness of performance-based 2015–0013 by any of the following Review, TPM State-of-Practice planning and programming processes methods: Questionnaires, and TPM Toolbox ’’ and transportation performance Web site: For access to the docket to information collection request, the management (23 U.S.C. 119, 134(l)(2)– read background documents or FHWA will collect information on the 135(h)(2)). The findings from the second comments received, go to the Federal current state of the practice, data, review will be used in a subsequent eRulemaking Portal: http:// methods, and systems used by state, follow-up report. It is important to note www.regulations.gov. Follow the online metropolitan, regional, local, and/or that this is not a compliance review. The instructions for submitting comments. tribal transportation entities to support overall focus of the National TPM Fax: 1–202–493–2251. their TPM processes in accordance with Implementation Review is on the TPM Mail: Docket Management Facility, MAP–21 §§ 1106, 1112–1113, 1201– and performance-based planning U.S. Department of Transportation, 1203; 23 U.S.C. 119, 134–135, and 148– processes used by STAs and West Building Ground Floor, Room 150. This information will also be used Metropolitan Planning Organizations W12–140, 1200 New Jersey Avenue SE., to develop and deliver existing and (MPOs), not the outcomes of those Washington, DC 20590. future Federal Highway Programs processes. Due to the sensitivity of the Hand Delivery or Courier: U.S. through successful partnerships, value- collected information, FHWA will only Department of Transportation, West added stewardship, and risk-based report aggregated information to the Building Ground Floor, Room W12–140, oversight. Underpinning this effort will general public and in its report to 1200 New Jersey Avenue SE., be a robust focus on improving FHWA Congress. However, information from Washington, DC 20590, between 9 a.m. and its partners’ capacity to implement individual reviews will be made readily and 5 p.m. ET, Monday through Friday, performance provisions. The available to the respective respondent except Federal holidays. information collected from these (i.e., STA, MPOs, etc), FHWA staff for FOR FURTHER INFORMATION CONTACT: activities will translate into having a internal uses, and a limited number of Michael Nesbitt (michael.nesbitt@ better skilled workforce, effective FHWA partners and associations who dot.gov), 202–366–1179, Office of supporting systems, and clearly sign nondisclosure agreements.

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In addition to the more formal respondent to answer questions on the Issued On: June 15, 2015. National TPM Implementation Review, current state of the practice, data, Michael Howell, FHWA will conduct yearly informal methods, and systems used by state, Information Collection Officer. voluntary TPM State-of-Practice metropolitan, regional, local, and/or [FR Doc. 2015–15371 Filed 6–22–15; 8:45 am] questionnaires related to TPM policy tribal transportation entities to support BILLING CODE 4910–22–P and guidance, technical assistance, and their required TPM processes is capacity needs. These voluntary estimated to be up to 8 (4 questionnaires information collection actions will per year times up to 2 hours per DEPARTMENT OF TRANSPORTATION occur 1 to 2 times per year. The questionnaire). This annual burden per information will be collected from state, respondent consists of the staff time of Maritime Administration metropolitan, regional, local, and/or each respondent. The burden was tribal transportation agencies via determined as follows: [Docket No. MARAD–2015–0076] internet-based questionnaires or web Requested Administrative Waiver of applications and used to help FHWA: Professional Staff Time: • the Coastwise Trade Laws: Vessel Strategically plan to meet ever 1.5 hour/respondent × 975 growing demand for TPM technical × VELA ANDATO; Invitation for Public respondents 4 questionnaires per year Comments assistance needs; = 5850 hours • Develop and refine TPM policy and AGENCY: Maritime Administration, Clerical staff time: guidance based on stakeholder Department of Transportation. feedback; 0.5 hours/respondent × 975 • Channel resources to meet capacity ACTION: Notice. respondents × 4 questionnaires per year development and training needs; and SUMMARY: As authorized by 46 U.S.C. • Identify and prioritize TPM = 1,950 hours The total annual associated salary cost 12121, the Secretary of Transportation, research needs. as represented by the Maritime Lastly, as part of FHWA’s ongoing to respondents is estimated to be Administration (MARAD), is authorized technical assistance efforts, a TPM $257,400 based on an average salary of to grant waivers of the U.S.-build Toolbox is being created to help $38 per hour (approximately $79,000 requirement of the coastwise laws under FHWA’s partners self-assess and per year) for professional staff and $18 certain circumstances. A request for benchmark their TPM implementation per hour (approximately $37,000 year) such a waiver has been received by progress, capabilities, and gaps. The for clerical staff. MARAD. The vessel, and a brief TPM Toolbox also helps FHWA Professional staff cost for preparation of description of the proposed service, is streamline the integration and work programs: listed below. administration of all the efforts described above. To maximize the 5,850 hours × $38 per hour = DATES: Submit comments on or before effectiveness and efficiency of the TPM $222,300 July 23, 2015. ADDRESSES: Comments should refer to Toolbox, FHWA will collect business Clerical staff time: contact and organizational demographic docket number MARAD–2015–0076. (size of organization, location, etc.) 1,950 hours × $18 per hour = $35,100 Written comments may be submitted by information along with the responses hand or by mail to the Docket Clerk, Total annual costs: submitted as part of the TPM Toolbox’s U.S. Department of Transportation, self-assessment applications. Subtotal Direct Salaries $257,400 Docket Operations, M–30, West Respondents: The 975 respondents Overhead/fringe benefits at 33%: Building Ground Floor, Room W12–140, estimate is based on soliciting input $84,942 1200 New Jersey Avenue SE., from all 52 state transportation agencies, Washington, DC 20590. You may also Total annual respondent cost: 409 MPOS, and a sampling of transit send comments electronically via the $342,342 agencies, RPOs, and other transportation Internet at http://www.regulations.gov. entities. Public Comments Invited: You are All comments will become part of this Frequency: Each State, MPO, RPO, asked to comment on any aspect of this docket and will be available for and a sampling of transit agencies will information collection, including: (1) inspection and copying at the above be solicited to provide information up to Whether the proposed collection of address between 10 a.m. and 5 p.m., 4 times per year. This is dependent on information is necessary for the U.S. E.T., Monday through Friday, except whether information is being collected DOT’s performance, including whether federal holidays. An electronic version on the National Transportation the information will have practical of this document and all documents Performance Management utility; (2) the accuracy of the U.S. entered into this docket is available on Implementation Review and the DOT’s estimate of the burden of the the World Wide Web at http:// frequency of state-of-practice proposed information collection; (3) www.regulations.gov. questionnaires. ways to enhance the quality, usefulness, FOR FURTHER INFORMATION CONTACT: Estimated Average Burden per and clarity of the collected information; Linda Williams, U.S. Department of Response: Up to 2 hours per response or and (4) ways that the burden could be Transportation, Maritime 8 hours per year for all responses (4 minimized, including the use of Administration, 1200 New Jersey questionnaires per year times up to 2 electronic technology, without reducing Avenue SE., Room W23–453, hours per questionnaire). the quality of the collected information. Estimated Total Annual Burden The agency will summarize and/or Washington, DC 20590. Telephone 202– Hours: The total annual burden for all include your comments in the request 366–0903, Email Linda.Williams@ respondents is estimated to be 7,800 for OMB’s clearance of this information dot.gov. burden hours per year (8 burden hours collection. SUPPLEMENTARY INFORMATION: per respondent times 975 respondents). Authority: The Paperwork Reduction Act As described by the applicant the The annual number of burden hours of 1995; 44 U.S.C. chapter 35, as amended; intended service of the vessel VELA (professional and clerical staff) per and 49 CFR 1.48. ANDATO is:

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Intended Commercial Use of Vessel: such a waiver has been received by Privacy Act ‘‘2, 4, 8 Hour Sails to include sunset MARAD. The vessel, and a brief Anyone is able to search the Sails’’ description of the proposed service, is electronic form of all comments Geographic Region: ‘‘Florida’’ listed below. received into any of our dockets by the The complete application is given in DATES: Submit comments on or before name of the individual submitting the DOT docket MARAD–2015–0076 at July 23, 2015. comment (or signing the comment, if http://www.regulations.gov. Interested submitted on behalf of an association, parties may comment on the effect this ADDRESSES: Comments should refer to business, labor union, etc.). You may action may have on U.S. vessel builders docket number MARAD–2015–0080. review DOT’s complete Privacy Act or businesses in the U.S. that use U.S.- Written comments may be submitted by Statement in the Federal Register flag vessels. If MARAD determines, in hand or by mail to the Docket Clerk, published on April 11, 2000 (Volume accordance with 46 U.S.C. 12121 and U.S. Department of Transportation, 65, Number 70; Pages 19477–78). MARAD’s regulations at 46 CFR part Docket Operations, M–30, West By Order of the Maritime Administrator. 388, that the issuance of the waiver will Building Ground Floor, Room W12–140, have an unduly adverse effect on a U.S.- 1200 New Jersey Avenue SE., Dated: June 15, 2015. vessel builder or a business that uses Washington, DC 20590. You may also Thomas M. Hudson, Jr., U.S.-flag vessels in that business, a send comments electronically via the Acting Secretary, Maritime Administration. waiver will not be granted. Comments Internet at http://www.regulations.gov. [FR Doc. 2015–15437 Filed 6–22–15; 8:45 am] should refer to the docket number of All comments will become part of this BILLING CODE 4910–81–P this notice and the vessel name in order docket and will be available for for MARAD to properly consider the inspection and copying at the above comments. Comments should also state address between 10 a.m. and 5 p.m., DEPARTMENT OF TRANSPORTATION the commenter’s interest in the waiver E.T., Monday through Friday, except Maritime Administration application, and address the waiver federal holidays. An electronic version criteria given in § 388.4 of MARAD’s of this document and all documents [Docket No. MARAD–2015 0078] regulations at 46 CFR part 388. entered into this docket is available on the World Wide Web at http:// Requested Administrative Waiver of Privacy Act www.regulations.gov. the Coastwise Trade Laws: Vessel Anyone is able to search the PARADIGM SHIFT; Invitation for Public electronic form of all comments FOR FURTHER INFORMATION CONTACT: Comments Linda Williams, U.S. Department of received into any of our dockets by the AGENCY: Transportation, Maritime Maritime Administration, name of the individual submitting the Department of Transportation. comment (or signing the comment, if Administration, 1200 New Jersey ACTION: Notice. submitted on behalf of an association, Avenue SE., Room W23–453, business, labor union, etc.). You may Washington, DC 20590. Telephone 202– SUMMARY: As authorized by 46 U.S.C. review DOT’s complete Privacy Act 366–0903, Email Linda.Williams@ 12121, the Secretary of Transportation, Statement in the Federal Register dot.gov. as represented by the Maritime published on April 11, 2000 (Volume SUPPLEMENTARY INFORMATION: As Administration (MARAD), is authorized 65, Number 70; Pages 19477–78). described by the applicant the intended to grant waivers of the U.S.-build By Order of the Maritime Administrator. service of the vessel FORCE is: requirement of the coastwise laws under Date: June 15, 2015. certain circumstances. A request for Intended Commercial Use of Vessel: such a waiver has been received by Thomas M. Hudson, Jr., ‘‘Carry passengers for pleasure, day and MARAD. The vessel, and a brief Acting Secretary, Maritime Administration. possible overnight charter.’’ description of the proposed service, is [FR Doc. 2015–15457 Filed 6–22–15; 8:45 am] Geographic Region: ‘‘Virginia, listed below. BILLING CODE 4910–81–P Maryland, Delaware, Florida’’ DATES: Submit comments on or before The complete application is given in July 23, 2015. DEPARTMENT OF TRANSPORTATION DOT docket MARAD–2015–0080 at ADDRESSES: Comments should refer to http://www.regulations.gov. Interested docket number MARAD–2015–0078. Maritime Administration parties may comment on the effect this Written comments may be submitted by action may have on U.S. vessel builders hand or by mail to the Docket Clerk, [Docket No. MARAD–2015–0080] or businesses in the U.S. that use U.S.- U.S. Department of Transportation, Requested Administrative Waiver of flag vessels. If MARAD determines, in Docket Operations, M–30, West the Coastwise Trade Laws: Vessel accordance with 46 U.S.C. 12121 and Building Ground Floor, Room W12–140, FORCE; Invitation for Public MARAD’s regulations at 46 CFR part 1200 New Jersey Avenue SE., Comments 388, that the issuance of the waiver will Washington, DC 20590. You may also have an unduly adverse effect on a U.S.- send comments electronically via the AGENCY: Maritime Administration, vessel builder or a business that uses Internet at http://www.regulations.gov. Department of Transportation. U.S.-flag vessels in that business, a All comments will become part of this ACTION: Notice. waiver will not be granted. Comments docket and will be available for should refer to the docket number of inspection and copying at the above SUMMARY: As authorized by 46 U.S.C. this notice and the vessel name in order address between 10 a.m. and 5 p.m., 12121, the Secretary of Transportation, for MARAD to properly consider the E.T., Monday through Friday, except as represented by the Maritime comments. Comments should also state federal holidays. An electronic version Administration (MARAD), is authorized the commenter’s interest in the waiver of this document and all documents to grant waivers of the U.S.-build application, and address the waiver entered into this docket is available on requirement of the coastwise laws under criteria given in § 388.4 of MARAD’s the World Wide Web at http:// certain circumstances. A request for regulations at 46 CFR part 388. www.regulations.gov.

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FOR FURTHER INFORMATION CONTACT: DEPARTMENT OF TRANSPORTATION action may have on U.S. vessel builders Linda Williams, U.S. Department of or businesses in the U.S. that use U.S.- Transportation, Maritime Maritime Administration flag vessels. If MARAD determines, in Administration, 1200 New Jersey [Docket No. MARAD–2015 0079] accordance with 46 U.S.C. 12121 and Avenue SE., Room W23–453, MARAD’s regulations at 46 CFR part Washington, DC 20590. Telephone 202– Requested Administrative Waiver of 388, that the issuance of the waiver will 366–0903, Email Linda.Williams@ the Coastwise Trade Laws: Vessel have an unduly adverse effect on a U.S.- dot.gov. SIREN; Invitation for Public Comments vessel builder or a business that uses U.S.-flag vessels in that business, a SUPPLEMENTARY INFORMATION: As AGENCY: Maritime Administration, waiver will not be granted. Comments described by the applicant the intended Department of Transportation. should refer to the docket number of service of the vessel Paradigm Shift is: ACTION: Notice. this notice and the vessel name in order for MARAD to properly consider the Intended Commercial Use of Vessel: SUMMARY: As authorized by 46 U.S.C. comments. Comments should also state ‘‘Private Crewed Charter’’ 12121, the Secretary of Transportation, the commenter’s interest in the waiver as represented by the Maritime Geographic Region: ‘‘Maine, application, and address the waiver Administration (MARAD), is authorized Massachusetts, Rhode Island, New York, criteria given in § 388.4 of MARAD’s to grant waivers of the U.S.-build Maryland, Virginia, North Carolina, regulations at 46 CFR part 388. South Carolina, Florida’’ requirement of the coastwise laws under certain circumstances. A request for Privacy Act The complete application is given in such a waiver has been received by Anyone is able to search the DOT docket MARAD–2015–0078 at MARAD. The vessel, and a brief http://www.regulations.gov. Interested electronic form of all comments description of the proposed service, is received into any of our dockets by the parties may comment on the effect this listed below. name of the individual submitting the action may have on U.S. vessel builders DATES: Submit comments on or before comment (or signing the comment, if or businesses in the U.S. that use U.S.- July 23, 2015. submitted on behalf of an association, flag vessels. If MARAD determines, in ADDRESSES: Comments should refer to business, labor union, etc.). You may accordance with 46 U.S.C. 12121 and docket number MARAD–2015–0079. review DOT’s complete Privacy Act MARAD’s regulations at 46 CFR part Written comments may be submitted by Statement in the Federal Register 388, that the issuance of the waiver will hand or by mail to the Docket Clerk, published on April 11, 2000 (Volume have an unduly adverse effect on a U.S.- U.S. Department of Transportation, 65, Number 70; Pages 19477–78). vessel builder or a business that uses Docket Operations, M–30, West By Order of the Maritime Administrator U.S.-flag vessels in that business, a Building Ground Floor, Room W12–140, Dated: June 15, 2015. waiver will not be granted. Comments 1200 New Jersey Avenue SE., should refer to the docket number of Washington, DC 20590. You may also Thomas M. Hudson, Jr., this notice and the vessel name in order send comments electronically via the Acting Secretary, Maritime Administration. for MARAD to properly consider the Internet at http://www.regulations.gov. [FR Doc. 2015–15420 Filed 6–22–15; 8:45 am] comments. Comments should also state All comments will become part of this BILLING CODE 4910–81–P the commenter’s interest in the waiver docket and will be available for application, and address the waiver inspection and copying at the above DEPARTMENT OF TRANSPORTATION criteria given in § 388.4 of MARAD’s address between 10 a.m. and 5 p.m., E.T., Monday through Friday, except regulations at 46 CFR part 388. Pipeline and Hazardous Materials federal holidays. An electronic version Safety Administration Privacy Act of this document and all documents entered into this docket is available on [Docket No. PHMSA–2015–0140] Anyone is able to search the the World Wide Web at http:// electronic form of all comments www.regulations.gov. Pipeline Safety: Potential for Damage received into any of our dockets by the to Pipeline Facilities Caused by the FOR FURTHER INFORMATION CONTACT: name of the individual submitting the Passage of Hurricanes Linda Williams, U.S. Department of comment (or signing the comment, if Transportation, Maritime AGENCY: Pipeline and Hazardous submitted on behalf of an association, Administration, 1200 New Jersey Materials Safety Administration business, labor union, etc.). You may Avenue SE., Room W23–453, (PHMSA), DOT. review DOT’s complete Privacy Act Washington, DC 20590. Telephone 202– ACTION: Notice; Issuance of Advisory Statement in the Federal Register 366–0903, Email Linda.Williams@ Bulletin. published on April 11, 2000 (Volume dot.gov. 65, Number 70; Pages 19477–78). SUMMARY: PHMSA is issuing this SUPPLEMENTARY INFORMATION: As advisory bulletin to remind owners and By Order of the Maritime Administrator. described by the applicant the intended operators of gas and hazardous liquid Dated: June 15, 2015. service of the vessel SIREN is: pipelines of the potential for damage to Thomas M. Hudson, Jr., Intended Commercial Use of Vessel: ‘‘This boat is to be used as a camera boat pipeline facilities caused by the passage Acting Secretary, Maritime Administration. for use in documentary film and feature of hurricanes. [FR Doc. 2015–15439 Filed 6–22–15; 08:45 am] film production as well as six passenger ADDRESSES: This document can be BILLING CODE 4910–81–P Whale watching.’’ viewed on the Office of Pipeline Safety Geographic Region: ‘‘California’’ (OPS) home page at: http://ops.dot.gov. The complete application is given in FOR FURTHER INFORMATION CONTACT: DOT docket MARAD–2015–0079 at Pipeline operators regulated by PHMSA http://www.regulations.gov. Interested should contact the appropriate PHMSA parties may comment on the effect this Regional Office. PHMSA’s Regional

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Offices and their contact information are the segment cannot be reconditioned or New Orleans and western Louisiana/ as follows: phased out, reduce the maximum eastern Texas shore communities that • Eastern Region: Connecticut, allowable operating pressure in normally provide the services and Delaware, District of Columbia, Maine, accordance with § 192.619(a) and (b).’’ supplies for the industry. Maryland, Massachusetts, New Section 195.401(b)(1) of the hazardous II. Advisory Bulletin (ADB–2015–02) Hampshire, New Jersey, New York, liquid pipeline safety regulations states Ohio, Pennsylvania, Rhode Island, that ‘‘[w]henever an operator discovers To: Owners and operators of gas and Vermont, Virginia, and West Virginia, any condition that could adversely hazardous liquid pipeline systems. call 609–989–2171. affect the safe operation of its pipeline Subject: Potential for damage to • Southern Region: Alabama, Florida, system, it must correct the condition pipeline facilities caused by hurricanes. Georgia, Kentucky, Mississippi, North within a reasonable time. However, if Advisory: All owners and operators of Carolina, Puerto Rico, South Carolina, the condition is of such a nature that it gas and hazardous liquid pipelines are and Tennessee, call 404–832–1140. presents an immediate hazard to • reminded that pipeline safety problems Central Region: Illinois, Indiana, persons or property, the operator may can occur from the passage of Iowa, Kansas, Michigan, Minnesota, not operate the affected part of the hurricanes. Pipeline operators are urged Missouri, Nebraska, North Dakota, system until it has corrected the unsafe to take the following actions to ensure South Dakota, and Wisconsin, call 816– condition.’’ Section 195.401(b)(2) pipeline safety: 329–3800. further states that ‘‘[w]hen an operator • 1. Identify persons who normally Southwest Region: Arkansas, discovers a condition on a pipeline engage in shallow-water commercial Louisiana, New Mexico, Oklahoma, and covered under [the integrity fishing, shrimping, and other marine Texas, call 713–272–2859. management requirements in] § 195.452, vessel operations and caution them that • Western Region: Alaska, Arizona, the operator must correct the condition underwater offshore pipelines may be California, Colorado, Hawaii, Idaho, as prescribed in § 195.452(h).’’ exposed or constitute a hazard to Montana, Nevada, Oregon, Utah, Operators of shallow-water gas and navigation. Marine vessels operating in Washington, and Wyoming, call 720– hazardous liquid pipelines in the Gulf water depths comparable to a vessel’s 963–3160. of Mexico and its inlets have a specific Intrastate pipeline operators should draft or when operating bottom dragging obligation to ‘‘prepare and follow a equipment can be damaged and their contact the appropriate State pipeline procedure to identify [their] pipelines safety authority. A list of State pipeline crews endangered by an encounter with . . . that are at risk of being an exposed an underwater pipeline. safety authorities is provided at: underwater pipeline or a hazard to http://www.napsr.org/managers/napsr_ 2. Identify and caution marine vessel navigation . . . [and to] conduct operators in offshore shipping lanes and state_program_managers2.htm. appropriate underwater inspections . . . other offshore areas that deploying For general information about this [of those pipelines] based on the fishing nets or anchors and conducting notice, contact David Lehman, Director identified risk[;]’’ and upon discovering dredging operations may damage for Emergency Support and Security, that ‘‘its pipeline is an exposed underwater pipelines, their vessels, and 202–366–4439 or by email at underwater pipeline or poses a hazard endanger their crews. [email protected]. to navigation,’’ to promptly report the 3. After a disruption, operators need SUPPLEMENTARY INFORMATION: location of that pipeline to the National to bring offshore and inland I. Background Response Center, to mark its location, and to ensure its reburial within a transmission facilities back online, The purpose of this advisory bulletin specified time. 49 CFR 192.612, check for structural damage to piping, is to remind owners and operators of gas 195.413. valves, emergency shutdown systems, and hazardous liquid pipelines, Hurricanes can adversely affect the risers and supporting systems. Aerial particularly those with facilities located operation of a pipeline and require inspections of pipeline routes should be in offshore and inland areas, about the corrective action under §§ 192.613 and conducted to check for leaks in the serious safety-related issues that can 195.401. Hurricanes also increase the transmission systems. In areas where result from the passage of hurricanes. risk of underwater pipelines in the Gulf floating and jack-up rigs have moved Potential damage can occur to offshore of Mexico and its inlets becoming and their path could have been over the platforms and pipelines, onshore exposed or constituting a hazard to pipelines, review possible routes and pumping stations, compressor stations, navigation under §§ 192.612 and check for sub-sea pipeline damage and terminals. 195.413. The concentration of U.S. oil where required. Operators have a general obligation to and gas production, processing, and 4. Operators should take action to identify any conditions that can transportation facilities in the Gulf of minimize and mitigate damages caused adversely affect the operation of their Mexico and onshore Gulf Coast means by flooding to gas distribution systems, pipelines and to take appropriate that a significant percentage of domestic including the prevention of corrective measures upon discovering oil and gas production and processing is overpressure of low pressure and high such conditions. Specifically, § 192.613 prone to disruption by hurricanes. pressure distribution systems. of the gas pipeline safety regulations In 2005, Hurricanes Katrina and Rita PHMSA would appreciate receiving states that ‘‘[e]ach operator shall have a caused significant damage to the oil and information about any damage to procedure for continuing surveillance of gas production structures. The onshore pipeline facilities caused by hurricanes. its facilities to determine and take damage caused a significant impact in The Federal pipeline safety regulations appropriate action concerning . . . the ability of the oil and gas industry to require that operators report certain unusual operating and maintenance respond due to the lack of resources, incidents and accidents to PHMSA by conditions,’’ and ‘‘[i]f a segment of personnel, and infrastructure, as well as specific methods. Damage not reported pipeline is determined to be in significant damage to onshore by these methods may be reported to unsatisfactory condition but no processing facilities and power David Lehman, Director for Emergency immediate hazard exists, the operator supplies. There were significant Support and Security, 202–366–4439 or shall initiate a program to recondition or competing resource needs with the by email at [email protected]. phase out the segment involved, or, if impacts caused by the devastation of Chapter 601; 49 CFR 1.97.

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Issued in Washington, DC, on June 18, ACTION: Notice of Funding Availability Funding Opportunity Description 2015. (NOFA). This NOFA announces the availability Jeffrey D. Wiese, of FY 2015 funds to renew assistance Associate Administrator for Pipeline Safety. SUMMARY: The Department of Veterans provided under VA’s Homeless [FR Doc. 2015–15401 Filed 6–22–15; 08:45 am] Affairs (VA) is announcing the Providers GPD Program for the 21 FY BILLING CODE 4910–60–P availability of 1-year renewal funding in 2014 operational GPD Special Need fiscal year (FY) 2015 for the 21 currently recipients and their collaborative VA operational FY 2014 VA Grant and Per partners (as applicable). Eligible DEPARTMENT OF TRANSPORTATION Diem (GPD) Special Need Grant applicants may obtain grant assistance Recipients and their collaborative VA to cover additional operational costs Surface Transportation Board Special Need partners (as applicable) to that would not otherwise be incurred make re-applications for assistance [Docket No. EP 290 (Sub-No. 5) (2015–3)] but for the fact that the recipient is under the Special Need Grant providing supportive housing beds and Component of VA’s Homeless Providers Quarterly Rail Cost Adjustment Factor services for the following special needs GPD Program. The focus of this NOFA homeless Veteran populations: AGENCY: Surface Transportation Board, is to encourage applicants to continue to (1) Women; DOT. deliver services to the homeless Special (2) Frail elderly; ACTION: Approval of rail cost adjustment Need Veteran population as outlined in (3) Terminally ill; factor. their current Special Need application. (4) Chronically mentally ill; or This NOFA contains information (5) Individuals who have care of SUMMARY: The Board approves the third concerning the program, application minor dependents. quarter 2015 Rail Cost Adjustment process, and amount of funding Definitions of these populations are Factor (RCAF) and cost index filed by available. contained in 38 CFR 61.1 Definitions. the Association of American Railroads. Eligible applicants should review these DATES: The third quarter 2015 RCAF An original signed and dated definitions to ensure their proposed (Unadjusted) is 0.829. The third quarter request for re-application letter, on populations meet the specific 2015 RCAF (Adjusted) is 0.354. The agency letterhead, for assistance under requirements. third quarter 2015 RCAF–5 is 0.334. the VA’s Homeless Providers GPD VA is pleased to issue this NOFA for Program and associated documents, DATES: Effective Date: July 1, 2015. the Homeless Providers GPD Program as must be received by the GPD Program a part of the effort to end homelessness FOR FURTHER INFORMATION CONTACT: Office by 4:00 p.m. Eastern Time on among our Nation’s Veterans. Funding Pedro Ramirez, (202) 245–0333. Federal Tuesday, July 28, 2015 (see application applied for under this NOFA may be Information Relay Service (FIRS) for the requirements below). used for the provision of service and hearing impaired: (800) 877–8339. Applications may not be sent by operational costs to facilitate the SUPPLEMENTARY INFORMATION: facsimile. In the interest of fairness to following for each targeted group: Additional information is contained in all competing applicants, this deadline the Board’s decision, which is available is firm as to date and time, and VA will Women on our Web site, http://www.stb.dot.gov. treat any application that is received (1) Ensure transportation for women, Copies of the decision may be after the deadline as ineligible for especially for health care and purchased by contacting the Office of consideration. Applicants should make educational needs; and Public Assistance, Governmental early submission of their materials to (2) Address safety and security issues Affairs, and Compliance at (202) 245– avoid any risk of loss of eligibility as a including segregation from other 0238. Assistance for the hearing result of unanticipated delays or other program participants if deemed impaired is available through FIRS at delivery-related problems. appropriate. (800) 877–8339. ADDRESSES: Frail Elderly This action will not significantly An original signed, dated, affect either the quality of the human completed, and collated grant re- (1) Ensure the safety of the residents environment or energy conservation. application letter and all required in the facility, including preventing associated documents must be harm and exploitation; By the Board, Acting Chairman Miller and submitted to the following address: VA Vice Chairman Begeman. (2) Ensure opportunities to keep Homeless Providers GPD Program residents mentally and physically agile Decided: June 17, 2015. Office, 10770 N. 46th Street, Suite C– to the fullest extent through the Kenyatta Clay, 200, Tampa, Florida 33617. incorporation of structured activities, Clearance Clerk. Applications must be received by the physical activity, and plans for social [FR Doc. 2015–15356 Filed 6–22–15; 8:45 am] application deadline. Applications must engagement within the program and in BILLING CODE 4915–01–P arrive as a complete package. Materials the community; arriving separately will not be included (3) Provide opportunities for in the application package for participants to address life transitional consideration and may result in the issues and separation and/or loss issues; DEPARTMENT OF VETERANS application being rejected or not AFFAIRS (4) Provide access to assistance funded. devices such as walkers, grippers, or other devices necessary for optimal Homeless Providers Grant and Per FOR FURTHER INFORMATION CONTACT: Mr. functioning; Diem Program; Notice of Funding Jeffery L. Quarles, Director, VA (5) Ensure adequate supervision, Availability Homeless Providers GPD Program, including supervision of medication Department of Veterans Affairs, 10770 AGENCY: Veterans Health and monitoring of medication N. 46th Street, Suite C–200, Tampa, FL Administration, VA Homeless Providers compliance; and Grant and Per Diem Program, 33617; (toll-free) 1–(877) 332–0334. (6) Provide opportunities for Department of Veterans Affairs. SUPPLEMENTARY INFORMATION: participants either directly or through

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referral, for other services particularly program participants if deemed award of one year beginning on October relevant for the frail elderly, including appropriate. 1, 2015, and ending on September 30, services or programs addressing 2016, to utilize the special need Award Information emotional, social, spiritual, and funding. Funds unexpended after the generative needs. Overview: This NOFA announces the September 30, 2016, deadline will be availability of one year renewal funding de-obligated. Terminally Ill in FY 2015 for the 21 currently (1) Help participants address life- operational FY 2014 VA GPD Special Eligibility Information transition and life-end issues; Need Grant Recipients in conjunction In order to be eligible, an applicant (2) Ensure that participants are with their collaborative VA Special must be a current operational FY 2014 afforded timely access to hospice Need partners (as applicable) to make VA GPD Special Need Grant Recipient services; re-applications for assistance under the in conjunction with their collaborative (3) Provide opportunities for Special Need Grant Component of VA’s VA Special Need partner, or a currently participants to engage in ‘‘tasks of Homeless Providers GPD Program. operational VA GPD Special Need Grant dying,’’ activities of ‘‘getting things in Funding Priorities: None Recipient that does not involve a order’’ or other therapeutic actions that Allocation of Funds: Approximately collaborative effort to make re- help resolve end-of-life issues and $4 million is available for the current application for assistance under the enable transition and closure; Special Need grant component of VA’s Special Need Grant Component of VA’s (4) Ensure adequate supervision, Homeless Providers GPD Program. Homeless Providers GPD Program. including supervision of medication Funding will be for a period beginning Note: If the applicant currently has a and monitoring of medication on October 1, 2015, and ending on collaborative project and its VA partner no compliance; and September 30, 2016. Special Need longer wishes to continue, its agency will be (5) Provide opportunities for payment will be the lesser of: ineligible for an award under this NOFA. participants, either directly or through 1. One hundred percent of the daily referral, for other services that are cost of care estimated by the special Cost Sharing or Matching: None. particularly relevant for the terminally need recipient for furnishing services to Application and Submission ill, such as legal counsel and pain homeless Veterans with special need Information: Address To Request Renewal management. that the special need recipient certifies to be correct, minus any other sources Agreement for Grant Application: Grant Chronically Mentally Ill of income; or Renewal Agreements may be obtained (1) Help participants join in and 2. Two times the current VA State by contacting the National GPD Office at engage with the community; Home Program per diem rate for 1 (877) 332–0334. The additional (2) Facilitate reintegration with the domiciliary care. documents that must also be included community and provide services that Special need awards are subject to: with the application are listed below in may optimize reintegration, such as life- Funds availability; the recipient meeting the Content and Form of Application skills education, recreational activities, the performance goals as stated in the section of this NOFA. Questions should and follow-up case management; grant application; statutory and be referred to the GPD Program Office at (3) Ensure that participants have regulatory requirements; and annual (toll-free) 1 (877) 332–0334. opportunities and services for re- inspections. Content and Form of Application: An establishing relationships with family; Applicants should ensure their application package is not needed for (4) Ensure adequate supervision, funding requests and operational costs this NOFA. Applicants submitting a including supervision of medication are based on the 12-month period above letter requesting re-application on their and monitoring of medication and should be approximately in line agency’s letterhead agree to VA using compliance; and with prior-year expenditures. Requests their previously awarded FY 2009 (5) Provide opportunities for cannot exceed the amount obligated Special Need application for scoring participants, either directly or through under the FY 2014 award. purposes. Applicants must contact the referral, to obtain other services Based on GPD funding availability, National GPD Program Office for a copy particularly relevant for a chronically approximately $2.5 million is expected of the Grant Renewal Agreement, which mentally ill population, such as to be made available over the specified must be signed, initialed, and dated by vocational development, benefits time (internally) for the current VA an agency official who is authorized to management, fiduciary or money, collaborative partners. The goal is, to sign grant agreements on behalf of their management services, medication the maximum extent possible, to ensure organization. The signed Grant Renewal compliance, and medication education. a continuation of Special Need services Agreement and the letter of intent must to homeless Veterans and their VA be submitted for reapplication of your Individuals Who Have Care of Minor collaborative partners. Special Needs Grant. Dependents Funding Actions: Conditionally Applicants should ensure that they (1) Ensure transportation for selected applicants may be asked to include all required documents in their individuals who have care of minor submit additional information under 38 application and carefully follow the dependents, and their minor CFR 61.15. Following receipt and format described below. Submission of dependents, especially for health care confirmation that this information is an incorrect, incomplete, or incorrectly and educational needs; accurate and in acceptable form, the formatted application package will (2) Provide directly or offer referrals applicant will execute an agreement result in the application being rejected for adequate and safe child care; with VA in accordance with 38 CFR at the beginning of the process. (3) Ensure children’s health care 61.61. Upon signature by the Secretary Application Documentation Required: needs are met, especially age- or designated representative, final • Letter from Applicant: Letter from appropriate wellness visits and selection will be completed and the the renewal applicant on agency-signed immunizations; and grant funds will be obligated. letterhead, stating the applicant agrees, (4) Address safety and security issues, Grant Award Period: Applicants that as a condition of funding under this including segregation from other are selected will have a maximum NOFA, that the FY 2009 application

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will be used, that they will provide the treat any application that is received and accountability. VA has procedures services as outlined in that application after the deadline as ineligible for in place to monitor services provided to along with any VA-approved changes in consideration. Applicants should take homeless Veterans and outcomes scope, and that the applicant’s FY 2009 this firm deadline into account and associated with the services provided in required forms and certifications still make early submission of their materials grant and per diem-funded programs. apply for the period of this award. to avoid any risk of loss of eligibility as Applicants should be aware of the • Grant Renewal Agreement: a result of unanticipated delays or other following: Document must be requested from the delivery-related problems. Awardees will be required to support National GPD Program Office, prior to For applications physically delivered their request for payments with application, so it can be signed, (e.g., in person, or via United States adequate fiscal documentation as to initialed, and dated by the applicant Postal Service, FedEX, United Parcel project income and expenses. agency official who is authorized to sign Service, or any other type of courier), All awardees that are selected in grant agreements for the applicant the VA GPD Program Office staff will response to this NOFA must meet the agency. accept the application and date stamp it requirements of the current edition of • Performance Goals: Documentation immediately at the time of arrival. This the Life Safety Code of the National Fire of the recipient meeting the is the date and time that will determine Protection Association as it relates to performance goals as stated in the FY if the deadline is met for those types of their specific facility. Applicants should 2009 original grant application as delivery. DO NOT fax or email the note that all facilities are to be protected evidenced by their last VA project application as it will be treated as throughout by an approved automatic inspection. ineligible for consideration. sprinkler system unless a facility is • Letter from VA Collaborative Funding Restrictions: No part of a specifically exempted under the Life Partner (if applicable): If the FY 2009 Special Need grant may be used for any Safety Code. Applicants should Special Need grant was a collaborative purpose that would significantly change consider this when submitting their grant, the renewal request must include the scope of the specific GPD project for grant applications, as no additional an updated letter of commitment or an which a capital GPD was awarded. As funds will be made available for capital updated Memorandum of Agreement a part of the review process, VA will improvements under this NOFA. (MOA) from the VA collaborative review the original project and Each program receiving Special Need partner, stating that VA will continue to subsequent approved program changes funding will have a liaison appointed meet its objectives or provide its duties of the previous FY 2009 Special Need from a nearby VA medical facility to as outlined in the original MOA in FY applications to ensure significant scope provide oversight and monitor services 2009. Note: If the applicant currently changes have not occurred, displacing provided to homeless Veterans in the has a collaborative project and its VA other homeless Veteran populations. VA program. partner no longer wishes to continue will not allow any changes under this Monitoring will include at a then the agency will be ineligible for renewal NOFA. minimum, a quarterly review of each application under this NOFA. Special Need funding may not be per diem program’s progress toward Applicants with questions regarding used for capital improvements or to meeting performance goals, including the funding from previous Special Need purchase vans or real property. the applicant’s internal goals and awards should contact the GPD Program However, the leasing of vans or real objectives in helping Veterans attain Office prior to application for renewal property may be acceptable. Questions housing stability, adequate income funding. Selections will be made based regarding acceptability should be support, and self-sufficiency as on criteria described in the FY 2009 directed to VA’s National GPD Program identified in each per diem program’s application and additional information Office at the number listed in Contact original application. Monitoring will as specified in this NOFA. Information. Applicants may not receive also include a review of the agency’s Applicants who are selected will be Special Need funding to replace funds income and expenses as they relate to notified of any additional information provided by any Federal, state or local this project to ensure payment is needed to confirm or clarify information Government agency or program to assist accurate. provided in the application. Applicants homeless persons. Each funded program will participate will then be notified of the deadline to A full copy of the regulations in VA’s national program monitoring submit such information. If an applicant governing the GPD Program is available and evaluation as these monitoring is unable to meet any conditions for at the GPD Web site at http:// procedures will be used to determine grant award within the specified time www.va.gov/HOMELESS/GPD.asp. successful accomplishment of these frame, VA reserves the right to not Award Notice: Although subject to housing outcomes for each per diem- award funds and to use the funds change, the GPD Program Office expects funded program. available for other Special Need to announce grant awards during the FOR FURTHER INFORMATION CONTACT: Mr. applicants. late fourth quarter of FY 2015 Jeffery L. Quarles, Director, VA Submission Dates and Times: An (September). The initial announcement Homeless Providers Grant and Per Diem original signed and dated request for re- will be made via news release which Program, Department of Veterans application letter on agency letterhead will be posted on VA’s National GPD Affairs, 10770 N. 46th Street, Suite C– and associated required documents for Program Web site at www.va.gov/ 200, Tampa, FL 33617; (toll-free) 1 (877) assistance under the VA’s Homeless homeless/gpd.asp. Following the initial 332–0334. Providers GPD Program must be announcement, the GPD Office will mail received by the GPD Program Office, by notification letters to the grant Signing Authority 4:00 p.m. Eastern Standard Time on recipients. Applicants who are not The Secretary of Veterans Affairs, or Tuesday, July 28, 2015; this includes selected will be mailed a declination designee, approved this document and applications submitted through letter within two weeks of the initial authorized the undersigned to sign and Grants.gov. announcement. submit the document to the Office of the In the interest of fairness to all Administrative And National Policy: Federal Register for publication competing applicants, this deadline is It is important to be aware that VA electronically as an official document of firm as to date and hour, and VA will places great emphasis on responsibility the Department of Veterans Affairs.

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Robert L. Nabors II, Chief of Staff, Public Law 107–95, § 5, codified as amended Approved: June 18, 2015. approved this document on June 17, by Public Law 112–154, at 38 U.S.C. 2011, William F. Russo, 2015 for publication. 2012, 2013, 2061, and in regulation at 38 CFR Acting Director, Office of Regulation Policy 61. Authority: Homeless Veterans & Management, Office of General Counsel. Comprehensive Assistance Act of 2001,’’ [FR Doc. 2015–15397 Filed 6–22–15; 8:45 am] BILLING CODE 8320–01–P

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Part II

Department of Transportation

National Highway Traffic Safety Administration 49 CFR Part 571 Federal Motor Vehicle Safety Standards; Electronic Stability Control Systems for Heavy Vehicles; Final Rule

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DEPARTMENT OF TRANSPORTATION Avoidance Standards, by telephone at A. Outriggers (202) 366–9146, and by fax at (202) 493– B. Automated Steering Machine National Highway Traffic Safety 2990. For legal issues, you may contact C. Anti-Jackknife System Administration David Jasinski, Office of the Chief D. Control Trailer E. Sensors Counsel, by telephone at (202) 366– F. Ambient Conditions 49 CFR Part 571 2992, and by fax at (202) 366–3820. You G. Road Test Surface [Docket No. NHTSA–2015–0056] may send mail to both of these officials H. Vehicle Test Weight at the National Highway Traffic Safety I. Tires RIN 2127–AK97 Administration, 1200 New Jersey J. Mass Estimation Drive Cycle Avenue SE., Washington, DC 20590. K. Brake Conditioning Federal Motor Vehicle Safety SUPPLEMENTARY INFORMATION: L. Compliance Options Standards; Electronic Stability Control M. Data Collection Systems for Heavy Vehicles Table of Contents XII. ESC Disablement I. Executive Summary A. Summary of Comments AGENCY: National Highway Traffic II. Statutory Authority B. Response to Comments Safety Administration (NHTSA), III. Background XIII. ESC Malfunction Detection, Telltale, Department of Transportation (DOT). IV. Safety Need and Activation Indicator ACTION: Final rule. A. Heavy Vehicle Crash Problem A. ESC Malfunction Detection B. Contributing Factors in Rollover and B. ESC Malfunction Telltale SUMMARY: This document establishes a Loss-of-Control Crashes C. Combining ESC Malfunction Telltale new Federal Motor Vehicle Safety C. NTSB Safety Recommendations With Related Systems Standard No. 136 to require electronic D. Motorcoach Safety Plan D. ESC Activation Indicator stability control (ESC) systems on truck E. International Regulation XIV. Benefits and Costs tractors and certain buses with a gross V. Summary of the May 2012 NPRM A. Target Crash Population B. System Effectiveness vehicle weight rating of greater than VI. Overview of the Comments VII. Key Differences Between the Final Rule 1. Summary of the NPRM 11,793 kilograms (26,000 pounds). ESC and the NRPM 2. Summary of Comments and Response systems in truck tractors and large buses VIII. ESC Requirement (a) ATRI Study are designed to reduce untripped A. Whether To Require Stability Control (b) Bendix Study rollovers and mitigate severe understeer B. Whether To Require ESC or RSC 3. Effectiveness Estimate or oversteer conditions that lead to loss C. Definition of ESC C. Benefits Estimates of control by using automatic computer- D. Technical Documentation 1. Safety Benefits controlled braking and reducing engine IX. Vehicle Applicability and Phase-In 2. Monetized Benefits torque output. A. Trucks D. Cost Estimate In 2018, we expect that, without this 1. Summary of the NPRM Truck Tractors 2. Exclusions From ESC Requirement Large Buses rule, about 34 percent of new truck 3. Single-Unit Trucks E. Cost Effectiveness tractors and 80 percent of new buses 4. Compliance Dates F. Comparison of Regulatory Alternatives affected by this final rule would be B. Buses XV. Regulatory Analyses and Notices equipped with ESC systems. We believe 1. Summary of the NPRM A. Executive Order 12866, Executive Order that, by requiring that ESC systems be 2. Buses Built on Truck Chassis 13563, and DOT Regulatory Policies and installed on the rest of truck tractors and (a) Summary of NPRM Procedures large buses, this final rule will prevent (b) Summary of Comments B. Regulatory Flexibility Act 40 to 56 percent of untripped rollover (c) NHTSA’s Response to Comments C. Executive Order 13132 (Federalism) 3. Hydraulic-Braked Buses crashes and 14 percent of loss-of-control D. Executive Order 12988 (Civil Justice 4. School Buses Reform) crashes. As a result, we expect that this 5. Transit Buses E. Protection of Children From final rule will prevent 1,424 to 1,759 6. Minimum Seating Capacity and Seating Environmental Health and Safety Risks crashes, 505 to 649 injuries, and 40 to Configuration F. Paperwork Reduction Act 49 fatalities at $0.1 to $0.6 million net 7. Compliance Dates G. National Technology Transfer and cost per equivalent life saved, while 8. Class 3 Through 6 Buses Advancement Act generating positive net benefits. C. Retrofitting H. Unfunded Mandates Reform Act X. Performance Testing I. National Environmental Policy Act DATES: The effective date of this rule is A. NHTSA’s Proposed Performance Tests J. Incorporation by Reference August 24, 2015. The incorporation by 1. Characterization Test—SIS K. Regulatory Identifier Number (RIN) reference of certain publications listed 2. Roll and Yaw Stability Test—SWD L. Privacy Act in the rule is approved by the Director 3. Lateral Displacement of the Federal Register as of August 24, B. Comments on SIS and SWD Maneuvers I. Executive Summary 2015. C. Alternative Maneuvers Considered in This final rule establishes a new Petitions for reconsideration: Petitions the NPRM D. Comments on Alternative Test Federal Motor Vehicle Safety Standard for reconsideration of this final rule (FMVSS) No. 136, Electronic Stability must be received not later than August Maneuvers E. NHTSA Examination and Testing of Control Systems for Heavy Vehicles, to 7, 2015. EMA Maneuvers reduce rollover and loss of directional ADDRESSES: Petitions for reconsideration F. Roll Stability Performance Test—J-Turn control of truck tractors and large buses. of this final rule must refer to the docket Test The standard requires that truck tractors and notice number set forth above and 1. Rationale for Using J-Turn Test and certain large buses with a gross be submitted to the Administrator, 2. Test Procedure and Performance vehicle weight rating (GVWR) of greater National Highway Traffic Safety Requirements than 11,793 kilograms (26,000 pounds) Administration, 1200 New Jersey 3. System Responsiveness 4. Engine Torque Reduction to be equipped with an electronic Avenue SE., Washington, DC 20590. 5. Roll Stability Performance Requirements stability control (ESC) system that meets FOR FURTHER INFORMATION CONTACT: For G. Yaw Stability the equipment and performance criteria technical issues, you may contact H. Understeer of the standard. ESC systems use engine Patrick Hallan, Office of Crash XI. Test Conditions and Equipment torque control and computer-controlled

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braking of individual wheels to assist conditions. This estimate is based on an distance requirements, and severe- the driver in maintaining control of the update of the estimate presented in a service tractors, for which we believe vehicle and maintaining its heading in 2011 research note analyzing the two additional years of lead time is situations in which the vehicle is effectiveness of ESC systems discussed necessary to design and test ESC becoming roll unstable (i.e., wheel lift in the Final Regulatory Impact Analysis systems. potentially leading to rollover) or (FRIA) accompanying this final rule.2 This final rule is applicable to buses experiencing loss of control (i.e., The agency considered requiring over 14,969 kilograms (33,000 pounds) deviation from driver’s intended path truck tractors and large buses to be GVWR manufactured more than three due to understeer, oversteer, trailer equipped with RSC systems. When years after the date of this final rule. swing or any other yaw motion leading compared to the ESC requirement in Although we proposed a two-year lead to directional loss of control). In such this final rule, RSC systems would cost time for buses in the NPRM, the situations, intervention by the ESC less than ESC systems, be slightly more Motorcoach Enhanced Safety Act system can assist the driver in cost-effective, but would produce net mandates that new rules, including maintaining control of the vehicle, benefits that are much lower than the stability enhancing technology, be thereby preventing fatalities and injuries net benefits from this final rule. This is applicable to all buses manufactured associated with vehicle rollover or because RSC systems are less effective at more than three years after publication collision. preventing rollover crashes and much of a final rule. However, for buses with This final rule is made pursuant to the less effective at preventing loss-of- a GVWR greater than 11,793 kilograms authority granted to NHTSA under the control crashes. We also considered (26,000 pounds) but not more than National Traffic and Motor Vehicle requiring trailers to be equipped with 14,969 kilograms (33,000 pounds), we Safety Act (‘‘Motor Vehicle Safety Act’’). RSC systems. However, this alternative believe that three years of lead time is Under 49 U.S. C. Chapter 301, Motor would save many fewer lives, would not not feasible. Some of these buses Vehicle Safety (49 U.S. C. 30101 et se.), be cost-effective, and would not result include vehicles with body-on-frame the Secretary of Transportation is in net benefits. construction and hydraulic brakes, for responsible for prescribing motor This final rule requires ESC systems which ESC system availability is not as vehicle safety standards that are to meet both definitional criteria and widespread. Therefore, we are allowing practicable, meet the need for motor performance requirements. It is four years of lead time for buses with a vehicle safety, and are stated in necessary to include definitional criteria GVWR greater than 11,793 kilograms objective terms. The responsibility for and require compliance with them (26,000 pounds) but not more than promulgation of Federal motor vehicle because developing separate 14,969 kilograms (33,000 pounds). We safety standards is delegated to NHTSA. performance tests to cover the wide believe that including buses with body- This rulemaking also completes array of possible operating ranges, on-frame construction and hydraulic NHTSA’s rulemaking pursuant to a roadways, and environmental brakes in this final rule will spur directive in the Moving Ahead for conditions would be impractical. The development of ESC systems for other Progress in the 21st Century Act (MAP– definitional criteria are consistent with hydraulic-braked vehicles, including 21) that the Secretary consider requiring those recommended by SAE vehicles with a GVWR of greater than stability enhancing technology on International and used by the United 4,536 kilograms (10,000 pounds) but not 1 motorcoaches. Nations (UN) Economic Commission for more than 11,793 kilograms (26,000 There have been two types of stability Europe (ECE), and similar to the pounds), which are not covered by this control systems developed for heavy definition of ESC in FMVSS No. 126, rulemaking. vehicles. A roll stability control (RSC) the agency’s stability control standard We have chosen an alternative performance test to demonstrate an ESC system is designed to prevent rollover for light vehicles. This definition by decelerating the vehicle using system’s ability to mitigate roll describes an ESC system for heavy braking and engine torque control. The instability to what was proposed. After vehicles as one that will enhance both other type of stability control system is considering the public comments and the roll and yaw stability of a vehicle ESC, which includes all of the functions conducting additional track testing, we using a computer-controlled system that of an RSC system plus the ability to have determined that a 150-foot-radius can receive inputs such as the vehicle’s mitigate severe oversteer or understeer J-turn test maneuver is an efficient lateral acceleration and yaw rate, and conditions by automatically applying means to ensure vehicles maintain roll use the information to apply brakes brake force at selected wheel-ends to stability. Like the test maneuver in the individually, including trailer brakes, help maintain directional control of a NPRM, the J-turn test maneuver is and modulate engine torque. vehicle. To date, ESC and RSC systems among those available to manufacturers This final rule is applicable to all new for heavy vehicles have been developed to demonstrate compliance with the typical three-axle truck tractors for air-braked vehicles. Truck tractors UNECE mandate for ESC on trucks and manufactured on or after August 1, and buses covered by today’s final rule buses. 2017. We believe that two years of lead make up a large proportion of air-braked The J-turn test maneuver, based on an time is sufficient for these vehicles to be heavy vehicles and a large proportion of alternative test discussed in the NPRM, equipped with ESC, given that this is a the heavy vehicles involved in both involves accelerating to a constant common platform for which ESC rollover crashes and total heavy vehicle speed on a straight stretch of high- systems are readily available today. We crashes. friction track before entering into a 150- As a result of the data analysis are allowing four years of lead time for foot radius curve. After entering the research, we determined that ESC all other truck tractors. These vehicles curve, the driver attempts to maintain systems can be 40 to 56 percent effective include two-axle vehicles, which have the lane. At a speed that is at up to 1.3 in reducing first-event untripped been more recently required to satisfy times the speed at which the ESC rollovers and 14 percent effective in new, reduced minimum stopping system activates, but in no case below eliminating loss-of-control crashes 48.3 km/h (30 mph), an ESC system 2 See Wang, Jing-Shiam, ‘‘Effectiveness of caused by severe oversteer or understeer Stability Control Systems for Truck Tractors’’ must activate the vehicle’s service (January 2011) (DOT HS 811 437); Docket No. brakes to slow the vehicle’s speed to 1 Pub. L. 112–141 (July 6, 2012). NHTSA–2010–0034–0043. 46.7 km/h (29 mph) within 3 seconds

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after entering the curve and 45.1 km/h have been tested in the SWD maneuver. an on/off switch for a traction control (28 mph) within 4 seconds after entering However, we are continuing to examine system. We understand that traction the curve. Additional J-turn tests are possible yaw performance maneuvers, control systems are related to ESC conducted to ensure that an ESC system including the SWD maneuver, to test systems in that they can control engine is able to reduce engine torque. yaw stability performance in the future. torque output and activate the brakes on The performance metric for the J-turn The decision to adopt the J-turn test individual wheel ends. However, we do (reduction in forward speed) is easy to maneuver as the performance test in this not find these arguments to be a obtain and serves as a proxy for absolute final rule has caused us to reconsider compelling reason to allow an ESC lateral acceleration. Lateral acceleration test conditions and equipment. system deactivation switch or automatic on a fixed-radius curve is a function of However, many aspects of testing deactivation of ESC systems at speeds forward velocity. On a 150-foot radius remain identical to the proposal. For above 20 km/h (12.4 mph). curve, a forward speed of 48.3 km/h (30 example, we will conduct performance This final rule requires that an ESC mph) corresponds to a lateral testing on a high-friction surface. We system be able to detect a malfunction acceleration of approximately 0.4g. believe that the potential for variance in and provide a driver with notification of Based on prior NHTSA testing, we have surface friction on a low-friction surface a malfunction by means of a telltale. found that 0.4g represents the margin of may introduce variabilities in ESC This requirement is similar to the lateral stability on a typical fully loaded testing that may lead to inconsistent malfunction detection and telltale truck tractor with the loads having a results. We are still equipping all test requirements for light vehicles in high center of gravity (CG). That is, vehicles with outriggers and truck FMVSS No. 126. After considering lateral acceleration levels greater than tractors with anti-jackknife systems for public comments, we have changed the 0.4g (or forward speeds on a 150-foot the safety of test drivers. vehicle depicted on the telltale to better radius curve of greater than 48.3 km/h On the other hand, many proposed represent the profile of a combination (30 mph)) on a typical truck tractor are aspects of testing had to be modified to vehicle or bus rather than a passenger likely to lead to lateral instability, wheel accommodate the J-turn test maneuver. car. lift, and possible rollover. However, Because the J-turn test maneuver is a Based on the agency’s effectiveness lateral acceleration levels less than 0.4g path-following maneuver, we are not estimates, this final rule will prevent (or forward speeds on a 150-foot radius using a steering wheel controller that 1,424 to 1,759 crashes per year resulting curve of less than 48.3 km/h (30 mph)) was proposed in the NPRM. We noted in 505 to 649 injuries and 40 to 49 on a typical truck tractor are unlikely to potential variabilities in the proposed fatalities. This final rule will also result lead to lateral instability, wheel lift, and specification for the control trailer. in significant monetary savings as a rollover. However, because the performance result of the prevention of property This final rule includes a requirement metric for the J-turn test maneuver is damage and travel delays. proposed in the NPRM that an ESC different than the proposed SWD Without this final rule, we project system be able to mitigate yaw requirements, those variabilities that, in 2018, manufacturers would have instability. This requirement is similar identified in the NPRM that were equipped 33.9 percent of truck tractors to one proposed in the NPRM, and related to the SWD maneuver are no with ESC systems, 21.3 percent of truck adopted in this final rule, requiring an longer relevant. We have modified the tractors would be equipped with RSC ESC system be able to mitigate loading condition to load the vehicle to systems, and 80.0 percent of large buses understeer. However, this final rule its GVWR because that is the most would be equipped with ESC systems. does not include any performance test severe test condition with the J-turn test Based on the agency’s cost teardown to evaluate the ability of an ESC system maneuver. Finally, the number of study, the average ESC system cost is to mitigate yaw instability. Although the sensors used in testing is substantially estimated to be $585 for truck tractors NPRM included the sine with dwell reduced because the vehicle’s actual and $269 for large buses. The (SWD) maneuver to test both roll and lateral acceleration throughout the incremental cost of installing an ESC yaw instability, we have decided not to maneuver does not need to be system in place of an RSC system on a include it in this final rule. The SWD measured. truck tractor is estimated to be $194. maneuver is only a partial test of the We have considered comments on the Based upon the agency’s estimate that ability to mitigate yaw instability. It issue of allowing ESC system 150,000 truck tractors and 2,200 buses tests an ESC system’s ability to mitigate disablement. This final rule does not covered by this final rule will be loss of control resulting from oversteer allow the driver to disable the ESC manufactured annually, the agency conditions, but not its ability to mitigate system at speeds higher than 20 km/h estimates the total technology cost of understeer, which is the most common (12.4 mph), which we have defined as this final rule to be approximately $45.6 loss-of-control scenario for heavy the minimum speed at which an ESC million. vehicles. NHTSA has been unable to system must operate. Many of the This final rule is highly cost effective develop a test for understeer mitigation. comments we received arguing in favor and beneficial. The net benefits of this As argued by many commenters, of allowing ESC system disablement final rule are estimated to range from performing the SWD maneuver entails were, in fact, arguing for disablement of $412 to $525 million at the 3 percent substantial time and instrumentation traction control to allow a vehicle to discount rate and $312 to $401 million burdens. We do not believe that this start moving on certain surfaces with at the 7 percent discount rate. The additional time and cost is justified low friction such as on snow, ice, or off- agency estimates that this rule will solely to test an ESC system’s ability to road conditions. However, we do not result in societal economic savings mitigate yaw instability caused by believe that an ESC system would resulting from preventing crashes, oversteer conditions when a majority of prevent a heavy vehicle from moving in reducing congestion, and preventing the benefits of this final rule are derived these circumstances. Rather, we believe property damage, such that the net cost from rollover prevention and the that manufacturers may wish to disable of this final rule range from $3.6 to majority of benefits attributed to an automatic traction control system to $12.3 million at a 3 percent discount prevented loss-of-control crashes in allow the vehicle to move. NHTSA does rate and from $12.3 to $19.2 million at heavy vehicles are derived from not require traction control systems, nor 7 percent discount rate. As a result, the understeer mitigation, which would not does NHTSA prohibit the installation of net cost per equivalent life saved ranges

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from $0.1 to $0.3 million at the 3 rate. The costs and benefits of this rule percent discount rate and from $0.3 to are summarized in Table 1. $0.6 million at the 7 percent discount

TABLE 1—ESTIMATED ANNUAL COST, BENEFITS, AND NET BENEFITS OF THE FINAL RULE [In millions of 2013 dollars]

Societal Total Cost per Vehicle costs economic VSL savings monetized equivalent live Net benefits savings savings saved

At 3% Discount ...... $45.6 $33.3–$42.1 $424–$528 $458–$571 $0.1–$0.3 $412–$525 At 7% Discount ...... 45.6 26.4–33.3 332–413 358–446 0.3–$.6 312–401

II. Statutory Authority motorcoaches. The Secretary was elevated passenger deck located over a NHTSA is issuing this final rule directed to prescribe regulations that baggage compartment.’’ under the National Traffic and Motor address stability enhancing technology Under section 32703(e)(1) of the Vehicle Safety Act (‘‘Motor Vehicle if the Secretary determines that such Motorcoach Enhanced Safety Act, any Safety Act’’). Under 49 U.S.C. Chapter standards meet the requirements and regulation prescribed in accordance 301, Motor Vehicle Safety (49 U.S.C. considerations set forth in subsections with section 32703(b) (and several other 30101 et seq.), the Secretary of (a) and (b) of 49 U.S.C. 30111. These subsections) shall apply to all Transportation is responsible for requirements are discussed in the motorcoaches manufactured more than prescribing motor vehicle safety preceding paragraph. three years after the date on which the standards that are practicable, meet the The Motorcoach Enhanced Safety Act regulation is published as a final rule, need for motor vehicle safety, and are directs the Secretary to consider various take into account the impact to seating stated in objective terms. ‘‘Motor vehicle other motorcoach rulemakings, in capacity of changes to size and weight provided timeframes, related to safety of motorcoaches and the ability to safety’’ is defined in the Motor Vehicle 3 Safety Act as ‘‘the performance of a belts, improved roof support standards, comply with State and Federal size and motor vehicle or motor vehicle advanced glazing standards and other weight requirements, and be based on equipment in a way that protects the portal improvements to prevent partial the best available science. Prior to enactment of the Motorcoach public against unreasonable risk of and complete ejection of motorcoach Enhanced Safety Act, the agency’s May accidents occurring because of the passengers, tire pressure monitoring 23, 2012 NPRM proposed requiring design, construction, or performance of systems, and tire performance truck tractors and large buses with a a motor vehicle, and against standards. The Act also includes GVWR of greater than 11,793 kg (26,000 unreasonable risk of death or injury in provisions on fire research, interior lb.) to be equipped with stability an accident, and includes impact protection, enhanced seating enhancing technology. Thus, the agency nonoperational safety of a motor designs, and collision avoidance had already considered requiring vehicle.’’ ‘‘Motor vehicle safety systems, and the consideration of motorcoaches to have stability standard’’ means a minimum rulemaking based on such research. enhancing technology, and had performance standard for motor vehicles There also are provisions in the proposed requiring the same, prior to or motor vehicle equipment. When Motorcoach Enhanced Safety Act the enactment of the Motorcoach prescribing such standards, the relating to improved oversight of motorcoach service providers, including Enhanced Safety Act. Secretary must consider all relevant, The agency does not interpret the available motor vehicle safety enhancements to driver licensing and training programs and motorcoach Motorcoach Enhanced Safety Act on its information. The Secretary must also own as a mandate to require stability consider whether a standard is inspection programs. In section 32702, ‘‘Definitions,’’ of the enhancing technology on over-the-road reasonable, practicable, and appropriate Motorcoach Enhanced Safety Act, the buses. With respect to rollover crash for the types of motor vehicles or motor Act states at section 32702(6) that ‘‘the avoidance, section 32703(b)(3) of the vehicle equipment for which it is term ‘motorcoach’ has the meaning Motorcoach Enhanced Safety Act directs prescribed and the extent to which the given the term ‘over-the-road bus’ in the agency to ‘‘consider requiring’’ standard will further the statutory section 3038(a)(3) of the Transportation stability enhancing technology such as purpose of reducing traffic accidents Equity Act for the 21st Century (TEA– electronic stability control or torque and associated deaths. The 21) (49 U.S.C. 5310 note), but does not vectoring on over-the-road buses. responsibility for promulgation of include a bus used in public However, the agency was also directed Federal motor vehicle safety standards transportation provided by, or on behalf in section 32703(b) to prescribe a is delegated to NHTSA. regulation if the Secretary determines On July 6, 2012, President Obama of, a public transportation agency; or a that such standards meet the signed MAP–21, which incorporated in school bus, including a multifunction requirements and considerations for Subtitle G the ‘‘Motorcoach Enhanced school activity bus.’’ Section 3038(a)(3) issuing a motor vehicle safety standard Safety Act of 2012.’’ Section 32703(b)(3) states: ‘‘The term ‘over-the-road bus’ under the Motor Vehicle Safety Act. The of the Act states that, not later than two means a bus characterized by an Motorcoach Enhanced Safety Act does years after the date of enactment of the 3 Pursuant to the Motor Vehicle Safety Act and not provide independent statutory Act, the Secretary shall consider the Motorcoach Enhanced Safety Act, NHTSA authority to require stability enhancing requiring motorcoaches to be equipped published a final rule requiring lap/shoulder seat technologies on over-the-road buses.4 with stability enhancing technology, belts for each passenger seating position on all new such as electronic stability control and over-the-road buses, and in new buses other than over-the-road buses with a GVWR greater than 4 In contrast, the Motorcoach Enhanced Safety torque vectoring, to reduce the number 11,793 kilograms (26,000 pounds) beginning on Act specifically mandated that the agency prescribe and frequency of rollover crashes of November 26, 2016. 78 FR 70415 (Nov. 25, 2013). Continued

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Thus, any mandate requiring stability proceeding. Even if it was within scope wheel is turned, the displacement of the enhancing technology pursuant to the to require torque vectoring, the agency front wheels generates a slip angle at the Motorcoach Enhanced Safety Act is would not do so in this rulemaking. The front wheels and a lateral force is dependent on satisfying the agency’s understanding of torque generated. That lateral force leads to considerations and requirements of the vectoring is that it is a technology that vehicle rotation, and the vehicle starts Motor Vehicle Safety Act. allows a vehicle’s differential or brakes rotating about its center of gravity. In issuing this final rule, we took into to vary the power supplied to the drive Then, the vehicle’s yaw causes the rear account the considerations of section axle wheel end. In contrast, ESC wheels to experience a slip angle. That 32703(e)(1) of the Motorcoach Enhanced systems activate the vehicle’s service causes a lateral force to be generated at Safety Act regarding the implementation brakes to vary the braking on each the rear tires, which causes vehicle of regulations prescribed in accordance wheel end combined with the ability to rotation. All of these actions establish a with subsection (b)(3). Unlike reduce engine torque (which reduces steady-state turn in which lateral subsection (b)(3), subsection (e)(1) does power on drive axle wheel ends). In the acceleration and yaw rate are constant. not use permissive language. Because May 2012 NPRM, we noted that, all In combination vehicles, which this final rule is issued in accordance things being equal, a vehicle entering a typically consist of a tractor towing a with subsection (b)(3), we believe the curve at a higher speed is more likely to trailer, an additional phase is the considerations regarding the application roll over than a vehicle entering a curve turning response of the trailer, which is of regulations in subsection (e)(1) must at a lower speed.7 Once a vehicle is similar to, but slightly delayed, when be addressed in this rulemaking. about to enter a curve at a high enough compared to the turning response of the Nonetheless, because the Motorcoach speed that would generate sufficient tractor. Enhanced Safety Act contains no lateral acceleration to cause a possible If the lateral forces generated at either independent statutory authority in rollover, the most effective manner to the front or the rear wheels exceed the support of a mandate for stability vary the individual wheel speeds in an friction limits between the road surface enhancing technology, the attempt to prevent the rollover is and the tires, the result will be a vehicle considerations in subsection (e)(1) are primarily through the activation of a loss-of-control in the form of severe constrained by the agency’s authority to vehicle’s service brakes along with the understeer (loss of traction at the steer issue standards under the Motor Vehicle decrease in engine power and the use of tires) or severe oversteer (loss of traction Safety Act. Therefore, where the engine braking. Torque vectoring at the rear tires). In a combination considerations in subsection (e)(1) systems that are differential-based vehicle, a loss of traction at the trailer conflict with any requirements and would not provide adequate braking wheels would result in the trailer considerations set forth in subsections power and would be less effective than swinging out of its intended path. (a) and (b) of 49 U.S.C. 30111, the ESC at slowing a vehicle down to allow Conversely, rollover conditions occur requirements of the Motor Vehicle it to maneuver a curve without rolling on a vehicle when high lateral forces are Safety Act supersede the Motorcoach over. Likewise, brake-based torque generated at the tires from steering or Enhanced Safety Act.5 vectoring systems would be less sliding and result in a vehicle lateral This final rule is practicable, meets a effective than ESC for braking in a need for motor vehicle safety, and is acceleration that exceeds the rollover curve. In brake-based systems, the threshold of the vehicle. stated in objective terms. With respect inside wheels are braked during to the considerations of the Motorcoach cornering in order to prevent any loss of High lateral acceleration is one of the Enhanced Safety Act, we believe that traction, which could result because primary causes of rollovers. Figure 1 Congress intended that a final rule there is less weight on those wheel depicts a simplified untripped rollover based on the 2012 NPRM would during cornering. ESC provides braking condition. As shown, when the lateral complete the rulemaking proceeding to both the inside and outside wheels of force (i.e., lateral acceleration) is specified in section 32703(b)(3) of the the vehicle resulting in better brake sufficiently large and exceeds the roll Act. Electronic stability control will performance. stability threshold of the tractor-trailer reduce the number and frequency of combination vehicle, the vehicle will rollover crashes of motorcoaches. This III. Background roll over. Many factors related to the rulemaking is based on the best In the NPRM, we provided a detailed drivers’ maneuvers, heavy vehicle available science. Further, we have explanation of how rollovers occur, how loading conditions, vehicle handling considered the impact to seating stability control technologies such as characteristics, roadway design, and capacity and changes to size and weight roll stability control and electronic road surface properties would result in of motorcoaches, and we believe that stability control function and reduce various lateral accelerations and this rule will have no effect on these rollover, examples of situations in influences on the rollover propensity of considerations. ESC systems will add which stability control systems may not a vehicle. For example, given other less than 10 pounds of additional be effective, and the differences between factors are equal, a vehicle entering a weight to over-the-road buses.6 stability enhancing technology on light curve at a higher speed has a higher Although the Motorcoach Enhanced vehicles and heavy vehicles.8 This lateral acceleration and, as a result, is Safety Act also suggested torque section is a summary of that more likely to roll than a vehicle vectoring as a possible technology to information. entering the curve at a lower speed. consider requiring on motorcoaches, we A turning maneuver initiated by the Also, transporting a high-CG load would did not propose requiring torque driver’s steering input results in a increase the rollover probability more vectoring in the May 2012 NPRM, and vehicle response that can be broken than transporting a relatively lower CG it is beyond the scope of this rulemaking down into two phases. As the steering load.

regulations requiring safety belts to be installed at with a GVWR of 14,969 kilograms (33,000 pounds) for Heavy Trucks,’’ Docket No. NHTSA–2011– each designated seating position on all over-the- or less. 0066–0034. road buses. 6 ‘‘Report: Cost and Weight Analysis of Electronic 7 77 FR 30771. 5 See section IX.B below for such a finding with Stability Control (ESC) and Roll Stability Control 8 77 FR 30771–74. respect to the application of this final rule to buses

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Stability control technologies help a cannot currently detect whether or not a steering wheel angle sensor, which driver maintain directional control and the trailer is equipped with ABS. senses the driver’s steering input.10 11 help to reduce roll instability. Two An RSC system can reduce rollovers, The other is a yaw rate sensor, which types of heavy vehicle stability control but is not designed to help to maintain measures the actual turning movement technologies have been developed. One directional control of a truck tractor. of the vehicle. These system inputs are such technology is roll stability control Nevertheless, RSC systems may provide monitored by the system’s ECU, which or RSC. RSC systems are available for some additional ability to maintain estimates when the vehicle’s directional truck tractors and for trailers. A tractor- directional control in some scenarios, response begins to deviate from the such as in a low-center-of-gravity based RSC system consists of an driver’s steering command, either by scenario, where an increase in a lateral electronic control unit (ECU) that is oversteer or understeer. An ESC system acceleration may lead to yaw instability mounted on a vehicle and continually intervenes to restore directional control rather than roll instability. by taking one or more of the following monitors the vehicle’s speed and lateral In comparison, a trailer-based RSC acceleration based on an accelerometer, actions: Decreasing engine power, using system has an ECU mounted on the engine braking, selectively applying the and estimates vehicle mass based on trailer, which typically monitors the engine torque information.9 The ECU brakes on the truck tractor to create a trailer’s wheel speeds, the trailer’s counter-yaw moment to turn the vehicle continuously estimates the roll stability suspension to estimate the trailer’s back to its steered direction, or applying threshold of a vehicle, which is the loading condition, and the trailer’s the brakes on the trailer. An ESC system lateral acceleration above which a lateral acceleration. A trailer-based RSC enhances the RSC functions because it combination vehicle will roll over. system works similarly to a tractor- has the added information from the based system. However, a trailer-based When the vehicle’s lateral acceleration steering wheel angle and yaw rate RSC system can only apply the trailer approaches the roll stability threshold, sensors, as well as more braking power brakes to slow a combination vehicle, the RSC system intervenes. Depending because of its additional capability to whereas a tractor-based RSC system can on how quickly the vehicle is apply the tractor’s steer axle brakes.12 approaching the estimated rollover apply brakes on both the tractor and Figure 2 illustrates the oversteering threshold, the RSC system intervenes by trailer. The other type of stability control and understeering conditions. While one or more of the following actions: systems available for truck tractors and Figure 2 may suggest that a particular Decreasing engine power, using engine large buses is an ESC system. An ESC vehicle loses control due to either braking, applying the tractor’s drive-axle system incorporates all of the inputs of oversteer or understeer, it is quite brakes, or applying the trailer’s brakes. an RSC system. However, it also has two possible that a vehicle could require When RSC systems apply the trailer’s additional sensors to monitor a vehicle both understeering and oversteering brakes, they use a pulse modulation for loss of directional control, which interventions during progressive phases protocol to prevent wheel lockup may result due to either understeer or of a complex crash avoidance maneuver because tractor stability control systems oversteer. The first additional sensor is such as a double lane change.

9 RSC systems are not presently available for large 11 Some RSC systems also use a steering wheel the steering axle without knowing where the driver buses. angle sensor, which allows the system to identify is steering the vehicle. 10 Because ESC systems must monitor steering potential roll instability events earlier. inputs from the tractor, ESC systems are not 12 This is a design strategy to avoid the available for trailers. unintended consequences of applying the brakes on

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Understeering. The left side of Figure reduces the predictability of the First, on light vehicles, the yaw stability 2 shows a truck tractor whose driver has vehicle’s handling threshold is typically lower than the roll lost directional control during an • Entry speeds that are much too high stability threshold. This means that a attempt to drive around a right curve. for a curved roadway or entrance/exit light vehicle making a crash avoidance The ESC system momentarily applies ramp maneuver, such as a lane change on a • the right rear brake, creating a clockwise Cargo load shifts or liquid sloshing dry road, is more likely to reach its yaw rotational force, to turn the heading of within the trailer during a steering stability threshold and lose directional maneuver control before it reaches its roll stability the vehicle back to the correct path. It • will also reduce engine power to gently Vehicle tripped by a curb or other threshold and rolls over. On a heavy slow the vehicle and, if necessary, apply roadside object or barrier vehicle, however, the roll stability • Truck rollovers that are the result of additional brakes (while maintaining threshold is lower than the yaw stability collisions with other motor vehicles threshold in most operating conditions, the uneven brake force to create the • Inoperative antilock braking primarily because of its higher center-of- necessary yaw moment). systems—the performance of stability gravity height.14 As a result, there is a Oversteering. The right side of Figure control systems depends on the proper greater propensity for a heavy vehicle, 2 shows that the truck tractor whose functioning of ABS particularly in a loaded condition, to driver has lost directional control • Brakes that are out-of-adjustment or roll during a severe crash avoidance during an attempt to drive around a other defects or malfunctions in the maneuver or when negotiating a curve, right curve. In a vehicle equipped with ESC, RSC, or brake system. than to become yaw unstable, as ESC, the system immediately detects • Maneuvers during tire tread compared with light vehicles. that the vehicle’s heading is changing separation or sudden tire deflation more quickly than appropriate for the events. Second, a tractor-trailer combination driver’s intended path (i.e., the yaw rate On April 6, 2007, the agency unit is comprised of a power unit and is too high). To counter the clockwise published a final rule that established one or more trailing units with one or rotation of the vehicle, it momentarily FMVSS No. 126, Electronic Stability more articulation points. In contrast, applies the left front brake, thus creating Control Systems, which requires all although a light vehicle may a counter-clockwise counter-rotational passenger cars, multipurpose passenger occasionally tow a trailer, a light vehicle force and turning the heading of the vehicles, trucks and buses with a GVWR is usually a single rigid unit. The tractor vehicle back to the correct path. It will of 4,536 kg (10,000 lb.) or less to be and the trailer have different center-of- also reduce engine power to gently slow equipped with an electronic stability gravity heights and different lateral the vehicle and, if necessary, apply control system beginning in model year acceleration threshold limits for additional brakes (while maintaining 2012.13 The system must be capable of rollover. A combination vehicle rollover the uneven brake force to create the applying brake torques individually at frequently begins with the trailer where necessary yaw moment). The ESC all four wheels, and must comply with the rollover is initiated by trailer wheel activation can be so subtle that the the performance criteria established for lift. driver does not perceive the need for stability and responsiveness when Third, due to greater length, mass, steering corrections. subjected to the sine with dwell steering and mass moments of inertia of heavy maneuver test. For light vehicles, the A stability control system will not vehicles, they respond more slowly to focus of the FMVSS No. 126 is on prevent all rollover and loss-of-control steering inputs than do light vehicles. addressing yaw instability, which can crashes. A stability control system has The longer wheelbase of a heavy assist the driver in preventing the the capability to prevent many vehicle, compared with a light vehicle, vehicle from leaving the roadway, untripped on-road rollovers and first- results in a slower response time, which thereby preventing fatalities and injuries event loss-of-control events. gives the stability control system the associated with crashes involving Nevertheless, there are real-world opportunity to intervene and prevent tripped rollover, which often occur situations in which stability control rollovers. when light vehicles run off the road. systems may not be as effective in Finally, the larger number of wheels The standard does not include any avoiding a potential crash. Such on a heavy vehicle, as compared to a equipment or performance requirements situations include: light vehicle, makes heavy vehicles less for roll stability. • Off-road maneuvers in which a The dynamics of light vehicles and 14 One instance where a heavy vehicle’s yaw vehicle departs the roadway and heavy vehicles differ in many respects. stability threshold might be higher than its roll encounters a steep incline or an stability threshold is in an unloaded condition on unpaved surface that significantly 13 72 FR 17236. a low-friction road surface.

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likely to become yaw unstable on dry Combination trucks were involved in B. Contributing Factors in Rollover and road surface conditions. 3,000 injury crashes and 373 fatal Loss-of-Control Crashes crashes, and single-unit trucks were IV. Safety Need Many factors related to heavy vehicle involved in 3,000 injury crashes and operation, as well as factors related to A. Heavy Vehicle Crash Problem 194 fatal crashes. roadway design and road surface According to FMCSA’s Large Truck This section presents data on the properties, can cause heavy vehicles to and Bus Crash Facts 2011, cross-country safety problem associated with rollover become yaw unstable or to roll. Listed intercity buses were involved in 39 of and loss of control of heavy vehicles. below are several real-world situations the 242 fatal bus crashes in 2011. The The information has been updated from in which stability control systems may bus types presented in the crash data similar information contained in the prevent or lessen the severity of such include school buses, cross-country NPRM. For the specific target crashes. intercity buses, transit buses, van-based population used to support the agency’s • Speed too high to negotiate a buses, and other buses. From 2002 to system effectiveness and estimated curve—The entry speed of vehicle is too 2011, cross-country intercity buses, on benefits, see Section XIV. high to safely negotiate a curve. When average, accounted for approximately 12 The Traffic Safety Facts 2012 reports the lateral acceleration of a vehicle that tractor trailer combination vehicles percent of all buses involved in fatal crashes, whereas transit buses and during a steering maneuver exceeds the are involved in about 72 percent of the vehicle’s roll or yaw stability threshold, fatal crashes involving large trucks, school buses accounted for 34 percent and 40 percent, respectively, of all buses a rollover or loss of control is initiated. annually.15 According to FMCSA’s Curves can present both roll and yaw Large Truck and Bus Crash Facts 2011, involved in fatal crashes. However, most of the transit bus and school bus crashes instability issues to these types of these vehicles had a fatal crash vehicles due to varying heights of loads involvement rate of 1.46 crashes per 100 are not rollover or loss-of-control crashes that ESC systems are capable of (low versus high, empty versus full) and million vehicle miles traveled during road surface friction levels (e.g., wet, 2011, whereas single-unit trucks had a preventing. Fatal rollover and loss-of- control crashes are a subset of these dry, icy, snowy). fatal crash involvement rate of 1.00 • Road design configuration—Some crashes per 100 million vehicle miles crashes. There are many more fatalities in drivers may misjudge the curvature of traveled.16 Combination vehicles buses with a GVWR greater than 11,793 ramps and not brake sufficiently to represent about 24 percent of large kg (26,000 lb.) compared to buses with negotiate the curve safely. This includes trucks registered but travel 61 percent of a GVWR between 4,536 kg and 11,793 driving on ramps with decreasing radius the large truck miles, annually. Traffic kg (10,000 lb. and 26,000 lb.).17 In the curves as well as operating on curves tie-ups resulting from loss-of-control 10-year period between 2000 and 2009, and ramps with improper signage. A and rollover crashes also contribute to there were 42 fatalities on buses with a vehicle traveling on a curve with a in millions of dollars of lost GVWR between 4,536 kg and 11,793 kg decrease in super-elevation (banking) at productivity and excess energy (10,000 lb. and 26,000 lb.) compared to the end of a ramp where it merges with consumption each year. the roadway causes an increase in According to Traffic Safety Facts 209 fatalities on buses with a GVWR greater than 11,793 kg (26,000 lb.). vehicle lateral acceleration, which may 2012, the overall crash problem for increase even more if the driver tractor trailer combination vehicles in Among buses with a GVWR of greater than 11,793 kg (26,000 lb.), over 70 accelerates the vehicle in preparation to that year was approximately 180,000 merge. crashes, 42,000 of which involve injury. percent of the fatalities were cross- • country intercity bus occupants, ‘‘other Sudden steering maneuvers to The overall crash problem for single- 18 avoid a crash—The driver makes an unit trucks is nearly as large—in 2012, buses,’’ and ‘‘unknown buses.’’ Thus, although these buses are only involved abrupt steering maneuver, such as a there were approximately 154,000 single- or double-lane-change maneuver, crashes, 35,000 of which were injury in 12 percent of fatal crashes involving buses, they represent the majority of or attempts to perform an off-road crashes. However, the fatal crash recovery maneuver, generating a lateral involvement for truck tractors is much fatalities from bus crashes. Furthermore, the size of the rollover acceleration that is sufficiently high to higher. In 2011, there were 2,736 fatal crash problem for cross-country cause roll or yaw instability. combination truck crashes and 1,066 intercity buses is greater than in other Maneuvering a vehicle on off-road, fatal single-unit truck crashes. unpaved surfaces such as grass or gravel The rollover crash problem for buses. According to FARS data from 2000 to 2009, there were 114 occupant may require a larger steering input combination trucks is much greater than (larger wheel slip angle) to achieve a for single-unit trucks. In 2011, there fatalities as a result of rollover events on cross-country intercity buses, ‘‘other given vehicle response, and this can were approximately 8,000 crashes lead to a large increase in lateral involving combination truck rollover buses,’’ and ‘‘unknown buses’’ with a GVWR of greater than 11,793 kg (26,000 acceleration once the vehicle returns to and 5,000 crashes involving single-unit the paved surface. This increase in truck rollover. As a percentage of all lb.), which represents 55 percent of bus fatalities on those bus types. lateral acceleration can cause the crashes, combination trucks are vehicle to exceed its roll or yaw stability involved in rollover crashes at a higher 17 This data was taken from the FARS database threshold. rate compared to single-unit trucks. and was presented in the final rule requiring that • Loading conditions—A loss of yaw Approximately 4.6 percent of all seat belts be installed on certain buses. See 78 FR stability due to severe over-steering is combination truck crashes were 70415, 70423–26 (Nov. 25, 2013). more likely to occur when a vehicle is 18 rollovers, but 3.2 percent of single-unit The FARS database has five bus body type in a lightly loaded condition and has a truck crashes were rollovers. categories: (1) Cross-country/intercity bus, (2) transit bus, (3) school bus, (4) other bus, and (5) lower center-of-gravity height than it unknown bus. Transit bus and school bus body would have when fully loaded. Heavy 15 DOT HS 812 032, available at http://www- types were excluded from the analysis because they vehicle rollovers are much more likely nrd.nhtsa.dot.gov/Pubs/812032.pdf. are easily recognized and categorized as such by 16 FMCSA–RRA–13–049 (Oct. 2013), available at crash investigators and those coding the FARS data. to occur when the vehicle is in a fully http://www.fmcsa.dot.gov/sites/fmcsa.dot.gov/files/ Thus, those vehicles are unlikely to be miscoded as loaded condition, which results in a docs/LargeTruckandBusCrashFacts2011.pdf. other buses. high center of gravity for the vehicle.

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Cargo placed off-center in the trailer of whether the vehicles are equipped demonstrated in one of eight tests, and may result in the vehicle being less with a hydraulic or pneumatic brake the rollover control function must be stable in one direction than in the other. system. demonstrated in one of two tests. For It is also possible that improperly • H–11–08: Once the performance compliance purposes, the ECE secured cargo can shift while the standards from Safety Recommendation regulation requires a road test to be vehicle is negotiating a curve, thereby H–11–07 have been developed, require performed with the function enabled reducing roll or yaw stability. Sloshing the installation of stability control and disabled, or as an alternative, can occur in tankers transporting liquid systems on all newly manufactured accepts results from a computer bulk cargoes, which is of particular commercial vehicles with a GVWR simulation. No test procedure or pass/ concern when the tank is partially full greater than 10,000 pounds. fail criterion is included in the regulation, but it is left to the discretion because the vehicle may experience D. Motorcoach Safety Plan significantly reduced roll stability of the Type Approval Testing Authority during certain maneuvers. In November 2009, the U.S. in agreement with the vehicle • Road surface conditions—The road Department of Transportation manufacturer to show that the system is surface condition can also play a role in Motorcoach Safety Action Plan was functional. The implementation date of the loss of control a vehicle experiences. issued.20 Among other things, the Annex 21 was 2012 for most vehicles, On a dry, high-friction asphalt or Motorcoach Safety Action Plan includes with a phase-in based on the vehicle concrete surface, a tractor trailer an action item for NHTSA to assess the type. safety benefits for stability control on combination vehicle executing a severe V. Summary of the May 2012 NPRM turning maneuver is likely to experience large buses and develop objective a high lateral acceleration, which may performance standards for these Since 2006, the agency has been lead to roll or yaw instability. However, systems.21 Consistent with that plan, involved in testing truck tractors and a similar maneuver performed on a wet NHTSA made a decision to pursue a large buses with stability control or slippery road surface is not as likely stability control requirement for large systems. To evaluate these systems, to experience the high lateral buses. NHTSA sponsored studies of crash data acceleration because of less available In March 2011, NHTSA issued its in order to examine the potential safety tire traction. Hence, the vehicle is more latest Vehicle Safety and Fuel Economy benefits of stability control systems. likely to be yaw unstable than roll Rulemaking and Research Priority Plan NHTSA and industry representatives unstable. (Priority Plan).22 The Priority Plan separately evaluated data on dynamic describes the agency plans for test maneuvers. At the same time, the C. NTSB Safety Recommendations rulemaking and research for calendar agency launched a three-phase testing The National Transportation Safety years 2011 to 2013. The Priority Plan program to improve its understanding of Board (NTSB) has issued several safety includes stability control on truck how stability control systems in truck recommendations relevant to ESC tractors and large buses, and states that tractors and buses work and to develop systems on heavy and other vehicles. the agency plans to develop test dynamic test maneuvers to challenge One is H–08–15, which addresses ESC procedures for a Federal motor vehicle roll propensity and yaw stability. By systems and collision warning systems safety standard on stability control for combining the studies of the crash data with active braking on commercial truck tractors, with the countermeasures with the testing data, the agency is able vehicles. Recommendations H–11–07 of roll stability control and electronic to evaluate the potential effectiveness of and H–11–08 specifically address stability control, which are aimed at stability control systems for truck stability control systems on commercial addressing rollover and loss-of-control tractors and large buses. motor vehicles and buses with a GVWR crashes. The agency conducted a three-phase testing program for truck tractors and above 10,000 pounds. Two other safety E. International Regulation recommendations, H–01–06 and H–01– large buses that was described at length 07, relate to adaptive cruise control and The United Nations (UN) Economic in the NPRM and in published reports in order to develop one or more test collision warning systems on Commission for Europe (ECE) maneuvers to ensure that ESC systems commercial vehicles and are indirectly Regulation 13, Uniform Provisions can reduce vehicle instability. As a related to ESC on heavy vehicles Concerning the Approval of Vehicles of result of the agency’s testing program because these technologies require the Categories M, N and O with Regard to and the test data received from industry, ability to apply brakes without driver Braking, has been amended to include the agency was able to develop reliable input. Annex 21, Special Requirements for • H–08–15: Determine whether Vehicles Equipped with a Vehicle and repeatable test maneuvers that equipping commercial vehicles with Stability Function. Annex 21’s could demonstrate a stability control collision warning systems with active requirements apply to trucks with a system’s ability to prevent rollover and braking 19 and electronic stability GVWR greater than 3,500 kg (7,716 lb.), loss of directional control among the control systems will reduce commercial buses with a seating capacity of 10 or varied configurations of truck tractors vehicle accidents. If these technologies more (including the driver), and trailers and buses in the fleet. After considering and evaluating are determined to be effective in with a GVWR greater than 3,500 kg several test maneuvers, the agency reducing accidents, require their use on (7,716 lb.). Trucks and buses are proposed using two test maneuvers for commercial vehicles. required to be equipped with a stability performance testing: The slowly • H–11–07: Develop stability control system that includes rollover control increasing steer (SIS) maneuver and the system performance standards for all and directional control, while trailers sine with dwell (SWD) maneuver. The commercial motor vehicles and buses are required to have a stability system SIS maneuver is a characterization with a gross vehicle weight rating that includes only rollover control. The maneuver used to determine the amount greater than 10,000 pounds, regardless directional control function must be of steering input required by the SWD 19 Active braking involves using the vehicle’s 20 See supra, note 6. maneuver. By determining the brakes to maintain a certain, preset distance 21 Id. at 28–29. relationship between a vehicle’s steering between vehicles. 22 See Docket No. NHTSA–2009–0108–0032. wheel angle and the lateral acceleration,

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the SIS maneuver normalizes the followed by a fixed radius curve. The additional time would be necessary to severity of the SWD maneuver. The SIS steering wheel angle is determined by develop, test, and equip these vehicles maneuver was also proposed to be used the driver making adjustments and with ESC systems. Although the agency to ensure that the system has the ability corrections to maintain the fixed path. has statutory authority to require to reduce engine torque. In the RSM maneuver, a vehicle is retrofitting of in-service truck tractors, Using a steering wheel angle derived driven at a constant speed and a steering trailers, and large buses, the agency did from the SIS maneuver, the agency wheel input that is based on the steering not propose to require retrofitting, but proposed conducting the sine with wheel angle derived from the SIS sought comment on its feasibility, given dwell maneuver. The SWD test maneuver. The steering wheel angle is the integrated aspects of a stability maneuver challenges both roll and yaw then held for a period of time before it control system. stability by subjecting the vehicle to a is returned to zero. In both the J-turn VI. Overview of the Comments sinusoidal input. This maneuver would and RSM maneuvers, a stability control be repeated for two series of test runs system acts to reduce lateral This section presents a brief overview (first in the counterclockwise direction acceleration, and thereby wheel lift and of the comments received in response to and then in the clockwise direction) at roll instability, by applying selective the NPRM. The comments are addressed several target steering wheel angles from braking. A vehicle without a stability in detail in the section related to the 30 to 130 percent of the angle derived control system being tested with these subject of the comment. However, those in the SIS maneuver. maneuvers would exhibit high levels of comments that merely advocated the We proposed measuring, recording, lateral acceleration and potentially adoption or rejection of the proposal or and processing lateral acceleration, yaw experience wheel lift or rollover. some aspect thereof without any rate, and engine torque data derived The NPRM also set forth the test underlying explanation are not from the SIS and SWD maneuvers to conditions that the agency would use to addressed further. determine four performance metrics: ensure safety and demonstrate sufficient We also conducted a public hearing Lateral acceleration ratio (LAR), yaw performance. All vehicles were on July 24, 2012 in Washington, D.C.23 rate ratio (YRR), lateral displacement, proposed to be tested using outriggers Summaries of the oral testimony and a and engine torque reduction. The LAR for the safety of the test driver. The transcript of the hearing are both and YRR metrics ensure that the system agency proposed using an automated available in the docket.24 Although we reduces lateral acceleration and yaw steering controller for the RSM, SIS, and have considered the public hearing rate, respectively, after an aggressive SWD maneuvers to ensure reproducible testimony as if it was a written comment steering input, thereby preventing and repeatable test execution received in the docket, much of the rollover and loss of control, performance. The agency proposed testimony was duplicated in the written respectively. The lateral displacement testing truck tractors with an unbraked comments. We have discussed public metric ensures that the stability control control trailer to eliminate the effect of hearing testimony below only where system is not set to intervene solely by the trailer’s brakes on testing. The that testimony was not reflected in making the vehicle nonresponsive to agency also proposed a test to ensure written comments received by the driver input. The engine torque that system malfunction is detected. agency. reduction metric ensures that the system The NPRM proposed that a final rule In addition to the comments received has the capability to automatically would take effect for most truck tractors at the public hearing, we received reduce engine torque in response to and applicable buses produced two written comments from 43 individuals high lateral acceleration and yaw rate years after publication of a final rule. or entities. The commenters represented conditions. We stated that two years of lead time wide-ranging interests, including The agency also considered several would be necessary to ensure sufficient individuals, truck drivers, truck fleet test maneuvers based on its own work availability of stability control systems operators, vehicle component and that of industry. In particular, the from suppliers of these systems and to manufacturers, truck and bus agency’s research included both a J-turn complete necessary engineering on all manufacturers, and safety advocacy maneuver and a ramp steer maneuver vehicles. For three-axle tractors with organizations. The identity of the 46 (RSM) for evaluating roll stability. The one drive axle, tractors with four or commenters, their self-identified J-turn maneuver is a path-following more axles, and severe service tractors, interest or affiliation, if given, where the maneuver where a vehicle is driven on we proposed allowing two years of comments can be located in the docket a test course consisting of a straight lane additional lead time. We stated this are cited in Table 2.25

TABLE 2—LIST OF COMMENTERS AND LOCATION OF COMMENTS IN THE DOCKET

Commenter Docket Number

Vehicle Manufacturers: Blue Bird Body Company (Blue Bird) ...... NHTSA–2012–0065–0034 Daimler Trucks North America LLC (Daimler) ...... NHTSA–2012–0065–0028 EvoBus GmbH ...... NHTSA–2012–0065–0027 Fire Apparatus Manufacturer’s Association ...... NHTSA–2012–0065–0014 Navistar, Inc...... NHTSA–2012–0065–0039 Schneider National Inc. (Schneider) ...... NHTSA–2012–0065–0033 Temsa Global (Temsa) ...... NHTSA–2012–0065–0019 Truck & Engine Manufacturers Association (EMA) ...... NHTSA–2012–0065–0044 Volvo Group ...... NHTSA–2012–0065–0031

23 Notice of the hearing was published in the 2012–0065–0049. A transcript of the public hearing 25 Three commenters presented comments only at Federal Register on July 2, 2012. 77 FR 39206. is contained in Docket No. NHTSA–2012–0065– the public hearing. 24 Summaries of the oral testimony provided by 0056. the presenters are contained in Docket No. NHTSA–

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TABLE 2—LIST OF COMMENTERS AND LOCATION OF COMMENTS IN THE DOCKET—Continued

Commenter Docket Number

Component Manufacturers: Bendix Commercial Vehicle Systems ...... NHTSA–2012–0065–0046 NHTSA–2012–0065–0048 NHTSA–2012–0065–0055 Heavy Duty Brake Manufacturers Council (HDBMC) ...... NHTSA–2012–0065–0041 Meritor WABCO ...... NHTSA–2012–0065–0035 Robert Bosch LLC (Bosch) ...... NHTSA–2012–0065–0036 Drivers and Fleet Operators: American Trucking Associations, Inc. (ATA), including report of the American Transportation Research Institute NHTSA–2012–0065–0016 (ATRI). NHTSA–2012–0065–0030 NHTSA–2012–0065–0057 Associated Logging Contractors—Idaho ...... NHTSA–2012–0065–0042 John Boyle ...... NHTSA–2012–0065–0017 Jim Burg, James Burg Trucking Company ...... NHTSA–2012–0065–0056 (public hearing) John H. Hill, The Hill Group ...... NHTSA–2012–0065–0056 (public hearing) Alexander J. MacDonald ...... NHTSA–2012–0065–0005 National Ready Mixed Concrete Association ...... NHTSA–2012–0065–0038 National School Transportation Association ...... NHTSA–2012–0065–0037 Owner-Operator Independent Drivers Association (OOIDA) ...... NHTSA–2012–0065–0024 Skagit Transportation Inc ...... NHTSA–2012–0065–0006 Bob Waterman ...... NHTSA–2012–0065–0052 Safety Organizations: AAA Public Affairs (AAA) ...... NHTSA–2012–0065–0043 Advocates for Highway and Auto Safety (Advocates) ...... NHTSA–2012–0065–0047 American Highway Users Alliance ...... NHTSA–2012–0065–0040 Commercial Vehicle Safety Alliance (CVSA) ...... NHTSA–2012–0065–0050 Consumers Union ...... NHTSA–2012–0065–0053 Insurance Institute for Highway Safety (IIHS) ...... NHTSA–2012–0065–0021 Kentucky Injury Prevention and Research Center ...... NHTSA–2012–0065–0007 National Association for Pupil Transport (NAPT) ...... NHTSA–2012–0065–0023 National Transportation Safety Board (NTSB) ...... NHTSA–2012–0065–0015 Road Safe America ...... NHTSA–2012–0065–0004 Other Organizations and Private Individuals: American Association for Justice (AAJ) ...... NHTSA–2012–0065–0020 American Trauma Society ...... NHTSA–2012–0065–0009 Justin C. Barriault ...... NHTSA–2012–0065–0010 Robert M. Chin ...... NHTSA–2012–0065–0011 Jerry R. Curry ...... NHTSA–2012–0065–0018 Jerry J. Evans ...... NHTSA–2012–0065–0003 Fried Rogers Goldberg, LLC ...... NHTSA–2012–0065–0025 Nadya V. Gerber ...... NHTSA–2012–0065–0012 The Martec Group, Inc. (Martec) ...... NHTSA–2012–0065–0051 Mercatus Center at George Mason University (Mercatus) ...... NHTSA–2012–0065–0022 Josh A. Sullivan ...... NHTSA–2012–0065–0013 Hon. Betty Sutton ...... NHTSA–2012–0065–0056 (public hearing)

VII. Key Differences Between the Final NPRM, we proposed using a slowly requirement that an ESC system be Rule and the NRPM increasing steer (SIS) maneuver as a capable of mitigating yaw instability. characterization maneuver and a sine The 150-foot J-turn maneuver also This section summarizes the with dwell (SWD) maneuver as a roll uses a different performance metric than significant differences between the and yaw performance maneuver. The the SWD maneuver. The SWD NPRM and this final rule. Less 150-foot J-turn test maneuver is maneuver’s performance criteria were significant changes are noted in the the change in lateral acceleration and appropriate sections of the preamble. discussed in the NPRM and is a variation of an alternative test maneuver yaw rate through the maneuver. In this The most significant change between proposed in the NPRM. final rule, we are using a simpler the NPRM and the final rule is that the metric—reduction in forward speed. agency has chosen an alternative Because the 150-foot J-turn test The change in performance test performance test maneuver to maneuver only tests an ESC system’s maneuver has also led to changes in the demonstrate an ESC system’s ability to ability to mitigate roll instability and the test conditions and equipment. Because maintain vehicle stability. After agency lacks any alternative test the test maneuver in this final rule is considering public comments and maneuver to test an ESC system’s ability conducted over a fixed path, rather than conducting additional track testing, we to mitigate yaw instability, this final fixed steering used for the SWD have adopted a 150-foot J-turn rule does not include a performance test maneuver, an automated steering wheel maneuver as the performance test to evaluate yaw instability. However, controller will not be used for the J-turn maneuver in this final rule. In the this final rule carries forward the maneuver. We have also modified the

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loading condition for vehicles to test control mandate at preventing rollover control mandate. Some motor carriers them at GVWR. We have also reduced and loss-of-control crashes. who commented also supported a the instrumentation requirements in Individual commenters, many of stability control mandate. The NTSB light of the simpler performance metric. whom identified themselves as truck and a former Member of Congress, Betty drivers, also questioned the safety of Sutton, both supported a stability VIII. ESC Requirement stability control systems and their control mandate. Many individual A. Whether to Require Stability Control ability to prevent crashes. One commenters also supported a stability In the May 2012 NPRM, the agency commenter believes that stability control mandate. proposed to require that all truck control systems are unsafe based on Although these commenters come tractors and certain buses with a GVWR personal experience because it often from varied backgrounds, their reasons of more than 11,793 kg (26,000 lb.) to be engaged the service brakes in curves. for supporting a stability control equipped with ESC. The agency Another commenter was concerned that mandate were generally consistent. preliminarily found that the proposed drivers would become too dependent on Commenters supporting a mandate standard met the need for motor vehicle stability control systems and cause them generally cited research from NHTSA, safety.26 That finding was based upon to drive through curves faster with the the manufacturing industry, and others the safety problem discussed in the system than without. regarding the effectiveness of stability OOIDA and many individual NPRM and summarized in section IV control systems, and their ability to commenters were concerned about the above.27 Moreover, the agency found prevent rollover and loss-of-control total cost of the rule and whether the that requiring ESC systems on truck crashes and save lives. IIHS, for benefits justified the costs. Relatedly, tractors and certain large buses would example, cited its own research several commenters raised concerns that be cost-effective.28 suggesting that having ESC systems on We received many comments stability control systems would add all truck tractors could prevent as many addressing the general question of complexity to the brake system by as 295 fatal crashes each year. Some whether stability control systems should requiring additional parts, and thus, individual commenters also cited be required on truck tractors and large higher repair costs. Yankee Trucks also personal experience with stability raised concerns that if a stability control buses. Several commenters questioned control systems. John Hill observed that system malfunctions, ABS would also the need for a stability control mandate the cost of a stability control system on not function. OOIDA claimed that a on truck tractors and certain large buses a vehicle is comparable to the cost to the stability control requirement would and recommended against adopting a government of a single compliance cause drivers and truck companies to final rule requiring any type of stability review of a motor carrier’s safety keep existing vehicles in service longer control system. A consistent theme in practices. These commenters generally or even go out of business due to the many of the comments received from agreed that the benefits of a stability added costs of stability control and private individuals was also expressed control mandate far exceed its costs. in the comment from Yankee Trucks. other regulatory mandates. Some commenters also expressed After considering all public These commenters argued that the concerns that stability control comments, the agency is proceeding decision to include ESC should be technologies could have negative effects with adopting FMVSS No. 136 to decided by the vehicle’s end user. on safety. For example, individual require all truck tractors and certain Other commenters such as Mercatus large buses with a GVWR of more than and OOIDA were concerned that commenters questioned whether it was safe to have stability control systems 11,793 kg (26,000 lb.) to have stability NHTSA failed to look at alternative control systems. This decision is largely methods to improve motor vehicle braking the vehicle automatically in wet conditions or on curves. Associated driven by the data before the agency. In safety problems caused by rollover and developing the proposal, the agency loss-of-control crashes. Mercatus Logging Contractors opposed a mandate because it believes that a stability analyzed crash data to identify risks not suggested that NHTSA failed to look at addressed in existing FMVSSs. These driver fatigue detection, road condition control requirement may cause safety issues on forest roads, which are safety risks include rollover and loss-of- sensors, improved safety procedures, or control crashes that are caused by many driver training, which might be less different from highways. Commenters from a wide variety of factors including traveling at a speed too costly. OOIDA highlighted driver backgrounds supported a stability high to negotiate a curve, sudden training, enforcement of traffic laws, control mandate. These organizations steering maneuvers to avoid a crash, driver incentives, improved include organizations such as Road Safe loading conditions, road surface crashworthiness, and road signage as America, the Kentucky Injury conditions, and road design alternative ways to deal with the Prevention and Research Center, the configuration. The agency’s research, rollover problem. Several other American Trauma Society, the described at length in the NPRM, shows commenters highlighted driver training that stability control technologies could and accountability related to both American Association for Justice, prevent crashes in these situations. driving and vehicle loading as Advocates, the American Highway alternative methods that could prevent Users Alliance, AAA, the Commercial With respect to the comments rollover and loss-of-control crashes. The Vehicle Safety Alliance, and Consumers suggesting that vehicles braking during Boyle Brothers, OOIDA, and several Union. Business associations a curve or on wet conditions could have individual commenters both noted that representing brake suppliers (HDBMC), adverse safety consequences, we stability control systems would not truck manufacturers (EMA), and truck observe that an ESC system is designed prevent crashes caused by driving too fleet operators (ATA) all supported a to slow the vehicle in a curve in order fast for conditions. Both Mercatus and stability control mandate. Brake to reduce the lateral acceleration and OOIDA believe that alternative suppliers such as Bosch, Bendix, and allow the operator to maintain roll and measures are less costly than a stability Meritor WABCO also supported a yaw control of the vehicle only in stability control mandate. Individual situations where instability is imminent. 26 77 FR 30788. truck and bus manufacturers who After careful qualitative and 27 77 FR 30769–71. commented also such as Daimler, Volvo, quantitative assessment, we have 28 77 FR 30791. and Navistar supported a stability concluded that requiring stability

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control systems will improve the overall preliminary conclusion that mandating Both Schneider and ATA cited a safety of the vehicle. RSC systems would be more cost- study by the American Transportation Regarding other possible effective than mandating ESC systems, Research Institute (ATRI) that surveyed improvements to reduce crashes, we do mandating ESC systems would result in stability control technology used in the not disagree that many of the higher net benefits. trucking industry. This study collected suggestions regarding driver training, Several commenters agreed with crash and financial data from the enforcements, and crashworthiness of NHTSA’s proposal to require ESC trucking industry, including trucks and buses could improve motor systems rather than RSC systems. Jerry information regarding whether the vehicle safety and (except for the latter) Curry and Bendix specifically vehicle was equipped with an ESC reduce vehicle rollover and loss-of- mentioned that ESC systems should be system, an RSC system, or no stability control crashes. However, driver required instead of RSC systems. Mr. control system at all. The sample training and enforcement of traffic Curry and IIHS also commented that included 135,712 trucks, of which safety laws are outside of NHTSA’s RSC systems would not be the best 68,647 had RSC systems, 39,529 had regulatory authority under the Safety platform to use when considering future ESC systems, and 27,536 had no Act. Moreover, the commenters technological advances. John Hill stability control systems. The study advocating these alterative means to similarly observed that ESC systems included unit costs of stability systems, address the safety problem did not have the potential to support future average annual miles per tractor, the provide data to support their collision avoidance and crash mitigation total number of safety incidents conclusions that their alternatives technologies. Mr. Hill also observed that (including rollover crashes), and the would be less costly or more cost- loss-of-control crashes can be difficult to average cost of each incident. The crash effective than a stability control identify and classify. Road Safe analysis concluded that industry-wide mandate. Although the issues related to America, Mr. MacDonald, and AAA said installation of RSC systems would result costs and benefits will be addressed the agency should require ESC in fewer rollover, jackknife, and tow/ more specifically in section XIV below, equipment on truck tractors and buses. stuck crashes compared to industry- the agency has concluded that requiring IIHS and Jim Burg recommended wide installation of ESC systems. ESC systems on truck tractors and requiring ESC systems over RSC systems NHTSA agrees with those certain large buses is cost-effective and because loss-of-control collisions can be commenters recommending ESC the most effective means to address the reduced using ESC systems. Volvo, systems instead of RSC systems. safety problem identified in this while not expressly advocating for an However, we are not relying on the rulemaking. ESC mandate, stated that it had assertions of Mr. Curry, Mr. Hill and IIHS that ESC systems provide a better B. Whether to Require ESC or RSC investigated the use of RSC systems, but platform for future technological found they were unable to provide The agency proposed to require that advances. We believe the justification stability control in a wide range of truck tractors and large buses be for ESC systems is satisfied using driving conditions and environments equipped with ESC systems rather than benefits estimates for today’s ESC that its customers operate. RSC systems. An ESC system is capable systems, without having to consider of all of the functions of an RSC system. In its comment, Bendix stated that an possible future advances such as In addition, an ESC system has the ESC system has an effectiveness that is forward collision mitigation systems. additional ability to detect yaw 31% greater than a RSC system. Bendix Similarly, we are not relying on instability, provide braking at front also commented that ESC systems Bendix’s assessment of ESC system wheels, and detect the steering wheel provide ‘‘more information about what effectiveness. While Bendix’s analysis of angle. These additions, as demonstrated the vehicle is doing’’ because these the effectiveness of ESC and RSC by NHTSA’s testing, allow an ESC systems include two additional sensors. systems is addressed in more detail in system to have better rollover Bendix also said that ESC systems section XIV below, we believe that our prevention performance than an RSC provide more effective interventions own analysis based on an effectiveness system in addition to the yaw instability through selective application of all study conducted by University of prevention component. This is because available vehicle brakes. Michigan Transportation Research the steering wheel angle sensor allows Other commenters supported RSC as Institute (UMTRI) and Meritor WABCO the ESC system to anticipate changes in a minimum requirement rather than is a more accurate assessment of the lateral acceleration based upon driver ESC. Schneider, for example, asserted effectiveness of ESC and RSC systems. input and to intervene with engine that it considered purchasing vehicles Although both NHTSA and Bendix torque reduction or selective braking with ESC system, but determined that reached the conclusion that ESC sooner, rather than waiting for the ESC systems would provide a negligible systems will be more effective than RSC lateral acceleration sensors to detect benefit at substantially higher costs systems at preventing rollover crashes, potential instability. when compared to RSC. ATA also we believe that Bendix’s method of The NPRM stated that mandating ESC asserted that marginal benefit of ESC determining system effectiveness is systems rather than RSC systems will over RSC is not justified by the added arbitrarily biased in favor of ESC prevent more crashes, injuries, and cost based on current information. ATA systems. fatalities. The additional benefits from cited the variability of the truck-tractor Regarding ATA’s assertion of the ESC systems can be attributed to both industry in four areas: (1) Private variability of trucks, we agree that truck the ESC’s system’s ability to intervene trucking vs. for-hire companies; (2) the tractors are varied and that some of sooner and its ability to prevent yaw size of loads; (3) the type of truck and those variations affect vehicle stability. instability that would lead to loss-of- trailer being used (e.g., box, van, However, we believe that variability control crashes. refrigerated, liquid and bulk tankers); justifies choosing to require ESC The NPRM stated that mandating ESC and by operation (e.g., agricultural, long systems rather than RSC systems. In systems rather than RSC systems will haul, short haul, over size, overweight, particular, ATA observed that trucks result in higher initial costs to etc.). ATA believes this diversity may carry various loads, implying that manufacturers. Moreover, while our warrant choosing ESC or RSC certain kinds of loads may be more benefit and cost estimates led to the depending on the individual vehicle. suited to ESC systems whereas other

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loads may only require RSC systems to and much less beneficial in addressing lateral acceleration and wheel speeds; achieve equal effectiveness. However, loss-of-control crashes. Although RSC and the ability to control engine power the nature of the trucking industry is systems are slightly more cost beneficial output. such that a truck tractor may end up than ESC systems, ESC systems provide In developing a definition for ESC, the towing many different types of trailers substantially higher net benefits because agency reviewed the functional in its lifetime, including flatbed trailers, ESC systems will prevent many more attributes contained in SAE J2627 and box trailers, and tanker trailers. A crashes.30 NHTSA has concluded that the requirements of Annex 21 of UN vehicle manufacturer is unlikely to the additional safety benefits of ESC ECE Regulation 13, and incorporated know at the time of a vehicle’s systems in both rollover and loss-of- parts of both of definitions the NPRM. production whether a specific truck control crashes justify the additional The proposed definition was similar in tractor is going to be carrying loads that cost of ESC systems compared to RSC wording to the definition from FMVSS are more likely to cause a rollover or systems. No. 126, which specifies certain features loss-of-control crash because the load that must be present, that ESC be C. Definition of ESC has a high center of gravity or has the capable of applying all the brakes potential to slosh. The only way to The NPRM included definitional individually on the vehicle, and that it ensure that the vehicles that ATA criteria in the proposed regulatory text. have a computer using a closed-loop believes would perform better with ESC We reasoned that, relying solely on algorithm to limit vehicle oversteer and systems is to require all truck tractors to performance-based tests without understeer when appropriate. Unlike be equipped with ESC systems. mandating any specific equipment may the light vehicle standard, which The ATRI study will be addressed require a battery of tests to cover the focuses on yaw stability, the NPRM more specifically in the benefits and complete operating range of the vehicle. proposed to require a stability control costs discussion in section XIV below Given the wide array of possible system that also helps to mitigate roll and in the FRIA accompanying this final configurations and operating ranges for instability conditions. rule. However, for the purpose of heavy vehicles, the agency did not Furthermore, the proposed definition determining whether to require ESC believe it was practical to develop required that the ESC system must be systems or RSC systems, the ATRI performance tests that address the full operational during all phases of driving, study’s suggestion that RSC systems range of possibilities and remain cost- including acceleration, coasting, would be more beneficial than ESC effective. Accordingly, the agency deceleration, and braking, except when systems reflects the specific truck proposed to include definitional criteria the vehicle is below a low-speed carriers they studied, but does not in the NPRM, which included threshold where loss of control or necessarily constitute a representative equipment that would be required as rollover is unlikely. According to sample of the truck fleet. ATRI’s part of a compliant ESC system.31 We information the agency obtained from conclusion is contrary to NHTSA’s own note that, when developing the ESC vehicle manufacturers and ESC system findings that ESC systems are more requirement for light vehicles, the suppliers, the low speed threshold for a effective and have greater net benefits agency chose to include such a stability control system is 10 km/h (6.2 than RSC systems. First, as explained requirement in FMVSS No. 126. mph) for yaw stability control and 20 above, ESC systems contain all of the SAE International has a km/h (12.4 mph) for roll stability functions of RSC systems, plus have Recommended Practice on Brake control. For the purposes of the NPRM, additional sensors such as a steering Systems Definitions-Truck and Bus, the agency set a single threshold of 20 wheel angle sensor, to allow a system to J2627 (Aug. 2009), which includes a km/h (12.4 mph) as the speed below intervene based on a predicted rise in definition of Electronic Stability Control which ESC is not required to be lateral acceleration rather than waiting and Roll Stability Control. SAE operational. for the lateral acceleration to rise. International’s definition of an ESC The benefit of an ESC system is that Second, ESC systems have the system requires that a system have an it will reduce vehicle rollovers and loss capability to braking all of the vehicle’s electronic control unit that considers of control under a wide variety of axles, whereas an RSC system is wheel speed, yaw rate, lateral vehicle operational and environmental generally unable to brake the steering acceleration, and steering angle and that conditions. However, the performance axle of the vehicle. Third, although the system must intervene and control tests in the NPRM would only evaluate NHTSA’s own research found that one engine torque and auxiliary brake ESC system performance under very RSC system performed as well or systems to correct the vehicle’s path. specific conditions. To ensure that a slightly better than an ESC system under The UN ECE Regulation 13 definition vehicle is equipped with an ESC system certain conditions, we attributed the for the electronic stability control that met the proposed definition, we performance difference to that particular system, promulgated in Annex 21, proposed that vehicle manufacturers RSC system being programmed to brake includes the following functional make available to the agency more aggressively than the ESC system attributes for directional control: documentation that would enable on the same vehicle.29 For these Sensing yaw rate, lateral acceleration, NHTSA to ascertain that the system reasons, we conclude that the ATRI wheel speeds, braking input and includes the components and performs study is not representative of the entire steering input; and the ability to control the functions of an ESC system. trucking industry or the performance of engine power output. For vehicles with Meritor WABCO, HDBMC, and ESC systems compared to RSC systems. rollover control, the functions required Bendix recommended a change to the Based on the foregoing, this final rule by the stability control include: Sensing definition of an ESC system. Where the will require that truck tractors and definition required that the system both certain buses be equipped with ESC 30 Cost-effectiveness is measured in terms of augment vehicle directional stability systems rather than RSC systems. As lower cost per equivalent life saved. For more and enhance rollover stability by discussed in section XIV below, RSC discussion of the costs and benefits of this rule see applying and adjusting brake torques, systems are less beneficial than ESC Section XIV, below, and the Final Regulatory the commenters recommended that the Impact Analysis accompanying this final rule, systems in reducing rollover crashes which has been placed in the docket. words ‘‘having the capability of’’ be 31 Similar requirements exist in the light vehicle added to each instance. Bendix also 29 77 FR 30779. ESC requirements. See 49 CFR 571.126, S4. recommended that each instance of

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‘‘brake torque’’ should be changed to HDBMC, and Bendix suggested an system meets the FMVSSs. HDBMC and ‘‘deceleration torque.’’ addition to the requirement that a Bendix requested confirmation that this We agree with the commenters’ system have a means to estimate the technical documentation would be recommendation to change the vehicle (or combination vehicle) mass. considered proprietary information and requirement that ESC systems augment The commenters request that NHTSA would not be released to the public. vehicle directional stability and include language allowing a system to Finally, Bendix was concerned about enhance rollover stability by ‘‘applying automatically obtain the vehicle’s mass. the acceptance criteria for the and adjusting vehicle brake torques’’ to NHTSA is not making the suggested evaluation of the submitted technical ‘‘having the capability of applying and change. The suggested change would documentation. Bendix stated that there adjusting vehicle brake torques.’’ The require a system to have a means to was no objective acceptance criteria in wording in the NPRM could be estimate or automatically obtain vehicle the proposed standard and construed to require brake torques to be mass. We do not believe there is a recommended that the agency add applied simultaneously at each wheel manner in which to automatically acceptance criteria. position for correcting yaw moment or obtain the vehicle’s mass short of Upon consideration of the comments, reduce lateral acceleration. This was not weighing it on a scale. Any other we have decided to remove from the our intention. Rather, we intended to calculation of the vehicle’s mass is an regulatory text references to specific require that brake torque at each wheel estimate. We note that the means for documentation that NHTSA would position be capable of being applied and obtaining the vehicle’s mass is not request from manufacturers. However, adjusted individually. In analogous prescribed. The requirement is NHTSA’s Office of Vehicle of Safety portions of the ESC system definition, necessary to ensure that the ESC system Compliance often requests, as part of its we use the words ‘‘has a means,’’ which is capable of using the vehicle mass data testing to verify compliance with the is similar in meaning to ‘‘capable.’’ in the closed-loop algorithm of its FMVSSs, certain information from However, we are not making Bendix’s computer to apply and adjust the manufacturers. For example, NHTSA suggested change of the term ‘‘brake vehicle brake torques for enhancing may ask how a manufacturer’s system torque’’ to ‘‘deceleration torque.’’ We are rollover stability and inducing meets the definition of an ‘‘ESC System’’ not sure that Bendix’s suggested correcting yaw moment. Adding set forth in this final rule. Information language would be functionally ‘‘automatically obtain’’ to the definition such as the technical documentation different than the proposal and cannot does not improve or clarify the that was listed in the regulatory text of see how it adds clarity. We are requirement to have a means of the NPRM may be included in or specifically interested in requiring that estimating vehicle mass. responsive to such a request. Of course, systems be capable of controlling the In summary, NHTSA continues to a manufacturer’s inability to brakes independently at each wheel end believe that the definitional criteria, demonstrate that its system meets the on at least one front and at least one rear including required equipment and definition of an ‘‘ESC System’’ could axle of the vehicle. system capabilities, are necessary to lead to a finding of noncompliance with Bendix also recommended a change to ensure that ESC systems perform as they S5.1 of FMVSS No. 136. the requirement that the system enhance are intended and as they currently vehicle directional stability by applying perform. These criteria are objective in IX. Vehicle Applicability and Phase-In and adjusting the vehicle brake torques. terms of explaining to manufacturers A. Trucks Bendix requested that NHTSA clarify what type of performance is required that the ‘‘vehicle’’ referred to in this and the minimal equipment necessary 1. Summary of the NPRM requirement is the truck tractor or bus for that purpose. Vehicles with a GVWR greater than and not the trailer. That is, Bendix 10,000 pounds include a large variety of wanted to ensure that the trailer is D. Technical Documentation vehicles ranging from medium duty omitted from the vehicle directional The NPRM proposed requiring that pickup trucks to different types of stability requirements. Bendix noted the vehicle manufacturer provide a single-unit trucks, buses, trailers and that the requirements regarding the system diagram that identifies all ESC truck tractors. Vehicles with a GVWR of system’s ability to control trailer brakes system hardware; a written explanation, greater than 10,000 pounds are divided is addressed elsewhere. with logic diagrams included, into Classes 3 through 8. Class 7 We agree with Bendix’s describing the ESC system’s basic vehicles are those with a GVWR greater recommendation. It was not our operational characteristics; and a than 11,793 kilograms (26,000 pounds) intention to include trailers in the discussion of the pertinent inputs to the and up to 14,969 kilograms (33,000 requirement that vehicles be capable of computer and how its algorithm uses pounds), and Class 8 vehicles are those maintaining directional stability. Bendix that information to prevent rollover and with a GVWR greater than 14,969 is correct that there could to be some limit oversteer and understeer. Because kilograms (33,000 pounds). confusion with the proposed the proposed definition for ESC systems About 85 percent of truck tractors requirement because a trailer is also a on truck tractors included the capability sold annually in the U.S. are air-braked motor vehicle and consequently, the to provide brake pressure to a towed three-axle (6×4) tractors with a front proposed requirement that vehicles vehicle, the agency proposed requiring axle that has a GAWR of 14,600 pounds have the capability to maintain that, as part of the system or less and with two rear drive axles directional stability and the roll stability documentation, the manufacturer that have a combined GAWR of 45,000 may be misinterpreted to apply to a include the information that shows how pounds or less, which we will refer to trailer. Therefore, we have revised the the tractor provides brake pressure to a as ‘‘typical 6×4 tractors.’’ Other truck ESC definition to specify that truck towed trailer under the appropriate tractors, including two-axle (4×2) tractors and buses must have the means conditions. tractors, tractors with four or more to apply and adjust vehicle brake Volvo questioned the need for axles, and severe service tractors, torques on at least one front and at least manufacturers to submit technical represent about 15 percent of the truck- one rear axle. documentation to NHTSA, stating that tractor market in the U.S. Regarding the definitional criteria for NHTSA has relied on the In the NPRM, the agency proposed mass estimation, Meritor WABCO, manufacturer’s certification that the that truck tractors with a GVWR greater

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than 11,793 kilograms (26,000 pounds) requires more than one operator to steer burden the manufacturers with regard to would be required to have ESC systems. it. their small volume products. EMA’s The agency did not propose requiring The agency is not adding the actions related to this rulemaking stability control systems on trailers, exclusion suggested by FAMA. support this conclusion. For example, primarily because trailer-based RSC Although FAMA stated that its vehicles EMA provided test data to the agency systems were determined by the agency would not be subject to the exclusion of after performing multiple test research to be much less effective than vehicles with an axle having a gross axle maneuvers with severe duty trucks tractor-based RSC or ESC systems in weight rating of 29,000 pounds or more, equipped with ESC systems. EMA also preventing rollover. Trailer-based RSC it is not clear that this or other included the test results from the severe systems are capable of applying braking exclusions do not apply. Moreover, duty trucks to form its recommended only on the trailer’s brakes. Tractor- absent specific information that more test criteria for an alternate roll stability based systems can command more fully explains why an exclusion is test. braking authority by using both the necessary and not overly broad, NHTSA Meritor WABCO requested NHTSA to tractor and trailer brakes. As a result, cannot agree that an exclusion for all add the words ‘‘pneumatically braked’’ trailer-based RSC systems do not appear combination vehicles that require more to the definitions of truck tractors and to provide additional safety benefits than one operator to steer it is buses in the ESC rule. Similarly, EMA when used in combination with tractor- necessary. recommended that NHTSA include the based RSC or ESC systems. In addition, Furthermore, the scope of the ESC requirements within FMVSS No. the typical service life of a trailer is 20 exclusion suggested by FAMA is not 121 rather than in a separate standard. to 25 years compared with about 8 to 10 consistent with the scope of the rule. We are not expressly limiting the years for a truck tractor. Because new Specifically, this final rule, like the scope of the final rule to air braked tractors are added to the U.S. fleet at a NPRM, applies to truck tractors, not vehicles. Although Class 8 vehicles faster rate than new trailers, the safety trailers. However, the suggested typically use pneumatic or air brakes, benefits from stability control systems exclusion would apply to combination Class 7 vehicles vary between either air would be achieved at a faster rate by vehicles, which include both a truck or hydraulic brakes. The scope of the requiring stability control systems to be tractor and a trailer. That is, the NPRM includes all truck tractors and installed on a tractor. presence of a trailer would form the Class 7 and 8 buses, which showed the basis for the exclusion. If this exclusion greatest rollover problem of all the buses Our proposed rule also excluded was added to the final rule, then the according to our research. In order to certain types of low-volume, highly basis for the exclusion would be address the safety problem with these specialized vehicle types. In these cases, dependent on the trailer that is attached classes of buses, the ESC rule must the vehicle’s speed capability does not to the vehicle. This would be confusing include both air and hydraulic brakes. allow it to operate at speeds where roll and unnecessarily complicate Limiting the scope of this rulemaking to or yaw instability is likely to occur. enforcement. air braked vehicles could provide an These exclusions were drawn from Finally, FAMA has not articulated incentive for some manufacturers to FMVSS No. 121, Air brake systems, why its vehicles cannot be equipped equip vehicles with hydraulic brakes which exclude any vehicle equipped with ESC systems. Because the ESC rather than air brakes to circumvent an with an axle that has a gross axle weight requirement applies only to the truck ESC system requirement. rating of 29,000 pounds or more; any tractor, the system would only need to truck or bus that has a speed attainable take account of one steering wheel 3. Single-Unit Trucks in two miles of not more than 33 mph; input. There would be no requirement The agency did not propose to and any truck that has a speed that the vehicle respond to any inputs include single-unit trucks with a GVWR attainable in two miles of not more than from the trailer. Moreover, NHTSA over 4,536 kg (10,000 pounds). Several 45 mph, an unloaded vehicle weight would conduct compliance testing of commenters recommended expanding that is not less than 95 percent of its the truck tractor using the control trailer the scope of the rule to include straight GVWR, and no capacity to carry specified in the test procedure, not a trucks. Skagit, NTSB, IIHS, and NAPT occupants other than the driver and trailer with a steering wheel. all suggested that ESC should be operating crew. Several commenters suggested that mandated on all commercial vehicles 2. Exclusions From ESC Requirement the agency reduce the scope of the ESC greater than 10,000 pounds GVWR, requirement. EMA requested that including straight trucks. Advocates The Fire Apparatus Manufacturers’ NHTSA exclude all severe duty trucks recommended that NHTSA should Association (FAMA) was generally from the scope of a final rule. It consider the FMCSA study stating the supportive of the rule. However, they reasoned that manufacturers offer number of fatalities by single-unit stated that the rule would not be multiple configurations of truck tractors trucks, based on data from 2008, are feasible if it is interpreted to apply to a with different wheelbases, axle, and 1,147 each year. Bosch stated that the Tractor Drawn Aerial Apparatus. As suspension combinations. Furthermore, rule should be expanded to cover all FAMA explained, this apparatus is a it claimed that manufacturers often vehicles over 10,000 pounds GVWR combination vehicle used for build only a few vehicles in each vehicles, including hydraulic-braked firefighting, which are used in many configuration and in some cases of vehicles, because this segment accounts large urban fire departments. The severe duty trucks, may only build a for a large number of commercial and distinguishing feature of this vehicle is single vehicle in a particular load bearing vehicles on the U.S. roads. that it has two drivers, one in the truck configuration. Bosch claims that a mandate with a tractor and one in the trailer. FAMA The agency is not excluding severe phase-in period is needed to facilitate believes that an ESC algorithm on such duty trucks as EMA suggests. Currently, industry development of ESC systems a vehicle would be very complex manufacturers are able to produce on these vehicles. On the other hand, because it would need to consider two products in small volumes that meet all Bendix recommended that ‘‘[t]he steering wheels rather than one. FAMA the requirements of the Federal Motor decision by the agency regarding if and suggested that NHTSA exclude from a Vehicle Safety Standards (FMVSS). The when to consider rulemaking on single- final rule any combination vehicle that addition of the ESC rule will not unduly unit trucks should be based on the same

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level of research undertaken for tractor implementation dates of the new with ESC systems. The applicability of and coach.’’ FMVSS No. 121 stopping distance the proposal to buses mirrored the We are not expanding the scope of requirements to give manufacturers the applicability of the agency’s proposal this rulemaking to include single-unit opportunity to refine the braking that certain large buses be equipped trucks. We believe that a level of systems prior to the implementation of with seat belts.32 The proposal for seat research closer to what we had to this ESC rule. EMA said it is impractical belts was applicable to buses with a support the NPRM for truck tractors and for manufacturers to certify compliance gross vehicle weight rating (GVWR) of large buses is necessary before NHTSA tests using the tests in the NPRM for all 11,793 kilograms (26,000 pounds) or would propose to mandate ESC on all typical 6×4 tractors within 2 years of the greater, 16 or more designated seating single-unit trucks. After publishing the final rule. Moreover, EMA said that positions (including the driver), and at NPRM, we began a research and testing tractors with four or more axles and least 2 rows of passenger seats that are program to study the safety benefits and severe service tractors have not been rearward of the driver’s seating position performance criteria of ESC systems on evaluated using the tests in the NPRM and are forward-facing or can convert to single-unit trucks. The research is not and likely would need additional lead forward-facing without the use of tools.’’ yet complete. Furthermore, as we stated time. However, EMA did not specify That proposal excluded school buses in the NPRM, the complexity of the how much additional lead time was and urban transit buses sold for single-unit truck population and the necessary. Finally, EMA and Bendix operation in urban transportation along limited crash data available present a recommended including two-axle a fixed route with frequent stops. The significant challenge to determining the tractors in the longer lead time period agency proposed a very similar effectiveness of stability control on because it appears to be an error. applicability in the NPRM for this these vehicles. At this time, we will not In contrast, HDBMC stated its belief rulemaking.33 We believed that the include single-unit trucks in the ESC that the suppliers of ESC systems are proposal encompassed the category of rule. However, we believe including prepared to meet the anticipated ‘‘cross-country intercity buses’’ buses with hydraulic brakes in this final deployment demands by the represented in the FARS and FMCSA rule will spur development of ESC implementation dates proposed. data (identified in section II.A above) systems for other hydraulic-braked We recognize the recent changes to that had a higher involvement of crashes vehicles, including trucks with a GVWR the stopping distance requirements in that ESC systems are capable of of greater than 4,536 kilograms (10,000 FMVSS No. 121 affected truck tractors. preventing. pounds) but not more than 11,793 Truck tractors, other than three-axle 2. Buses Built on Truck Chassis kilograms (26,000 pounds). truck tractors, were recently subjected to (a) Summary of NPRM 4. Compliance Dates the reduced stopping distance changes that went into effect on August 1, 2013. The agency tested three air-braked The agency proposed that all new Manufacturers of these truck tractors buses, all of which had a GVWR over typical 6×4 truck tractors would be were given two additional years beyond 14,969 kg (33,000 lb.) (Class 8). required to meet the proposed standard the timeframe for three-axle truck Nevertheless, the agency included Class beginning two years after a final rule is tractors to comply with the amendments 7 buses (buses with a GVWR of more published. Because there are currently to FMVSS No. 121. We agree with than 11,793 kg (26,000 lb.) but not only two suppliers of truck tractor and Daimler and EMA that at least four years greater than 14,969 kg (33,000 lb.). We large bus stability control systems, of lead time is warranted for all truck reasoned that, although many Class 7 Bendix and Meritor WABCO, we tractors other than typical 6×4 tractors buses are built on chassis similar to reasoned that the industry would (three-axle truck tractors with a front those of single-unit trucks for which require lead time to ensure that the axle that has a GAWR of 6,622 kg ESC has not been widely developed, necessary production stability control (14,600 pounds) or less and with two and we are not aware of any Class 7 bus systems are available to manufacturers. rear drive axles that have a combined that is equipped or currently available NHTSA also proposed a two-year lead GAWR of 20,412 kg (45,000 pounds) or with ESC. Class 7 buses represent less time for two-axle tractors. less). Although HDMA said that its For severe service tractors and tractors than 20 percent of the market. Although member companies are ready to supply with four axles or more, which the agency was not aware of any Class brake components by the represent about 5 percent of annual 7 bus currently available with ESC, we implementation dates proposed, we truck tractor sales, the agency believed were aware that stability control realize that truck tractor manufacturers additional lead time was necessary to systems are available on a limited need extra time to integrate the ESC develop, test, and equip these vehicles number of Class 8 single-unit trucks, systems into their products and to with a stability control system. such as concrete trucks, refuse trucks, perform the necessary testing to ensure Therefore, we proposed to require that and other air-braked trucks, and that the compliance. In addition, manufacturers severe service tractors and other same technology could be developed for recently made brake system changes to atypical tractors be equipped with ESC use on Class 7 buses, which we believed these models of truck tractors in order systems beginning four years after the were also air-braked vehicles. We also to comply with the new requirements in final rule is published. believed that the manufacturers of Class Four commenters addressed the the FMVSS No. 121 amendments. We 7 buses would need additional lead time compliance dates for trucks proposed by recognize that ESC systems must be to have the ESC systems developed, the NPRM. Daimler requested an integrated into the brake systems, and tested and installed on their vehicles. additional lead time for ESC we expect that manufacturers may need Hence, for large buses, the agency implementation because it said that it to modify the brake systems for a second proposed an effective date of two years only has RSC systems developed on time. after the final rule is published, some models and needs more time to B. Buses 32 design and validate ESC on all of its 75 FR 50958 (Aug. 18, 2010). 1. Summary of the NPRM 33 The primary difference is that the ESC proposal models. was not made applicable to buses with a GVWR of In its comment, EMA mentioned that The NPRM proposed that certain exactly 11,793 kilograms (26,000 pounds) in order this ESC rule should align with the buses would be required to be equipped to exclude Class 6 vehicles from the proposal.

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primarily to accommodate configuration; monocoque 35 school buses, transit buses, and manufacturers of Class 7 buses. construction; 40 or more passenger perimeter seating buses. In Section However, we sought comment on the seats; no provisions for standee V.B.1 of the NPRM, NHTSA mentioned feasibility of including Class 7 buses passengers; and one passenger entrance the rationale for not including a that are built on chassis similar to those and exit door. EMA asserted that requirement for ESC on single-unit of single-unit trucks within two years. NHTSA did not study ESC on other trucks with a GVWR over 4,536 We noted that, although we believed non-motorcoach buses, and therefore, kilograms (10,000 pounds) at this that Class 7 buses were primarily air the rule should not apply to those buses. time.36 The rationale was primarily braked and that ESC systems were based on the differences between truck (c) NHTSA’s Response to Comments readily available for air-braked buses, tractors and single-unit trucks; it was system availability for any hydraulic- NHTSA is not changing the general not intended and did not mention the braked buses that may be covered may applicability of the ESC requirement to differences between buses built on truck be more limited. We requested that, if buses. As we stated in the NPRM, we chassis and buses built with monocoque hydraulic-braked buses were covered by intended the applicability of the ESC construction. Although the NPRM stated the proposal, commenters address requirement to buses to be similar to the that single-unit trucks as a whole are manners in which hydraulic-braked applicability of the agency’s more complex and diverse than truck buses may be differentiated for requirement that buses have seat belts at tractors, this does not necessarily apply exclusion or a different phase-in period. each passenger seating position. In both to buses built on truck chassis. Among rulemakings, the target vehicles were the different bodies that could be (b) Summary of Comments high occupancy buses associated with a assembled on a truck chassis, a bus Several commenters raised issues known fatality and injury risk. The body presents a degree of complexity related to the NPRM’s definition for buses typically carried a large number of and diversity that is substantially less large buses. EMA and Navistar passengers and were operated at than the other truck bodies. For commented that the ‘‘large bus’’ highway speeds. We examined the example, a bus body presents a scenario definition should not include involvement of high occupancy buses in where center-of-gravity height and cargo commercial buses, which are buses fatal crashes over a 10-year period type are more easily calculated because greater than 11,793 kg (26,000 lb.), but (FARS data files, for the NPRM, 1999– the bus is limited to transporting people are not traditional intercity buses. They 2008). In this examination of high and their luggage rather than varied claimed that many of these buses are occupancy bus data, we inspected crash cargo. The chassis supplier for a bus built on truck chassis and are different data for buses with a GVWR greater than would be more likely to have knowledge than the Class 8 buses tested by NHTSA. 4,536 kg (10,000 lb.). We analyzed the of critical vehicle design parameters that They stated that these buses are built in construction type and various attributes affect ESC calibration. multiple stages by multiple of the vehicles. The 2000–2009 FARS NHTSA reviewed various definitions manufacturers, which would make data show that for buses over 4,536 kg used in motorcoach safety legislation compliance certification difficult. (10,000 lb.), there were 49 passenger including the ‘‘over-the-road bus’’ According to Navistar, NHTSA did fatalities in buses with a GVWR less definition in TEA–21 that was not ‘‘reach out’’ to Navistar regarding its than 11,793 kg (26,000 lb.), but there referenced in MAP–21. Similar to the commercial buses because it claimed were 209 in buses with a GVWR greater final rule requiring seat belts on certain NHTSA was not aware of its Class 8 than 11,793 kg (26,000 lb.). buses, we are not limiting the commercial buses from the sole fact that Moreover, MAP–21, which was applicability of the ESC requirement to they were not specifically mentioned in enacted after publication of the NPRM, TEA–21’s definition of over-the-road list of bus manufacturers included in requires the Secretary to consider buses.37 We believe that the definitions the NPRM. requiring ESC systems on certain large referring to over-the-road buses or over- In its comments, EMA opined that buses if the Secretary determines that the-road bus service are too narrow, non-motorcoach buses with a GVWR such a requirement is consistent with because a number of intercity transport over 11,793 kg (26,000 lb.) are more the requirements of the Motor Vehicle buses involved in fatal crashes were closely related to single-unit trucks. It Safety Act. We believe that mandating body-on-chassis buses that lacked an also commented that some of the same ESC systems on the buses covered by elevated passenger deck over a baggage issues related to requiring ESC systems the NPRM, subject to some minor compartment. Further, definitions based on single-unit trucks are also present for changes discussed below, is consistent on the intended use of the vehicle could large buses. with those requirements. That is, this pose difficulties for manufacturers and EMA stated that consistent with the standard is practicable, meets the need dealers, because the intended use of a Motorcoach Enhanced Safety Act (part for motor vehicle safety, and may be vehicle might not be known at the time of MAP–21), it considered the term stated in objective terms. We believe of vehicle manufacture or sale. We want ‘‘motorcoach’’ to have the same meaning that ESC systems are currently available to make sure as reasonably possible that as ‘‘over-the-road-bus,’’ which ‘‘means a for must buses covered by this final rule the buses we most wanted to affect bus characterized by an elevated and can be developed for the others. (high-capacity buses associated with passenger deck located over a baggage Moreover, the safety problem discussed known fatality and injury risks) would compartment.’’ 34 EMA and Daimler also in Section IV.D above highlights the meet the ‘‘motorcoach’’ safety standards, commented that a ‘‘motorcoach’’ has rollover problem in buses with a GVWR without having to depend on the state some, if not all, of the following greater than 11,793 kg (26,000 lb.). of knowledge of persons in the attributes: a GVWR greater than 33,000 NHTSA has decided to adopt the manufacturing and distribution chain pounds (Class 8); air disc brakes; proposal to require all buses with a about the prospective use of the bus. passenger deck floor more than 45 GVWR over 11,793 kg (26,000 lb.), Currently, there is no common inches above the ground; rear engine subject to some modified exclusions for Departmental or industry definition of ‘‘motorcoach.’’ FMCSA does not have a 34 The rulemaking requirements of the 35 Monocoque means a type of vehicular Motorcoach Enhanced Safety Act are addressed in construction in which the body is combined with 36 77 FR 30789. section II above. the chassis as a single unit. 37 78 FR 70429.

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definition for motorcoach in its Brake Systems. A number of factors entirely, NHTSA will extend the regulations, but it considers a such as GVWR, GAWR, and any other compliance date for buses that may be ‘‘motorcoach’’ to be an over-the-road specific conditions given by the equipped with hydraulic brakes. bus. As noted above, over-the-road manufacturer must be considered when NHTSA acknowledges that ESC systems buses are a subset of the buses NHTSA determining if a bus will be compliant are still in development for large buses believes should be regulated as with the braking requirements after it is with hydraulic-braked buses, and ‘‘motorcoaches,’’ encompassing a part of built. Likewise, the agency expects therefore, manufacturers and suppliers but not enough of the heavy bus safety manufacturers to give similar conditions need additional time to implement this problem we seek to address. of final manufacture under which the new technology. However, whether the We reviewed the underlying chassis manufacturer specifies that the bus is equipped with air brakes or structure of high-occupancy vehicles completed vehicle will conform to the hydraulic brakes, we expect the involved in fatal crashes. Some had a ESC standard. The agency considers that performance requirements to apply monocoque structure with a luggage burden of bus manufacturers to comply because they are based on the stability compartment under the elevated with the ESC rule will not be more of the bus as defined by its attributes passenger deck (‘‘over-the-road buses’’). difficult than the current burden of such as geometry, mass, inertia, and However, an elevated passenger deck complying with the air brake center-of-gravity height. There is a over a baggage compartment was not an requirements in FMVSS No. 121. negligible change in these attributes element common to the buses involved between an air-braked and a hydraulic- 3. Hydraulic-Braked Buses in fatal intercity transport. In FARS data braked bus. for buses with a GVWR greater than In the NPRM, we requested comment 11,793 kg (26,000 lb.), 36 percent of the on manners in which hydraulic-braked 4. School Buses fatalities were in the other bus and buses may be differentiated, such as by Six commenters recommended that unknown bus categories, i.e., not in the exclusion or a different phase-in period NHTSA include a requirement that over-the-road bus category. Some buses for the ESC rule. Six commenters school buses be equipped with ESC were built using body-on-chassis provided statements about hydraulic- systems in the final rule. Consumers configurations. braked buses and how they should be Union commented that ESC technology We believe that body-on-chassis excluded. Specifically, Blue Bird should be required for school buses in configurations are newer entrants into opposes an ESC mandate on hydraulic- order to set a precedent for future crash the motorcoach services market. They braked buses with a GVWR of 36,200 avoidance technologies. Martec appear to be increasing in number. A pounds and less. It also commented that recommended that ESC be required on cursory review of the types of buses the agency should wait until ESC all buses because it claims that ‘‘large being used in the Washington, DC area systems are developed and fully school buses satisfy multiple criteria for motorcoach services showed that evaluated for hydraulic-braked medium described by NHTSA in its 2011–2013 traditional motorcoaches are generally or heavy buses and not include Rulemaking and Research Priority Plan: used for fixed-route services between hydraulic-braked buses as part of the the addition of ESC/RSC to school buses major metropolitan areas. However, for ESC rule at this time. Blue Bird, would offer large safety benefits, would charter, tour, and commuter Daimler, Meritor WABCO, Navistar, and apply to high-occupancy vehicles, and transportation from outlying areas, EMA all commented that they are not would apply to a vulnerable many bus types are used. Some are of aware of any ESC systems available for population—children.’’ Skagit, NTSB, monocoque structure, while others are hydraulic-braked buses covered by the and IIHS all want ESC to be mandated of body-on-chassis structure. NPRM. Meritor WABCO recommended on all buses greater than 10,000 lb., The agency tested Class 8 buses, those that NHTSA exclude vehicles that are including school buses. with a GVWR greater than 14,969 kg not ‘‘pneumatically braked.’’ Finally, Conversely, Daimler and NSTA both (33,000 lb.), because these buses have both Daimler and EMA stated that they agreed that NHTSA not include school larger dimensions and masses than want the ESC regulation to extend only buses in a final rule mandating ESC Class 7 buses, and it places them on the to motorcoaches over 33,000 pounds. systems on large buses. NSTA asserted most severe end of the spectrum. The NHTSA has no convincing evidence that, if school buses were subject to an performance criteria were created based to exclude hydraulic-braked buses from ESC mandate, the costs to purchase on the testing of the larger Class 8 buses, this ESC rule. The NPRM proposed to school buses would increase. NSTA is and the agency has made a reasoned require ESC on both Class 7 and Class concerned that the added costs would determination that the criteria are 8 buses. The mandate in the Motorcoach reduce the number of school buses on applicable for Class 7 buses, as well. If Enhanced Safety Act makes no the road, and, consequently, reduce the a Class 8 bus with a larger GVWR can differentiation between Class 7 and number of children riding buses to pass the minimum performance criteria Class 8 buses. In order to address the school. NTSA claims that students for ESC systems, a Class 7 bus with a rollover and loss-of-control safety riding school buses are eight times safer smaller GVWR can reasonably be problems with these classes of buses, than riding in the family vehicle required to meet the same criteria. the ESC rule must include both air and because school buses travel at lower Despite the fact that some of these hydraulic brakes. speeds and largely in residential areas. buses are built in multiple stages by Based on feedback received from the As in the NPRM, we are excluding multiple manufacturers, the agency does commenters, we recognize that Class 7 school buses from the ESC requirement. not agree that compliance with the ESC buses are composed of both air- and Each NHTSA rulemaking must address standard will be very difficult. hydraulic-braked vehicles. We recognize a present safety need and be justified by Presently, manufacturers building buses that manufacturers who produce large present safety benefits. We cannot in various stages must provide an buses equipped with hydraulic-powered accept Consumers Union’s incomplete vehicle document (49 CFR brakes might need extra time to ensure recommendation to do rulemaking now part 568) to subsequent manufacturers the proper integration between the ESC based on speculative benefits of ESC listing each standard that applies. One system and the vehicle’s chassis, engine, systems on school buses. According to example of a standard that must be and braking system. Rather than exclude FARS data between 2000 and 2009, documented is FMVSS No. 121, Air hydraulic-braked buses from the rule among the large buses, more than 70%

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of fatalities on large buses with a GVWR provided by, or on behalf of, a public This reference was included in the seat greater than 11,793 kg (26,000 lb.) were transportation agency. However, as we belt NPRM based on FMCSA’s related to cross-country intercity bus explained in the previous section definition of a ‘‘commercial motor crashes. Similarly, we stated in the regarding school buses, an exclusion vehicle,’’ for purposes of FMCSA’s NPRM that FMCSA’s Large Truck and based on the intended use of the vehicle commercial driver’s license Bus Crash Facts 2008 indicates that could pose difficulties for requirements.39 In the final rule, most of the school bus crashes are not manufacturers and dealers, because the however, NHTSA noted that FMCSA’s rollover or loss-of-control crashes that intended use of a vehicle might not be regulations state that buses with a ESC systems are capable of preventing. known at the time of vehicle GVWR greater than 11,793 kg (26,000 For these reasons, we will not require manufacture or sale. Consequently, we lb.) are commercial vehicles under the school buses to be equipped with ESC will not adopt the recommendation commercial driver’s license regulations, at this time. suggested by EMA and Volvo to exclude regardless of the number of DSPs. Navistar, EMA, and Daimler requested urban transit buses used in suburban Accordingly, that exclusion was that the school bus exclusion extend express service. removed from the final rule.40 into its line of school bus derivatives. The final rule requiring seat belts at EMA and Daimler suggested that the Navistar and EMA reasoned that some all passenger seating position on certain rule exclude all buses with fewer than commercial buses are built on truck buses noted that commenters on that 40 passenger seats, which they imply chassis. Because of their similarities to NPRM were troubled that the proposed would exclude buses that are not school buses, they reasoned that those transit bus exclusion was not considered ‘‘motorcoaches.’’ However, buses should be exempted from the ESC sufficiently clear. To make the neither EMA nor Daimler included any rule. According to Daimler, school bus definition more clear, the final rule explanation for why 40 passenger seats derivatives are vehicles built with made clarifications that we believe are is an appropriate cutoff for an ESC hydraulic brakes, and no ESC system is also warranted in this final rule system requirement, and we can available on these types of hydraulic requiring ESC systems on certain perceive none. We do not believe that a brakes in the market today. buses.38 First, we made the regulatory minimum number of passenger seats We disagree with Daimler, EMA, and text clearer in describing a ‘‘transit bus’’ would serve to include or exclude buses Navistar that the school bus exception by referring to a structural feature (a that are being driven at long distances should extend to other buses that are stop-request system) that buses must or at highway speeds. similar or ‘‘derivatives’’ as Daimler have to be a ‘‘transit bus.’’ A ‘‘stop- The NPRM also proposed to exclude stated. If the commenters’ reasoning was request system’’ means a vehicle- buses with fewer than two rows of adopted, any manufacturer could offer a integrated system for passenger use to passenger seats that are rearward of the school bus version of a particular bus signal to a vehicle operator that a stop driver’s seating position and are model and claim that the school bus is requested. Second, we expanded the forward-facing or can convert to exception should apply because of the description of a transit bus by forward-facing without the use of tools. artificially created similarities. This recognizing that a transit bus could be This reference was included in the large would create an unintended loophole sold for public transportation provided bus seat belt NPRM to distinguish buses for the ESC requirement and potentially not only by, but also on behalf of, a with perimeter seating such as those undermine the rule. State or local government, for example, used to transport passengers in airports 5. Transit Buses by a contractor. between the terminal and locations such Finally, we made clear that over-the- as a rental car facility or long term The NPRM proposed to exclude from road buses, as defined by TEA–21, do parking.41 These buses typically have a the ESC system requirements urban not qualify as ‘‘transit buses,’’ even if single forward-facing row of seats in the transit buses sold for operation in urban the over-the-road bus has a stop-request back of the vehicle and seats along one transportation along a fixed route with system or is sold for public or both sides of the bus. These buses frequent stops. EMA and Volvo transportation provided by or on behalf typically carry people for a relatively suggested that we exclude certain buses of a State or local government. This final short period, often transport standees, based on the intended use of the vehicle clarification ensures both that a generally accommodate baggage and in public transit. Volvo requested that manufacturer cannot integrate a simple other items, and are designed for rapid the agency base the exclusion on the stop-request system on any bus and boarding and alighting. These buses Federal Transit Administration’s (FTA) make it subject to the transit bus were excluded because we believed they bus procurement guidelines. Volvo exclusion. We recognize that any over- would be used for relatively short suggested excluding ‘‘urban transit the-road bus used for public distances on set routes, which are not buses which may be used on suburban transportation provided by or on behalf widely exposed to general traffic. express service and general service on of a State or local government is likely In the seat belt final rule, the agency urban arterial streets along a fixed route to be used as a commuter express bus simplified the exclusion by defining with frequent stops.’’ Similarly, EMA that would carry large numbers of these vehicles as perimeter seating suggested adding to the exclusion for passengers over long distances at buses and excluding them from the seat transit buses ‘‘urban transit buses used highway speeds. However, this use case belt requirement rather than specifying in suburban express service.’’ is similar to the use of over-the-road the number of rows and seats that a bus Conversely, Volvo stated during the buses by private companies in intercity has. Second, we referred to the public hearing that it was practical and service. maximum number of forward-facing technologically feasible to equip its DSPs that the vehicle may have rather 6. Minimum Seating Capacity and urban buses with ESC, but it did not than the number of ‘‘rows’’ it may have. Seating Configuration want to do so because it did not We made this change because there is perceive a safety need. The NPRM also excluded buses that no definition of ‘‘row’’ generally The Motorcoach Enhanced Safety Act had fewer than 16 designated seating excludes from its mandate to consider positions (DSPs), including the driver. 39 75 FR 50969. requiring ESC systems on large buses a 40 78 FR 70433. bus used in public transportation 38 78 FR 70438. 41 78 FR 70434.

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applicable to the FMVSSs and it was the vehicle. Based on the comments (10,000 pounds) but not more than difficult to define ‘‘row’’ for the purpose received from the bus industry, Class 7 11,793 kilograms (26,000 pounds). of excluding perimeter-seating buses buses are equipped with both air and C. Retrofitting using plain language. Thus, we defined hydraulic brakes. Rather than a ‘‘perimeter-seating bus’’ as a bus with differentiate between brake systems of NHTSA considered proposing to 7 or fewer DSPs rearward of the driver’s the Class 7 buses, we believe it would require retrofitting of in-service truck seating position that are forward-facing be better to base the compliance date tractors, trailers, and large buses with or can convert to forward-facing without requirements on GVWR. This will also stability control systems. The Secretary the use of tools, and excluded address the concerns of manufacturers has the statutory authority to perimeter-seating buses from the seat of buses built on truck chassis, for promulgate safety standards for belt requirement.42 which ESC systems may not currently ‘‘commercial motor vehicles and We believe that this exclusion is be equipped. We believe that at least equipment subsequent to initial similarly applicable to the ESC system four years of lead time are necessary to manufacture.’’ 43 The Secretary has requirement, and we are adopting in ensure that suppliers have ESC systems delegated authority to NHTSA to this final rule the simplified language available for hydraulic-braked large promulgate safety standards for used in the seat belt final rule. A buses. Accordingly, this final rule commercial motor vehicles and perimeter-seating bus typically carries allows Class 7 bus manufacturers four equipment subsequent to initial people for short distances on set routes years of lead time before the manufacture when the standards are and is often less exposed to general requirements of this final rule become based upon and similar to an FMVSS traffic than transit buses. However, applicable. promulgated, either simultaneously or consistent with the Motorcoach previously, under chapter 301 of title Enhanced Safety Act, we are not 8. Class 3 Through 6 Buses 49, U.S.C.44 Additionally, the Federal excluding from the ESC system Some of the commenters Motor Carrier Safety Administration requirement perimeter-seating buses recommended that we expand the scope (FMCSA) is authorized to promulgate that are also over-the-road buses. Some to include mid-size buses which are and enforce vehicle safety regulations, of these buses may include vehicles typically built on single-unit truck including those aimed at maintaining often referred to as ‘‘limo buses’’ or frames. Skagit, NTSB, IIHS, NAPT, commercial motor vehicles so they ‘‘party buses.’’ These vehicles may also Advocates, and Bosch all suggested that continue to comply with the safety be used as touring or entertainment ESC should be mandated on all buses standards applicable to commercial buses with eating and sleeping greater than 10,000 pounds. The NTSB motor vehicles at the time they were accommodations that are used by estimated that 11,600 mid-size buses manufactured. celebrities and entertainers on tour. We (buses with a GVWR between 10,000 Although the NPRM did not propose expect that these types of buses will be pounds and 26,000 pounds) are requiring truck tractors, trailers, or large used for intercity travel and driven at produced each year. Advocates buses to be equipped with stability highway speeds. recommended that NHTSA should control systems ‘‘subsequent to initial 7. Compliance Dates consider the NTSB recommendation manufacture,’’ we requested public comment on several issues related to The NPRM proposed that buses meet that all buses over 10,000 pounds GVWR should be equipped with retrofitting in-service truck tractors, the ESC system requirements two years trailers, and buses: after publication of a final rule stability control systems. Bosch stated • that the agency should develop a The extent to which a proposal to implementing the proposal. Although retrofit in-service vehicles with stability we did not receive any comments performance standard to cover vehicles in Classes 3 through 7 with hydraulic control systems would be complex and specifically addressing the compliance costly because of the integration date for large buses, the Motorcoach brakes because this segment accounts for a large number of commercial and between a stability control system and Enhanced Safety Act specifically states the vehicle’s chassis, engine, and that a stability enhancing requirement load bearing vehicles on the U.S. roads. Bosch claims that a standard with a braking systems. shall apply to all motorcoaches • The changes necessary to an manufactured more than 3 years after phase-in period is needed to facilitate industry development of ESC systems originally manufactured vehicle’s the date on which the regulation is systems that interface with a stability published as a final rule. Based on the for these vehicles. Bosch also cites Annex 21 of UN ECE Regulation 13, control system, such as plumbing for Congressional determination that any new air brake valves and lines and a enhancing stability technology which requires ESC on buses operating in the European Union. new electronic control unit for a revised rulemaking shall apply to all over-the- antilock brake system. road buses manufactured more than 3 We are not expanding the scope of • The additional requirements that years after the final rule is published, this rule to include vehicles with a would have to be established to ensure we will allow bus manufacturers that GVWR of 11,793 kilograms (26,000 that stability control components are at amount of time inasmuch as a three-year pounds) or less. After publishing the an acceptable level of performance for a lead time is practical. NPRM, we began a research program to compliance test, given the uniqueness of With respect to Class 7 buses, the study the safety benefits and the maintenance condition for vehicles agency has determined that a three-year performance criteria of ESC systems on in service, particularly for items such as compliance date is not practical. The single-unit trucks, which includes mid- tires and brake components that are scope of this final rule includes buses size buses. The research is not yet important for ESC performance. that are hydraulic-braked. We recognize complete on single-unit trucks or • The original manufacture date of the manufacturers of hydraulic-braked smaller buses. However, we believe vehicles that should be subject to any buses will likely require extra time to including buses with hydraulic brakes retrofitting requirements. ensure system availability and that the in this final rule will spur development ESC system is properly integrated with of ESC systems for other hydraulic- 43 See Motor Carrier Safety Improvement Act of braked vehicles, including buses with a 1999, section 101(f), Pub. L. 106–159 (Dec. 9, 1999). 42 See 78 FR 70434–35. GVWR of greater than 4,536 kilograms 44 See 49 CFR 1.50(n).

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• Whether the performance possibility of incomplete or incorrect integrate the ESC system to the vehicle’s requirements for retrofitted vehicles retrofit installations if retrofits are chassis, engine, and braking system; (3) should be less stringent or equally required. the changes necessary on the in-service stringent as for new vehicles, and, if less The National Ready Mix Concrete vehicle to interface with the ESC system stringent, the appropriate level of Association argued that there should not such as plumbing for new air brake stringency. be an ESC system retrofit requirement valves and lines and a new electronic • The cost of retrofitting a stability on single-unit trucks or truck tractors control unit for the ABS system; and (4) control system on a vehicle, which we because retrofit costs will be higher on the additional requirements for in- believe would exceed the cost of existing trucks than installations on new service vehicles considering the including stability control on a new trucks. They further stated that a variety uniqueness of the maintenance vehicle. of improvised techniques are needed condition of the tire and brake Several commenters addressed issues when doing retrofit installations, and components. Considering that the related to retrofitting in-service vehicles these techniques result in higher potential safety risks and certain high with ESC systems. We received maintenance costs. They were also costs associated with a requirement to comments both favoring and opposing concerned that a retrofitted system retrofit in-service vehicles with ESC retrofitting. would not work on some older trucks systems greatly exceed the benefits, Road Safe America, NTSB, and because of unworkable truck designs NHTSA has not included a retrofit Advocates supported a requirement for and interference with safety and requirement in this final rule. ESC to be retrofitted to existing heavy electronic features. vehicles. Road Safe America HDBMC stated that there should be no X. Performance Testing recommended that RSC systems be retrofit requirement because retrofitting A. NHTSA’s Proposed Performance retrofitted on all existing truck trailers. of ESC systems is impractical and Tests NTSB cited its recommendation that difficult. HDBMC cited the challenges of RSC systems be retrofitted on in-use ESC system retrofitting, which include: The agency’s research initially cargo tank trailers. In its comments, (1) Compatibility of the vehicle; (2) focused on a variety of maneuvers that Advocates said that there should be a computer hardware and software issues; we could use to evaluate the roll retrofit requirement to install ESC (3) issues with new component stability performance and the yaw systems on all in-service vehicles. installation; (4) vehicle downtime to stability performance of truck tractors Advocates stated that the failure to make the conversion; (5) testing and and large buses. Several of these require retrofitting could significantly validation; and (6) further unknown maneuvers were also tested by industry delay fleet penetration of ESC systems variables. and some of them are allowed for use because of the extended service life of EMA asserted that it would be unsafe in testing for compliance to the UN ECE the affected vehicles. to implement a retrofit requirement stability control regulation. The Many more commenters were because ESC systems are not currently agency’s goal was to develop one or opposed to a retrofit requirement for installed over existing components. more maneuvers that showed the most ESC systems. IIHS stated that ESC EMA also believes that aftermarket promise as repeatable and reproducible systems should not be required to be facilities do not have the capability to roll and yaw performance tests for retrofitted at this time, but that the design, test, and implement ESC which objective pass/fail criteria could agency should explore the feasibility systems. EMA stated that rotational be developed. Based on the agency’s creating a requirement in the future. sensors, yaw rate, and lateral own testing and the results from American Highway Users requested that accelerometers must be mounted close industry-provided test data, two there should be no retrofit requirements to the vehicle’s center of yaw rotation, stability performance tests were for existing vehicles in order to or complex calculations must be used to proposed to evaluate ESC systems on incorporate ESC systems and would compensate for any deviations in the truck tractors and large buses—the SIS oppose any efforts to implement a mounting. Finally, EMA commented test and the SWD test. retrofit requirement. In its comment, that the necessary components for an 1. Characterization Test—SIS ATA did not support a retrofit ESC system do not exist for older requirement for ESC systems because it vehicle models. The agency proposed using the slowly claims there is an average of a 4–5 year Bendix commented that it had, for the increasing steer maneuver (SIS) as a turnover for a majority of Class 7 and purposes of research and development, characterization test to determine the Class 8 tractors. Volvo commented that retrofitted ESC to more than 25 vehicles. unique dynamic characteristics of a there should not be a retrofit of trucks Bendix estimated that retrofitting in- vehicle. This maneuver would allow the because the changes to the vehicle are service vehicles would take between 80 agency to determine the relationship too significant, and there is no way to and 120 person-hours for installation between the steering wheel angle and assure the quality of the retrofit. because each installation would have to lateral acceleration of a vehicle. Also as Meritor WABCO stated that there be customized and there would be little part of the SIS characterization test, the should not be a retrofit of vehicles or no OEM support. ability of the ESC system to reduce because, as a system supplier, it does After considering the public engine torque is determined. During not offer an ESC system retrofit option. comments, NHTSA has decided not to each of the SIS maneuvers, ESC Meritor WABCO also specified that ESC include a retrofit requirement in this activation is confirmed by verifying that systems must be engineered and final rule. NHTSA recognizes that the the system automatically reduces the validated for each vehicle model and costs and safety risks of mandating an driver requested engine torque output. parts must be added, which would be ESC system retrofit may exceed the The NPRM proposed that, for each of difficult to do on in-service vehicles. benefits. Those commenters supporting the SIS maneuver test runs, the Meritor WABCO further stated that an an ESC system retrofit did not provide commanded engine torque and the ESC system requires a steering wheel any information to mitigate issues such driver requested torque signals must angle sensor, which is difficult to design as: (1) The complexity and cost to diverge at least 10 percent for 1.5 for in-service vehicles. Meritor WABCO retrofit in-service vehicles with ESC seconds after the beginning of ESC also expressed concern about the systems; (2) the changes necessary to system activation. This test

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demonstrates that the ESC system has each of the successive test runs, the expense of poor lateral displacement in the capability to reduce engine torque, steering amplitude would be increased response to the driver’s steering input. as required in the functional definition. by increments of 0.1A until a steering A hypothetical way to pass a stability The vehicles that the agency tested were amplitude of 1.3A or 400 degrees, control performance test would be to all able to meet this proposed whichever is less, is achieved. Upon make either the vehicle or its stability performance level. completion the test runs, the agency control system intervene simply by would conduct post-processing of the making the vehicle poorly responsive to 2. Roll and Yaw Stability Test—SWD yaw rate and lateral acceleration data to the speed and steering inputs required In the NPRM, we proposed using the determine the lateral acceleration ratio, by the test. An extreme example of this sine with dwell maneuver (SWD) to test yaw rate ratio, and lateral displacement, potential lack of responsiveness would the ability of an ESC system to mitigate as discussed below. occur if an ESC system locked both front conditions that would lead to rollover or The lateral acceleration ratio (LAR) is wheels as the driver begins a severe loss of control. Conceptually, the a performance metric developed to avoidance maneuver that might lead to steering profile of this maneuver is evaluate the ability of a vehicle’s ESC vehicle rollover. Front wheel lockup similar to that expected to be used by system to prevent rollovers. Lateral would create an understeer condition in real drivers during some crash acceleration is measured on a bus or a the vehicle, which would result in the avoidance maneuvers. As the agency tractor and corrected for the vehicle’s vehicle plowing straight ahead and found in the light vehicle ESC research roll angle. As a performance metric, the colliding with an object the driver was program, the severity of the SWD lateral acceleration value is normalized trying to avoid. It is very likely that maneuver makes it a rigorous test, while by dividing it by the maximum lateral front wheel lockup would reduce the maintaining steering rates within the acceleration that was determined at any roll instability of the vehicle since the capabilities of human drivers. We time between 1.0 seconds after the lateral acceleration would be reduced. believed that the maneuver is severe beginning of steering and the This is clearly, however, not a desirable enough to produce rollover or vehicle completion of steering. The two compromise. loss-of-control without a functioning proposed performance criteria are Because a vehicle that simply ESC system on the vehicle. described below: responds poorly to steering commands The agency’s test program was able to • A vehicle must have a LAR of 30 may be able to meet the stability criteria develop test parameters for the SWD percent or less 0.75 seconds after proposed in the NPRM, a minimum maneuver so that both roll stability and completion of steer. responsiveness criterion was also yaw stability could be evaluated using • A vehicle must have a LAR of 10 proposed for the SWD test. The a single loading condition and test percent or less at 1.5 seconds after proposed lateral displacement criterion maneuver. Previously, the SWD completion of steer. was that a truck tractor equipped with maneuver had typically been used to The yaw rate ratio (YRR) is a stability control must have a lateral evaluate only the yaw instability of a performance metric used to evaluate the displacement of 2.13 meters (7 feet) or vehicle. NHTSA evaluated several ability of a vehicle’s ESC system to more at 1.5 seconds from the beginning loading conditions and found that a prevent yaw instability. The YRR of steer, measured during the sine with loading condition of 80 percent of the expresses the lateral stability criteria for dwell maneuver. For a bus, the tractor’s GVWR enabled us to evaluate the sine with dwell test to measure how proposed performance criterion is a both the yaw and roll stability control quickly the vehicle stops turning, or lateral displacement of 1.52 meters (5 of the ESC system. rotating about its vertical axis, after the feet) or more at 1.5 seconds after the For a truck tractor, the agency would steering wheel is returned to the beginning of steer. The lateral conduct the SWD test with the truck straight-ahead position. The lateral displacement criteria is less for a bus tractor coupled to an unbraked control stability criterion, expressed in terms of because a large bus has a longer trailer and loaded with ballast directly YRR, is the percent of peak yaw rate that wheelbase than a truck tractor and over the kingpin. The combination is present at designated times after higher steering ratio, which makes it vehicle would be loaded to 80 percent completion of steer. This performance less responsive than a truck tractor. of the tractor’s GVWR. For a bus, the metric is identical to the metric used in vehicle is loaded with a 68 kilogram B. Comments on SIS and SWD the light vehicle ESC system Maneuvers (150 pound) ballast in each of the performance requirement in FMVSS No. vehicle’s designated seating positions, 126. The two proposed performance The agency received many comments, which would bring the vehicle’s weight criteria are described below: particularly from representatives of ESC to less than its GVWR. The test vehicles • A vehicle must have a YRR of 40 system, truck tractor, and bus were proposed to be equipped with percent or less 0.75 seconds after manufacturers specifically addressing outriggers to prevent the trailer from completion of steer. the slowly increasing steer and sine rolling over in case the ESC system does • A vehicle must have a YRR of 15 with dwell maneuvers proposed in the not function properly. percent or less at 1.5 seconds after NPRM. The comments raised issues The SWD test would be conducted at completion of steer. regarding the relevance of the SWD and a speed of 72 km/h (45 mph). An SIS tests, the amount of space required automated steering machine would be 3. Lateral Displacement to perform the test, and the automated used to initiate the steering maneuver. Lateral displacement is a performance steering machine. Each vehicle is subjected to two series metric used to evaluate the Daimler Trucks North America of test runs. One series uses responsiveness of a vehicle, which (DTNA), the ATA, and Navistar claimed counterclockwise steering for the first relates to its ability to steer around the SWD was not representative of a half-cycle, and the other series uses objects. Stability control intervention real-world maneuver. EMA stated the no clockwise steering for the first half- has the potential to significantly manufacturer to date was using the cycle. The steering amplitude for the increase the stability of the vehicle in SWD maneuver to test and validate an initial run of each series is 0.3A, where which it is installed. However, we ESC system. Navistar claimed the A is the steering wheel angle believe that these improvements in standard width of a highway lane does determined from the SIS maneuver. In vehicle stability should not come at the not allow room for the SWD maneuver

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to be completed. EMA shared Navistar’s portable, meaning that any test facility support the proposal. Further EMA belief that a driver of a truck tractor that can run FMVSS No. 121 tests criticized NHTSA’s test program for would require 6 to 8 lanes of road width should be able to run FMVSS No. 136 using only one control trailer and one to perform a SWD maneuver on a tests. test facility. Volvo alleged that the roadway, and the SWD test is unlike any In the NPRM, we proposed using a proposed performance tests could maneuver likely to occur on public steering machine to provide the steering potentially damage test vehicles, and roads. wheel inputs for the vehicles during the some manufacturers conduct assurance DTNA asserted that the SWD test fails SIS and SWD tests. Advocates tests on customer vehicles. to provide adequate pass/fail criteria as recommended that the SWD and SIS an ESC performance test. Similarly, tests should be required along with an C. Alternative Maneuvers Considered in Volvo stated that the SWD performance automated steering machine. However, the NPRM test criteria is impractical and Bendix, Volvo, and EMA expressed We considered other test maneuvers unnecessary because there are concern regarding the steering machine besides the SIS and SWD tests in the established validation test methods and the capabilities of a vehicle’s NPRM. The SWD maneuver was chosen available and in use. steering system to perform the SWD in the NPRM over other maneuvers DTNA, Navistar, and EMA suggested maneuver. Bendix stated that the because our research demonstrated that that tuning the ESC system to pass the steering robot specified in the NPRM is it has the most optimal set of SWD test could compromise the system inadequate and suggested that more characteristics, including the severity of performance. Navistar reasoned that research needs to be done to find a the test, repeatability and focusing on the SWD test would steering controller more suited for large reproducibility of results, and the ability diminish the amount of design work vehicles. According to Volvo, the same to address rollover, lateral stability, and done to optimize ESC performance for steering machine requirements as those responsiveness. However, we left within other conditions. Navistar also found in FMVSS No. 126 would not be the scope of the NPRM several other test speculated that some ESC systems may sufficient for heavy vehicles. EMA and maneuvers that could be used to test an not comply with the SWD test and may Bendix expressed concerns that the ESC system’s ability to mitigate require a lengthy research and SWD requires steering inputs that instability. development plan to redesign the approach the limit of what a human With respect to rollover instability systems. On the other hand, Bendix being can accomplish. EMA also claims mitigation, we discussed the ramp steer Commercial Vehicle Systems (Bendix) the SWD test exceeds the capacity of maneuver (RSM) and J-turn maneuver. assured the agency that tractors power steering systems on some The two tests are similar in that both equipped with the current Bendix ESC tractors, which affects the results of the maneuvers require the tested vehicle to systems could pass the proposed SWD SWD and exposes the driver to safety be driven at a constant speed and then and SIS tests. risks. the vehicle is turned in one direction for DTNA and EMA alleged that there Commenters also addressed the costs a certain period of time. The test speed would be additional burdens and of conducting the proposed SIS and and the severity of the turn are designed restrictions on manufacturers caused by SWD tests. ATA and EMA stated that to cause a test vehicle to approach or a SWD performance test. DTNA stated the proposed SWD test would be costly exceed its roll stability threshold such that manufacturers have a burden to because of the logistics and preparation that, without a stability control system, conduct extensive ESC testing because costs to test at TRC. Navistar said that the vehicle would exhibit signs of roll of the lack of experience with the SWD a new facility would need to be built to instability. Both tests would be test. EMA claimed that heavy vehicle conduct the SWD tests at an estimated performed with the tractor loaded to its options would be restricted to ensure cost of $4 to 6 million plus additional GVWR. Furthermore, we do not expect compliance with the SWD test. Neither costs for maintenance and repair of the a vehicle that could pass one test to fail commenter provided details to support facility. the other. its claims. Meritor WABCO, EMA, and Volvo The most notable difference between We also received comments on the provided estimates regarding the costs the J-turn and the RSM maneuvers is amount of space required to conduct SIS and burden of conducting the SWD test. that the J-turn is a path-following and SWD tests. According to Navistar, Meritor WABCO commented that the maneuver. That is, it is performed on a EMA, and Bendix, the SWD and SIS tests are too costly and estimated the fixed path curve. In contrast, the RSM tests require a large area in order to costs to be in excess of $28,000 per maneuver is a non-path-following perform the tests. Navistar, EMA, tractor. EMA claimed the SWD is too maneuver that is performed with a fixed DTNA, Volvo, and the HDBMC claimed expensive because heavy vehicles have steering wheel input determined for that the Transportation Research Center many variations, small volumes, and each vehicle. For example, during the (TRC) in Ohio is the only test facility typically testing is performed on agency’s and EMA’s testing, the J-turn large enough to perform the SWD and saleable vehicles. EMA estimated that maneuver was performed on a 150-foot SIS tests. Based on this belief, they each truck tractor manufacturer would radius curve. In contrast, the RSM is assume an increase in the number of need to run 50 to 80 tests for its 6x4 performed based on a steering wheel manufacturers using TRC will limit the tractors causing a high cost for the SWD angle derived from the SIS test. We test facility availability. Bendix testing, which is spread out over a low expect that, with the RSM, the radius of provided data and calculations to production volume of heavy vehicles. the curve would be close to the fixed support its recommendation for the test EMA further commented that radius used in the J-turn maneuver. area dimensions needed to safely manufacturers might have to redesign However, in the RSM, the vehicle would perform the SIS and SWD tests. steering systems to comply in order to be steered with a steering controller and According to Bendix, the SIS test needs perform the SWD tests, which would the driver would not have to make an area of 176 m (563.2 ft.) by 151 m further increase the costs. Additionally, adjustments and corrections to steering (483.2 ft.), and the SWD test needs a EMA claims NHTSA did not test any to maintain the fixed path. smaller area of 112 m (358.4 ft.) by 58 severe service tractors using SWD We included both maneuvers in our m (185.6 ft.). Bendix further argued that testing, and the sample of truck tractors roll stability testing. We also included the ESC performance tests should be NHTSA tested was too narrow to possible performance metrics. For the

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RSM, these performance metrics were The RSM would use a similar, but not However, neither of these test included in the preamble to the NPRM. identical lateral acceleration ratio maneuvers was developed to a level that For the J-turn maneuver, the performance metric to evaluate roll would make them suitable for the performance metrics were included in stability. As with the SWD maneuver, agency to consider using as yaw materials supporting the NPRM that the LAR used in the RSM would performance tests. were placed in the docket.45 indicate that the stability control system In July 2009, EMA provided research When comparing the J-turn to the is applying selective braking to lower information on several yaw stability test 48 RSM in the NPRM, the agency lateral acceleration experienced during maneuvers. One of these maneuvers considered the RSM to be a preferable the steering maneuver. In the SWD was the SWD on dry pavement that is test maneuver because the RSM maneuver, the LAR is the ratio of the similar to what was proposed in the maneuver can be performed with an lateral acceleration at a fixed point in NPRM. The second maneuver was a automated steering wheel controller. time to the peak lateral acceleration SWD maneuver conducted on wet during the period from one second after Jennite. The third maneuver was a ramp Because the J-turn is a path-following 49 maneuver, a test driver must constantly the beginning of steer to the completion with dwell maneuver on wet Jennite. make adjustments to the steering input of steer. In contrast, the LAR metric we EMA did not provide any test data on the last two maneuvers. Thus, we for the vehicle to remain in the lane would use for the RSM would be the considered them to be concepts rather throughout the test maneuver. ratio of the lateral acceleration at a fixed than fully developed maneuvers that we Moreover, driver variability could be point in time to the lateral acceleration could consider using for yaw stability introduced from test to test based upon at the end of ramp input, which is the testing. minor variations in the timing of the moment at which the steering wheel angle reaches the target steering wheel We received no other alternative yaw initial steering input and the position of performance tests from industry until the test vehicle in the lane. angle for the test. Also, in contrast to the SWD maneuver, the LAR measurements EMA’s submission of data in late In addition, the RSM appeared to be 50 for the RSM would be taken at a time 2010. EMA suggested using a wet more consistent because it involves a when the steering wheel is still turned. Jennite drive through test maneuver fixed steering wheel angle rather than a This means that, although the SWD demonstrated yaw performance in a fixed path. There is negligible maneuver is a more dynamic steering curve on a low friction surface. The variability based on the timing of the maneuver, the LAR criteria for the RSM maneuver is based upon a maneuver the initial steering input because the test is would be greater than the LAR criteria agency currently conducts on heavy designed to begin at the initiation of for the SWD maneuver. The vehicles to verify stability and control of steering input, rather than the vehicle’s performance criteria for the RSM would antilock braking systems while braking position on a track. Moreover, an depend on whether fixed-rate steering in a curve. As part of the test, a vehicle automated steering wheel controller can is driven into a 500-foot radius curve or fixed-time steering input is used. more precisely maintain the required with a low-friction wet Jennite surface In a March 2012 submission given to steering wheel input than a driver can. at increasing speeds to determine the the agency prior to the publication of Therefore, we tentatively concluded that maximum drive-through speed at which the NPRM, which was revised with the RSM is more consistent and more the driver can keep the vehicle within additional details in April 2012, EMA repeatable than the J-turn, which is a 12-foot lane. As with the J-turn, we are suggested that NHTSA use different test critical for agency compliance testing concerned about the repeatability of this speeds and performance criteria for the purposes. test maneuver because of variability in J-turn maneuver.46 EMA suggested that the wet Jennite test surface and the Notwithstanding the above a test speed that is 30 percent greater drivers’ difficulty in maintaining a observations, we recognized that many than the minimum speed at which the manufacturers perform NHTSA’s constant speed and steering input in the ESC system intervenes with engine, curve. compliance tests in order to certify that engine brake, or service brake control. their vehicles comply with NHTSA’s In a March 2012 submission, which Instead of measuring LAR, EMA was revised with additional details in safety standards. We also recognize that, suggested that, during three out of four over time, manufacturers are likely to April 2012, EMA provided information runs, the vehicle would be required to about another yaw stability test along use other methods such as simulation, decelerate at a minimum deceleration modeling, etc., to determine compliance with additional information on the J- rate. NHTSA has conducted testing on 51 with Federal Motor Vehicle Safety turn maneuver. This maneuver variations of this EMA maneuver, and simulates a single lane change on a wet Standards. In this regard, we observed we suggested that we would conduct that, because the J-turn and the ramp roadway surface. It is be conducted further testing. We requested comments within a 3.7 meter (12 foot) wide path. steer maneuvers are so similar, on EMA’s suggested test procedure and manufacturers may be able to determine The roadway condition is be a wet, low performance criteria for the J-turn friction surface such as wet Jennite with compliance with a stability control maneuver. standard by using the J-turn maneuver a peak coefficient of friction of 0.5. The After evaluating several maneuvers on other test conditions (i.e., road even if the agency ultimately decided to different surfaces, the agency was use the RSM for compliance testing. conditions, burnish procedure, liftable unable to develop any alternative axle position, and initial brake Thus, if a manufacturer sought to certify performance-based dynamic yaw test compliance based upon performance temperatures) are similar to those maneuvers that were repeatable enough proposed in the NPRM. In this testing, a manufacturer would not for compliance testing purposes. Bendix necessarily need to perform compliance described two maneuvers intended to 48 Docket No. NHTSA–2010–0034–0035. testing with an automated steering 47 evaluate the yaw stability of tractors. 49 This ramp with dwell maneuver is the same controller. one identified by Bendix referenced in the prior 46 Docket No. NHTSA–2010–0034–0032; Docket paragraph and in section IV.E.3. 45 See ‘‘Tractor Semi-Trailer Stability Objective No. NHTSA–2010–0034–0040. 50 Docket No. NHTSA–2010–0034–0022; Docket Performance Test Research—Roll Stability,’’ Docket 47 These tests are discussed in section IV.E.3. See No. NHTSA–2010–0034–0023. No. NHTSA–2010–0034–0009 Pages xiv, 18, 22–27, Docket No. NHTSA–2010–0034–0037 and Docket 51 Docket No. NHTSA–2010–0034–0032; Docket 35. No. NHTSA–2010–0034–0038. No. NHTSA–2010–0034–0040.

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maneuver, the truck enters the path at brakes are considered to be activated Bendix submitted test data and criteria progressively higher speeds to establish when at least 35 kPa (5 psi) is observed using a ramp with dwell maneuver, the minimum speed at which the ESC at the service brakes. EMA which it suggested could be used for system intervenes and applies the recommended that four test runs be testing both the roll and yaw stability of tractor’s brakes. The maneuver is then performed and that the deceleration rate a vehicle. IIHS did not endorse a be repeated four times at that speed must be at least 0.91 m/s2 (3.0 ft./s2) in particular performance test, but made a with the vehicle remaining within the three of the four test runs. general statement that there should be a lane at all times during the maneuver. With respect to the SWD test in the requirement of performance tests for EMA suggests, as a performance agency’s proposal, EMA stated that the ESC. criterion, that during at least three of the SWD maneuver is nearly identical to the Furthermore, EMA agrees with four runs, the ESC system must provide maneuver used in FMVSS No. 126. NHTSA’s assessment that it is difficult a minimum level (presently However, in FMVSS No. 126, NHTSA to test for understeer control. EMA unspecified) of differential braking. At stated that the maneuver was only used believes that the reasoning for not the NPRM phase, the agency had not to test yaw stability, not roll stability. testing understeer control in FMVSS No. had an opportunity to conduct testing of EMA observed that heavy vehicles are 126 can be carried over to heavy vehicle this maneuver, but we expressed an different from light vehicles because ESC. In that rulemaking, NHTSA intention to determine whether this is a they have higher centers of gravity and concluded that the understeer viable alternative yaw stability test. The are more likely to roll over than to lose prevention requirement that was agency requested comment on all directional control. Because the SWD included in the system capability aspects of EMA’s yaw stability test test does not test roll stability on light requirements was objective, even discussed in its March and April 2012 vehicles, EMA reasoned that the without a performance test.52 maneuver should not be used to test roll submissions, including the test E. NHTSA Examination and Testing of stability on heavy vehicles. conditions, test procedure, and possible EMA Maneuvers performance criteria that would allow Regarding yaw testing, EMA disagreed the agency to test both trucks and buses with NHTSA’s assessment in the NPRM In response to the March and April with this maneuver. that low friction surfaces such as wet 2012 submission from EMA and Jennite may be too variable to conduct additional data submitted to the agency D. Comments on Alternative Test ESC testing, citing NHTSA’s use of wet in June 2012 and November 2012 after Maneuvers Jennite in testing air brake performance the issuance of the NPRM containing Seven commenters (Daimler, Volvo, in FMVSS No. 121. EMA recommended results of additional tests discussed by Meritor WABCO, Navistar, HDMA, using a test course with an overall EMA, the agency conducted its own EMA, and Bendix) recommended that length of 58.5 meters (192 feet). The testing in 2013 using EMA’s suggested NHTSA adopt alternative dynamic vehicle proceeds into the maneuver in rollover performance maneuver.53 The performance test maneuvers instead of a 3.1-meter (10-foot) wide entrance lane. results of this testing are summarized in the SIS and SWD. These alternative A steering maneuver is made within 28 the reports: (1) ‘‘2013 Tractor maneuvers were either described in the meters (92 feet), and the vehicle Semitrailer Stability Objective NPRM or included in comments completes the maneuver by entering a Performance Test Research—150-Foot submitted in response to the NPRM. second 3.7-meter (12-foot) wide Radius J-Turn Test Track Research;’’ (2) EMA submitted a comment including departure lane with a length of 15.2 ‘‘Stability Control System Test Track general test conditions for a J-turn meters (50 feet). The coefficient of Research with a 2014 Prevost X3–45 maneuver to test roll stability and a friction of the road surface is 0.5. The Passenger Motorcoach;’’ and (3) single lane change on a wet surface to maneuver is similar to a single lane ‘‘Stability Control System Test Track test yaw stability. In a later submission, change on a wet surface test. The test is Research with a 2014 Van Hool CX45 EMA provided actual test information conducted at a speed that is 1.6 km/h (1 Passenger Motorcoach.’’ 54 This section and suggested performance criteria mph) greater than the reference speed provides a summary of these reports. based on data gathered at two different determined in the rollover maneuver. These reports do not address the yaw test facilities using 10 different truck The vehicle is driven on the test course stability performance maneuver tractors. Daimler, Meritor WABCO, for four test runs at the test speed and suggested by EMA to test yaw stability. HDMA, EMA, and Bendix supported the brake pressure is measured at EMA’s lane change maneuver test is adopting EMA’s J-turn test maneuver as opposite wheel ends. EMA performed on a wet level surface with the performance test requirement for recommended that a differential brake a peak friction coefficient of 0.5. testing roll stability. pressure of at least 69 kPa (10 psi) in NHTSA’s past test results with this test The J-turn maneuver described in three of the four test runs as a minimum surface and similar performance EMA’s submissions uses a test course performance requirement. maneuvers has shown that ESC systems with straight lane connected to a 45.7- Daimler, HDMA, EMA, and Bendix have the capability to improve vehicle meter (150-foot) radius, a lane width of recommended that NHTSA adopt the yaw and roll stability performance on 3.7 meters (12 feet), and a surface single lane change maneuver described low friction surfaces. However, vehicle coefficient of 0.9. The test speed of the in EMA’s comment for testing yaw handling characteristics dictated the maneuver is determined by driving a stability, if the test is workable. performance of the vehicle on low vehicle on the test course and Otherwise, they recommended friction surfaces. Test data revealed that, identifying the minimum vehicle speed removing performance requirements depending on whether the tractor that causes the ESC system to apply the related to yaw stability, leaving only an service brakes. That speed is the equipment definition requiring yaw 52 72 FR 17261 (Apr. 6, 2007). reference speed. The vehicle is then stability performance. 53 Docket No. NHTSA–2010–0034–0032; Docket driven on the test course, entering the Other commenters had similar views No. NHTSA–2010–0034–0040; Docket No. NHTSA– curve at 1.3 times the reference speed. on yaw testing. For example, Meritor 2012–0065–0059; Docket No. NHTSA–2012–0065– 0060. The deceleration rate is determined WABCO recommended that NHTSA 54 Docket No. NHTSA–2012–0065–0062; Docket from a time starting at when the ESC should wait to test yaw stability until it No. NHTSA–2012–0065–0063; Docket No. NHTSA– system activates the service brakes. The could develop a new yaw stability test. 2012–0065–0064.

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understeered or oversteered with 0.9. The curved lane formed a reach and maintain prior to entering the respect to the trailer, the ESC system semicircle, and a straight lane used for curve. The test driver released the behavior changed. Under such varying bringing the vehicle up to speed was throttle two or more seconds after the behaviors, measures of performance that oriented tangentially at both ends of the stability control system intervened with were investigated could not be curved lane. This allowed the same test either torque reduction or brake standardized to capture the benefits of course to be used in both a clockwise application. However, it was discovered an ESC system over the whole range of and counterclockwise orientation. The that it was easier for the test driver to vehicles tested. We have concluded that agency placed cones at every 11.25 control speed if throttle was maintained objective performance tests for ESC degrees of arc angle to mark the inner until the stability control system using a low friction surface requires and outer lane boundaries. reduced the vehicle’s forward speed by additional data analysis, maneuver Prior to testing, the test tractors were 2 to 3 mph. design, and test procedure development, loaded to the GVWR by attaching them Initially, vehicles were tested with an which would require further delaying to one of the two unbraked control entrance speed of 20 mph. Additional this final rule with no assurance that an trailers used for testing. The remaining test runs were conducted at entrance acceptable maneuver on a low-friction test conditions (i.e., road surface speeds increased incrementally by 1 surface could be developed. Therefore, friction, ambient temperature mph until a reference speed could be we have not further tested EMA’s conditions, burnish procedure, liftable determined. The reference speed was suggested yaw performance maneuver. axle conditions) largely mirrored those the speed at which the stability system We may investigate this maneuver in specified in FMVSS No. 121 for testing intervened with at least 5 psi of service the future. air brakes, which also generally brake pressure. Additional tests were The main objective of NHTSA’s truck- mirrored the test conditions set forth in conducted at speeds incremented by 1 tractor testing was to gain additional the NPRM. mph until the target test speed was experience with a the 150-foot radius J- The test driver maneuvered the test reached, which was 130 percent of the turn maneuver procedures suggested by vehicle into the straight lane and reference speed. Four additional test EMA and to collect test track approached the curve, then traveled runs were conducted at the target test performance data on air braked truck through the 180 degrees of arc in the speed. tractors equipped with stability control curve. The driver attempted to steer the Near the end of testing, the agency system. The agency conducted tests on vehicle in such a manner that it stayed conducted four additional test runs at three class 8 air-braked truck tractors in the lane throughout the maneuver. the reference speed, during which the and two control trailers. The three The brake pressure was measured at test driver fully depressed the trucks used were a 2006 Freightliner each wheel end and was monitored accelerator pedal after crossing the start 6x4 equipped with separate RSC and using a computer. All maneuvers were gate. The purpose of this testing was to ESC systems, a 2006 Volvo 6x4 conducted in one direction, and then evaluate the stability control system’s equipped with an ESC system, and a the entire procedure was completed in ability to reduce driver-commanded 2011 Mack 4x2 equipped with an ESC the opposite direction, so that vehicles engine torque. system. were tested both clockwise and Following this procedure, the agency The test procedures were derived counterclockwise independently. The determined reference speeds and target from those EMA submitted in April test sequence was repeated for each of test speeds for each test vehicle 2012, which the agency placed in the the test vehicles and, for the connected to each of the control trailers docket with the NPRM.55 The test Freightliner, repeated separately with and run in each direction. All vehicles course consisted of a 12-foot wide the ESC and RSC systems enabled. tested had the ESC systems intervene at curved lane with a 150-foot radius Each test was conducted at a specified entrance speeds not greater than 30 measured from the center of the lane entrance speed, with a tolerance of mph. The results are summarized in the and a peak surface friction coefficient of +/¥1 mph, which the driver would following table.

TABLE 3—REFERENCE SPEED, TARGET TEST SPEED, AND LANE VIOLATIONS OBSERVED DURING 150-FOOT J-TURN TESTS

Reference speed Target test speed Lane violations observed at (mph) (mph) or below the target test × Tractor Control trailer [Reference Speed 1.3] speed Counter- Clockwise Counter- Counter- clockwise clockwise Clockwise clockwise Clockwise

Freightliner 6×4 ESC ... 1 28 ...... 28 ...... 36 ...... 36 ...... 0 0 2 27 ...... 28 ...... 35 ...... 36 ...... 0 0 Freightliner 6×4 RSC ... 1 30 ...... 26 ...... 39 ...... 34 ...... 2 0 2 Not Tested ...... Not Tested ...... Not Tested ...... Not Tested ...... ¥ ¥ Mack 4×2 ESC ...... 1 25 ...... 24 ...... 33 ...... 31 ...... 0 0 2 25 ...... 24 ...... 33 ...... 31 ...... 0 0 Volvo 6×4 ESC ...... 1 26 ...... 26 ...... 34 ...... 34 ...... 0 0 2 26 ...... 25 ...... 34 ...... 33 ...... 0 0

EMA suggested, as the performance s 2 during three of four test runs at an evaluating EMA’s suggested metric, that the ESC system decelerate entrance speed of 130 percent of the performance metric, the agency the vehicle at a rate greater than 3 ft./ reference speed. In addition to considered additional performance

55 Docket No. NHTSA–2010–0034–0040.

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metrics for evaluating roll stability F. Roll Stability Performance Test—J- tractors each equipped with ESC performance. In its roll stability test Turn Test systems consistently met the proposed development, the agency had performance requirements using the 1. Rationale for Using J-Turn Test considered lateral acceleration and SWD test. In addition, no commenter forward speed as possible roll stability NHTSA has decided to substitute the submitted supporting information performance metrics.56 J-turn maneuver in place of the SIS and describing any specific design SWD maneuvers as the performance test NHTSA’s past test track research compromises that would occur as a for an ESC system. The J-turn test will showed that tractors pulling trailers result of complying with the SWD test. be used to evaluate the roll stability of Likewise, the agency does not with high centers-of-gravity have a high a vehicle. Likewise, the J-turn will also characterize the testing of saleable probability of rolling over in a 150-foot be used to ensure that the ESC system vehicles as an unnecessary cost radius curve when speeds exceeded 30 reduces engine torque to the wheels. increase. Contrarily, performing the mph.57 Tractors equipped with ESC Because the J-turn is conducted on a tests on saleable vehicles, as opposed to systems, driven under the same fixed curve, longitudinal velocity manufacturing a vehicle solely for scenario, were slowed down by the ESC (speed) directly correlates to lateral testing purposes, reduces the amount of systems and consequently, roll acceleration. NHTSA has determined cost to a manufacturer. The instability was mitigated. These that the J-turn test is the most cost- manufacturers have provided no basis observations guided comparisons in effective and least burdensome for their assertions that they could not performance and allowed the agency to alternative that achieves the objectives resell vehicles after conducting SWD develop speed-based performance of the ESC rule. Moreover, the roll tests. Although they have asserted that metrics relative to the entrance to the stability mitigation performance the vehicles may be damaged during 150-foot curve. Specific speed requirements associated with the J-turn testing, NHTSA has not experienced any thresholds can be established as a maneuver are comparable to the vehicle damage during its own testing. performance metric. minimum performance requirements In response to Volvo’s claim of potential In the agency’s testing using a high associated with the SWD maneuver damage to vehicles being tested, the center-of-gravity load, roll instability proposed in the NPRM. agency recognizes that any performance (wheel lift) was first observed in tests To be clear, however, the agency test, if done unsafely, could potentially generating approximately 0.4g of lateral rejects much of the criticism of the SWD damage the vehicle being tested. acceleration at the tractor’s center of maneuver in the comments from truck Nevertheless, NHTSA believes the J- gravity. Wheel lift was generally manufacturers. Although we are turn test maneuver is more efficient observed between 3 and 4 seconds after abandoning the proposed SIS and SWD than the SWD test for assessing the roll the steering input, which is when 0.4g maneuver in favor of a J-turn maneuver instability mitigation of ESC systems. of lateral acceleration was sustained. to test roll stability in this final rule, The J-turn test can demonstrate roll Based on these observations, the agency NHTSA still considers the SWD test to stability using only a single test. There set the tractor lateral acceleration be a viable test to measure the minimum is no need to analyze and extrapolate thresholds for roll stability during the performance of an ESC system on a data between two separate test 150-foot J-turn maneuver at a maximum heavy vehicle. maneuvers as there is using the SIS and of 0.375 g at 3.0 seconds after the We do not agree with the commenters’ SWD tests. This will allow the agency vehicle crossed the start gate and 0.350 assertions about the relevance of the to complete a compliance test more g at 4.0 seconds after the vehicle crossed SWD maneuver. The lack of voluntary quickly using the J-turn than using the the start gate. adoption of the SWD test by vehicle SIS and SWD tests. manufacturers does not, by itself, make We did not receive any estimate from However, because the radius of the the SWD test irrelevant. EMA or its members regarding the costs curved portion of the track is fixed, Likewise, the comments regarding the to perform the J-turn test. However, these lateral acceleration thresholds can width of public roads and how the EMA and its members did not object to be related to speed thresholds using the maneuver is not likely to occur on 2 the cost of its suggested performance formula A=V /R, where A is the lateral public roads are inapposite. The test, nor did any commenter discuss the acceleration, V is the vehicle’s forward purpose of the performance test is to difference in cost of the J-turn test speed, and R is the radius of the curve. determine the minimum performance versus the SWD and SIS tests. Instead, Inserting the specified lateral requirements of ESC systems using an the agency received a recommendation acceleration levels and the radius of the objective and repeatable test. The fact from dozens of commenters to adopt the curve, the agency’s lateral acceleration that the SWD test will not be performed J-turn test. The agency estimates that it thresholds converted to maximum on public roads and must be performed would cost approximately $13,400 per speed thresholds of 29 mph and 28 mph on a test track, which can be 6 to 8 lanes truck tractor and $20,100 per large bus at 3.0 and 4.0 seconds, respectively. of public road width or larger, is not by to conduct the full series of J-turn test Each tractor and stability control itself a persuasive argument that the test maneuvers contained in this final rule. system tested exceeded EMA’s is irrelevant. We also note that the J-turn maneuver suggested 3 ft./s2 minimum deceleration Nor does the agency agree with the is similar to the Ramp Steer Maneuver test criteria. Each tractor and stability commenters suggesting that additional (RSM), which was discussed at length in control system tested also exceeded design work would be necessary in the NPRM. Both maneuvers use a test NHTSA’s speed and lateral acceleration order for vehicles to meet SWD course with a straight lane connected to thresholds. performance requirement. None of the a curved lane. However, the RSM commenters suggesting additional maneuver is an open loop type test, uses 56 See Docket No. NHTSA–2010–0034–0009. design work was necessary submitted an automated steering controller, and 57 See ‘‘Tractor Semi-Trailer Stability Objective information to justify the assertion. requires conducting an SIS maneuver to Performance Test Research—Roll Stability,’’ Docket Moreover, Bendix, a system supplier, determine the appropriate steering No. NHTSA–2010–0034–0009; ‘‘Tractor Semitrailer Stability Objective Performance Test Research— asserted that current ESC systems could wheel angle for testing. The J-turn is a Yaw Stability,’’ Docket No. NHTSA–2010–0034– pass the proposed SWD test. NHTSA’s path-following maneuver and the 0046. own testing using two typical 6×4 vehicle is steered by the driver. We have

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chosen a path-following maneuver over 2. Test Procedure and Performance Each is subjected to multiple J-turn the fixed-steering RSM because of track Requirements test runs with a test speed starting at 32 space concerns regarding the SIS km/h (20 mph) and increased in 1.6 km/ The J-turn test procedure developed maneuver. We believe that the amount h (1 mph) increments until ESC service based on EMA’s suggestion is a of track space necessary to conduct the brake activation is observed. The test sequential procedure in which the test SIS maneuver may only be available at driver will not apply the service brakes vehicle is repeatedly driven through a one or two test facilities in the United or the engine exhaust braking during the 150-foot radius curve. The test is maneuver. For air-braked vehicles, ESC States. While one of these facilities is conducted on the same test course and readily available to NHTSA for service brake activation occurs when the is generally performed in the manner ESC system causes the pressure in the compliance testing purposes, we suggested by EMA with only minor recognize that manufacturers may wish service brake system to reach at least 34 changes added to test lateral kPa (5 psi) for a continuous duration of to test their own vehicles as part of their responsiveness and to test the ESC compliance certification. at least 0.5 second. For vehicles with system’s ability to reduce engine output. hydraulic brakes, ESC service brake We emphasize that the adoption of We have also modified the minimum application occurs when the ESC system the J-turn maneuver should not in any performance criteria to use forward causes the pressure in the service brake way diminish the roll stability speed rather than deceleration rate. We system to reach at least 172 kPa (25 psi) performance we have observed from found that using deceleration rate as a for a continuous duration of at least 0.5 ESC systems. The performance criteria minimum performance criteria would second. This speed is considered the associated with the J-turn test maneuver not address vehicle wheel lift and Preliminary Reference Speed. This in this final rule have been chosen to subsequent rollover, especially when procedure is conducted separately using ensure a level of roll instability the vehicle has a load with a high clockwise and counterclockwise mitigation performance similar to that center-of-gravity. EMA’s suggestion only steering. required to satisfy the SWD maneuver. measures the braking rate, but it does The J-turn maneuver is then repeated Although the test is conducted at a not measure the ESC system’s capability four times at the Preliminary Reference lower speed, the radius of the curve will to lower vehicle lateral acceleration to Speed to confirm that this is the speed increase lateral acceleration to a level an acceptable threshold. at which ESC service brake activation that would generate roll instability in A diagram of the curve is included in occurs. To do this, four test runs are vehicles without ESC systems. We the regulatory text to clarify any performed and ESC service brake believe that all large trucks and buses ambiguities in the description of the application is verified. If ESC service equipped with current generation ESC course. Although the lane markings are brake application is verified, this speed systems will meet the minimum depicted with dots on the figure, there is considered the Reference Speed. If performance requirements just as we is no specification for how the lane is ESC service brake activation does not believe they would have met the marked. It may, for example, be marked occur during at least two of the four test minimum performance requirements with cones or painted lines. Although runs, the Preliminary Reference Speed associated with the SWD maneuver. the figure depicts a counter-clockwise is incremented by 1.6 km/h (1 mph) and Therefore, we do not believe that the layout, the test is conducted in both ESC service brake application is again verified. Again, the Reference Speed is use of a different test maneuver will directions. determined for both the clockwise and change the expected performance of The start gate is placed at the point of counterclockwise direction. the test course where the straight lane ESC systems. Once the Reference Speed is We also observe that, like the sine section intersects with the curved determined, the ESC system’s ability to with dwell maneuver, the J-turn section of the lane. An end gate is reduce engine torque is verified. Two maneuver that is one of the placed on the curved portion of the lane series of four test runs (one series at 120 degrees of arc angle from the start demonstration tests in Annex 21 of UN clockwise, the other series gate. It will take a test vehicle more than ECE Regulation 13. If a manufacturer counterclockwise) are conducted at the 4 seconds to pass through the end gate. chooses the J-Turn test as a Reference Speed. During these Therefore, all of the necessary data will demonstration test to show compliance maneuvers, the driver will fully depress be collected by that point. with Annex 21 and can achieve the the accelerator pedal after entering the performance criteria established in this For truck tractors, the lane width is curve and throughout the curve. NHTSA final rule, then there would be 3.7 meters (12 feet) for both the straight will verify that the engine torque output compatibility between the performance section and curved section of the is less than the driver-requested output. tests of FMVSS No. 136 and UN ECE course. However, large buses require This ensures that the driver’s attempt to Regulation 13. additional lane width on the curved accelerate the vehicle does not override section of the course because buses have the ESC service brake application and NTSB provided comments indicating longer wheelbases, which make it verifies the system’s ability to mitigate that rollover performance standards substantially more difficult to maintain instability by reducing engine torque. should be measured by static rollover a narrower lane within the curve. The Thereafter, the vehicle is subjected to stability. NHTSA does not agree with large buses that the agency tested did multiple series of test runs (both the NTSB’s suggestion. NHTSA not physically fit in the curved section clockwise and counterclockwise) at an developed test methods that could of the 12-foot lane because of their long entrance speed up to a maximum test evaluate an ESC system’s performance wheelbases. During testing, the rear speed, which is up to 1.3 times the dynamically. The goal is to create a wheels of the buses departed the lane Reference Speed, but no less than 48 measure of performance that will ensure even at very low entrance speeds km/h (30 mph). At a speed between 48 that an ESC system could prevent a because of the geometry of the buses, km/h (30 mph) and the maximum test rollover. A static stability test would not not because of a lack of stability. speed, the vehicle is subjected to eight measure how an ESC system reduces Therefore, for buses, the lane width on maneuvers, during which ESC service lateral acceleration to reduce untripped the curved section of the course is 4.3 brake activation is verified. The vehicle rollovers. meters (14 feet). must be able to meet the roll stability

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performance criteria discussed below at ESC system activated the vehicle’s multiplication factor of 1.3 will be used any speed between 48 km/h (30 mph) service brakes, is determined as part of to ensure that ESC systems operate over and the maximum test speed. the J-turn test sequence. An additional a range of speeds. A factor of 1.3 allows two test series (one using clockwise the vehicle’s ESC system to reach a level 3. System Responsiveness steering and the other using where maximum brake force is applied The NPRM described the need for a counterclockwise steering) are by the system, and, as a result, ensures lateral displacement performance metric conducted after the reference speed is the ESC system reduces the longitudinal because of the possibility of a calculated. The driver then fully velocity and lateral acceleration of the manufacturer making the vehicle poorly depresses the accelerator pedal after the vehicle are below the threshold values. responsive to the speed and steering vehicle crosses the start gate. After ESC At factors below 1.3, our testing has inputs required by the SWD test. The activation occurs, data is collected to shown that ESC systems have not yet risk of poor lateral displacement in determine the difference between the achieved their maximum braking force. response to the driver’s steering input actual engine torque output and the At factors above 1.3, we have concerns was mitigated by a minimum driver requested torque. After analyzing about the safety of testing because the responsiveness criterion. Although the research data from the J-turn testing, we ESC systems have achieved their SWD test is being replaced with the J- have determined that the ESC system maximum braking force and the lateral turn test, we still need to account for must reduce the driver requested engine acceleration of the vehicle could remain vehicle responsiveness. The nature of torque by at least 10 percent for at least high. the J-turn test provides two criteria for 0.5 second during the time period In contrast, using a performance ensuring vehicle responsiveness: between 1.5 seconds after the vehicle requirement such as EMA’s suggested Maintaining the lane within the fixed passes the start gate and when it travels minimum deceleration metric provides radius curve and a minimum test speed. through the end gate. We are not no assurance that the deceleration will The first responsiveness criterion is considering reduced engine torque be sufficient to prevent rollover. For the requirement that the vehicle before 1.5 seconds after the vehicle example, using EMA’s suggested maintain the lane during at least six of crosses the start gate (and the driver procedure, if a vehicle is able to enter eight runs in the roll performance test fully depresses the accelerator pedal) a curve at a relatively high rate of speed series or at least two of four runs in any because our testing has shown that there before an ESC system activates, the other test series. This requirement is a lag between when the operator of performance requirement will be more ensures that, during J-turn test runs at the vehicle requests full throttle and stringent than if a system is tuned to increasing speeds, the ESC system when the vehicle responds by providing activate at lower rates of speed. actually activates before the vehicle full throttle. Particularly, if a test is conducted at an becomes unstable. We are not imposing entrance speed of less than 48 km/h (30 this requirement for each test run within 5. Roll Stability Performance mph), the system’s ability to prevent a series to account for driver variability Requirements rollover is not challenged because the and possible driver error in conducting Based on NHTSA’s research, for a vehicle is unlikely to experience lateral the maneuver. Absent driver error, we typical combination vehicle, an ESC forces that have the potential to cause do not expect any vehicle equipped system must reduce the heavy vehicle’s instability, even if the vehicle was not with current-generation ESC systems to lateral acceleration to less than 0.4g to equipped with an ESC system. leave the lane during any J-turn test. prevent wheel lift and possible vehicle The other responsiveness criterion in rollover.58 NHTSA considered how to We considered, but rejected, using the this final rule is the minimum vehicle measure lateral acceleration during the lateral acceleration ratio, which was the entry speed of 48 km/h (30 mph) for the J-turn maneuver. However, lateral proposed performance criteria for both roll performance test. This will acceleration is a function of longitudinal the SWD maneuver and the alternative discourage a manufacturer from velocity. Using the equation A=V2/R, RSM, rather than the reduction in designing a system that will intervene where A is lateral acceleration, V is absolute lateral acceleration. Using the only at very low speeds, thus artificially longitudinal velocity, and R is the J-turn maneuver, it was sufficient to decreasing the speed at which the radius of the curve, when driven in a ensure that the absolute lateral vehicle will enter the curve during the fixed radius curve, with a 45.7-meter acceleration was below the threshold for roll performance test. (150-foot) radius, 0.4g of lateral wheel lift after the vehicle has begun its acceleration would be achieved at a turn. Furthermore, unlike the SWD and 4. Engine Torque Reduction forward velocity of approximately 48 RSM maneuver where the beginning of As proposed in the NPRM, there must km/h (30 mph). That is, at speeds below steer can be determined, the beginning be at least a 10 percent reduction in 30 mph, a vehicle would generate less of the J-turn maneuver occurs when the engine torque when measured 1.5 than 0.4g of lateral acceleration and vehicle crosses the start gate. At this seconds after the activation of the ESC would be unlikely to roll over. This was point, the lateral acceleration of the system. The percent reduction is confirmed in the agency’s testing, where vehicle is zero or close to zero because measured between the actual engine the test vehicles remained stable at the vehicle is traveling in a straight line. torque output and the driver-requested speeds below 30 mph. After the vehicle crosses the start gate, torque input. This measurement was to NHTSA track testing has shown that the driver has some discretion for be taken during the slowly increasing the minimum test speed for effectively steering the vehicle and maintaining the steer maneuver. However, now that the testing the ESC system is 48 km/h (30 lane. The low initial lateral acceleration agency has adopted the J-turn test as its mph). However, where the ESC system and the driver variation both make the performance test, the SIS test is no activates at a speed such that 1.3 times lateral acceleration ratio an longer necessary. the minimum activation speed is greater inappropriate performance metric for Accordingly, the agency has modified than 48 km/h (30 mph), the vehicle may the J-Turn test. Instead, we found that the engine torque reduction test in the be tested at a speed up to 1.3 times the reduction in the absolute lateral NPRM so that it can be used with the minimum activation speed. A acceleration of a vehicle, which on a J-turn test. The reference speed, which fixed curve is a function of velocity, was is the lowest test speed at which the 58 See 77 FR 30776–78. sufficient to determine the performance

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of an ESC system with respect to roll a performance test, NHTSA would need During the testing to develop FMVSS stability control. to do further research on the Bendix No. 126 for light vehicles, the agency Thus, the minimum performance maneuver and determine adequate concluded that understanding both requirement to demonstrate roll stability performance metrics. what understeer mitigation can and performance in this final rule is We are also concerned that the cannot do is complicated, and that there expressed in terms of a vehicle’s maneuver is conducted on a low-friction are certain situations where understeer forward speed (longitudinal velocity) at wet Jennite surface. EMA stated that it mitigation could potentially produce two points in time. The specific disagrees with the statement in the safety disbenefits if not properly tuned. requirements are: NPRM that low-friction surfaces such as Therefore, the agency decided to enforce • The longitudinal velocity measured wet Jennite are too variable to make the requirements to meet the understeer at 3.0 seconds after vehicle passes them unusable for ESC testing. EMA criterion included in the ESC definition through the start gate to the J-turn believes that the use of wet Jennite in using a two-part process. First, the maneuver must not exceed 47 km/h (29 FMVSS No. 121 for air-brake testing requirement to meet definitional criteria mph). makes wet Jennite suitable for ESC ensured that all had the hardware • The longitudinal velocity measured testing. However, we remain concerned needed to limit vehicle understeer. at 4.0 seconds after vehicle passes about the potential for variability in Second, the agency required through the start gate to the J-turn surface friction on a wet Jennite surface manufacturers to make available maneuver must not exceed 45 km/h (28 for ESC system testing. engineering documentation to NHTSA To date, we have found that only the mph). upon request to show that the system is SWD maneuver proposed in the NPRM capable of addressing vehicle NHTSA’s research indicates than an is suitable for testing yaw stability, and ESC system’s ability to maintain an understeer. even that test is limited to testing Based on the agency’s experience absolute lateral acceleration below the oversteer. As discussed above, we have criteria would provide an acceptable from the light vehicle ESC rulemaking decided not to conduct compliance tests and the lack of a suitable test to evaluate probability that the vehicle would on vehicles using the SWD because of remain stable and that a level of understeer performance, the agency did the substantial time and not propose a test for understeer to absolute lateral acceleration above the instrumentation burden associated with criteria would result in a high evaluate ESC system performance for the SWD maneuver. We do not believe truck tractors and large buses. The probability of the vehicle becoming that this additional time and cost is unstable. agency sought comment on the lack of justified solely to test yaw stability an understeer test. G. Yaw Stability when a majority of the benefits of this Advocates stated in its comment that final rule are derived from rollover NHTSA has decided to defer research there should be a compliance test for prevention. Moreover, the SWD understeer performance. It said the ESC on the yaw maneuver suggested by maneuver would only test oversteer EMA, the single lane change on a wet equipment requirement for understeer is mitigation of yaw instability, whereas not enough to ensure sufficient surface test. EMA did not provide any understeer is the primary type of yaw data showing how its performance performance to mitigate understeer instability that we observed in our conditions. criterion (differential brake pressure) testing. However, we are continuing to measures the capability of the ESC While we agree with the Advocates examine possible yaw performance goal of having an understeer test, we system to prevent yaw instability. maneuvers, including the SWD Moreover, EMA submitted data showing have not been able to develop a test that maneuver and the lane change safely challenges an ESC system’s that at least three of its tested vehicles maneuver suggested by EMA to test yaw failed to meet the criteria. NHTSA ability to mitigate understeer. Moreover, stability control performance in the we believe the definitional criteria are would need to further research the EMA future. maneuver and determine adequate robust enough to ensure that an ESC performance metrics. More data is H. Understeer system will reduce loss-of-control needed to create criteria that represent As we stated in the NPRM, the agency crashes in both understeer and oversteer appropriate stability thresholds by has no performance test to evaluate how conditions. showing an acceptable probability that the ESC responds when understeer is XI. Test Conditions and Equipment the vehicle would remain stable if the induced. The technique used by a ESC system maintains those criteria. stability control system for mitigating A. Outriggers The SWD maneuver was designed to wheel lift, excessive oversteer or Throughout the agency’s research test the ESC system’s ability to prevent understeer conditions is to apply program, truck tractors and buses were yaw instability by measuring how unbalanced wheel braking so as to equipped with outrigger devices to quickly the vehicle stops turning, or generate moments (torques) to reduce prevent vehicle rollover. During the rotating about its vertical axis, after the lateral acceleration and to correct program, the agency encountered many steering wheel is returned to the excessive oversteer or understeer. instances of wheel lift and outrigger straight-ahead position. The vehicle that However, for a vehicle experiencing contact with the ground indicating that continues to turn or rotate about its excessive understeer, if too much it was probable that rollover could occur vertical axis under these conditions is oversteering moment is generated, the during testing. Over many years of most likely experiencing oversteer, vehicle may oversteer and spin out with research of ESC systems, it has been which is what ESC is designed to obvious negative safety consequences. proven that outriggers are essential to prevent. EMA’s data does not show how In addition, excessive understeer ensure driver safety and to prevent its yaw maneuver will adequately test mitigation acts like an anti-roll stability vehicle and property damage during the ESC system’s capabilities to prevent control where it momentarily increases NHTSA’s compliance testing. Although oversteer. Likewise, the Bendix test, a the lateral acceleration the vehicle can NHTSA conducted some of its testing ramp with dwell maneuver, will not be attain. Hence, too much understeer with ESC systems disabled, thereby examined by NHTSA at this time for mitigation can create safety problems in increasing the need for outriggers, yaw stability testing. In order to create the form of vehicle spin out or rollover. outriggers are still necessary as a safety

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measure during testing of vehicles outrigger installations on the control experience and technique of the driver, equipped with an ESC system in case trailers, and the NPRM solicited the vehicle may have a steering wheel the system fails to activate. comments on bus outrigger designs. angle that is varied by the time the The agency proposed that outriggers This is because outriggers cannot be vehicle crosses the start gate. This be used on all truck tractors and buses mounted under the flat structure, but variance is tolerable because we do not tested. We believe that outrigger instead must extend through the bus. expect that it will be difficult for a influence on heavy vehicles is minimal NHTSA used outriggers on the three professional test driver to maintain the because of the higher vehicle weight large buses tested during its research vehicle lane. Nevertheless, to ensure and test load. To reduce test variability program and will use outriggers for that variability in testing does not affect and increase the repeatability of the test testing buses for compliance with this vehicle compliance, the performance results, the agency proposed to specify rule. The agency plans to use the same requirements need only be satisfied a standard outrigger design for the outrigger arms of the standard outrigger during two out of four runs of a test outriggers that will be used for design that it plans to use for truck series (or six out of eight runs of the compliance testing. The agency used tractor testing. Therefore, the size, final series). this same approach in FMVSS No. 126 weight, and other design characteristics C. Anti-Jackknife System for compliance testing of light vehicle will be similar. ESC systems. The agency also made The location and manner of mounting The agency proposed using an anti- available the detailed design the outriggers on buses cannot be jackknife system when testing truck specifications by reference to a design identical to truck tractors. Nonetheless, tractors. An anti-jackknife system document located in the agency public there are a limited number of large bus prevents the trailer from striking the docket. manufacturers, which results in a tractor during testing in the event that For truck tractors, the document limited number of unique chassis a jackknife event occurs during testing. detailing the outrigger design to be used structural designs. Also, the agency This would prevent damage to the in testing has been placed in a public understands that large bus structural tractor that may occur during testing. docket.59 This document provides designs do not change significantly from We do not believe that the use of an detailed construction drawings, year-to-year. We believe that once anti-jackknife system will affect test specifies materials to be used, and outrigger mounts have been constructed results, nor have we observed any provides installation guidance. For for several different bus designs, those damage to test vehicles, including truck tractor combinations, the mountings can be modified and reused vehicle finishes, caused by anti- outriggers are mounted on the trailer. during subsequent testing. The agency jackknife cables. The outriggers are mounted mid-way has, in the document described above, The agency proposed using cables to between the center of the kingpin and provided additional engineering design limit the angle of articulation between the center of the trailer axle (in the fore drawings and further installation the truck tractor and trailer, and set a and aft direction of travel), which is guidelines for installing the standard minimum angle of 45 degrees because generally near the geometric center of outrigger assemble to large buses. setting the cables too tight could the trailer. They will be centered artificially help the ESC system geometrically from side-to-side and B. Automated Steering Machine maintain control during testing. bolted up under the traditional flatbed The NPRM proposed using an However, if the angle of articulation is control trailer. Total weight of the automated steering machine be used for set too low the turning radius of the outrigger assembly, excluding the the test maneuvers on the truck tractors combination vehicle decreases to a mounting bracket and fasteners required and large buses in an effort to achieve point where maneuverability of the to mount the assembly to the flatbed highly repeatable and reproducible vehicle becomes an issue. A vehicle trailer, is less than 2,500 pounds. The compliance test results. In the SWD with too low of a turning radius would bulk of the mass is for the mounting maneuver, the steering must follow an not be able to drive through the J-turn bracket which is located under the exact sinusoidal pattern over a three- test course. Therefore, we must to set a trailer near the vehicle’s lateral and second time period. For the SWD minimum articulation angle for the longitudinal center of gravity so that its maneuver, each test vehicle is subjected jackknife system that ensures safety inertial effects are minimized. The to as many 22 individual test runs all during testing, but is not too low such width of the outrigger assembly is 269 requiring activation at a specific vehicle that it would affect test results. inches and the contact wheel to ground speed, each of which will require a However, our testing has shown that 45 plane height is adjustable to allow for different peak steering wheel angle and degrees is too high of an angle for a 4x2 various degrees of body roll. A typical corresponding steering wheel turning truck tractor, because the trailer could installation on a flatbed type trailer rate. still contact the truck tractor. Therefore involves clamping and bolting the However, the agency has chosen the agency is specifying 30 degrees as the outrigger mounting bracket to the main J-turn maneuver for the performance minimum articulation angle in this final rails of the flatbed. test. Although the SWD test requires a rule, which is sufficient to provide The NPRM proposed that the fixed steering wheel angle, the J-turn safety during the testing of all truck outrigger design have a maximum test is a path-following maneuver. This tractors. weight of 726 kg (1,600 lb.). However, means a steering controller will not be D. Control Trailer the agency raised the weight limit of the required for the J-turn test because the outriggers used for testing to driver provides the steering wheel input The agency proposed using a control accommodate the use of older and in order to keep the vehicle within the trailer to evaluate the performance of a heavier outrigger designs. This final rule lane during the test maneuver. truck tractor in the loaded condition. In raises the maximum weight of the Because the driver must attempt to FMVSS No. 121, the agency specifies outriggers to 1,134 kg (2,500 lb.). keep the vehicle within the lane width, the use of an unbraked control trailer for For buses, the outrigger installations he has some discretion on the steering compliance testing purposes. An will not be as straightforward as the wheel angle and the position of the unbraked control trailer minimizes the vehicle within the lane as the vehicle effect of the trailer’s brakes when testing 59 Docket No. NHTSA–2010–0034–0010. crosses the start gate. Depending on the the braking performance of a tractor in

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its loaded condition. Nevertheless, in acceleration is negligible. The sole outputs are available to allow the driver the NPRM, we identified potential consideration in the performance to monitor vehicle speed. variability in the control trailer that criteria in this final rule is speed F. Ambient Conditions affected the repeatability of SWD testing reduction, which has not been observed and asked for comments on how the to be affected by variations in the The ambient temperature range control trailer may be specified to control trailer. specified in other FMVSSs for outdoor prevent variability.60 We note that Volvo, EMA, and Bendix brake performance testing is 0 °C to 38 Navistar and EMA commented on a recommended the adoption of the J-turn °C (32 °F to 100 °F). However, when the specific truck tractor that satisfied the test, which is one of the alternative tests agency proposed a range of 0 °C to 40 proposed SWD criteria with the ESC discussed in the NPRM. None of the °C (32 °F to 104 °F) for FMVSS No. 126, system disabled. We believe this is commenters supporting adoption of the the issue of tire performance at near ‘‘Vehicle J’’ that was identified in the J-turn test raised issues regarding freezing temperatures was raised. The NPRM. NHTSA conducted its own variability in the control trailer with the agency understood that near freezing testing on ‘‘Vehicle J’’ using a different J-turn maneuver. Rather, their temperatures could impact the control trailer. In contrast to EMA’s test comments regarding control trailer variability of compliance test results. As results, NHTSA’s testing showed that variability were limited to the SWD test a result, the agency increased the lower Vehicle J became laterally unstable with maneuver. bound of the temperature range to 7 °C the ESC system disabled. Further, the agency conducted J-turn (45 °F) to minimize test variability at Volvo, EMA, Advocates, and Bendix testing using two different control lower ambient temperatures. For the commented on the control trailer trailers. We did not find any relevant same reasons, the NPRM proposed an specifications. Volvo asserted that differences in the ESC system ambient temperature range of 7 °C to 40 further specifications need to be made performance of the truck tractors when °C (45 °F to 104 °F) for testing. for the control trailer because trailer connected to different control trailers. In their comments, Meritor WABCO, configuration greatly affects compliance We believe, based on our testing and the EMA, and Bendix recommended of the SWD test. EMA stated that the lack of comments related to the control changes to the minimum ambient control trailer’s track width, deck trailer in the J-turn maneuver, that the temperature allowed for testing. The height, ballast, suspension, tires and potential for variability identified in the three commenters requested that the torsional stiffness affect the SWD test NPRM related to the control trailer was minimum temperature for performance results, and small variations in the limited to the SWD maneuver. We tests to be reduced. Meritor WABCO control trailer influence the SWD conclude that the factors identified in recommended a minimum temperature testing. EMA further indicated that the NPRM will have no effect on the of 2 °C (35 °F). Both EMA and Bendix would not be practical to build trailers performance of vehicles using the J-turn recommended a minimum temperature with stricter design specifications in maneuver. of 0 °C (32 °F). EMA asserted that the order to perform SWD tests and obtain Volvo also commented that the minimum temperature of 7 °C (45 °F) consistent results. Conversely, control trailer specified in FMVSS No. proposed in the NPRM reduces the Advocates and Bendix recommended 121 will not work with four or more amount of time available to test vehicles that the agency add new specifications axle tractors such as 8x6 truck tractor’s during the year. We agree that a and tighten up existing requirements in because the trailer’s fifth wheel position minimum test temperature of 7 °C order to reduce the variability in testing. causes interference between the tractor (45 °F) restricts the agency’s ability to Advocates recommended specifying frame and trailer frame. NHTSA has test for compliance in certain areas of track width, trailer CG height, and load considered this comment and believes the United States, including NHTSA’s CG height in the standard because it that there is merit in Volvo’s assertion. Vehicle Research and Test Center in would minimize variation in testing. A control trailer at the length specified Ohio. Thus, we are lowering the Other than soliciting comments in the in the NPRM of 6550 ± 150 mm (258 ± minimum testing temperature to 2 °C NPRM, the agency did not investigate 6 in) may be too short to test vehicles (35 °F). We believe this change will whether variations in the control trailer with four or more axles. In this final have a negligible effect on the outcome significantly affect the results of the rule, we are changing the specified of performance testing. SWD maneuver. However, the agency length of the control trailer to allow for EMA further recommended that the has not further modified the testing with a longer trailer. We are upper limit be decreased from 40 °C specifications of the control trailer. specifying that truck tractors will be (104 °F) to 38 °C (100 °F) to match the Rather, we believe that, by using the J- tested with a control trailer that is FMVSS No. 121 ambient temperature turn maneuver rather than the SWD between 6400 mm and 7010 mm (252 in specifications. We are not adopting this maneuver, any potential test variability and 276 in), inclusive. However, for suggestion to match the temperature caused by different control trailers is truck tractors with four or more axles, specifications in FMVSS No. 121. EMA ameliorated. The agency’s research at the manufacturer’s option, NHTSA gave no reason other than consistency shows that, because the performance will test with a control trailer with a with FMVSS No. 121 for adopting this metric is vehicle speed rather than length up to 13,208 mm (520 in). We do change. Allowing for a larger lateral acceleration ratio, the effect that not believe that using a control trailer temperature range for testing ESC the control trailer has on the lateral longer than that specified in the systems does not have any effect on the proposal would cause variability in agency’s ability to conduct consecutive 60 There were three specifications, not set forth in testing. FMVSS No. 121 and FMVSS No. 136 control trailer specifications in FMVSS No. 121, tests because the FMVSS No. 121 testing that the agency identified that might affect SWD test E. Sensors is conducted at an ambient temperature performance and prevent repeatable, consistent test ° ° results using different control trailers. First, the The vehicle speed is measured with a of not greater than 38 C (100 F). Thus, track width of the control trailer is not specified. non-contact GPS-based speed sensor. compliance testing will be conducted at Second, the center of gravity of the control trailer Accurate speed data is required to any temperature between 2 °C (35 °F) is not specified. Third, the center of gravity of the ensure that the SWD maneuver is and 40 °C (104 °F). The agency proposed load in FMVSS No. 121 testing is only specified to ± be less than 24 inches above the top of the tractor’s executed at the required 72.4 1.6 km/ a maximum wind speed for conducting fifth wheel. h (45.0 ± 1.0 mph) test speed. Sensor the compliance testing of no greater

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than 5 m/s (11 mph). This is the same so as to avoid exceeding a GAWR, For testing buses, the agency value specified for testing multi-purpose ballast will be reduced so that axle load proposed loading the vehicle to a passenger vehicles (MPVs), buses, and equals specified GAWR, maintaining simulated multi-passenger trucks under FMVSS No. 126. This is load proportioning as close as possible configuration. For this configuration the also the same value used for compliance to specified proportioning. bus would be loaded with the fuel tanks testing for FMVSS No. 135, Light In its comments, EMA recommended filled to at least 75 percent capacity, test Vehicle Brake Systems. changing the loading requirements from driver, test instrumentation, outriggers As for other ambient conditions, 80 percent of the truck tractor’s GVWR and simulated occupants in each of the Bendix recommended that the to 100 percent of the truck tractor’s vehicle’s designated seating positions. maximum wind speed be raised from 11 GVWR requirements. EMA wanted this The simulated occupant loads would be mph (5 m/s) to 22 mph (10 m/s). Bendix loading condition because it is used in obtained by securing 68 kilograms (150 did not specify any rationale for FMVSS No. 121 testing, and it would pounds) of ballast in each of the test wanting the increase in the allowable eliminate the burden of changing the vehicle’s designated seating positions wind speed. The agency sees no reason vehicle’s load when going from FMVSS to increase the wind speed at this time. No. 121 testing to FMVSS No. 136 without exceeding the vehicle’s GVWR testing. and GAWR. The 68 kilogram (150 G. Road Test Surface In light of the change to the J-turn pound) occupant load was chosen The NPRM proposed that the SWD maneuver, we have determined that the because that is the occupant weight maneuver be executed on a high friction vehicle should be tested at its GVWR specified for use by the agency for surface with a peak friction coefficient rather than 80 percent of the truck evaluating a vehicle’s load carrying (PFC) of 0.9, which is typical of a dry tractor’s GVWR. The agency proposed capability under FMVSS Nos. 110 and asphalt surface or a dry concrete SWD testing at 80 percent of GVWR 120. During loading, if any rating is surface. As in other standards where the because it was determined that such a exceeded the ballast load would be PFC is specified, we proposed that the weight would enable the agency to reduced until the respective rating or PFC be measured using an ASTM E1136 evaluate both roll and yaw stability with ratings are no longer exceeded. standard reference test tire in a single maneuver. The J-turn maneuver In the final rule, we have removed the accordance with ASTM Method E1337– is designed to evaluate only roll specification that the ballast consists of 90, at a speed of 64.4 km/h (40 mph), stability, and testing the vehicle at its water dummies. We do not believe that without water delivery. We proposed GVWR is the most severe configuration it is necessary to specify the type of incorporating these ASTM provisions for the maneuver. Thus, the agency can into the standard. use the same loading condition that it ballast in the test procedure. We note Although we have changed the uses for FMVSS No. 121 testing. that, for truck tractors, the type of performance test maneuver, we have not EMA also suggested removing the ballast that is loaded on the control changed the specifications for the road proposed test condition that the fuel trailer is not specified. We do not test surface. The J-turn maneuver is tank be 75 percent full. EMA reasoned believe, especially in light of the change conducted on a high friction surface that high fuel volume is dangerous for to the J-turn test, that the type of ballast with a PFC of 0.9. Thus, we are testing. Also, EMA observed that a 75% used (whether it is water, sand, or some incorporating the relevant ASTM fuel filling condition is not included in other ballast) would have an effect on provisions into this standard. FMVSS No. 121. the ESC system’s ability to lower the Bendix recommended adding a Regarding the fuel tank filling, vehicle’s forward speed. restriction that there be no ice or snow NHTSA specifies the 75 percent fuel Unlike in the NPRM, this final rule buildup on the test track surface. level in FMVSS No. 126 for testing light specifies that buses are tested at its NHTSA has not adopted this suggested vehicles. The goal of the fuel level GVWR. This is the most severe loading change. We believe that the surface PFC specification in FMVSS No. 126 was to condition for testing buses using the J- specification of 0.9 already ensures that ensure consistent vehicle test weights turn test maneuver. The NPRM for the performance tests. With the the test track will be free of snow and specified that buses would be tested adoption of the J-turn maneuver, ice. with a simulated full passenger load, NHTSA did not find any evidence of without any cargo other than test H. Vehicle Test Weight varying fuel levels affecting the results equipment. We have increased the The agency proposed that truck of the ESC performance tests. Therefore, testing load, which makes the load tractors be tested with the combined NHTSA agrees with EMA and will weight of the truck tractor and control remove the specification of a minimum condition consistent with the loading trailer be equal to 80 percent of the fuel tank level. NHTSA uses to test FMVSS No. 121 tractor’s GVWR. To achieve this load The agency proposed that liftable compliance. We have added condition, we proposed that the tractor axles be in the down position for specification to the loading procedure to be loaded with the fuel tanks filled to testing. This was because we proposed allow for the vehicle to be loaded to at least 75 percent capacity, test driver, to conduct our performance test in a GVWR. First, simulated passengers are test instrumentation, and ballasted loaded condition. Although the NPRM loaded. Next, ballast is added to the control trailer with outriggers. The proposed to load the truck tractor to 80 lowest baggage compartment. If the bus center of gravity of all ballast on the percent of its GVWR, we believed that does not have a baggage compartment or control trailer was proposed to be a truck tractor would operate with additional ballast is needed because the located directly above the kingpin. liftable axles in the down position. In baggage compartment is loaded to When possible, load distribution on the final rule, we are testing vehicles at capacity, ballast is added to the floor of non-steer axles will be in proportion to GVWR. Consequently, we will test the passenger compartment to load the the tractor’s respective axle GAWRs. vehicles equipped with liftable axles in bus to its GVWR. During loading, if any Load distribution will be adjusted by the down position. This is consistent axle rating is exceeded, the ballast is altering fifth wheel position, if with the test conditions for testing fully reduced in the reverse order it is loaded adjustable. In the case where the loaded air braked vehicles under until the GVWR or GAWR of any axle tractor’s fifth wheel cannot be adjusted FMVSS No. 121. is no longer exceeded.

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I. Tires tire combination. For instance, J. Mass Estimation Drive Cycle We proposed testing the vehicles with manufacturers currently certify that Both truck tractors and large buses the tires installed on the vehicle at time their vehicles meet the minimum experience large variations in payload of initial vehicle sale. The agency’s stopping distance and ABS mass, which affects a vehicle’s roll and compliance test programs generally requirements of FMVSS No. 121. They yaw stability thresholds. To adjust the evaluate new vehicles with new tires. must satisfy those requirements for any activation thresholds for these Therefore, we proposed that a new test vehicle-tire combination that is sold. variations, stability control systems vehicle have less than 500 miles on the That is, manufacturers have an estimate the mass of the vehicle after odometer when received for testing. obligation to certify compliance with all ignition cycles, periods of static idling, For testing, the agency proposed that applicable standards in whatever and other driving scenarios. To estimate tires be inflated to the vehicle configuration that tires are delivered to the mass, these systems require a period manufacturer’s recommended cold tire customers. We expect that of initial driving. inflation pressure(s) specified on the manufacturers design their ESC systems The agency proposed including a vehicle’s certification label or the tire to account for any potential differences mass estimation drive cycle as a part of inflation pressure label. We will not in tires that might be installed on the pre-test conditioning. To complete this change the vehicle’s tires during testing vehicle at the time of initial sale. drive cycle the test vehicle is unless test vehicle tires are damaged However, with respect to the tire accelerated to a speed of 64 km/h (40 before or during testing. We did not inflation pressure at which testing will mph), and then, by applying the vehicle propose using inner tubes for testing be conducted, we agree with EMA that brakes, decelerated at 0.3g to 0.4g to a because we have not seen any tire we should not use the inflation pressure stop. debeading in any test. specified on the vehicle’s certification Meritor WABCO requested that the Before executing any test maneuvers, or tire information labels. As EMA mass estimation drive cycle procedure the agency proposed to condition tires observes, a heavy truck may be sold be made manufacturer-specific. That is, to wear away mold sheen and achieve with many different tire combinations. Meritor WABCO requested that the operating temperatures. To begin the However, nothing requires that all of procedure be changed to specify that conditioning the test vehicle would be those combinations be listed on the NHTSA would contact the ESC system driven around a circle 46 meters (150 certification or tire information label.61 supplier for a mass estimation feet) in radius at a speed that produces However, multiple combinations may be procedure. Although we specified a mass a lateral acceleration of approximately listed on the label. Thus, we are estimation procedure in the NPRM, that 0.1g for two clockwise laps followed by removing from the regulatory text the procedure is based on current ESC two counterclockwise laps. reference to the vehicle’s certification or system designs. We recognize that EMA asserted that there should be no tire information label and merely system designs could change or new requirement for testing using the tires specifying that the tires’ inflation suppliers could enter the market with installed on the vehicle at the time of pressure will be the inflation pressure different designs that estimate vehicle initial sale. According to EMA, specified for the GVWR of the vehicle. mass differently. Thus, we accept sometimes a test vehicle is used for Regarding tire conditioning, Bendix Meritor WABCO’s request that NHTSA certifying compliance, but sometimes a requested clarification of whether the not specify a mass estimation cycle. vehicle that is later sold to a customer presence of a tire conditioning procedure means that the vehicle must However, we do not agree with is tested. Further, EMA notes that heavy Meritor WABCO’s suggestion that truck manufacturers often offer be equipped with new tires. Bendix also recommended that the agency remove NHTSA contact the ESC system supplier hundreds of different tire options for for the mass estimation cycle. It is the their customers. EMA notes that this section about the removal of mold sheen because by performing the brake vehicle’s manufacturer that is ultimately different tires would change the road responsible for certifying compliance conditioning test procedure, the same adhesion and cornering stiffness, with the FMVSSs. Thus, we believe it is result is likely to be achieved. potentially affecting test results. the vehicle’s manufacturer, not the ESC To clarify, the agency is not Finally, EMA recommended using system supplier, who should be specifying that new tires must be language from FMVSS No. 121 for the responsible for supplying NHTSA with installed prior to the ESC testing. tire inflation procedure specified by the mass estimation cycle procedure. However, in the event the vehicle has manufacturer for the vehicle’s GVWR, Thus, we expect that the vehicle instead of the procedure proposed in the not been driven prior to testing (for manufacturer will be able to provide the NPRM, which is to use the vehicle’s example, a FMVSS No. 121 compliance mass estimation cycle procedure to certification label or tire inflation test has not been performed), we do not NHTSA upon request in advance of any pressure label. EMA reasoned that the believe that the brake burnishing compliance testing. actual tires installed on the vehicle may procedure is sufficient to wear away any differ from the specifications given on mold sheen on the tire prior to ESC K. Brake Conditioning the label. testing. Therefore, the requirement to Heavy vehicle brake performance is First, inasmuch as EMA is referring to perform four laps is necessary for the affected by the original conditioning the tires used for certifying compliance, consistency and repeatability of the ESC and temperatures of the brakes. We we note that our regulations do not tests. We do not believe that this believe that incompletely burnished specify how manufacturers certify procedure is especially burdensome, brakes and excessive brake temperatures compliance. We recognize that some even if the mold sheen was removed can have an effect on ESC system test manufacturers do wish to base their during prior testing. results, particularly in the rollover certification of compliance on a performance testing, because a hard vehicle’s performance in NHTSA’s test 61 In fact, S5.1.2 of FMVSS No. 120, the standard brake application may be needed for the maneuvers. However, there is no that provides for tire information labeling on foundation brakes to reduce speed to vehicles over 10,000 pounds GVWR, expressly obligation for manufacturer’s to conduct contemplates that a vehicle may be sold with a tire prevent rollover. NHTSA’s compliance test for any size designation that is not listed on the tire The agency proposed that the burnish vehicle, much less for every possible information label. procedure specified in S6.1.8 of FMVSS

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No. 121 be conducted prior to ESC compliance option was selected for XII. ESC Disablement system testing. The burnish procedure is compliance test purposes and provide A. Summary of Comments performed by conducting 500 brake that information to the agency upon snubs 62 between 40 mph and 20 mph at request. Bendix and Volvo raised this In the NPRM, the agency considered a deceleration of 10 fps2. If the vehicle issue because they did not believe that allowing a control for the ESC to be has already completed testing to FMVSS any of the proposed requirements disabled by the driver. Because, heavy No. 121, the agency did not propose to offered manufacturers any compliance vehicles currently equipped with ESC repeat the full burnishing procedure. options to choose from. systems do not include on/off controls Instead, the brakes are conditioned for for ESC that allow a driver to deactivate In this final rule, we are giving ESC system testing with 40 snubs. The or adjust the ESC system, the agency did agency proposed that the brake manufacturers a compliance option with not propose allowing an on/off switch temperatures be in the range of 65 °C to respect to the length of the control for ESC systems. The agency sought 204 °C (150 °F to 400 °F) at the trailer used for testing truck tractors. As public comment on the need to allow an beginning of each test maneuver. We discussed in section XI.D, on/off switch, and asked that also proposed that the brake manufacturers of truck tractors with commenters specifically address why temperature be measured by plug-type four or more axles may, at the manufacturers might need such a switch thermocouples installed on all brakes manufacturer’s option, have testing and how manufacturers would and that the hottest brake be used for conducted with a longer control trailer. implement a switch in light of the ABS determining whether cool-down periods Thus, we are retaining the language requirements. required. requiring manufacturers to specify Temsa and Advocates opposed We received no comment on the compliance options prior to agency allowing the disablement of the ESC burnishing procedure and are adopting testing. system. They stated that the ESC system the proposed procedure in this final should not be allowed to be deactivated M. Data Collection rule, with two exceptions. First, in the by a switch because the driver may inadvertently forget to reactivate the NPRM, we proposed to repeat the In the NPRM, we proposed that the system. FMVSS No. 121 burnish procedure at collection of data from the vehicle, such the manufacturer’s option. However, in In contrast, Daimler, Volvo, Meritor as engine torque output and driver- WABCO, HDBMC, Associated Logging, this final rule, we have removed the requested torque, come from the SAE option. Rather, we are merely specifying EMA, and Bendix recommended that we J1939 communication data link. Bendix allow the ESC systems to be disabled. that a burnish procedure similar to the requested that NHTSA change the one in FMVSS No. 121 be completed The commenters asserted that the ESC collection procedure to specify that the system may need to be disabled in prior to testing. Furthermore, rather data come from the vehicle controller than referencing FMVSS No. 121, we certain conditions such as slippery area network (CAN) bus, which is a roads in snow and mud, off-road have included the entire burnishing in more generic reference instead of FMVSS No. 136 to avoid the need to operation, and when using snow chains specifically requiring a SAE J1939 data cross-reference between Standards. on the tires. link. The CAN bus is what allows a Second, we have altered the metric Daimler stated in its comment that the vehicle’s electronic control units and conversion of 150 °F from 65 °C to 66 current ESC and traction control other devices to communicate with each °C to be more accurate. systems are interlinked, and the In the NPRM, the agency suggested, as other. SAE J1939 is a recommended disablement of traction control will a general rule, that a new test vehicle practice to standardize vehicle disable ESC systems. Daimler asserted have less than 500 miles on the communications. Bendix believes that that disabling traction control may be odometer when received for testing. citing SAE J1939 specifically may have necessary in conditions such as starting EMA commented on this suggestion, the effect of limiting vehicle design in from rest on sloped ground, driving on requesting that there be no odometer the future. slippery roads, and using snow chains. requirements on a test vehicle. EMA We agree with Bendix that the HDBMC also asserted that ESC believes that this requirement may reference to SAE J1939 should be disablement is needed for gaining require transporting the test vehicle by changed to a more generic reference. traction in snow and mud and to hauling it on a trailer to the test site if This will allow future technological provide optimum performance when the test site is located far away from the advances regarding in-vehicle using snow chains. Meritor WABCO place of manufacture. NHTSA agrees communications, including the similarly referred to the need for the with EMA that it is not feasible to adoption of new industry recommended ability to change the control scheme of require that a test vehicle have less than practices. Accordingly, we are the ESC system to allow for deep snow 500 miles on its odometer prior to specifying that data be collected from and mud. In contrast, Bendix stated that its ESC testing. This is particularly true in light the vehicle’s communication network or system is tuned for both on-road and of the burnishing procedure, which CAN bus. could itself require 500 miles of driving. mild off-road conditions. However, Bendix also commented upon the Bendix suggested that different vehicle Thus, the final rule does not have a filtering of engine torque data received mileage requirement for test vehicles. tuning may be necessary for severe off- from an analog signal. Bendix noted that road conditions. L. Compliance Options data from an SAE J1939 compliant Regarding the absence of ESC Both Bendix and Volvo requested communication network is digital data. disablement on current truck tractors, clarification of the proposed regulatory However, because we are removing the EMA also suggested that some small text specifying compliance options. references to SAE J1939 in response to volume tractors are more likely to need That provision would require that a Bendix’s comment, we are not changing to have an ESC disablement function for manufacturer identify which the procedure for filtering analog data off-road operation and claimed that at signals because recognize that some least one manufacturer had equipped a 62 A snub is a brake application where the vehicle communication systems could use vehicle with such a switch to is not braked to a stop but to a lower speed. analog signals. temporarily disable ESC. Further, EMA

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suggested that ESC disablement While we agree that traction control differences between on-road and off- functions are not prevalent because may need to be disabled in slippery road uses in their comments. However, large fleet customers have been conditions such as snow or mud or neither supplier provided detailed purchasing ESC systems. other off-road conditions, the reasons for why ESC system HDMBC recommended that vehicles commenters do not explain why ESC disablement would be beneficial when that have a switch to disable ESC functions must be disabled in those used in off-road circumstances. In systems be equipped with a lamp circumstances. Although ESC may share contrast, Bendix said the off-road indicating that the ESC system is off components with traction control, the situations need ESC disablement at low similar to the ESC Off telltale in FMVSS requirements for ESC are independent speeds and different ESC tuning is No. 126. In its comment, Meritor of those for traction control. As expected. WABCO suggested that the ESC explained above, ESC mitigates roll and Regarding Volvo’s assertion that an malfunction lamp should be constantly yaw instability of the vehicle by ESC disablement switch may be illuminated if ESC is deactivated. reducing lateral acceleration and preferable to converters disabling ESC Meritor WABCO, HDBMC, Bendix, maintaining directional control, during a conversion of a vehicle from a EMA, and Volvo also suggested that respectively. Although traction control truck tractor to a truck, we do not vehicles be allowed to automatically provides mobility in starting on slippery believe that this limited circumstance disable their ESC systems under certain surfaces, it does not improve lateral justifies an ESC disablement switch. conditions. Meritor WABCO claimed stability beyond what ESC provides Volvo was not specific on the nature of that all-wheel drive is an example of through braking and reduction in engine the conversion it was referring to and when ESC should automatically be torque. Likewise, traction control does why the ESC system would need to be disabled. HDBMC, EMA, and Bendix not improve yaw stability by providing disabled. said there should be the ability to directional control. Traction control Bendix suggested that a switch could automatically disable ESC system for provides no further assistance when be allowed to disable an ESC system certain applications such as all-wheel lateral or yaw instability is detected. below a maximum speed of 25 mph. drive and truck tractors with multiple Furthermore, we are not requiring the Bendix believes that this would allow ESC system to activate at extremely low steering axles. Volvo asserted that, for maneuverability in slippery vehicle speeds, which is when the while it has no plans to offer an ESC on/ conditions such as mud or snow. vehicle would be starting from rest. This off switch, it recognizes that some Relatedly, Bendix suggested that the concern may be remedied by optimizing customers may want to convert a truck minimum ESC operational speed be traction control, and a manufacturer has tractor to a truck. Volvo believes that it raised from the proposed 20 km/h (12.4 the option to activate traction control or may be preferable to allow an ESC off mph) to 25 km/h (15.5 mph). allow deactivation of traction control at switch rather than having converters any vehicle speed. If the disablement of After considering the comments, we disabling the ESC system during a traction control also disables the ESC are not raising the minimum speed at conversion. system, then the disablement function is which an ESC system must operate. We In its comment, Bendix also prohibited from disabling ESC proposed the minimum operating speed recommended changing the minimum functionality at speeds above the of 20 km/h (12.4 mph) based on speed at which an ESC system is minimum speed ESC systems are information we obtained from vehicle required to operate from 20 km/h (12.4 required to operate. This means that the manufacturers and ESC system mph) to 25 km/h (15.5 mph) to ESC system must automatically suppliers, including Bendix. As we accommodate the wide variation of tires reactivate once the vehicle reaches the stated in the NPRM, the low speed sizes, tone ring tooth counts, and minimum speed at which the ESC thresholds of ESC systems were 10 km/ production tolerances. Bendix said the system is required to operate. h (6.2 mph) for yaw stability control and higher speed threshold is necessary Some of the commenters asserted the 20 km/h (12.4 mph) for roll stability based on wheel-speed sensor signal need for ESC disablement on vehicles control. We believed that setting a single strength and antilock braking system with all-wheel-drive or multi-steering low speed threshold was preferable functionality. axles. In FMVSS No. 126, we allow the because yaw and roll stability functions are intertwined. Bendix’s B. Response to Comments ESC to be disabled on light vehicles for certain four-wheel drive modes. None of recommendation for increasing the This final rule does not allow a the commenters asserted any minimum speed criteria presents new function to disable an ESC system at similarities that truck tractors and large information to the agency. We also speeds where ESC systems are required buses have with light vehicles regarding observe that the proposed minimum to operate. enhanced traction modes such as four- speed threshold is the same as UN ECE First, we address the integration wheel drive low. Therefore, we do not Regulation 13. Instead of raising the between traction control systems and believe any exceptions should be made minimum activation speed, at which an ESC systems. Both systems use the for all-wheel drive vehicles because ESC system must operate, vehicle’s brake control system to there was insufficient data submitted to manufacturers may wish to disable the accomplish different goals. Traction justify an exception for heavy vehicles. traction control system, where disabling control reduces engine power and With regard to vehicles with multiple traction control does not cause the ESC applies braking to a spinning drive steering axles, we received no specific system to be in a malfunction state, wheel in order to transfer torque to the information about the vehicle operation without compromising the effectiveness other drive wheel on the axle. This and why vehicle with multiple steer of an ESC system. However, once a function is used to allow a vehicle to axles should be allowed to have their vehicle reaches a forward speed of 20 move forward in certain conditions ESC systems disabled either by switch km/h (12.4 mph), the ESC system is where wheel spin may otherwise or automatically. Without any required to be functional to prevent roll prevent forward movement. In contrast, information, the agency cannot justify and yaw instability. We believe that ESC systems are designed to maintain an exception. changes to the traction control system roll and yaw stability rather than Regarding off-road use, Bendix and operation will mitigate the concerns facilitate forward movement. Meritor WABCO discussed ESC tuning raised by the commenters regarding

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system operability in slippery or off- system is in the ‘‘On’’ (‘‘Run’’) position. system is detected. Specifically, the ESC road conditions. The proposal required that ESC malfunction telltale would be required Finally, we also sought and received malfunction telltale extinguish after the to be mounted in the driver’s comments on how a manufacturer malfunction has been corrected. compartment in front of and in clear would implement an ESC disablement The NPRM also included a test that view of the driver and be identified by switch. Because we have decided not to would allow the engine to be running the symbol shown for ‘‘ESC Malfunction allow ESC disablement above the and the vehicle to be in motion as part Telltale’’ or the specified words or minimum speed at which ESC is of the diagnostic evaluation. The agency abbreviations listed in Table 1 of required to operate, we need not address proposed simulating several possible FMVSS No. 101, Controls and displays. these comments in this final rule. malfunctions to ensure the system and FMVSS No. 101 includes a requirement XIII. ESC Malfunction Detection, corresponding malfunction telltale for the telltale symbol, or abbreviation, Telltale, and Activation Indicator provides the required warning to the and the color required for the indicator vehicle operator, such as by lamp to show a malfunction in the ESC A. ESC Malfunction Detection disconnecting the power source to an system. The NPRM proposed that that ESC system component or The agency proposed that the symbol vehicles would be required to be disconnecting an electrical connection and color used to identify ESC equipped with an indicator lamp, to or between ESC system components. malfunction should be standardized mounted in front of and in clear view After a malfunction has been simulated with the symbol used on light vehicles. of the driver, which would be activated and identified by the system, the system The symbol established in FMVSS No. whenever there is a malfunction that would be restored to normal operation. 126 is the International Organization for affects the generation or transmission of The engine is started and the Standardization (ISO) ESC symbol, control or response signals in the malfunction telltale is checked to ensure designated J.14 in ISO Standard 2575. vehicle’s ESC system. Heavy vehicles it has cleared. The symbol shows the rear of a vehicle presently equipped with ESC generally We received no adverse comments on trailed by a pair of ‘‘S’’ shaped skid do not have a dedicated ESC the requirement that an ESC system marks, shown below in Figure 3. The malfunction lamp. Instead, they share malfunction be displayed to the driver, malfunction telltale is displayed in the that function with the mandatory ABS nor did we receive comments on the test color yellow, which communicates the malfunction indicator lamp or the procedure for ensuring malfunction malfunction of a system that does not traction control activation lamp. The detection. Therefore, we are adopting require immediate correction. The agency proposed requiring a separate these requirements as proposed in the agency found that the ISO J.14 symbol ESC malfunction lamp because it would NPRM. and close variations were the symbols used by the greatest number of light alert the driver to the malfunction B. ESC Malfunction Telltale condition of the ESC and would help to vehicle manufacturers that used an ESC ensure that the malfunction is corrected The NPRM proposed requiring that an symbol before the requirement was at the earliest opportunity. ESC malfunction lamp provide a established. Furthermore, FMVSS No. The ESC malfunction telltale would warning to the driver when one or more 126 allows, as an option, the use of the be required to remain illuminated malfunctions that affect the generation text ‘‘ESC’’ in place of the telltale continuously as long as the malfunction of control or response signals in the symbol. This same option was proposed exists whenever the ignition locking vehicle’s electronic stability control in the NPRM for heavy vehicles.

In addition to the ESC malfunction means to determine the operational the telltale only illuminate in the event telltale being used to warn the driver of status of the ESC system during a of a system malfunction. a malfunction in the ESC, the telltale is roadside safety inspection. Meritor WABCO commented on the also used as a check of lamp function In the regulatory text of the NPRM, we operation of the light and said that the during vehicle start-up. We believe that proposed requiring that the ESC ESC malfunction lamp should be the ESC malfunction telltale should be malfunction telltale illuminate only continuously illuminated if there is a activated as a check of lamp function when a malfunction exists. However, we malfunction in the ESC system. We either when the ignition locking system also required that the telltale illuminate agree with Meritor WABCO. The is turned to the ‘‘On’’ (‘‘Run’’) position as a check of lamp function. These two requirement that the indicator lamp be whether or not the engine is running. requirements may be read as continuously illuminated if there is a This function provides drivers with the inconsistent with each other. We have malfunction in the ESC system was information needed to ensure that the added language to this final rule to included in the proposed standard and is included in this final rule. ESC system is operational before the clarify that the check of lamp function vehicle is driven. It also provides is an exception to the requirement that Bendix recommended a change that Federal and State inspectors with the would allow a malfunction lamp to

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remain illuminated until either the able to detect both a malfunction and a discretion to choose the vehicle outline system self-resets with an ignition cycle correction without the use of external should be left to the manufacturer. or a recommended diagnostic tool can tools. The malfunction lamp should not Similarly ATA and Volvo recommended be used to clear faults. Bendix states extinguish until the fault is actually that the telltale should depict the rear of that in some cases of faults, their corrected. a truck tractor above the ‘‘S’’ shaped systems are not guaranteed to self-reset We also received comments regarding skid marks. upon correction. the ESC system malfunction telltale itself. Temsa commented that there In response, we acknowledge desire of We are not adopting Bendix’s should be the option to use the text of the industry to most accurately depict suggested change to allow that the ‘‘ESC’’ on the malfunction indicator. the type of vehicle being displayed on telltale remain illuminated until a Temsa reasoned that this would be more the ESC system malfunction telltale. We diagnostic tool can be used to reset a user-friendly. This option was included believe that requiring a symbol fault. If a diagnostic tool can be used to in the NPRM and is included in this depicting the rear end of a trailer or bus remedy a fault without an ignition final rule. above the ‘‘S’’ skid marks will satisfy cycle, there is nothing prohibiting the We received several comments on the the concerns of the manufacturers malfunction telltale from being depiction of the vehicle in the telltale. without causing any confusion extinguished. However, we cannot Daimler referred to ECE Regulation 13, regarding the identification of the include in the malfunction lamp which citing ISO 2575, allows the telltale. We are including in the requirements the ability for the telltale vehicle shape to be changed to better allowable telltales for this Standard to remain illuminated, even after a represent the true exterior shape of a trailer and bus symbols drawn from ISO malfunction may have been corrected, given vehicle. Daimler also stated that it 2575. We have chosen to depict the rear until a diagnostic tool can be used. The uses a heavy truck or bus symbol on its outline of a trailer rather than a truck purpose of the requirement that the European systems and it may result in because it is a better depiction of the malfunction lamp extinguish upon an an increased cost if the symbol usual rear view of a combination ignition cycle after correction of the depicting a passenger car was required vehicle. The symbols are depicted in problem is that the system should be in the U.S. Daimler asserted that the Figure 4 below.

C. Combining ESC Malfunction Telltale could confuse a driver and diminish the systems means that a failure in one With Related Systems importance of addressing the fault. system is likely to be a failure in the Likewise, EMA noted that the current other system. In its comment, CVSA supported industry practice is to combine the In response, the agency must first NHTSA’s proposal to require a separate malfunction indicator lamp for the ESC correct what appears to be a common ESC malfunction telltale, without which and traction control systems. EMA also misconception shared by the the end user would not know if the observed that traction control and ESC commenters advocating that a separate system is operating. Further, CVSA systems share similar components and, traction control malfunction indicator reasoned that an anticipated Federal thus, tend to fail simultaneously. EMA should not be required. Currently, Motor Carrier Safety Administration stated that by mandating separate NHTSA has no performance (FMCSA) rule would require traction control and ESC malfunction requirements for traction control commercial vehicles with ESC systems lamps, NHTSA would be unnecessarily systems and no requirement that a be free of any indicated ESC faults. requiring investment of resources to traction control system malfunction Volvo supported combining the ESC change the instrument cluster. EMA generate a telltale visible to the driver. malfunction indicator with a stated that in FMVSS No. 126, NHTSA Thus, to require an ESC-only telltale malfunction indicator for a traction permits light vehicles to use the ESC does not necessarily require separate control system. Volvo reasoned that a malfunction indicator to signal telltales for ESC system malfunctions malfunction in the traction control malfunctions in related systems such as and traction control system system would be likely to also traction control. EMA requested that malfunctions. In fact, as the comments constitute a malfunction in the ESC NHTSA provide similar flexibility. demonstrate, nearly all traction control system. In a simplified fault Bendix similarly observed that the system malfunctions would also be ESC representation system submitted by current industry practice is to combine system malfunctions and will require an Volvo, 17 out of 18 faults in a traction ESC and traction control system ESC system malfunction telltale to control system were also ESC system malfunction indicators and that having illuminate. For those limited faults that would presumably trigger the a third lamp for traction control system circumstances where a traction control ESC malfunction indicator. Volvo malfunctions is unnecessary. Bendix system malfunction is not reasoned that having separate lamps for also stated that the interconnected simultaneously an ESC system traction control and ESC system faults nature of traction control and ESC malfunction, the manufacturer could

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display the malfunction to the driver in flashing mode to indicate ESC and above nonfatal injuries, and any manner that is not contrary to operation. Furthermore, we are property damage only crashes that were FMVSS No. 101 or not display the expressly excluding this function from the result of either (a) first-event malfunction at all. the requirement that the malfunction untripped rollover crashes and (b) loss- telltale only illuminate if there is an D. ESC Activation Indicator of-control crashes (e.g., jackknife, cargo ESC system malfunction. We believe shift, avoiding, swerving) that involved The agency requested comment on that allowing an activation indicator truck tractors or large buses and might whether there is a safety need for an will give manufacturers flexibility to be prevented if the subject vehicle were ESC activation indicator. We received inform drivers when the ESC system is equipped with a stability control four comments on the issue. activating. However, we are not system. Daimler stated that UN ECE requiring such an indicator because we Regulation 13 requires an ESC do not believe, nor do we have any data We updated the estimates from the activation indicator and that the U.S. to suggest, that drivers with activation NPRM which used the 2006–2008 should allow such an indicator. Daimler indicators will perform better than Fatality Analysis Reporting System reasoned that the driver would benefit drivers who are given no indicator. This (FARS) and General Estimate System from indication of the activation of an is consistent with the agency’s decision (GES) to used 2006–2012 FARS and GES ESC system because it may allow him to to allow, but not require, activation data. The FARS data were used for realize that a more cautious driving indicators on light vehicles. evaluating fatal crashes and the GES style may be appropriate. Moreover, XIV. Benefits and Costs data were used for evaluating nonfatal Daimler argued that it would not be crashes. The updated crash data showed advantageous to have contrary This section addresses the benefits a lower number of rollover crashes and requirements in the U.S. and Europe. and costs of the rule, including injuries from rollover crashes compared Volvo and Bendix stated that it estimates of ESC system effectiveness to the NPRM, but a higher number of currently provides ESC system and the size of the crash population. We fatalities from rollover crashes. activation indication by flashing the also address public comments related to Conversely, there are a higher overall malfunction lamp during system these issues. Much of the information in number of loss-of-control crashes and interventions. Both Volvo and Bendix this section is derived from the Final requested that NHTSA not preclude the Regulatory Impact Analysis (FRIA) injuries resulting from those crashes use of system activation indicators. associated with this final rule, which compared to the NPRM, but a lower EMA similarly requested flexibility for has been placed in the docket. number of fatalities from loss-of-control manufacturers to allow system crashes. The estimated number of activation indicators. A. Target Crash Population crashes, fatalities, injuries, and deaths Based on the comments, NHTSA is The initial target crash population for that make up the initial target allowing, but not requiring, the use of estimating benefits includes all crashes population are summarized in the the ESC malfunction telltale in a resulting in occupant fatalities, MAIS 1 following table.

TABLE 4—INITIAL TARGET CRASHES, MAIS INJURIES, AND PROPERTY DAMAGE ONLY VEHICLE CRASHES BY CRASH TYPE

Crash type Crashes Fatalities Injuries PDO

Rollover ...... 4,577 122 1,957 2,510 Loss of control ...... 6,266 184 1,510 5,351

Total ...... 10,843 306 3,467 7,861 Source: 2006–2012 FARS, 2006–2012 GES. PDO: property damage only.

The 2006–2012 crash data were then population will benefit only from the approximately 15 percent annually and adjusted to take account of the incremental increased effectiveness of the rate of RSC system installation to estimated ESC and RSC system ESC systems over RSC systems. increase by about 5 percent annually. installation rates in model year 2018. To Based upon manufacturer production Thus, by 2018, we expect that 33.9 determine the number of crashes that estimates, about 26.2 percent of truck percent of vehicles would be equipped could be prevented by requiring that tractors manufactured in model year with ESC systems and 21.3 percent of ESC systems be installed on new truck 2012 were equipped with ESC systems vehicles would be equipped with ESC tractors, the agency had to consider two and 16.0 percent were equipped with systems. We would not expect that the RSC systems. We also estimate that 80 subsets of the total crash population— installation rate on buses would change percent of large buses subject to this those vehicles that would not be substantially before 2018. Adjusting the final rule are equipped with ESC equipped with stability control systems systems. Based upon historical rates of initial target crash populations using (Base 1 population) and those vehicles increase of installation of ESC and RSC these estimates, the agency was able to that would be equipped with RSC systems, from 2013 to 2018 (which is estimate the Base 1 and Base 2 systems (Base 2 population). The Base 1 the base model year for the cost and populations and the projected target population will benefit fully from this benefit analysis), we expect the rate of crash population (Base 1 + Base 2) final rule. However, the Base 2 ESC system installation to increase by expressed in the following table.

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TABLE 5–PROJECTED CRASHES, MAIS INJURIES, AND PROPERTY DAMAGE ONLY VEHICLE CRASHES BY CRASH TYPE, CRASH SEVERITY, INJURY SEVERITY, AND VEHICLE TYPE FOR 2018

Crash type Crashes Fatalities Injuries PDO

Base 1

Rollover ...... 2,099 56 898 1,151 Loss of Control ...... 2,813 83 678 2,403

Total ...... 4,912 139 1,576 3,554

Base 2

Rollover ...... 998 27 426 547 Loss of Control ...... 1,337 39 322 1,142

Total ...... 2,335 66 748 1,689

Base 1 + Base 2 (Projected Target Population)

Rollover ...... 3,097 83 1,324 1,698 Loss of Control ...... 4,150 122 1,000 3,545

Total ...... 7,247 205 2,324 5,243 Source: 2006–2012 FARS, 2006–2012 GES. PDO: property damage only.

The agency has also examined the and (3) The 2011 NHTSA Research systems. EMA asserted that, with so same crash data sources for large buses. Note.65 The effectiveness rates from the many trucks on the road currently Based upon this examination, the first two studies were based on equipped with stability control systems, agency estimates that an average of two computer simulation results, expert real-world data ought to be available. target rollover and three loss-of-control panel assessments of available crash Martec presented a rebuttal to the ATRI crashes that would be affected by ESC data, input from trucking fleets that had study. Bendix conducted its own ESC systems occur annually. The small adopted the technology, and research and RSC system effectiveness study number of crashes combined with the experiments. The third study refined the using a method similar to that used by high projected voluntary ESC system effectiveness that was established in the NHTSA. installation rate causes the benefits second study. (a) ATRI Study resulting from this final rule attributable None of these studies derived the to buses to be very small. Therefore, the effectiveness from a statistical analysis ATRI’s study concluded that benefits estimates for buses are not of real-world crashes. Such statistical equipping vehicles with RSC systems further presented and the benefits of analyses require a comparison of would result in fewer rollover, this final rule are assumed to be the vehicles with and without the jackknife, and tow/struck crashes benefits derived only from truck technology. This is not feasible because compared to ESC systems. The ATRI tractors. ESC and RSC penetration in the national study used crash data, miles traveled, and financial information that they B. System Effectiveness fleet of truck tractors is still small. ESC and RSC are relatively new technologies collected through their survey of 14 1. Summary of the NPRM that have only been installed on a small large and mid-size motor carriers. Of As we stated in the NPRM, direct data percentage of new tractors over the past these carriers, 81.5 percent were in the that would show the effectiveness of few years. truckload sector, 10.0 percent were in the less-than-truckload sector, and 8.5 stability control systems is not available 2. Summary of Comments and Response because stability control technology on percent were in the specialized sector. heavy vehicles is relatively new. ATA, Schneider, OOIDA, EMA, The ATRI sample included 135,712 Accordingly, the effectiveness rates Bendix, and Martec commented on the trucks; of these trucks, 68,647 (50.6%) presented in the NPRM were built upon agency’s effectiveness estimates. ATA, were equipped with RSC systems, from three earlier studies: (1) A 2008 Schneider, and OOIDA all relied upon 39,529 (29.1%) with ESC systems, and study on RSC that was conducted by a study by the American Transportation 27,536 (20.3%) with no stability control American Transportation Research Research Institute entitled ‘‘Roll systems. Using the data received, ATRI Institute and sponsored by the Federal Stability Systems: Cost Benefit Analysis calculated the crash rate per 100 million Motor Carrier Safety Administration of Roll Stability Control Verses miles traveled, the crash cost per 1,000 (FMCSA),63 (2) a 2009 study that was Electronic Stability Control Using miles traveled, and annual benefits and conducted by UMTRI and Meritor Empirical Crash Data.’’ EMA and crash costs for three truck groups: Those WABCO and sponsored by NHTSA,64 OOIDA both criticized the use of with ESC systems, those with RSC simulation and expert analysis data as a systems, and those with no stability 63 Murray, D., Shackelford S., House, A., Analysis substitute for real-world data. OOIDA control systems. The group with no of Benefits and Costs of Roll Stability Control asserted that the ATRI study stability control systems served as the Systems, FMCSA–PRT–08–007 October 2008. represented real-world data that did not baseline to compare the other two 64 Woodrooffe, J., Blower, D., and Green, P., groups. ATRI concluded that, if their Safety Benefits of Stability Control Systems for support requiring vehicles to have ESC Tractor-Semitrailers, DOT HS 811 205, October sample is consistent with the industry 2009. 65 Docket No. NHTSA–2010–0034–0043. as whole, RSC would result in fewer

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rollover, jackknife, and tow/struck By revealing the hypothesis and the conclusions. There is no indication that crashes than ESC. RSC also would very specific intention of survey, ATRI ATRI investigated whether the three provide greater benefits and lower potentially biased the participants’ groups have similar characteristics. For installation costs than ESC. responses in favor of RSC systems. example, if the majority of trucks in the Martec was asked by Bendix to Carriers who have strong opinions in control group were specialty trucks and evaluate the ATRI’s study. Martec favor of RSC systems over ESC systems specialty trucks were prone to rollover asserted that the methods employed by may have been more willing to respond crashes while the ESC and RSC groups ATRI do not meet basic standards found than those who did not respond. We were overrepresented by a different in the global market research industry. believe that this happened given that truck sector that would prone to loss-of- Martec stated that, because the methods trucks with RSC systems (50.6 percent) control crashes, then the ATRI results ATRI employed in its study were and ESC systems (29.1 percent) are are not valid to address the difference inadequate, the results cannot be used substantially overrepresented in the between ESC and RSC. to draw any meaningful conclusions ATRI’s sample. The self-reporting bias is ATRI acknowledged that there are about the overall trucking industry’s further evidenced by the lack of some confounding factors that were not experience with stability control accurate representation of trucking controlled for. However, ATRI did not systems or the analysis of the costs and industry and counterintuitive crash rate try to identify these factors and examine benefits of individual technologies as outcome. Based on ATRI’s data, the the effects of these factors. Examining sold into the marketplace. respondents skewed towards the the confounding factors is essential to Martec reached four conclusions truckload sector (e.g., dry van, the validity of the analysis. With these refrigerated, flatbed, intermodal regarding ATRI’s study. First, ATRI’s concerns, the agency believes that it is container, and end-dump carriers) study demonstrated confirmation bias inappropriate to use ATRI’s results to compared to the overall industry and by elaborating on its hypotheses and support this final rule. thus does not represent the truck stating that the results of its research There are no other sources of real- industry as a whole. Therefore, ATRI’s will be used to ‘‘inform responses’’ to a world data available to NHTSA that results may not be attributed to the proposed NHTSA mandate. Second, discriminate between crashes involving effects of RSC systems and ESC systems, ATRI’s study lost objectivity by not heavy vehicles equipped with stability but rather to the sample bias from self- collecting all evidence in a controlled control systems and those that do not. reporting. and systematic way so that the results The quality of the self-reporting is The UMTRI study, which includes case can be replicated and validated by other also questionable, as evidenced by the reviews and simulation, which has been researchers and by not making an crash rates per 100 million miles reviewed and slightly modified by attempt to assure that its sample of traveled as shown in Table 1 of ATRI’s NHTSA, represents the best estimate fleets was random. Third, ATRI’s study report. The report states that trucks available to the agency regarding the is biased due to disproportionate equipped with ESC systems had higher effectiveness of stability control sampling that is not representative of rollover and jackknife crash rates than systems. the industry. Fourth, ATRI’s study lacks trucks equipped with RSC systems. (b) Bendix Study the necessary statistical tests to address Given that ESC systems include all of the uncertainty of the statistics. the functionality of an RSC system, that Bendix stated that, based on over 30 We largely agree with Martec’s ESC systems have additional braking years of experience on commercial conclusions regarding the ATRI study. capability, and that ESC has vehicle dynamic, braking, and stability Based in these concerns, we conclude substantially more effect on loss-of- control systems, the agency’s that it is inappropriate to use ATRI’s control crashes, these rates are illogical. assessment of the effectiveness of ESC results to calculate the benefits and the These illogical results most likely can be systems is conservative. Bendix cost-effectiveness of ESC and RSC explained by the impact of self-selection reviewed the 159 cases that were used systems. in the sample.66 as the basis for the agency’s ATRI’s sample is subjected to self- ATRI used control and comparison effectiveness estimates and re-rated ESC selection bias. When soliciting data, methodology to examine RSC and ESC. and RSC system effectiveness based on ATRI revealed the research hypothesis In its approach, ATRI used the trucks its experience. Furthermore, Bendix in their data request form, as shown in without stability control as the control identified some of these 159 cases that Appendix A of the ATRI report: ‘‘ATRI’s group and compared the crash rates of were not stability-control relevant and Research Advisory Committee trucks equipped with ESC and RSC included additional cases that agency hypothesized that, while ESC has more systems to those of the control group. did not identify as relevant. Based upon crash mitigation sensors than RSC For this approach, controlling these changes and Bendix’s own systems, the higher per-unit cost of ESC confounding factors (i.e., factors other estimates of ESC and RSC system may not make it as ‘cost-effective’ as than the technologies of interest that effectiveness, Bendix concluded that RSC.’’ Furthermore, in the survey form, would influence the crash rates) is ESC systems are 31 percent greater than ATRI stated that its research is intended critical in order to draw valid RSC systems. The gap is much wider to inform responses to NHTSA’s NPRM, that the 6 to 7 percent estimated by which proposed to mandate ESC 66 The results may also reflect that the RSC NHTSA. Table 6 shows the effectiveness systems could be tuned to be more sensitive to from Bendix’s analysis and those systems on all new equipment two years allow them to brake more aggressively. We noted after the rule goes into effect. this possibility in the NPRM. estimated by NHTSA in the NPRM.

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TABLE 6—EFFECTIVENESS COMPARISON BETWEEN BENDIX’S ANALYSIS AND NHTSA’S NPRM

Bendix NHTSA’s NPRM Overall Rollover LOC Overall Rollover LOC

ESC ...... 78 83 69 28–36 40–56 14 RSC ...... 47 58 26 21–30 37–53 3 Difference ...... 31 25 43 6–7 3 12

The agency believes that Bendix’s that RSC systems would have a small NPRM, which was derived from 2011 method of determining system effect on loss-of-control crashes. Third, research note. However, we have made effectiveness is biased in favor of ESC although Bendix categorized some of the two modifications. First, we have systems. Prior to issuing the NPRM, the cases addressed by NHTSA as not included an additional loss-of-control agency had shared its concerns with relevant, Bendix still assigned crash type (non-collision single-vehicle Bendix’s assignment of effectiveness at effectiveness for those cases. This seems jackknife crashes) that should have been two meetings. The agency identified contradictory. Finally, Bendix included included in the PRIA. Second, because four issues. additional cases that were not included we added an additional loss-of-control by NHTSA and UMTRI. However, these crash type, we have reweighted the ratio First, for many rollover crashes, cases included truck types that are not of rollover to loss-of-control crashes. Bendix assigned a significant higher covered by the NPRM or this final rule. However, these modifications have not effectiveness to ESC systems compared Thus, while we commend Bendix for to RSC systems. Based on the agency’s undertaking the review that NHTSA and substantially changed the effectiveness understanding of ESC and RSC system UMTRI undertook to review individual rates for ESC and RSC systems from the functions to prevent rollover crashes, crash cases, we cannot agree with the rates presented in the NPRM. As shown the agency’s engineers did not believe conclusion that ESC systems are in Table 7, ESC systems are considered the difference between ESC and RSC substantially more effective that RSC to be 3 percent more effective than RSC would be as pronounced as Bendix had systems at preventing rollover crashes. systems at reducing rollover crashes and estimated. Second, Bendix assigned a 12 percent more effective at reducing relatively high effectiveness for RSC 3. Effectiveness Estimate loss-of-control crashes. systems against loss-of-control crashes. In this final rule, we are generally However, the agency’s testing suggests using the effectiveness estimate used the

TABLE 7—EFFECTIVENESS RATES FOR ESC AND RSC BY TARGET CRASH TYPES

Technology Overall Rollover LOC

ESC ...... 25–32 40–56 14 RSC ...... 17–24 37–53 2

Although the J-turn performance test performance test) is based on the ability both rollover and loss-of-control does not measure an ESC system’s of current generation ESC systems to crashes. The benefits estimate for ability to prevent loss-of-control crashes prevent roll instability. rollover crashes are presented as a range resulting from yaw instability, the because the ESC effectiveness rate is a C. Benefits Estimates equipment requirement ensures some range. In contrast, there is only one level of yaw stability performance. Our 1. Safety Benefits estimate of benefits for loss-of-control assessment for yaw stability control crashes. Table 8 presents the benefits of performance is based on the ability of The crash benefits of this final rule this final rule. As shown in that table, current generation ESC systems to were derived by multiplying the this final rule will prevent 1,424 to prevent yaw instability, just as our projected target population, including 1,759 crashes, 40 to 49 fatalities, and assessment for roll stability performance fatalities, injuries, and property damage 505 to 649 injuries. (which does have an associated only crashes by the effectiveness rate for

TABLE 8—BENEFITS OF THE FINAL RULE

Crash type Crashes Fatalities Injuries PDO

Rollover ...... 870–1,205 23–32 372–516 476–661 LOC ...... 554 17 133 473

Total ...... 1,424–1,759 40–49 505–649 949–1,134

2. Monetized Benefits also provides tangible benefits costs, legal costs, congestion, property associated with the reduction in damage, and productivity. We have ESC systems are crash avoidance crashes. These benefits include savings broken down these benefits into those systems. Preventing a crash not only from medical care, emergency services, that are injury related and those that are saves lives and reduces injuries, but it insurance administration, workplace non-injury related. Of the listed

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benefits, congestion and property of quality of life, household for the VSL for the next 30 years. The damage reduction are non-injury-related productivity, and after-tax wages. These VSL is adjusted to reflect real increases benefits, and the others are injury- benefits are realized through the life of in VSL that are likely to occur in the related benefits. These benefits are the vehicle and must be discounted to future as consumers become estimated based upon periodic reflect their value at the time of economically better off in real terms examinations of the economic impact of purchase. over time. vehicle crashes. The most recent June 2014 guidance from the analysis was completed in 2014.67 Department’s Office of the Secretary sets Using this guidance applied to the We have also monetized benefits in forth guidance for the treatment of VSL prevention of crashes resulting in terms of the value of a statistical life in regulatory analysis.68 This guidance fatalities, injuries, and property damage (VSL), which represents individuals’ establishes a VSL of $9.2 million for only, the following undiscounted willingness to pay to reduce the risk of analyses based on 2013 economics and monetized benefits of this final rule are dying. These benefits include the value a 1.18 percent annual adjustment rate estimated.

TABLE 9—UNDISCOUNTED MONETIZED BENEFITS OF THE FINAL RULE [2013 Dollars]

Low High

Societal Economic Savings for Crashworthiness ...... $27,013,989 $34,526,917 Congestion and Property Damage ...... 14,234,540 17,566,251 Societal Economic Savings Total ...... 41,248,529 52,093,168 VSL ...... 484,836,271 603,762,776

Total Monetized Savings ...... 526,084,800 655,855,944

D. Cost Estimate estimated that the proposed SIS and for ESC and RSC systems for heavy SWD test maneuvers would cost trucks to assess the required In the NPRM, we relied upon data approximately $15,000 per test to run, components and their unit costs. The received from manufacturers to estimate assuming availability of test facilities, results were published in a report titled, the costs of implementing the proposal tracks, and vehicles. ‘‘Cost and Weight Analysis of Electronic to require ESC systems on truck tractors We received specific a comment on Stability Control and Roll Stability and large buses. Based upon these the costs of ESC system from Bendix. Control for Heavy Trucks,’’ on October submissions, NHTSA calculated that the Bendix stated that they did not see a 25, 2012.69 The study looked at the average cost of an ESC system for both correlation between the cost differential incremental costs of equipping vehicles truck tractors and buses was $1,160 and estimated in the PRIA and those from with ESC and RSC systems over a the average cost of an RSC system was Bendix to its OEM customers. Bendix $640. Based on our estimates that did not specify their cost differential. baseline of ABS by looking at one truck 150,000 truck tractors and 2,200 buses However, Bendix stated that when ESC equipped only with ABS, two truck would be covered by the proposal, and was mandated, they believed the cost tractors equipped with RSC, one truck the estimates of 2012 ESC and RSC would be in the lower end of estimates. tractor equipped with ESC, and one system adoption in the fleet, we Thus, the net benefits of ESC would be large bus equipped with ESC. The estimated that the total cost of the further increased. following table shows the components proposal would be $113.6 million in After publishing the NPRM, the and the cost of each component on the 2010 economics. Furthermore, we agency published a cost teardown study five vehicles that were examined. TABLE 10—COMPONENT COST ESTIMATES FOR BASELINE ABS AND FOUR STABILITY TECHNOLOGY SYSTEMS IN 2013 DOLLARS 70

ABS WABCO tractor RSC Bendix tractor RSC WABCO tractor ESC Bendix large bus ESC WABCO tractor baseline component total component total component total component total component total

Wheel Speed Sensor .. $11.85 $47.40 X X X X ...... X X ...... X X Wheel Speed Cables.. 5.32 21.28 X X X X ...... X X ...... X X Dual Modulator Valves 284.82 569.64 X X X X ...... X X ...... X X Modulator Valve Ca- 10.50 42.00 X X X X ...... X X ...... X X bles. ECU ...... 90.05 90.05 X X X X ...... X X ...... X X Delta ECU* ...... 37.80 37.80 50.36 50.36 ..... 37.80 37.80 ...... 43.58 43.58 Solenoid Valves...... 29.20 58.40 29.20 58.40 ..... 29.20 58.40 ...... 29.20 87.60 Solenoid Valve Cables ...... 9.58 19.16 9.58 19.16 ..... 9.58 19.16 ...... 9.58 28.74 Lateral Accelerometer ...... 49.74 49.74 ...... In ECU ...... In Yaw Sen- ...... In ESC Module sor.

67 Blincoe, L. J., Miller, T. R., Zaloshnja, E., & 68 2014 Office of the Secretary memorandum on 69 See Docket No. NHTSA–2011–0066–0034. Lawrence, B. A., The economic and societal impact the ‘‘Guidance on Treatment of the Economic Value 70 The cost teardown study is in 2011 economics, of motor vehicle crashes, 2010, (May 2014) (DOT of a Statistical Life in U.S. Department of and it was revised to 2013 economics using an Transportation Analyses—2014 Adjustment., June HS 812 013). implicit price deflator (1.033=106.588/103.199). 13, 2014’’ http://www.dot.gov/regulations/ economic-values-used-in-analysis

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TABLE 10—COMPONENT COST ESTIMATES FOR BASELINE ABS AND FOUR STABILITY TECHNOLOGY SYSTEMS IN 2013 DOLLARS 70—Continued

ABS WABCO tractor RSC Bendix tractor RSC WABCO tractor ESC Bendix large bus ESC WABCO tractor baseline component total component total component total component total component total

Modulator Valve (for ...... 197.82 197.82 197.82 197.82...... 197.82 197.82 trailer)**. Modulator Valve Ca- ...... 10.50 10.50 10.50 10.50...... 10.50 10.50 bles (for trailer). Yaw Rate Sensor ...... 51.38 51.38 ...... In ESC Module Pressure Sensor ...... 2.14 6.42 ...... 2.14 6.42 Pressure Sensor Cable ...... 10.12 30.36 ...... 10.12 30.36 Steering Angle Sensor ...... 29.50 29.50 ...... 29.50 29.50 ESC Module ...... 85.48 85.48 ESC Module Cable ...... 28.86 28.86 Baseline ABS Cost ...... 770.37 ...... Incremental Costs ...... 373.42 ...... 336.24 ...... 233.02 ...... 548.86 Above Baseline ABS. * Delta ECU is an incremental cost estimate over the cost of WABCO Tractor Baseline ABS ECU. ** Modulator Valve for trailer is added as a component in Bendix Tractor RSC, Meritor-WABCO Tractor RSC and Meritor-WABCO Tractor ESC since it is required to be installed in trailers in the final rule.

Furthermore, the installation of an TABLE 11—SUMMARY OF ESC AND tractors related to this final rule will ESC system requires a technician to RSC SYSTEM UNIT COST ESTI- reduce truck tractor sales by 101 units tune a system for each vehicle. We MATES IN 2013 DOLLARS per year. We expect that this rule will estimate that it will take one hour of have even less of an impact on the sales labor to perform this task at the cost of ESC ...... $585.22 of large buses, because the average cost $33.40. Additionally, this final rule RSC ...... 391.19 of a bus affected by this rule is requires the installation of a telltale ESC Incremental over RSC 194.03 approximately $400,000. lamp using specific symbols or text. We Based on our assumptions regarding estimate the cost of this lamp and We have also examined the effect of costs and the estimates of ESC and RSC associated wiring at $2.96. Thus, we increased costs on vehicle sales. We system penetration in the market in estimate the total cost for installing an expect that the cost of ESC systems is 2018, we expect that this final rule will ESC system to be $585.22 on truck relatively small compared to the result in a total cost of $45.6 million. estimated average cost of a truck tractor tractors and $269.38 on large buses. We The costs are set forth in Tables 12 and of $110,000. We expect that this cost 13. This total cost is based upon 21.3 have averaged the two estimates of the will be passed on to purchasers of truck percent of truck tractors sold annually cost to install an RSC system, which is tractors and large buses. Those upgrading from RSC systems to ESC $391.19.71 We note that this estimate purchasers have indicated that truck systems, 44.8 percent of truck tractors generally corresponds to the lower end operating costs represent about 21 sold annually without stability control of the cost estimate in the FRIA, which percent of total operating costs, and that systems installing ESC systems, and is consistent with Bendix’s comment. the elasticity of demand for truck freight 20.0 percent of large buses sold is approximately ¥1.174. Thus, we annually without stability control believe that the increased costs of truck systems installing ESC systems.

TABLE 12—TOTAL COST OF THE FINAL RULE [2013 $]

Technology Upgrade Needed Upgrade RSC None to ESC ESC

Truck Tractors: % Needing Improvements ...... 33.9% 21.3% 44.8% 150,000 Sales Estimated ...... 50,850 31,950 67,200 Costs per Affected Vehicle ...... 0 $194.03 $585.22

Total Costs ...... 0 $6.2 M $39.3 M Large Buses: % Needing Improvements ...... 80% 0% 20% 2,200 Sales Estimated ...... 1,760 0 440 Costs per Affected Vehicle ...... 0 NA $269.38

Total Costs ...... 0 $0 M $0.1 M M: million.

71 Unlike in the NPRM, the cost of installing an substantially less than on a truck tractor. This is because an ESC system on a bus is not required to ESC system on a bus is considered to be control a trailer’s brakes.

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TABLE 13—SUMMARY OF VEHICLE COSTS [2013 $]

Average vehicle costs Total costs

Truck Tractors ...... $303.50 $45.5 M Large Buses ...... 53.90 0.1 M

Total ...... 299.90 45.6 M

The agency estimates that the cost of vehicles. The costs include preparation, comparison purpose, the table also executing the J-turn test maneuvers will brake burnish test, and other includes the costs for SWD maneuver be $13,400 per truck tractor and $20,100 miscellaneous preparations and that was proposed in the NPRM.72 per large bus, assuming access is required equipment. Table 14 presents available to test facilities, tracks, and these estimated costs. In addition, for

TABLE 14—ESTIMATED COMPLIANCE TEST COST PER VEHICLE [2013 $]

J-Turn SWD Cost Items Tractor Large Bus Tractor Large Bus

(1) Preparing for and executing the test maneuvers, ...... $8,400.00 $12,800.00 $10,800.00 $14,700.00 (2) Executing brake burnish test, and ...... 2,600.00 3,600.00 2,600.00 3,600.00 (3) Other miscellaneous preparations and required equipment such as ...... 2,400.00 3,700.00 3,400.00 4,800.00 (a) Brake conditioning between maneuvers, (b) Jackknife cable maintenance, (c) ballast loading, and (d) Post data processing, i.e., LAR and Torque reduction process

Sum ...... 13,400.00 20,100.00 16,800.00 23,100.00

E. Cost Effectiveness dollars, as reflected in Table 15. Table The net benefits of this final rule are 15 also shows that the net cost per estimated to range from $412 to $525 Safety benefits can occur at any time equivalent life saved from this final rule million at a 3 percent discount rate and during the vehicle’s lifetime. Therefore, range from $0.1 to $0.3 million at a 3 from $312 to $401 million at a 7 percent the benefits are discounted at both 3 and percent discount rate and from $0.3 to discount rate. 7 percent to reflect their values in 2013 $0.6 million at a 7 percent discount rate.

TABLE 15—SUMMARY OF COST-EFFECTIVENESS AND NET BENEFITS BY DISCOUNT RATE [2013 $]

3% Discount 7% Discount Low High Low High

Fatal Equivalents ...... 40 50 32 40 Societal Economic Savings for Crashworthiness ...... $21,816,498 $27,883,938 $17,288,953 $22,097,227 Congestion and Property Damage ...... 11,495,815 14,186,504 9,110,106 11,242,401 Total Societal Economic Savings (1) ...... 33,312,313 42,070,442 26,399,059 33,339,628 VSL ...... 424,352,045 528,442,215 331,681,943 413,040,877 Total Monetized Savings (2) ...... 457,664,358 570,512,657 358,081,002 446,380,505 Vehicle Costs * ...... 45,644,570 45,644,570 45,644,570 45,644,570 Net Costs (3) ...... 12,332,257 3,574,128 19,245,511 12,304,942 Net Cost Per Fatal Equivalent (4) ...... 308,306 71,483 601,422 307,624 Net Benefits (5) ...... 412,019,788 524,868,087 312,436,432 400,735,935 * Vehicle costs are not discounted, since they occur when the vehicle is purchased, whereas benefits occur over the vehicle’s lifetime and are discounted back to the time of purchase. (1) = Societal Economic Savings for Crashworthiness + VSL Savings. (2) = Societal Economic Savings + VSL. (3) = Vehicle Costs – Total Societal Economic Savings. (4) = Net Costs/Fatal Equivalents. (5) = VSL – Net Costs.

72 We have revised the estimated SWD maneuver preparing for and executing the maneuvers, $2,000 and $3,000 for other miscellaneous preparations costs from the PRIA. In the PRIA, the estimated cost for executing FMVSS No. 121 brake burnish test, and required equipment. for SWD is $15,000 which included $10,000 for

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F. Comparison of Regulatory truck tractors and large buses, our plans and the agency’s estimates of ESC Alternatives research has concluded that RSC and RSC system adoption rates between systems are less effective than ESC 2012 and 2018. The agency considered two systems. An RSC system is only slightly A summary of the cost effectiveness of alternatives to this final rule. The first less effective at preventing rollover RSC systems is set forth in Table 16. alternative was requiring RSC systems crashes than an ESC system, but it is When comparing this alternative to this be installed on all newly manufactured much less effective at preventing loss- final rule, requiring RSC systems rather truck tractors and buses covered by this of-control crashes. However, RSC than ESC systems would be slightly final rule. The second alternative was systems are estimated to cost less than more cost effective. However, this requiring RSC systems be installed on ESC systems. Furthermore, only alternative would save fewer lives and all newly manufactured trailers. approximately 44.8% of truck tractors have lower net benefits than this final Regarding the first alternative, will be required to install RSC systems rule. Consequently, the agency has requiring RSC systems be installed on based on data regarding manufacturers’ rejected this alternative.

TABLE 16—SUMMARY OF COST-EFFECTIVENESS AND NET BENEFITS BY DISCOUNT RATE ALTERNATIVE 1—REQUIRING TRACTOR-BASED RSC SYSTEMS [2013 $]

3% Discount 7% Discount Low High Low High

Fatal Equivalents ...... 25 35 20 28 Societal Economic Savings—Crashworthiness...... $14,708,167 $20,700,276 $11,655,804 $16,404,380 Congestion and Property Damage ...... 6,694,636 9,378,093 5,305,308 7,431,871 Total Societal Economic Savings (1) ...... 21,402,803 30,078,369 16,961,112 23,836,251 VSL ...... 260,249,473 363,828,274 203,416,130 284,375,367 Total Monetized Savings (2) ...... 281,652,276 393,906,643 220,377,242 308,211,618 Vehicle Costs * ...... 26,406,495 26,406,495 26,406,495 26,406,495 Net Costs (3) ...... 5,003,692 ¥3,671,874 9,445,383 2,570,244 Net Cost Per Fatal Equivalent (4) ...... 200,148 N/A 472,269 91,794 Net Benefits (5) ...... 255,245,781 367,500,148 193,970,747 281,805,123 * Vehicle costs are not discounted, since they occur when the vehicle is purchased, whereas benefits occur over the vehicle’s lifetime and are discounted back to the time of purchase. (1) = Societal Economic Savings ¥ Crashworthiness + VSL Savings. (2) = Societal Economic Savings + VSL. (3) = Vehicle Costs ¥ Total Societal Economic Savings; Cost per equivalent life saved is not presented where the alternative results in nega- tive net cost because there would be no cost per equivalent life saved. (4) = Net Costs/Fatal Equivalents. (5) = VSL ¥ Net Costs.

The second alternative considered turn test maneuver, the benefits of Table 17 sets forth a summary of the was requiring trailer-based RSC systems trailer-based RSC systems in preventing cost effectiveness of trailer-based RSC to be installed on all newly rollover are about 17.6 percent of systems. Because the operational life of manufactured trailers. Trailer-based tractor-based ESC systems, a trailer (approximately 45 years) is RSC systems are only expected to corresponding to an effectiveness rate of much longer than that of a truck tractor, prevent rollover crashes. Based on 7 to 10 percent. it would take longer for trailer-based 2006–2012 GES data, 98 percent of the The agency estimates that about RSC systems to fully penetrate the fleet target truck-tractor crashes involve truck 217,000 new trailers are manufactured than it would for any tractor-based each year. Further, based on information tractors with trailers attached. system. Therefore, when the benefits of Therefore, the base crash population is from manufacturers, the agency trailer-based RSC systems are 98 percent of Base 1 discussed above. estimates that a trailer-based RSC As discussed in the NPRM, it became system costs $400 per trailer. Available discounted at a 3 and 7 percent rate, apparent during testing that trailer- data indicates that as much as 5 percent there is a much higher discount factor. based stability control systems were less of the current annual production of As can be seen in Table 17, this results effective than tractor-based systems trailers comes with RSC systems in this alternative having negative net because trailer-based systems could installed. Assuming all new trailers benefits and a high cost per life saved. only control the trailer’s brakes. Based would be required to install RSC, the Also, this alternative would have no upon the agency’s testing of trailer- cost of this alternative is estimated to be effect on buses. Accordingly, the agency based RSC systems using a 150-foot J- $74.7 million. has rejected this alternative.

TABLE 17—SUMMARY OF COST-EFFECTIVENESS AND NET BENEFITS BY DISCOUNT RATE ALTERNATIVE 2—REQUIRING TRAILER-BASED RSC SYSTEMS [2013 $]

3% Discount 7% Discount Low High Low High

Fatal Equivalents ...... 3 3 2 2

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TABLE 17—SUMMARY OF COST-EFFECTIVENESS AND NET BENEFITS BY DISCOUNT RATE—Continued ALTERNATIVE 2—REQUIRING TRAILER-BASED RSC SYSTEMS [2013 $]

3% Discount 7% Discount Low High Low High

Societal Economic Savings—Crashworthiness ...... $1,571,042 $2,036,588 $1,057,467 $1,370,825 Congestion and Property Damage ...... 684,213 938,236 460,543 631,526 Total Societal Economic Savings (1) ...... 2,255,255 2,974,824 1,518,010 2,002,351 VSL ...... 30,196,954 39,659,995 19,696,851 25,869,398 Total Monetized Savings (2) ...... 32,452,209 42,634,819 21,214,861 27,871,749 Vehicle Costs * ...... 74,734,800 74,734,800 74,734,800 74,734,800 Net Costs (3) ...... 72,479,545 71,759,976 73,216,790 72,732,449 Net Cost Per Fatal Equivalent (4) ...... 24,159,848 23,919,992 36,608,395 36,366,225 Net Benefits (5) ...... ¥42,282,591 ¥32,099,981 ¥53,519,939 ¥46,863,051 * Vehicle costs are not discounted, since they occur when the vehicle is purchased, whereas benefits occur over the vehicle’s lifetime and are discounted back to the time of purchase. (1) = Societal Economic Savings ¥ Crashworthiness + VSL Savings. (2) = Societal Economic Savings + VSL. (3) = Vehicle Costs ¥ Total Societal Economic Savings; negative means benefits are greater than the cost. (4) = Net Costs/Fatal Equivalents. (5) = VSL ¥ Net Costs.

XV. Regulatory Analyses and Notices justified. We seek to ensure that this technology and the additional coordination will also simplify the equipment necessary for an ESC system A. Executive Order 12866, Executive implementation of multiple are sensors that are already available Order 13563, and DOT Regulatory requirements on a single industry. and that can be installed without Policies and Procedures NHTSA’s Motorcoach Safety Action significant effect on other vehicle NHTSA has considered the impact of Plan identified four priority areas— systems. Further, we estimate that 80 this rulemaking action under Executive passenger ejection, rollover structural percent of the affected buses already Order 12866, Executive Order 13563, integrity, emergency egress, and fire have ESC systems. We realize that a and the Department of Transportation’s safety. There have been other initiatives rollover structural integrity rulemaking, regulatory policies and procedures. This on large bus performance, such as ESC or an emergency egress rulemaking, rulemaking is considered economically systems—an action included in the DOT could involve more redesign of vehicle significant and was reviewed by the plan—and an initiative to update the structure than rules involving systems Office of Management and Budget under large bus tire standard.73 In deciding such as seat belts, ESC, or tires.74 Our E.O. 12866, ‘‘Regulatory Planning and how best to initiate and coordinate decision-making in these and all the Review.’’ The rulemaking action has rulemaking in these areas, NHTSA rulemakings outlined in the ‘‘NHTSA’s also been determined to be significant examined various factors including the Approach to Motorcoach Safety’’ plan, under the Department’s regulatory benefits that would be achieved by the DOT’s Motorcoach Safety Action Plan, policies and procedures. NHTSA has rulemakings, the anticipated vehicle and the Motorcoach Enhanced Safety placed in the docket a Final Regulatory designs and countermeasures needed to Act will be cognizant of the timing and Impact Analysis (FRIA) describing the comply with the regulations, and the content of the actions so as to simplify benefits and costs of this rulemaking extent to which the timing and content requirements applicable to the public action. The benefits and costs are of the rulemakings could be coordinated and private sectors, ensure that summarized in section XIV of this to lessen the need for multiple redesign requirements are justified, and increase preamble. and to lower overall costs. After this the net benefits of the resulting safety Consistent with Executive Order examination, we decided on a course of standards. 13563 and to the extent permitted under action that prioritized the goal of B. Regulatory Flexibility Act the Vehicle Safety Act, we have reducing passenger ejection and Pursuant to the Regulatory Flexibility considered the cumulative effects of the increasing frontal impact protection Act (5 U.S.C. 601 et seq., as amended by new regulations stemming from because many benefits could be the Small Business Regulatory NHTSA’s 2007 ‘‘NHTSA’s Approach to achieved expeditiously with Enforcement Fairness Act (SBREFA) of Motorcoach Safety’’ plan, DOT’s 2009 countermeasures that were readily 1996), whenever an agency is required Motorcoach Safety Action Plan, and the available (using bus seats with integral to publish a notice of rulemaking for Motorcoach Enhanced Safety Act, and seat belts, which are already available any proposed or final rule, it must have taken steps to identify from seat suppliers) and whose prepare and make available for public opportunities to harmonize and installation would not significantly comment a regulatory flexibility streamline those regulations. By impact other vehicle designs. Similarly, analysis that describes the effect of the coordinating the timing and content of we have also determined that an ESC rule on small entities (i.e., small the rulemakings, our goal is to rulemaking presents relatively few businesses, small organizations, and expeditiously maximize the net benefits synchronization issues with other rules, small governmental jurisdictions). The of the regulations (by either increasing because the vehicles at issue already Small Business Administration’s benefits or reducing costs or a have the foundation braking systems needed for the stability control combination of the two) while 74 The initiative on fire safety is in a research simplifying requirements on the public phase. Rulemaking resulting from the research will and ensuring that the requirements are 73 75 FR 60037 (Sept. 29, 2010). not occur in the near term.

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regulations at 13 CFR part 121 define a officials or the preparation of a Pursuant to Executive Order 13132 small business, in part, as a business federalism summary impact statement. and 12988, NHTSA has considered entity ‘‘which operates primarily within The final rule will not have ‘‘substantial whether this rule could or should the United States.’’ (13 CFR 121.105(a)). direct effects on the States, on the preempt State common law causes of No regulatory flexibility analysis is relationship between the national action. The agency’s ability to announce required if the head of an agency government and the States, or on the its conclusion regarding the preemptive certifies the rule will not have a distribution of power and effect of one of its rules reduces the significant economic impact on a responsibilities among the various likelihood that preemption will be an substantial number of small entities. levels of government.’’ issue in any subsequent tort litigation. SBREFA amended the Regulatory NHTSA rules can preempt in two To this end, the agency has examined Flexibility Act to require Federal ways. First, the National Traffic and the nature (e.g., the language and agencies to provide a statement of the Motor Vehicle Safety Act contains an structure of the regulatory text) and factual basis for certifying that a rule express preemption provision: When a objectives of this rule and finds that this will not have a significant economic motor vehicle safety standard is in effect rule, like many NHTSA rules, prescribes impact on a substantial number of small under this chapter, a State or a political only a minimum safety standard. As entities. subdivision of a State may prescribe or such, NHTSA does not intend that this NHTSA has considered the effects of continue in effect a standard applicable rule preempt state tort law that would this final rule under the Regulatory to the same aspect of performance of a effectively impose a higher standard on Flexibility Act. I certify that this final motor vehicle or motor vehicle motor vehicle manufacturers than that rule will not have a significant equipment only if the standard is established by this rule. Establishment economic impact on a substantial identical to the standard prescribed of a higher standard by means of State number of small entities. This final rule under this chapter. 49 U.S.C. tort law would not conflict with the will directly impact manufacturers of 30103(b)(1). It is this statutory command minimum standard announced here. truck-tractors, large buses, and stability by Congress that preempts any non- Without any conflict, there could not be control systems for those vehicles. It identical State legislative and any implied preemption of a State will indirectly affect purchasers of new administrative law addressing the same common law tort cause of action. truck-tractors and large buses, which aspect of performance. D. Executive Order 12988 (Civil Justice include both fleets and owner-operators. The express preemption provision Reform) NHTSA believes the entities directly described above is subject to a savings affected by this rule do not qualify as clause under which ‘‘[c]ompliance with With respect to the review of the small entities. Inasmuch as some a motor vehicle safety standard promulgation of a new regulation, second-stage manufacturers of certain prescribed under this chapter does not section 3(b) of Executive Order 12988, body-on-frame buses that are subject to exempt a person from liability at ‘‘Civil Justice Reform’’ (61 FR 4729; Feb. this final rule are small businesses, this common law.’’ 49 U.S.C. 30103(e). 7, 1996), requires that Executive final rule will not substantially affect Pursuant to this provision, State agencies make every reasonable effort to those small businesses. The small common law tort causes of action ensure that the regulation: (1) clearly manufacturers that may be affected by against motor vehicle manufacturers specifies the preemptive effect; (2) this rule are final stage manufacturers that might otherwise be preempted by clearly specifies the effect on existing that purchase incomplete vehicles from the express preemption provision are Federal law or regulation; (3) provides other large manufacturers and complete generally preserved. However, the a clear legal standard for affected the manufacturing process. The Supreme Court has recognized the conduct, while promoting simplification incomplete vehicle manufacturers, possibility, in some instances, of and burden reduction; (4) clearly which we do not believe are small implied preemption of such State specifies the retroactive effect, if any; (5) businesses, typically certify compliance common law tort causes of action by specifies whether administrative with all braking-related standards and virtue of NHTSA’s rules, even if not proceedings are to be required before we believe ESC would be included expressly preempted. This second way parties file suit in court; (6) adequately among those. The sole effect on the final that NHTSA rules can preempt is defines key terms; and (7) addresses stage manufacturers is a marginal dependent upon there being an actual other important issues affecting clarity increase in the cost of incomplete conflict between an FMVSS and the and general draftsmanship under any vehicles due to the addition of ESC higher standard that would effectively guidelines issued by the Attorney systems. This additional cost is very be imposed on motor vehicle General. This document is consistent small relative to the average cost of manufacturers if someone obtained a with that requirement. buses subject to this final rule ($200,000 State common law tort judgment against Pursuant to this Order, NHTSA notes to $500,000), and the costs would likely the manufacturer, notwithstanding the as follows. The issue of preemption is ultimately be passed on to the final manufacturer’s compliance with the discussed above. NHTSA notes further purchaser. NHTSA standard. Because most NHTSA that there is no requirement that standards established by an FMVSS are individuals submit a petition for C. Executive Order 13132 (Federalism) minimum standards, a State common reconsideration or pursue other NHTSA has examined this final rule law tort cause of action that seeks to administrative proceedings before they pursuant to Executive Order 13132 (64 impose a higher standard on motor may file suit in court. FR 43255, August 10, 1999) and vehicle manufacturers will generally not concluded that no additional be preempted. However, if and when E. Protection of Children From consultation with States, local such a conflict does exist—for example, Environmental Health and Safety Risks governments or their representatives is when the standard at issue is both a Executive Order 13045, ‘‘Protection of mandated beyond the rulemaking minimum and a maximum standard— Children from Environmental Health process. The agency has concluded that the State common law tort cause of and Safety Risks’’ (62 FR 19855, April the rulemaking will not have sufficient action is impliedly preempted. See 23, 1997), applies to any rule that: (1) federalism implications to warrant Geier v. American Honda Motor Co., is determined to be ‘‘economically consultation with State and local 529 U.S.C. 861 (2000). significant’’ as defined under Executive

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Order 12866, and (2) concerns an (with minor modifications) SAE Surface I. National Environmental Policy Act environmental, health, or safety risk that Vehicle Information Report on NHTSA has analyzed this rulemaking the agency has reason to believe may Automotive Stability Enhancement action for the purposes of the National have a disproportionate effect on Systems J2564 JUN2004 that provides Environmental Policy Act. The agency children. If the regulatory action meets an industry consensus definition of an has determined that implementation of both criteria, the agency must evaluate ESC system. In addition, SAE this action will not have any significant the environmental health or safety International has a Recommended impact on the quality of the human effects of the planned rule on children, Practice on Brake Systems Definitions— environment. and explain why the planned regulation Truck and Bus, J2627 AUG2009 that has is preferable to other potentially been incorporated into the agency’s J. Incorporation by Reference effective and reasonably feasible definition. As discussed earlier in the relevant alternatives considered by the agency. The agency based the performance portions of this document, we are This document is part of a rulemaking requirement (with modifications) on incorporating by reference various that is not expected to have a SAE Surface Vehicle Recommended materials into the Code of Federal disproportionate health or safety impact Practice J266 JAN96, Steady-State Regulations in this rulemaking. The on children. Consequently, no further Directional Control Test Procedures for standards we are incorporating are: analysis is required under Executive Passenger Cars and Light Trucks. UN • ASTM E1136–93 (Reapproved Order 13045. ECE Regulation 13 also allows the J- 2003), ‘‘Standard Specification for a Turn test maneuver as one option to be F. Paperwork Reduction Act Radial Standard Reference Test Tire,’’ used for demonstrating proper function approved March 15, 1993. Under the Paperwork Reduction Act of an ESC system. • ASTM E1337–90 (Reapproved of 1995 (PRA), a person is not required The agency has also incorporated by 2008), ‘‘Standard Test Method for to respond to a collection of information reference two ASTM standards in order Determining Longitudinal Peak Braking by a Federal agency unless the to provide specifications for the road Coefficient of Paved Surfaces Using a collection displays a valid OMB control test surface. These are: (1) ASTM Standard Reference Test Tire,’’ number. There is not any information E1136–93 (Reapproved 2003), approved June 1, 2008. collection requirement associated with ‘‘Standard Specification for a Radial Under 5 U.S.C. 552(a)(1)(E), Congress this final rule. Standard Reference Test Tire,’’ and (2) allows agencies to incorporate by ASTM E1337–90 (Reapproved 2008), G. National Technology Transfer and reference materials that are reasonably ‘‘Standard Test Method for Determining Advancement Act available to the class of persons affected Longitudinal Peak Braking Coefficient of if the agency has approval from the Section 12(d) of the National Paved Surfaces Using a Standard Director of the Federal Register. As a Technology Transfer and Advancement Reference Test Tire.’’ part of that approval process, the Act (NTTAA) requires NHTSA to H. Unfunded Mandates Reform Act Director of the Federal Register (in 1 evaluate and use existing voluntary CFR 51.5) directs agencies to discuss (in consensus standards in its regulatory Section 202 of the Unfunded the preamble) the ways that the activities unless doing so would be Mandates Reform Act of 1995 (UMRA) materials we are incorporating by inconsistent with applicable law (e.g., requires federal agencies to prepare a reference are reasonably available to the statutory provisions regarding written assessment of the costs, benefits, interested parties. Further the Director NHTSA’s vehicle safety authority) or and other effects of proposed or final requires agencies to summarize the otherwise impractical. Voluntary rules that include a Federal mandate material that they are incorporating consensus standards are technical likely to result in the expenditure by [proposing to incorporate] by reference. standards developed or adopted by State, local, or tribal governments, in the NHTSA has worked to ensure that voluntary consensus standards bodies. aggregate, or by the private sector, of standards being considered for Technical standards are defined by the more than $100 million annually incorporation by reference are NTTAA as ‘‘performance-based or (adjusted for inflation with base year of reasonably available to the class of design-specific technical specification 1995). Before promulgating a rule for persons affected. In this case, those and related management systems which a written statement is needed, directly affected by incorporated practices.’’ They pertain to ‘‘products section 205 of the UMRA generally provisions are NHTSA and parties and processes, such as size, strength, or requires the agency to identify and contracting with NHTSA to conduct technical performance of a product, consider a reasonable number of testing of new vehicles. New vehicle process or material.’’ regulatory alternatives and adopt the manufacturers may also be affected to Examples of organizations generally least costly, most cost-effective, or least the extent they wish to conduct regarded as voluntary consensus burdensome alternative that achieves NHTSA’s compliance test procedures on standards bodies include ASTM the objectives of the rule. The their own vehicles. These entities have International, SAE International (SAE), provisions of section 205 do not apply access to copies of aforementioned and the American National Standards when they are inconsistent with standards through ASTM International Institute (ANSI). If NHTSA does not use applicable law. Moreover, section 205 for a reasonable fee. These entities have available and potentially applicable allows the agency to adopt an the financial capability to obtain a copy voluntary consensus standards, we are alternative other than the least costly, of the material incorporated by required by the Act to provide Congress, most cost-effective, or least burdensome reference. through OMB, an explanation of the alternative if the agency publishes with Other interested parties in the reasons for not using such standards. the final rule an explanation of why that rulemaking process beyond the class This final rule requires truck tractors alternative was not adopted. affected by the regulation include and large buses to have electronic This final rule will not result in any members of the public, safety advocacy stability control systems. In the expenditure by State, local, or tribal groups, etc. Such interested parties can definitional criteria, the agency adapted governments or the private sector of access the standard by obtaining a copy the criteria based on the light vehicle more than $100 million, adjusted for from the aforementioned standards ESC rulemaking, which was based on inflation. development organizations.

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Interested parties may also access the Agenda in April and October of each Authority: 49 U.S.C. 322, 30111, 30115, standards through NHTSA or the year. You may use the RIN contained in 30166 and 30177; delegation of authority at National Archives and Records the heading at the beginning of this 49 CFR 1.95. Administration (NARA). All approved document to find this action in the material is available for inspection at Unified Agenda. ■ 2. Revise paragraphs (d)(33) and (34) NHTSA, 1200 New Jersey Avenue SE., of § 571.5 to read as follows: Washington, DC 20590, and at the L. Privacy Act § 571.5 Matter incorporated by reference. National Archives and Records Anyone is able to search the Administration (NARA). For electronic form of all comments * * * * * information on the availability of this received into any of our dockets by the (d) * * * material at NHTSA, contact NHTSA’s name of the individual submitting the (33) ASTM E1136–93 (Reapproved Office of Technical Information comment (or signing the comment, if 2003), ‘‘Standard Specification for a Services, phone number (202) 366– submitted on behalf of an association, 2588. For information on the availability business, labor union, etc.). You may Radial Standard Reference Test Tire,’’ of this material at NARA, call (202) 741– review DOT’s complete Privacy Act approved March 15, 1993, into 6030, or go to: http://www.archives.gov/ Statement in the Federal Register §§ 571.105; 571.121; 571.122; 571.126; federal-register/cfr/ibr-locations.html. published on April 11, 2000 (65 FR 571.135; 571.136; 571.139; 571.500. Finally, we have also described and 19477–78). (34) ASTM E1337–90 (Reapproved summarized the materials that we are 2008), ‘‘Standard Test Method for List of Subjects in 49 CFR Part 571 incorporating by reference in this Determining Longitudinal Peak Braking document to give all interested parties Imports, Incorporation by reference, Coefficient of Paved Surfaces Using a an effective opportunity to comment. Motor vehicle safety, Motor vehicles, Standard Reference Test Tire,’’ The materials were previously Rubber and rubber products, Tires. approved June 1, 2008, into §§ 571.105; discussed in section XI.G. Regulatory Text 571.121; 571.122; 571.126; 571.135; K. Regulatory Identifier Number (RIN) In consideration of the foregoing, we 571.136; 571.500. amend 49 CFR part 571 as follows: The Department of Transportation * * * * * assigns a regulation identifier number PART 571—FEDERAL MOTOR ■ 3. Revise Table 1 of § 571.101 to read (RIN) to each regulatory action listed in VEHICLE SAFETY STANDARDS as follows: the Unified Agenda of Federal Regulations. The Regulatory Information ■ 1. The authority citation for part 571 § 571.101 Standard No. 101; Controls and Service Center publishes the Unified continues to read as follows: displays.

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Table 1 Controls, Telltales, and Indicators With Illumination or Color Requirements 1

Column 1 Column 2 Column3 Column 4 Column 5 Column 6 ITEM SYMBOL WORDS OR FUNCTION ILLUMIN- COLOR ABBRE- ATION VIATIONS

Highbeam 2 Blue or ------Telltale ------~D Green 4 3, 5

Turn signals 2 Control ------¢r:> ------3, 6 Telltale ------Green 4

Hazard warning signal Hazard Control Yes ------

3 A 7 ------Telltale ------

Position, side marker, end- Marker Lamps outline marker, identification, ;oa:. or Control Yes ------or clearance lamps .,...... 3,8 MKLps 8

Windshield wiping system Wiper or Control Yes ------Q Wipe

Windshield washing system Washer (!) or Control Yes ------I Wash

Windshield washing and wiping Washer-Wiper system combined or Control Yes ------~ Wash-Wipe

Windshield defrosting and Defrost, Defog, defogging system or Control Yes ------~ De f.

Rear window defrosting and Rear Defrost, defogging system Rear Defog, Control Yes ------Ci1 Rear Def., or R-Def.

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Column 1 Column 2 Column3 Column 4 Column 5 Column 6 ITEM SYMBOL WORDS OR FUNCTION ILLUMIN- COLOR ABBRE- ATION VIATIONS

Brake system malfunction ------Brake Telltale ------Red 4

Antilock brake system Antilock, malfunction for vehicles subject ------Anti-lock, or Telltale ------Yellow to FMVSS 105 or 135 ABS 9

Malfunction in Variable Brake Brake Proportioning System ------Telltale ------Yellow Proportioning 9

Regenerative brake system RBSor malfunction ------Telltale ------Yellow ABS/RBS 9

Malfunction in antilock system ABS for vehicles other than trailers ------or Telltale ------Yellow subject to FMVSS 121 Antilock 9

Antilock brake system trailer Trailer ABS fault for vehicles subject to or Telltale ------Yellow FMVSS 121 ta00 Trailer Antilock

Brake pressure (for vehicles subject to FMVSS ------Brake Pressure 9 Telltale ------Red 4 105 or 135)

Low brake fluid condition 4 (for vehicles subject to FMVSS ------Brake Fluid 9 Telltale ------Red 105 or 135)

Parking brake applied Park or (for vehicles subject to FMVSS ------Telltale ------Red 4 Parking Brake 105 or 135) 9

Brake lining wear-out condition 4 (for vehicles subject to FMVSS ------Brake Wear 9 Telltale ------Red 135)

Electronic Stability Control System Malfunction (for vehicles subject to FMVSS 1j ESC 12 Telltale ------Yellow 126) lO,ll

Electronic Stability Control ESC OFF Control Yes ------... I

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Column 1 Column 2 Column3 Column 4 Column 5 Column 6 ITEM SYMBOL WORDS OR FUNCTION ILLUMIN- COLOR ABBRE- ATION VIATIONS

System "OFF" (for vehicles subject to FMVSS Telltale ------Yellow 126) 10

Electronic Stability Control System Malfunction (for vehicles subject to FMVSS IS 136) 11 or

ESC Telltale ------Yellow ~~ or ii <"<* Fuel Level ~ Telltale ------or Fuel ~ Indicator Yes ------

Engine oil pressure Telltale ------c:e:tl Oil 13 Indicator Yes ------Engine coolant temperature _J=_ Telltale ------...... Temp 13 Indicator Yes ------

Electrical charge Volts or Telltale ------E:!J Charge or Amp Indicator Yes ------

Engine stop ------Engine Stop 14 Control Yes ------

Automatic vehicle speed (cruise control) ------Control Yes ------

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Column 1 Column 2 Column3 Column 4 Column 5 Column 6 ITEM SYMBOL WORDS OR FUNCTION ILLUMIN- COLOR ABBRE- ATION VIATIONS

Speedometer MPH,orMPH ------Indicator Yes ------andkm/h 15

Heating and Air conditioning system ------Control Yes ------

Automatic (park) p transmission (reverse) R control (neutral) ------N Indicator Yes ------position (drive) D 16

Heating and/or air conditioning fan , or Fan Control Yes ------tJa Low Tire Pressure

(including malfunction) Low Tire 17 Telltale ------Yellow (See FMVSS 138) (l) 17

Low Tire Pressure (including malfunction that identifies involved tire) Low Tire 17 Telltale ------Yellow (See FMVSS 138) fl 17 Tire Pressure Monitoring System Malfunction ------TPMS 17, 19 Telltale ------Yellow (See FMVSS 138) 18

Notes: 1 An identifier is shown in this table if it is required for a control for which an illumination requirement exists or if it is used for a telltale for which a color requirement exists. If a line appears in column 2 and column 3, the control, telltale, or indicator is required to be identified, however the form of the identification is the manufacturer's option. Telltales are not considered to have an illumination requirement, because by defmition the telltale must light when the condition for its activation exists. 2 Additional requirements in FMVSS 108. 3 Framed areas of the symbol may be solid; solid areas may be framed. 4 Blue may be blue-green. Red may be red-orange. 5 Symbols employing four lines instead of five may also be used. 6 The pair of arrows is a single symbol. When the controls or telltales for left and right turn operate independently, however, the two arrows may be considered separate symbols and be spaced accordingly. 7 Not required when arrows of turn signal telltales that otherwise operate independently flash simultaneously as hazard warning telltale. 8 Separate identification is not required if function is combined with master lighting switch.

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* * * * * (b) Perimeter-seating buses; (6) It has a means to estimate vehicle ■ 4. Revise the heading of § 571.126 to (c) Transit buses; mass or, if applicable, combination read as follows: (d) Any bus equipped with an axle vehicle mass; that has a gross axle weight rating of (7) It has a means to monitor driver § 571.126 Standard No. 126; Electronic steering inputs; stability control systems for light vehicles. 13,154 kilograms (29,000 pounds) or more; and (8) It has a means to modify engine * * * * * torque, as necessary, to assist the driver (e) Any bus that has a speed attainable ■ 5. Add § 571.136 to read as follows: in maintaining control of the vehicle in 3.2 km (2 miles) of not more than 53 and/or combination vehicle; and § 571.136 Standard No. 136; Electronic km/h (33 mph.) (9) When installed on a truck tractor, stability control systems for heavy vehicles. S4 Definitions. it has the means to provide brake S1 Scope. This standard establishes Ackerman Steer Angle means the pressure to automatically apply and performance and equipment angle whose tangent is the wheelbase modulate the brake torques of a towed requirements for electronic stability divided by the radius of the turn at a trailer. control (ESC) systems on heavy very low speed. ESC service brake application means vehicles. Electronic stability control system or the time when the ESC system applies S2 Purpose. The purpose of this ESC system means a system that has all a service brake pressure at any wheel for standard is to reduce crashes caused by of the following attributes: a continuous duration of at least 0.5 rollover or by directional loss-of-control. (1) It augments vehicle directional second of at least 34 kPa (5 psi) for air- S3 Application. This standard applies stability by having the means to apply braked systems and at least 172 kPa (25 to the following vehicles: and adjust the vehicle brake torques psi) for hydraulic-braked systems. S3.1 Truck tractors with a gross individually at each wheel position on Initial brake temperature means the vehicle weight rating of greater than at least one front and at least one rear average temperature of the service 11,793 kilograms (26,000 pounds). axle of the truck tractor or bus to induce brakes on the hottest axle of the vehicle However, it does not apply to: correcting yaw moment to limit vehicle immediately before any stability control (a) Any truck tractor equipped with oversteer and to limit vehicle system test maneuver is executed. an axle that has a gross axle weight understeer; Lateral acceleration means the rating of 13,154 kilograms (29,000 component of the vector acceleration of (2) It enhances rollover stability by pounds) or more; a point in the vehicle perpendicular to having the means to apply and adjust (b) Any truck tractor that has a speed the vehicle x-axis (longitudinal) and the vehicle brake torques individually at attainable in 3.2 km (2 miles) of not parallel to the road plane. each wheel position on at least one front more than 53 km/h (33 mph); and Oversteer means a condition in which and at least one rear axle of the truck (c) Any truck tractor that has a speed the vehicle’s yaw rate is greater than the tractor or bus to reduce lateral attainable in 3.2 km (2 miles) of not yaw rate that would occur at the acceleration of a vehicle; more than 72 km/h (45 mph), an vehicle’s speed as result of the unloaded vehicle weight that is not less (3) It is computer-controlled with the Ackerman Steer Angle. than 95 percent of its gross vehicle computer using a closed-loop algorithm Over-the-road bus means a bus weight rating, and no capacity to carry to induce correcting yaw moment and characterized by an elevated passenger occupants other than the driver and enhance rollover stability; deck located over a baggage operating crew. (4) It has a means to determine the compartment, except a school bus. S3.2 Buses with a gross vehicle vehicle’s lateral acceleration; Peak friction coefficient or PFC means weight rating of greater than 11,793 (5) It has a means to determine the the ratio of the maximum value of kilograms (26,000 pounds). However, it vehicle’s yaw rate and to estimate its braking test wheel longitudinal force to does not apply to side slip or side slip derivative with the simultaneous vertical force (a) School buses; respect to time; occurring prior to wheel lockup, as the

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braking torque is progressively remain within the lane between the start S5.4.2 The ESC malfunction telltale increased. gate (0 degrees of radius arc angle) and must be identified by the symbol shown Perimeter-seating bus means a bus the end gate (120 degrees of radius arc for ‘‘Electronic Stability Control System with 7 or fewer designated seating angle) during at least two of the four test Malfunction’’ or the specified words or positions rearward of the driver’s runs. abbreviations listed in Table 1 of seating position that are forward-facing S5.3.2 Engine Torque Reduction. Standard No. 101 (§ 571.101). or can convert to forward-facing without During each series of four consecutive S5.4.3 The ESC malfunction telltale the use of tools and is not an over-the- test runs for the determination of engine must be activated as a check-of-lamp road bus. torque reduction (see S7.7.2), the function either when the ignition Side slip or side slip angle means the vehicle must satisfy the criteria of locking system is turned to the ‘‘On’’ arctangent of the lateral velocity of the S5.3.2.1 and S5.3.2.2 during at least two (‘‘Run’’) position when the engine is not center of gravity of the vehicle divided of the four test runs. running, or when the ignition locking by the longitudinal velocity of the S5.3.2.1 The ESC system must system is in a position between the center of gravity. reduce the driver-requested engine ‘‘On’’ (‘‘Run’’) and ‘‘Start’’ that is Snub means the braking deceleration torque by at least 10 percent for a designated by the manufacturer as a of a vehicle from a higher speed to a minimum continuous duration of 0.5 check-light position. lower speed that is greater than zero. second during the time period from 1.5 S5.4.4 The ESC malfunction telltale Stop-request system means a vehicle- seconds after the vehicle crosses the need not be activated when a starter integrated system for passenger use to start gate (0 degree of radius arc angle) interlock is in operation. signal to a vehicle operator that they are to when it crosses the end gate S5.4.5 The ESC malfunction telltale requesting a stop. (120 degrees of radius arc angle). lamp must extinguish at the next Transit bus means a bus that is S5.3.2.2 The wheels of the truck ignition cycle after the malfunction has equipped with a stop-request system tractor or bus must remain within the been corrected. sold for public transportation provided lane between the start gate (0 degrees of S5.4.6 The manufacturer may use by, or on behalf of, a State or local radius arc angle) and the end gate (120 the ESC malfunction telltale in a government and that is not an over-the- degrees of radius arc angle). flashing mode to indicate ESC road bus. S5.3.3 Roll Stability Control Test. operation. Understeer means a condition in During each series of eight consecutive S6 Test Conditions. The which the vehicle’s yaw rate is less than test runs for the determination of roll requirements of S5 must be met by a the yaw rate that would occur at the stability control (see S7.7.3) conducted vehicle when it is tested according to vehicle’s speed as result of the at the same entrance speed, the vehicle the conditions set forth in the S6, Ackerman Steer Angle. must satisfy the criteria of S5.3.3.1, without replacing any brake system part Yaw Rate means the rate of change of S5.3.3.2, S5.3.3.3, and S5.3.3.4 during at or making any adjustments to the ESC the vehicle’s heading angle measure in least six of the eight consecutive test system except as specified. On vehicles degrees per second of rotation about a runs. equipped with automatic brake vertical axis through the vehicle’s center S5.3.3.1 The vehicle speed adjusters, the automatic brake adjusters of gravity. measured at 3.0 seconds after vehicle will remain activated at all times. S5 Requirements. Each vehicle must crosses the start gate (0 degrees of radius S6.1 Ambient Conditions. be equipped with an ESC system that arc angle) must not exceed 47 km/h (29 S6.1.1 The ambient temperature is meets the requirements specified in S5 mph). any temperature between 2 °C (35 °F) under the test conditions specified in S6 S5.3.3.2 The vehicle speed ° ° and the test procedures specified in S7 measured at 4.0 seconds after vehicle and 40 C (104 F). of this standard. crosses the start gate (0 degrees of radius S6.1.2 The maximum wind speed is S5.1 Required Equipment. Each arc angle) must not exceed 45 km/h (28 no greater than 5 m/s (11 mph). vehicle to which this standard applies mph). S6.2 Road Test Surface. must be equipped with an electronic S5.3.3.3 The wheels of the truck S6.2.1 The tests are conducted on a stability control system, as defined in tractor or bus must remain within the dry, uniform, solid-paved surface. S4. lane between the start gate (0 degrees of Surfaces with irregularities and S5.2 System Operational radius arc angle) and the end gate (120 undulations, such as dips and large Capabilities. degrees of radius arc angle). cracks, are unsuitable. S5.2.1 The ESC system must be S5.3.3.4 There must be ESC service S6.2.2 The road test surface operational over the full speed range of brake activation. produces a peak friction coefficient the vehicle except at vehicle speeds less S5.4 ESC Malfunction Detection. (PFC) of 0.9 when measured using an than 20 km/h (12.4 mph), when being Each vehicle must be equipped with an American Society for Testing and driven in reverse, or during system indicator lamp, mounted in front of and Materials (ASTM) E1136–93 initialization. in clear view of the driver, which is (Reapproved 2003) standard reference S5.2.2 The ESC must remain capable activated whenever there is a test tire, in accordance with ASTM of activation even if the antilock brake malfunction that affects the generation Method E 1337–90 (Reapproved 2008), system or traction control is also or transmission of control or response at a speed of 64.4 km/h (40 mph), activated. signals in the vehicle’s electronic without water delivery (both documents S5.3 Performance Requirements. stability control system. incorporated by reference, see § 571.5). S5.3.1 Lane Keeping During S5.4.1 Except as provided in S5.4.3 S6.2.3 The test surface has a Reference Speed Determination. During and S5.4.6, the ESC malfunction telltale consistent slope between 0% and 1%. each series of four consecutive test runs must illuminate only when a S6.2.4 J-Turn Test Maneuver Test conducted at the same entrance speed as malfunction exists and must remain Course. The test course for the J-Turn part of the test procedure to determine continuously illuminated for as long as test maneuver is used for the Reference the Preliminary Reference Speed and the malfunction exists, whenever the Speed Test in S7.7.1, the Engine Torque the Reference Speed (see S7.7.1), the ignition locking system is in the ‘‘On’’ Reduction Test in S7.7.2, and the Roll wheels of the truck tractor or bus must (‘‘Run’’) position. Stability Control Test in S7.7.3.

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S6.2.4.1 The test course consists of a straight section and is 4.3 meters (14 S6.2.4.4 Figure 1 shows the test straight entrance lane with a length of feet) for the curved section. course with the curved lane section 22.9 meters (75 feet) tangentially S6.2.4.3 The start gate is the tangent configured in the counter-clockwise connected to a curved lane section with point on the radius (the intersection of steering direction relative to the a radius of 45.7 meters (150 feet) the straight lane and the curved lane entrance lane. The course is also arranged with the curved lane section measured from the center of the lane. sections) and is designated as zero configured in the clockwise steering S6.2.4.2 For truck tractors, the lane degrees of radius of arc angle. The end direction relative to the entrance lane. width of the test course is 3.7 meters (12 gate is the point on the radius that is 120 The cones depicted in Figure 1 defining feet). For buses, the lane width of the degrees of radius arc angle measured the lane width are positioned solely for test course is 3.7 meters (12 feet) for the from the tangent point. illustrative purposes.

S6.3 Vehicle Conditions. bus is loaded with test driver, test any axle being exceeded or the GVWR S6.3.1 The ESC system is enabled for instrumentation, outriggers (see S6.3.6), of the bus being exceeded, simulated all testing, except for the ESC ballast, and a simulated occupant in occupant loads are removed until the malfunction test (see S7.8). each of the vehicle’s designated seating vehicle’s GVWR and all axles’ GAWR S6.3.2 All vehicle openings (doors, positions. The simulated occupant loads are no longer exceeded. windows, hood, trunk, cargo doors, etc.) are attained by securing 68 kilograms S6.3.4 Transmission and Brake are in a closed position except as (150 pounds) of ballast in each of the Controls. The transmission selector required for instrumentation purposes. test vehicle’s designated seating control is in a forward gear during all S6.3.3 Test Weight. positions. If the simulated occupant maneuvers. A vehicle equipped with an S6.3.3.1 Truck Tractors. A truck loads result in the bus being loaded to engine braking system that is engaged tractor is loaded to its GVWR by less than its GVWR, additional ballast is and disengaged by the driver is tested coupling it to a control trailer (see added to the bus in the following with the system disengaged. S6.3.5). The tractor is loaded with the manner until the bus is loaded to its S6.3.5 Control Trailer. test driver, test instrumentation, and an GVWR without exceeding any axle’s S6.3.5.1 The control trailer is an anti-jackknife system (see S6.3.8). GAWR: First, ballast is added to the unbraked, flatbed semi-trailer that has a S6.3.3.2 Buses. A bus is loaded with lowest baggage compartment; second, single axle with a GAWR of 8,165 kg ballast (weight) to its GVWR to simulate ballast is added to the floor of the (18,000 lb.). The control trailer has a a multi-passenger and baggage passenger compartment. If the simulated length of at least 6,400 mm (252 inches), configuration. For this configuration the occupant loads result in the GAWR of but no more than 7,010 mm (276

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inches), when measured from the between 66 °C (150 °F) and 204 °C appropriate for a speed of 64 km/h (40 transverse centerline of the axle to the (400 °F). mph), make 500 snubs between 64 km/ centerline of the kingpin (the point S6.3.12 Thermocouples. The brake h (40 mph) and 32 km/h (20 mph) at a where the trailer attaches to the truck temperature is measured by plug-type deceleration rate of 0.3g, or at the tractor). At the manufacturer’s option, thermocouples installed in the vehicle’s maximum deceleration rate if truck tractors with four or more axles approximate center of the facing length less than 0.3g. After each brake may use a control trailer with a length and width of the most heavily loaded application accelerate to 64 km/h (40 of more than 7,010 mm (276 inches), but shoe or disc pad, one per brake. A mph) and maintain that speed until no more than 13,208 mm (520 inches) second thermocouple may be installed making the next brake application at a when measured from the transverse at the beginning of the test sequence if point 1.6 km (1.0 mile) from the initial centerline of the axle to the centerline the lining wear is expected to reach a point of the previous brake application. of the kingpin. point causing the first thermocouple to If the vehicle cannot attain a speed of 64 S6.3.5.2 The location of the center of contact the rubbing surface of a drum or km/h (40 mph) in 1.6 km (1.0 mile), gravity of the ballast on the control rotor. The second thermocouple is continue to accelerate until the vehicle trailer is directly above the kingpin. The installed at a depth of 0.080 inch and reaches 64 km/h (40 mph) or until the height of the center of gravity of the located within 1.0 inch vehicle has traveled 2.4 km (1.5 miles) ballast on the control trailer is less than circumferentially of the thermocouple from the initial point of the previous 610 mm (24 inches) above the top of the installed at 0.040 inch depth. For brake application, whichever occurs tractor’s fifth-wheel hitch (the area center-grooved shoes or pads, first. The brakes may be adjusted up to where the truck tractor attaches to the thermocouples are installed within three times during the burnish trailer). 0.125 inch to 0.250 inch of the groove procedure, at intervals specified by the S6.3.5.3 The control trailer is and as close to the center as possible. vehicle manufacturer, and may be equipped with outriggers (see S6.3.6). S6.4 Selection of Compliance Options. adjusted at the conclusion of the S6.3.5.4 A truck tractor is loaded to its Where manufacturer options are burnishing, in accordance with the GVWR by placing ballast (weight) on the specified, the manufacturer must select vehicle manufacturer’s control trailer which loads the tractor’s the option by the time it certifies the recommendation. non-steer axles. The control trailer is vehicle and may not thereafter select a S7.4.1.2 Prior to executing the loaded with ballast without exceeding different option for the vehicle. Each performance tests in S7.7, the brakes are the GAWR of the trailer axle. If the manufacturer shall, upon request from conditioned using 40 brake application tractor’s fifth-wheel hitch position is the National Highway Traffic Safety snubs from a speed of 64 km/h (40 mph) adjustable, the fifth-wheel hitch is Administration, provide information to a speed of 32 km/h (20 mph), with adjusted to proportionally distribute the regarding which of the compliance a target deceleration of approximately load on each of the tractor’s axle(s), options it has selected for a particular 0.3g. After each brake application, according to each axle’s GAWR, without vehicle or make/model. accelerate to 64 km/h (40 mph) and exceeding the GAWR of any axle(s). If S7 Test Procedure. S7.1 Tire Inflation. maintain that speed until making the the fifth-wheel hitch position cannot be Inflate the vehicle’s tires as specified in next brake application at a point 1.6 km adjusted to prevent the load from S6.3.7. (1.0 mile) from the initial point of the exceeding the GAWR of the tractor’s S7.2 Telltale Lamp Check. With the previous brake application. axle(s), the ballast is reduced until the vehicle stationary and the ignition S7.4.2 Brake Temperature. Prior to axle load is equal to or less than the locking system in the ‘‘Lock’’ or ‘‘Off’’ testing or any time during testing, if the GAWR of the tractor’s rear axle(s), position, activate the ignition locking hottest brake temperature is above ° ° maintaining load proportioning as close system to the ‘‘On’’ (‘‘Run’’) position or, 204 C (400 F) a cool down period is as possible to specified proportioning. where applicable, the appropriate performed until the hottest brake S6.3.6 Outriggers. Outriggers are used position for the lamp check. The ESC temperature is measured within the for testing each vehicle. The outriggers system must perform a check-of-lamp range of 66°C–204°C (150 °F–400 °F). are designed with a maximum weight of function for the ESC malfunction Prior to testing or any time during 1,134 kg (2,500 lb.), excluding mounting telltale, as specified in S5.4.3. testing, if the hottest brake temperature fixtures. S7.3 Tire Conditioning. Condition the is below 66°C (150 °F) individual brake S6.3.7 Tires. The tires are inflated to tires to wear away mold sheen and stops are repeated to increase any one the vehicle manufacturer’s specified achieve operating temperature brake temperature to within the target pressure for the GVWR of the vehicle. immediately before beginning the J-Turn temperature range of 66°C–204°C S6.3.8 Truck Tractor Anti-Jackknife test runs. The test vehicle is driven (150 °F–400 °F) before a test maneuver System. A truck tractor is equipped with around a circle 150 feet (46 meters) in is performed. an anti-jackknife system that allows a radius at a speed that produces a lateral S7.5 Mass Estimation Cycle. Perform minimum articulation angle of 30 acceleration of approximately 0.1g for the mass estimation procedure for the degrees between the tractor and the two clockwise laps followed by two ESC system according to the control trailer. counterclockwise laps. manufacturer’s instructions. This S6.3.9 Special Drive Conditions. A S7.4 Brake Conditioning and procedure will be repeated if an ignition vehicle equipped with an interlocking Temperature. Conditioning and warm- cycle occurs or is needed at any time axle system or a front wheel drive up of the vehicle brakes are completed between the initiation and completion system that is engaged and disengaged before and monitored during the of S7.7. by the driver is tested with the system execution of the J-Turn test maneuver. S7.6 ESC System Malfunction Check. disengaged. S7.4.1 Brake Conditioning. Condition Check that the ESC system is enabled by S6.3.10 Liftable Axles. A vehicle with the brakes in accordance with S7.4.1.1 ensuring that the ESC malfunction one or more liftable axles is tested with and S7.4.1.2. telltale is not illuminated. the liftable axles down. S7.4.1.1 Prior to executing the J-Turn S7.7 J-Turn Test Maneuver. The truck S6.3.11 Initial Brake Temperature. test maneuver, the vehicle’s brakes are tractor or bus is subjected to multiple The initial brake temperature of the burnished as follows: With the series of test runs using the J-Turn test hottest brake for any performance test is transmission in the highest gear maneuver. The truck tractor or bus

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travels through the course by driving of each series conducted at the same (400 °F). If the hottest brake temperature down the entrance lane, crossing the entrance speed (within ±1.6 km/h (±1.0 is not between 66 °C (150 °F) and 204 start gate at the designated entrance mph)). The Reference Speed is °C (400 °F), the brake temperature is speed, turning through the curved lane determined for each direction: adjusted in accordance with S7.4.2. section, and crossing the end gate, while clockwise steering and counter- S7.7.3.2 During each test run, the the driver attempts to keep all of the clockwise steering. If ESC service brake driver will release the accelerator pedal wheels of the truck tractor or bus within application does not occur during at after the ESC system has slowed vehicle the lane. least two test runs of either series, the by more than 4.8 km/h (3.0 mph) below S7.7.1 Reference Speed Test. The Preliminary Reference Speed is the entrance speed. vehicle is subjected to J-Turn test increased by 1.6 km/h (1.0 mph), and S7.7.3.3 The maximum test speed is maneuvers to determine the Reference the procedure in this section is the greater of 130 percent of the Speed for each steering direction. The repeated. Reference Speed (see S7.7.1.2) or 48 km/ Reference Speeds are used in S7.7.2 and S7.7.2 Engine Torque Reduction Test. h (30 mph). The maximum test speed is S7.7.3. The vehicle is subjected to two series of determined for each direction: S7.7.1.1 Preliminary Reference Speed test runs using the J-Turn test maneuver clockwise steering and counter- Determination. The vehicle is subjected at an entrance speed equal to the clockwise steering. to two series of test runs using the J- Reference Speed determined in S7.7.1.2. S7.7.3.4 For each series of Roll Turn test maneuver at increasing One series uses clockwise steering, and Stability Control test runs, the vehicle entrance speeds. One series uses the other series uses counter-clockwise will perform eight consecutive test runs clockwise steering, and the other series steering. Each series consists of four test at the same entrance speed, which is uses counterclockwise steering. The runs with the vehicle at an entrance any speed between 48 km/h (30 mph) entrance speed of a test run is the 0.5 speed equal to the Reference Speed and and the maximum test speed second average of the raw speed data the driver fully depressing the determined according to S7.7.3.3. prior to any ESC system activation of accelerator pedal from the time when S7.7.3.5 Upon completion of testing, the service brakes and rounded to the the vehicle crosses the start gate until post processing is done as specified in nearest 1.0 mph. During each test run, the vehicle reaches the end gate. ESC S7.9. the driver attempts to maintain the engine torque reduction is confirmed by S7.8 ESC Malfunction Detection. selected entrance speed throughout the comparing the engine torque output and S7.8.1 Simulate one or more ESC J-Turn test maneuver. For the first test driver requested torque data collected malfunction(s) by disconnecting the run of each series, the entrance speed is from the vehicle communication power source to any ESC component, or 32 km/h ± 1.6 km/h (20 mph ± 1.0 mph) network or CAN bus. During the initial disconnecting any electrical connection and is incremented 1.6 km/h (1.0 mph) stages of each maneuver the two torque between ESC components (with the for each subsequent test run until ESC signals with respect to time will parallel vehicle power off). When simulating an service brake application occurs or any each other. Upon ESC engine torque ESC malfunction, the electrical of the truck tractor’s or bus’s wheels reduction, the two signals will diverge connections for the telltale lamp(s) are departs the lane. The vehicle entrance when the ESC system causes a not disconnected. speed at which ESC service brake commanded engine torque reduction S7.8.2 With the vehicle initially application occurs is the Preliminary and the driver depresses the accelerator stationary and the ignition locking Reference Speed. The Preliminary pedal attempting to accelerate the system in the ‘‘Lock’’ or ‘‘Off’’ position, Reference Speed is determined for each vehicle. activate the ignition locking system to direction: Clockwise steering and S7.7.2.1 Perform two series of test the ‘‘Start’’ position and start the engine. counter-clockwise steering. During any runs using the J-Turn test maneuver at Place the vehicle in a forward gear and test run, if any of the wheels of the truck the Reference Speed determined in accelerate to 48 ± 8 km/h (30 ± 5 mph). tractor or bus depart the lane at any S7.7.1.2 (±1.6 km/h (±1.0 mph)). The Drive the vehicle for at least two point within the first 120 degrees of first series consists of four consecutive minutes including at least one left and radius arc angle, the test run is repeated test runs performed using counter- one right turning maneuver and at least at the same entrance speed. If any of the clockwise steering. The second series one service brake application. Verify wheels of the truck tractor or bus depart consists of four consecutive test runs that, within two minutes of attaining the lane again, then four consecutive performed using clockwise steering. this speed, the ESC malfunction test runs are repeated at the same During each test run, the driver fully indicator illuminates in accordance entrance speed (±1.6 km/h (±1.0 mph)). depresses the accelerator pedal from the with S5.4. S7.7.1.2 Reference Speed time when the vehicle crosses the start S7.8.3 Stop the vehicle, deactivate the Determination. Using the Preliminary gate until the vehicle reaches the end ignition locking system to the ‘‘Off’’ or Reference Speed determined in S7.7.1.1, gate. ‘‘Lock’’ position. After a five-minute perform two series of test runs using the S7.7.2.2 During each of the engine period, activate the vehicle’s ignition J-Turn test maneuver to determine the torque reduction test runs, verify the locking system to the ‘‘Start’’ position Reference Speed. The first series commanded engine torque and the and start the engine. Verify that the ESC consists of four consecutive test runs driver requested torque signals diverge malfunction indicator again illuminates performed using counter-clockwise according to the criteria specified in to signal a malfunction and remains steering. The second series consists of S5.3.2.1. illuminated as long as the engine is four consecutive test runs performed S7.7.3 Roll Stability Control Test. The running until the fault is corrected. using clockwise steering. During each vehicle is subjected to multiple series of S7.8.4 Deactivate the ignition locking test run, the driver attempts to maintain test runs using the J-Turn test maneuver system to the ‘‘Off’’ or ‘‘Lock’’ position. a speed equal to the Preliminary in both the clockwise and the counter- Restore the ESC system to normal Reference Speed throughout the J-Turn clockwise direction. operation, activate the ignition system test maneuver. The Reference Speed is S7.7.3.1 Before each test run, the to the ‘‘Start’’ position and start the the minimum entrance speed at which brake temperatures are monitored and engine. Verify that the telltale has ESC service brake application occurs for the hottest brake is confirmed to be extinguished. at least two of four consecutive test runs between 66 °C (150 °F) and 204 °C S7.9 Post Data Processing.

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S7.9.1 Raw vehicle speed data is instant the center of the front tires of the kilograms (33,000 pounds) filtered with a 0.1 second running vehicle reach the start gate, the line manufactured on or after June 24, 2018 average filter. within the lane at zero degrees of radius must comply with this standard. S7.9.2 The torque data collected from arc angle. The completion of the S8.1.2 All buses manufactured on or the vehicle communication network or maneuver occurs at the instant the after August 1, 2019 must comply with CAN bus as a digital signal does not get center of the front tires of the vehicle this standard. filtered. The torque data collected from reach the end gate, which is the line the vehicle communication network or within the lane at 120 degrees of radius S8.2 Trucks. CAN bus as an analog signal is filtered arc angle. S8.2.1 All three-axle truck tractors with a 0.1-second running average. S7.9.5 Raw service brake pressure with a front axle that has a GAWR of S7.9.3 The activation point of the ESC measurements are zeroed (calibrated). 6,622 kilograms (14,600 pounds) or less engine torque reduction is the point Zeroed brake pressure data are filtered and with two rear drive axles that have where the measured driver demanded with 0.1 second running average filters. a combined GAWR of 20,412 kilograms torque and the engine torque first begin Zeroed and filtered brake pressure data (45,000 pounds) or less manufactured to deviate from one another (engine are dynamically offset corrected using a on or after August 1, 2017 must comply torque decreases while the driver defined ‘‘zeroed range’’. The ‘‘zeroing with this standard. requested torque increases) during the range’’ is defined as the 0.5 second time S8.2.2 All truck tractors manufactured Engine Torque Reduction Test. The period prior to ‘‘time zero’’ defined in on or after August 1, 2019 must comply torque values are obtained directly from S7.9.4. with this standard. the vehicle communication network or S8 Compliance Dates. Vehicles that CAN bus. Torque values used to are subject to this standard must meet Issued on June 3, 2015, in Washington, DC, determine the activation point of the the requirements of this standard under authority delegated in 49 CFR 1.95 and 501.5. ESC engine torque reduction are according to the implementation interpolated. schedule set forth in S8. Mark R. Rosekind, S7.9.4 The time measurement for the S8.1 Buses. Administrator. J-Turn test maneuver is referenced to S8.1.1 All buses with a gross vehicle [FR Doc. 2015–14127 Filed 6–22–15; 8:45 am] ‘‘time zero’’, which is defined as the weight rating of greater than 14,969 BILLING CODE 4910–59–P

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Part III

Department of Transportation

Federal Transit Administration 49 CFR Part 665 Bus Testing: Establishment of Performance Standards, a Bus Model Scoring System, a Pass/Fail Standard and Other Program Updates; Proposed Rule

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DEPARTMENT OF TRANSPORTATION 9 a.m. and 5 p.m. ET, Monday through 2. Elimination of On-Road Fuel Economy Friday, except Federal holidays. Testing Federal Transit Administration Fax: 202–493–2251. 3. Bus Passenger Load for Emissions Additional instructions: You must Testing 49 CFR Part 665 include the agency name (Federal 4. Bus Testing Entrance Requirements Transit Administration) and Docket 5. Scheduling of Testing [Docket No. FTA–2015–0019] 6. Test Requirements Review Milestone number (FTA–2015–0019) for this 7. Penalty for Unauthorized Maintenance RIN 2132–AB11 notice at the beginning of your and Modification comments. If you wish to receive 8. Testing of Remanufactured Buses Bus Testing: Establishment of confirmation that FTA received your G. Section by Section Analysis Performance Standards, a Bus Model submission, please include a self- H. Regulatory Analyses and Notices Scoring System, a Pass/Fail Standard addressed stamped postcard. Note that I. Proposed Rule Text and other Program Updates all comments received will be posted A. Executive Summary AGENCY: Federal Transit Administration without change to http:// (FTA), DOT. www.regulations.gov. Note that any Purpose personal information provided will be ACTION: Notice of proposed rulemaking The purpose of this NPRM is to available to internet users. (NPRM). propose minimum performance Privacy Act: You may review DOT’s standards, a scoring system, and a pass/ SUMMARY: The Federal Transit complete Privacy Act Statement in the fail threshold for new model transit Administration (FTA) proposes to Federal Register published on April 11, buses procured with Federal Transit establish a new pass/fail standard and 2000 (65 FR 19477) or you may visit Administration (FTA) financial new aggregated scoring system for buses http://docketsinfo.dot.gov. assistance authorized under 49 U.S.C. Docket Access: For internet access to and modified vans (hereafter referred to Chapter 53. Once FTA issues a rule in the docket to read background as ‘‘bus’’ or ‘‘buses’’) that are subject to final form, FTA recipients will be documents and comments received, go FTA’s bus testing program, as mandated prohibited from using FTA financial to http://www.regulations.gov. by Section 20014 of the Moving Ahead assistance to procure new buses that Background documents and comments for Progress in the 21st Century Act have not passed the test standard. The received may also be viewed at the U.S. (MAP–21). The proposed pass/fail proposed standards and scoring system Department of Transportation Docket standard and scoring system address the address the following categories: Operations, 1200 New Jersey Ave. SE., following categories as required by structural integrity, safety, West Building Ground Floor, Room MAP–21: structural integrity, safety, maintainability, reliability, fuel W12–140, Washington, DC 20590, maintainability, reliability, fuel economy, emissions, noise, and between 9 a.m. and 5 p.m., Monday economy, emissions, noise, and performance. The NPRM proposes that through Friday, except Federal holidays. performance. Once FTA issues a rule in buses will need to pass a minimum final form, recipients will be prohibited FOR FURTHER INFORMATION CONTACT: For performance standard in each of these from using FTA financial assistance to technical information, Gregory Rymarz, categories in order to receive an overall procure new buses that have not passed Bus Testing Program Manager, Office of passing score and be eligible for the test. FTA is also seeking comment Research, Demonstration and purchase using FTA financial on establishing testing requirements and Innovation (TRI), (202) 366–6410, assistance. The NPRM proposes that a scoring system for remanufactured [email protected]. For legal buses can achieve higher scores with vehicles sold by third-party vendors and information, Richard Wong, Office of higher performance in each category. procured using FTA funding, which the Chief Counsel (TCC), (202) 366– The NPRM proposes a numerical FTA plans to address in a subsequent 0675, [email protected]. scoring system based on a 100-point rulemaking action. Finally, FTA is SUPPLEMENTARY INFORMATION: scale so that buyers can more effectively proposing to apply Buy America U.S. Table of Contents compare vehicles. content requirements to buses submitted The NPRM proposes to adopt many of for testing. A. Executive Summary the existing testing procedures and B. Background DATES: Comments on this proposed rule C. Performance Standards By Test Category standards used under the current bus must be received on or before August 1. Structural Integrity testing program. However, the NPRM 24, 2015. 2. Safety proposes some changes including: (1) ADDRESSES: Please submit your 3. Maintainability new inspections at bus check-in to comments (identified by the agency 4. Reliability verify the bus configuration is within its name and DOT Docket ID Number FTA– 5. Fuel Economy weight capacity rating at its rated 2015–0019 or RIN 2132–AB11) by only 6. Emissions passenger load and an inspection to 7. Noise determine if the major components of one of the following methods: 8. Performance Electronic: Go to the Federal D. Bus Model Scoring System the test bus match those identified in eRulemaking Portal at 1. Determination of Scores by Test the Buy America pre-audit report; (2) www.regulations.gov and follow the Category elimination of the on-road fuel economy online instructions for submitting 2. Calculation of The Aggregate Score testing and substitute the fuel economy comments. E. Pass/Fail Standard results obtained during the emissions Mail: Docket Management Facility: 1. Effective Date of Pass/Fail Requirements test; and (3) revision to the payloading U.S. Department of Transportation, 1200 2. Resolving The Failure To Meet A procedure to recognize the New Jersey Avenue SE., West Building Performance Standard manufacturer’s ‘‘standee’’ passenger 3. Scoring of New Partial Tests Ground Floor, Room W12–140, 4. Scoring of Existing Bus Models rating. The proposed rule does not add Washington, DC 20590–0001. 5. Re-Testing of Existing Bus Models To any new tests to the existing bus testing Hand Delivery or Courier: West Raise the Aggregate Score program—in fact, the NPRM proposes to Building Ground Floor, Room W12–140, F. Other Proposed Program Changes eliminate one test, the on-road fuel 1200 New Jersey Avenue SE., between 1. Bus Payloading Procedures economy test, as equivalent data could

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be derived from the more accurate three new requirements on the use of manufacturer’s maximum passenger dynamometer testing. Chapter 53 funding to acquire new bus rating, including accommodations for Because FTA provides financial models. The first is that new bus models standees. assistance to State and local agencies meet performance standards for • Establish a simulated passenger operating public transportation systems, maintainability, reliability, performance weight of 150 lbs. for seated and covering eighty percent (80%) of a (including braking performance), standing (standee) passengers, and a vehicle’s capital cost, while the State or structural integrity, fuel economy, weight of 600 lbs. for passengers who local government provides a twenty emissions, and noise. The second is that use wheelchairs. percent (20%) matching share, there is new bus models acquired with Chapter • a strong incentive by FTA and local 53 funds meet the minimum safety Require test model buses to contain agencies to ensure that those funds are performance standards established at least 60% domestic components, by used effectively and efficiently. As part pursuant to paragraph 5329(b) Public cost, consistent with FTA Buy America of its stewardship of those funds, Transportation Safety Program. The domestic content requirements. Congress directed FTA in 1987 to third is that the new bus model satisfies • The replacement of the on-road fuel establish a bus testing program whereby an overall pass/fail standard based on economy test with the fuel economy new model buses would first be tested the weighted aggregate score derived testing already conducted during the to ensure their ability to withstand the from each of the existing test categories emissions test on the chassis rigors of regular transit service before (maintainability, reliability, safety, dynamometer. FTA funds would be spent on those performance (including braking The NPRM also seeks comments on vehicles. In the following years, FTA performance), structural integrity, fuel establishing testing procedures, accumulated comprehensive test data economy, emissions, and noise).). performance standards, and a scoring on the scores of buses that had This notice does not address the system for remanufactured vehicles sold undergone testing, but the program did establishment of the minimum safety by third-party vendors and procured not assign a comparative ranking to the performance standards for public using FTA assistance, which FTA plans vehicles. Further, because the program transportation vehicles required under to address in a subsequent rulemaking was intended to provide information on 49 U.S.C. 5329(b)(2)(C), which will be action. a vehicle’s performance and Congress addressed in a subsequent rulemaking. did not authorize FTA to use the test Summary of Benefits and Costs data to disqualify a vehicle from Summary of Key Provisions participating in FTA-assisted The NPRM proposes to take the Table 1 below summarizes the procurements, FTA did not establish a following actions, the first of which is potential benefits and costs of this pass/fail performance baseline. Since required by MAP–21 as part of the new proposed rule over 10 years and using that time, several tested buses did not ‘‘pass/fail’’ requirement and the a 3 and 7 percent discount rate that we meet their expected service lives at the remainder of which are discretionary were able to quantify. Quantified costs cost of millions of dollars to transit actions proposed by FTA to strengthen stem from shipping buses to the testing agencies and significant inconvenience the program: facility, manufacturer testing fees, to transit riders. In MAP–21, Congress • Codify existing testing procedures having repair personnel for bus directed FTA to establish a new pass/ and establish a minimum performance manufacturers available at the testing fail standard for tested buses, including standards and a pass/fail scoring system site, new paperwork requirements, and a weighted scoring system that would for new bus models, with a minimum increases to the resources needed to assist transit bus buyers in selecting an passing score of 60 points. A bus model operate the Bus Testing Program (which appropriate vehicle. The proposed rule could receive up to an additional 40 represents most of the quantified costs). would establish a new scoring system points based on its performance above Unquantified costs include remedial and a pass/fail standard for buses tested the proposed minimum performance actions to buses that do not pass the under FTA’s existing bus testing standard in particular test categories. proposed test (which may extend to all program, as well as make other Buses would need to achieve at least a the buses in a model represented by the administrative changes. minimum score in each category in tested bus) and potential improvements to buses to obtain a higher testing score. Legal Authority order to pass the overall test and be eligible for procurement using FTA However, given that 41 of 49 buses Section 20014 of the Moving Ahead financial assistances. tested between January 2010 and for Progress in the 21st Century Act • Establish check-in procedures, February 2013 would have satisfied the (MAP–21) (Pub. L. 121–141), including FTA approval, for new bus proposed performance standards maintained the existing test categories models proposed for testing. without any design changes, FTA of maintainability, reliability, safety, • Require transit vehicle believes that the proposed requirements performance, structural integrity, fuel manufacturers to submit Disadvantaged would not drive systemic changes to all economy, emissions, and noise in 49 Business Enterprise (DBE) goals to FTA. transit bus models. Quantified benefits U.S.C. 5318(a). Section 20014 also • Determine a new bus model’s total are from a reduction in unscheduled expanded 49 U.S.C. 5318(e) by adding passenger load based on the maintenance costs.

TABLE 1—DISCOUNTED CASH FLOW ANALYSIS AND NET PRESENT VALUES

Net Cash Discount Discount Year Costs Benefits Flow Rate DCF @ 3% Rate DCF @ 7%

1 ...... 109,171 531,990 422,819 0.03 410,504 0.07 395,158 2 ...... 109,171 531,990 422,819 0.03 398,547 0.07 369,306 3 ...... 109,171 531,990 422,819 0.03 386,939 0.07 345,146 4 ...... 109,171 531,990 422,819 0.03 375,669 0.07 322,567 5 ...... 109,171 531,990 422,819 0.03 364,727 0.07 301,464 6 ...... 109,171 531,990 422,819 0.03 354,104 0.07 281,742

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TABLE 1—DISCOUNTED CASH FLOW ANALYSIS AND NET PRESENT VALUES—Continued

Net Cash Discount Discount Year Costs Benefits Flow Rate DCF @ 3% Rate DCF @ 7%

7 ...... 109,171 531,990 422,819 0.03 343,791 0.07 263,310 8 ...... 109,171 531,990 422,819 0.03 333,777 0.07 246,085 9 ...... 109,171 531,990 422,819 0.03 324,056 0.07 229,986 10 ...... 109,171 531,990 422,819 0.03 314,617 0.07 214,940 ...... NPV 3,606,732 NPV 2,969,704

B. Background Buses procured with FTA assistance for vehicles that had served barely half FTA’s grant programs, including those are assigned a service life requirement of their FTA-funded service lives. at 49 U.S.C. 5307, 5310, 5311 and 5339, that the recipient must keep the bus in The 2012 Moving Ahead for Progress assist transit agencies with procuring active service for the specified period of in the 21st Century Act (MAP–21) buses. The Federal transit program time or mileage, whichever occurs first. amended section 5318 by adding new allows FTA to provide 80% funding for FTA has five service life categories requirements to subsection 5318(e), each bus. In 2013, for example FTA defined in the current Bus Testing Rule Acquiring New Bus Models, including a funds assisted in the procurement of and in our capital program guidance bus model scoring system and a pass/ 8934 new vehicles, of which publications: fail standard based on the weighted approximately 5600 buses and modified (1) Large-size, heavy-duty transit aggregate score for each of the existing vans were covered under the existing buses (approximately 35′-40′ in length, performance standards (maintainability, testing program. Historically, Section as well as articulated buses) with a reliability, performance (including 317 of the Surface Transportation and minimum service life of 12 years or braking performance), structural Uniform Relocation Assistance Act of 500,000 miles; integrity, fuel economy, emissions, and 1987 (STURAA, Pub. Law 100–17) (2) Medium-size, heavy-duty transit noise). provided that no funds appropriated or buses (approximately 30′ in length) with MAP–21 also amended 5318(e) to made available under the Urban Mass a minimum service life of ten years or require that new bus models meet the Transportation Act of 1964, as amended, 350,000 miles; minimum safety performance standards to be established by the Secretary of were to be obligated or expended for the (3) Medium-size, medium duty transit Transportation pursuant to 49 U.S.C. acquisition of a new model bus after buses (approximately 30′ in length) with 5329(b). FTA began the process to September 30, 1989, unless a bus of a minimum service life of seven years or establish these performance standards such model had been tested to ensure 200,000 miles; that the vehicle ‘‘will be able to with the issuance of its Advance Notice (4) Medium-size, light duty transit of Proposed Rulemaking on Safety and withstand the rigors of transit service’’ buses (approximately 25′-35′ in length) (H. Rept. 100–27, p. 230). In subsection Transit Asset Management,1 but FTA with a minimum service life of five has not completed this rulemaking. FTA 317(b), Congress mandated seven years or 150,000 miles; and specific test categories—maintainability, will amend part 665 to establish those reliability, safety, performance, (5) Other light duty vehicles such as standards in a subsequent rulemaking. It structural integrity, fuel economy, and small buses and regular and specialized is premature at this time for FTA to noise—augmenting those tests with the vans with a minimum service life of determine whether the existing safety addition of braking performance and four years or 100,000 miles. tests will be incorporated into the new emissions testing through section 6021 This system successfully remained in safety performance standards. of the Intermodal Surface place for over twenty years. During the The primary purpose of this NPRM is Transportation Efficiency Act of 1991 intervening period, however, a handful to seek comment on FTA’s proposed bus (Pub. L. 102–240). These requirements of bus models that had documented minimum performance standards, bus were subsequently codified at 49 U.S.C. problems in their test reports were able model scoring system and pass/fail 5318. to enter transit service, most notably, a standard. In developing the proposals FTA issued its initial NPRM in May fleet of 226 articulated buses that one of contained in this NPRM, FTA engaged 1989 (54 FR 22716, May 25, 1989) and the Nation’s largest transit agencies in extensive discussions with transit an interim Final Rule three months later ordered in 2001. After paying $87.7M of industry stakeholders through the use of (54 FR 35158, August 23, 1989), the $102.1M contract, the transit agency public webinars, teleconferences, and establishing a bus testing program that stopped payments in 2005 due to presentations at industry conferences. submitted vehicles to seven statutorily- unresolved problems concerning the On March 28, 2013, FTA outlined the mandated tests resulting in a test report suspension systems and structural new statutory mandate in a public and requiring transit bus manufacturers cracks around the articulation joint, webinar held in conjunction with the to submit that completed test report to near the axles, and in the rear door Bus Testing Program Steering transit agencies before FTA funds could header, triggering years of litigation. In Committee meeting organized by the be expended to purchase those vehicles. addition, in 2009, the transit agency Larson Transportation Institute (LTI) of Although Congress did not authorize abruptly pulled all of these models from the Penn State University, the operator FTA to withhold financial assistance for service for safety concerns following a of the Bus Testing facility. On May 7, a vehicle based on the data contained in structural failure related to the 2013, FTA presented its proposals at the a test report, FTA expected that the test articulation joint, resulting in lengthier Bus and Paratransit Conference report would provide accurate and and more crowded commutes for organized by the American Public reliable bus performance information to thousands of transit riders. In May 2012, Transportation Association (APTA), and transit authorities that could be used in a local court ruled that the transit again in a public webinar on May 28, their purchasing and operational agency could sell the buses for scrap decisions. metal, a move that generated only $1.2M 1 78 FR 61251 (Oct. 3, 2013).

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2013, seeking comments on the is defined as a transit bus characteristic Performance test category, the industry proposed performance criteria, Bus Test that, if not met at the minimum level, standard for the sustained speed on a Scoring System, and pass/fail Standard. would singularly indicate a bus model 10% grade has never been met by any In addition, LTI held a series of was at a high risk of not being able to 60-foot bus model. As a result, FTA is teleconferences in June 2013 with bus provide adequate transit service proposing a lower performance level as manufacturers to further address and throughout its required service life. Due the standard based on the fact that a refine the proposed performance to national variations in the types of bus higher performance level, while standards, results scoring system and transit service, climate, bus route technically feasible, was not historically the pass/fail threshold. On September characteristics, and ridership required by the procuring agencies 26 and 27, 2013, FTA held two final preferences driving the recipient’s need when procuring non-standard vehicles public webinars to update stakeholders for continued bus specification such as a 60-foot articulated bus. on the proposed performance standards, flexibility, FTA’s goal for the proposed C.1. Structural Integrity results scoring system and the pass/fail performance standards was to identify a threshold and to solicit additional minimum set of requirements currently The useful life of a transit bus is comments. Stakeholder contributions measured and reported by the Bus ultimately determined by the life of the are reflected in the aggregate scoring Testing Program that, once satisfied, vehicle structure. The reason being that system and pass/fail criteria contained enabled all FTA recipients to obtain the structure is the backbone to which in this NPRM. Participants in these transit buses that operate safely on bus all other vehicle subsystems and public outreach efforts included transit routes with adequate automotive components are attached.4 The vehicle manufacturers, component performance, with the ability to reliably structural integrity test category suppliers, public transit agencies, State withstand the rigors of transit service examines a bus model’s response to a departments of transportation, and FTA over its required service life and to do range of structural stressors. Under the and Bus Testing Facility personnel. so without excessive operating costs and existing bus testing program, the In addition to implementing statutory excessive negative impact to the structural integrity test category is mandates, FTA is proposing other environment. To achieve this goal, FTA comprised of seven sub-test categories: administrative changes that would reviewed existing documented bus Shakedown, Distortion, Static Towing, adjust the passenger payloading process performance standards, such the APTA Dynamic Towing, Jacking, Hoisting, and to better reflect industry practice and Standard Bus Procurement Guidelines Structural Durability. Each sub-test ensure that buses tested at the facility and current Federal regulations with category has one or more proposed comply with FTA Civil Rights and Buy applicability to the current test performance standards. In total, these America requirements regarding categories. For test categories where no tests simulate how a bus responds to a disadvantaged business enterprises and external performance standards already variety of events that are expected to domestic content, respectively. FTA exist, FTA formulated proposed occur during the service life of a typical seeks comments on all of the proposals standards based on the demonstrated transit bus. No changes to the current in this NPRM. In addition, FTA is test performance of bus models that structural integrity test procedures are seeking comment on establishing a bus proved to be unsuitable in actual being proposed. The results from the testing requirement and scoring system service. FTA incorporated external existing test procedures will be used to for remanufactured buses sold by third performance standards and formulated assess compliance with the proposed parties and procured using FTA funds, new performance standards that applied structural integrity performance which will be addressed in a subsequent equally to all bus models. FTA requests standards. The agency requests rulemaking action. comments on the appropriateness of comments on these specific tests, as applying all the proposed standards well as whether there are any other tests C. Performance Standards by Test the agency should include as part of the Category equally to all bus models, and any alternatives that may produce more structural integrity performance In the current program, a standardized useful testing outcomes. standard. To the extent possible, please series of tests are conducted on new bus To guide the development of the provide data, studies, or other similar models and the results are published in criteria for the proposed standards, FTA information to support your comments. a report for recipients to use for analyzed the results from 49 bus testing 2 C.1.1. Shakedown Test informing their procurement decisions. reports published from January 2010 The Shakedown Test currently There are no performance requirements through February 2013 in addition to requires loading and unloading a bus up that must be satisfied. The only the results from specific bus models to three times with 2.5 times its gross ‘‘requirement’’ is that a new bus model tested prior to that three-year window passenger load and measuring the have completed all of the tests required that did not meet their expected service amount of resulting permanent bus and that the test report has been life once placed into actual service. The frame/body deflection (i.e., flexing published and received by the recipient compiled data set from past tests was under load and not returning to its prior to the disbursement of the FTA used as the primary source for setting original shape) that occurs after each assistance for the bus procurement. the proposed performance criterion load cycle.5 The purpose of the test is In formulating the proposed values.3 The proposed criteria in each of to verify an adequate factor of safety for performance standards for the testing the five industry sourced performance structural strength. The first load cycle categories, FTA examined the test standards (i.e., interior noise, exterior is intended to settle out the structure. outcomes the testing center, located at noise, acceleration, gradeability on a After the second loading, the resulting the Larson Transportation Institute at 2.5% grade and on a 10% grade) were bending of the structure is measured, Pennsylvania State University, currently also compared to the demonstrated test reports for each test category to results to verify the validity of each 4 U.S. Department of Transportation, Federal determine which of those were of such industry standard. In one case, in the significance as to be considered Transit Administration, Useful Life of Transit Buses and Vans, Booz Allen Hamilton, Inc. Report ‘‘standards’’. A ‘‘performance standard’’ 3 The test results plots used for the setting of Number FTA VA–26–7229–07.1, April 2007. performance criteria and standards are available in 5 http://146.186.225.57/bus_tests_pdfs/5- 2 http://www.altoonabustest.com/bus-tests.htm the docket for this rulemaking. 1.shakedown.pdf

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and if none of the measurements exceed spray.6 FTA proposes that a tested bus constitute test failure. This proposed 0.005 inch, the test is finished. If any of model would meet the Distortion Test requirement is consistent with section the measured bending exceeds 0.005 performance standard if all of the TS 25 of the APTA Standard Bus inch after the second load cycle, a third passenger doors and emergency exits, Procurement Guidelines and is load cycle is conducted and the while under every longitudinal twist consistent with how the test has been deflections are measured again. The test condition, operate and fully open in conducted since the inception of the resulting permanent bending is the same manner as they do with the Bus Testing Program.8 Under the measured, and if none exceed an bus on a level surface. FTA is not aware current test procedure, a load equal to additional 0.006 inch, the test is of problems in its recipient bus fleets 120 percent of the bus curb weight is complete. related to bus body distortion applied to the towing provisions using performance and concludes that bus a hydraulic cylinder and a load FTA proposes that a tested bus model models that are capable of maintaining distribution yoke. The load is applied to would meet the Shakedown Test normal operation of the doors and both the front and rear, if applicable, performance standard if the resulting windows while under the distortion towing fixtures at an angle of 20 degrees permanent deflection is 0.006 inch loadings under this test are capable of with the longitudinal axis of the bus, (0.005 inch plus 0.001 inch for providing adequate distortion first to one side then the other in the measurement uncertainty) or less after a performance when in service. Bus horizontal plane, and then upward and third loading cycle as measured testing results for distortion shows no downward in the vertical plane. Any according to the current test procedure. issues with test vehicles meeting this permanent deformation or damage to Vehicles with deflections in excess of proposed standard. During the outreach the tow eyes or adjoining structure is 0.006 would receive a failing score in efforts, bus manufacturers, transit recorded. this category, resulting in an overall agencies and others involved in the FTA believes that the current static failing score. The compiled results for transit industry concurred with this towing test has served the industry the Shakedown Test revealed that most performance standard as sufficient to adequately as we are aware of no in- buses were within this limit after the demonstrate that the bus structure service problems with the towing second load cycle, and all buses were would not deform to the point of fixtures of buses that meet the within 0.005 inch or less after the third preventing the safe egress of the vehicle requirement. FTA also believes that the loading cycle. under this level of static loading. FTA current test is not burdensome as it is scaled according to the curb weight of Overall, there was a minimal amount requests comments on the benefits and the bus and the vast majority of buses of comments received during the costs of its proposed distortion testing have historically satisfied this outreach sessions regarding the procedure and standard, as well as on alternatives. requirement. All the buses in the data proposed Shakedown performance analysis used for this rulemaking standard. FTA received a written C.1.3. Static Towing Test satisfied the current test. During the comment from one bus manufacturer outreach sessions, FTA received no indicating that there is no specific The objective of the Static Towing Test is to determine the strength specific comments regarding the reason for the standard being set at characteristics of the bus towing proposed static towing performance ±0.005 inch when ±0.100 inch should fixtures.7 Having towing fixtures on the standard. FTA seeks comment on the provide a sufficient limit. FTA chose bus is essential for recovering buses that benefits and costs of its proposed static not to adopt this suggestion as the have gone off of the roadway and are towing testing procedure and standard, proposed standard because 0.005 inch, immobilized. Without towing fixtures and alternatives. which was taken from the First Article on the bus, vehicle recovery personnel C.1.4. Dynamic Towing Test Inspection Test of the American Public would need to improvise a means of The objective of this test is to Transportation Association’s Bus adequate mechanical connection to lift functionally verify that the bus is Procurement Guidelines, has been used or pull the bus onto the road surface. towable with a heavy-duty commercial as the threshold for many years and all This improvising can be dangerous to vehicle wrecker when following the previously test buses were capable of the recovery personnel and also can manufacturer’s instructions and using meeting this requirement. FTA lacks result in physical damage to the bus the manufacturer supplied towing information regarding the benefits and when a winch cable contacts the interfaces (if any).9 The test represents costs of its proposed standard and the exterior bus in areas incapable of the situation where a bus is positioned benefits and costs of the suggested supporting those loads. Having towing ± on a roadway or similar surface but is 0.100 inch Shakedown test standard. provisions of adequate strength is also not operational and must be towed to FTA requests comment on the benefits essential for the safe and effective the maintenance facility. The recovery and costs of its proposed shakedown recovery of immobilized buses. testing procedure and standard, the FTA proposes that a tested bus model vehicle (wrecker) is maneuvered into commenter’s suggestion to use ±0.100 as would meet the Static Towing Test place so the lifting apparatus (‘‘stinger’’) the performance standard or other performance standard if no failure of the goes under the front of the bus and alternatives. towing fixtures and connecting structure interfaces with front and rear treads of the front tires allowing the front of the C.1.2. Distortion Test occurs at pulling loads up to 120 percent of the bus curb weight. Failure bus to be lifted from the road surface. is defined as any visible permanent The bus is towed for 5 miles, decoupled The objective of the existing from the tow vehicle and inspected for Distortion Test is to observe the deformation, yielding, or bending of the provision or other structural operation of various subsystems when 8 ‘‘Standard Bus Procurement Guidelines RFP’’, the bus is placed in a longitudinal twist component. Cracks in welds will American Public Transportation Association, http:// (simulating operation over a 6-inch tall www.apta.com/resources/standards/Documents/ curb or through a 6-inch deep pothole) 6 http://146.186.225.57/bus_tests_pdfs/5- APTA%20Bus%20Procurement%20Guidelines. and subjected to a water spray 2.distortion.pdf docx. 7 http://146.186.225.57/bus_tests_pdfs/5- 9 http://146.186.225.57/bus_tests_pdfs/5- mechanism simulating rain and traffic 3.statictow.pdf 4.dynamictow.pdf

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any damage or loss of normal bus frame or body damage to the bus. This Guidelines. FTA is not aware of any in- functions. FTA proposes that a tested proposed standard is based on historic service hoisting issues with buses that bus model would meet the Dynamic bus testing procedure and results for the have been tested and have met the Towing Test performance standard if a jacking subtest. The proposed standard proposed standard. There were no proper connection was made between is also consistent with section TS 26 in comments regarding this proposed the heavy-duty wrecker and the test bus the APTA Standard Bus Procurement standard during the industry outreach and no damage occurred to the bus Guidelines. During the outreach sessions. However, FTA seeks while being towed. sessions, FTA received no comments comments on the benefits and costs of While the proposed standard is not regarding this proposed performance its proposal, and alternatives. necessarily rigorous, as all buses in the standard. However, FTA seeks comment data analysis were dynamically towable, on its proposed standard in this NPRM. C.1.7. Structural Durability Test it is very important that the bus is towable according to the manufacturer’s C.1.6. Hoisting Test The objective of this test is to perform instructions, that it is interoperable with The objective of this test is to assess an accelerated durability test that common commercial vehicle recovery for possible damage or deformation simulates the cumulative road shock vehicles, and that no damage to the bus caused by the jack stands on the jacking and vibration a transit bus experiences in is incurred during the dynamic pads.11 FTA proposes that a tested bus over 25 percent of its rated service life 12 towing exercise. During the outreach model would meet the Hoisting Test distance in miles. The current Bus sessions, FTA received no comments performance standard if the bus can be Testing Rule outlines five bus service regarding this proposed performance hoisted and placed on jack stands life categories: four years or 100,000 standard. However, FTA seeks comment without significant resulting permanent miles; five years or 150,000 miles; seven on the benefits and costs of the frame or body damage to the bus frame years or 200,000 miles; ten years or proposed dynamic towing testing or bus body and that it is stable while 350,000 miles; and twelve years or procedure and standard, and on the jack stands. Up to 0.25 inch of 500,000 miles. The bus manufacturer alternatives. plastic deformation of the frame specifies the service life category for the structure directly at the point of jack bus model submitted for testing. Once C.1.5. Hydraulic Jacking Test contact will be allowed. Bulging or successfully tested, that bus model is The objective of this test is to assess cracking anywhere on the frame or body eligible for bus procurements of the the feasibility of hydraulically hoisting structure while supported by the jack same service life length or less. FTA is the bus with a portable hydraulic jack will constitute a failure. This proposed not proposing any changes to these to a height sufficient to replace a standard is based on the elemental need service life categories. The Useful Life of deflated tire.10 FTA proposes that the to be able to safely hoist a bus to enable Transit Buses and Vans report from bus model would meet the Hydraulic the effective maintenance of the bus. 2007 compared the actual bus Jacking Test performance standard if the The proposed standard is consistent retirement ages of buses in the various bus can be safely raised and lowered with historic bus testing procedure and service life categories and found that the using a portable jack, at each wheel results for the hoisting subtest and is buses were being kept in service beyond position, to successfully replace a consistent with section TS 27 in the their minimum service requirements. deflated tire without any permanent APTA Standard Bus Procurement The results are shown in Table 3.

TABLE 3—AVERAGE BUS RETIREMENT AGES 13

Share of active vehicles that are: Average Vehicle category/minimum retirement age retirement One or more Three or more age (Years) years past the years past the retirement retirement minimum minimum

12-Year Bus ...... 15.1 19% 9% 10-Year Bus ...... * 7% 4% 7-Year Bus ...... 8.2 12% 3% 5-Year Bus/Van * ...... 5.9 23% 5% 4-Year Van ...... 5.6 29% 10% * Average retirement age estimates for this vehicle category is not available.

FTA proposes a Structural Durability eliminated through a design, failure, but no greater than an additional Test performance standard requiring manufacturing process, or quality 100 percent of the original durability that, at the completion of the Structural control improvement and has been test length. FTA will bear 80 percent of Durability Test, there are no successfully validated with sufficient the cost associated with one additional ‘‘uncorrected’’ failures in the bus frame, durability testing. Structural durability durability validation test if FTA believes body structure, and the propulsion validation of powertrain failures is that the proposed modification has system. An uncorrected failure is a defined as 1.5 times the durability test merit and will pass the test on a failure that was detected during the test distance from the accumulated test subsequent attempt. Durability that has not been successfully distance at the first occurrence of the validation of frame and body structure

10 http://146.186.225.57/bus_tests_pdfs/5- 12 http://146.186.225.57/bus_tests_pdfs/5- and Vans, Booz Allen Hamilton, Inc. Report 5.jacking.pdf. 7.durability.pdf Number FTA VA–26–7229–07.1, April 2007. 11 http://146.186.225.57/bus_tests_pdfs/5- 13 U.S. Department of Transportation, Federal 6.hoisting.pdf. Transit Administration, Useful Life of Transit Buses

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failures will require that the durability includes but is not necessarily limited willing to provide the 80 percent cost test is started over from the beginning to all components of the energy/fuel match for any necessary additional after the application of the design or storage, delivery, and management durability testing. The commenter also production process modification. systems; engine or drive motor and requested that FTA commit to FTA strongly believes that a bus related controller and management discussing the path forward for should not develop any significant systems; power transmission systems resolving a durability failure with the failures or defects in the frame or body (transmission, driveshaft(s), and drive bus manufacturer within three business structure over the course of structural axle(s)); and cooling systems. Certain days. Another commenter highlighted durability testing (the first 25 percent of essential proprietary off-board the increased level of risk to a bus its rated service life). There are several equipment required to operate manufacturer of introducing new reasons for this belief: advanced-technology buses may also be components and subsystems and new (1) Structural cracks, structural considered to be part of the propulsion technology in general that the proposed bending, and structural failures that system. standards for Durability, Reliability, and impede safe operation of the vehicle, In setting the proposed durability Maintainability create. FTA agrees that delamination, and other material performance standard, FTA desires to once a set of standards become effective, deteriorations could continue to limit costs and risks. If FTA were to the risk to bus manufacturers, propagate with continued shock and propose a more stringent standard, the component suppliers, and technology vibration input and other environmental length of the durability test would developers may increase and that this is exposure throughout the bus life. increase, which means that the costs of appropriate. The Bus Testing Program is (2) Cracks in structural elements may the testing program would also increase, the point-of-entry to the FTA bus capital indicate that the bus design, materials, and the cost of buses may increase as program where bus models can be and/or manufacturing techniques are well and for no certain benefit. On the procured with FTA funding once testing inadequate for transit service. With the other hand, a less stringent testing is completed. Entities may use non-FTA proposed change in the bus payloading standard that allows one or more funds to procure buses that have not procedures contained in this notice, uncorrected failures, or a less stringent completed and passed the testing buses would no longer be tested in an testing procedure, would expose FTA program, but they do so at their own ‘‘overloaded’’ condition beyond their and its recipients to greater risk. The risk. Gross Vehicle Weight Rating (GVWR) or existence of even one major uncorrected To encourage innovation, FTA has a Gross Axle Weight Rating (GAWR) and, failure mode in the bus frame, body prototype waiver policy available for the as a result, cracks in the frame or body structure, or powertrain is enough to introduction of new bus technologies.14 would not be attributed to overloading. cause a bus to fail to meet its service life This waiver, if awarded, allows for up (3) Repairs of structural and body requirements. We note that some to five buses to be procured without the cracks, deformation, or delamination vehicles that would not have passed the requirement for testing. FTA seeks may require specialized skills and tools proposed durability standard during comments regarding whether a new that are beyond the capability of a testing have experienced problems once policy for the management of the risk common transit bus maintenance placed into transit service and have had associated with introducing new bus facility. Repairs of this nature can be difficulty meeting their specified service components and technologies to the expensive and outside the scope of the life, requiring more maintenance than is new production models is needed once typical maintenance budget and can typical. the final durability performance remove a bus from service for extended FTA believes that the proposed standards become effective. FTA is periods. performance standards for durability are interested in suggestions regarding a The proposed structural durability necessary and achievable. Overall, our graduated service life requirement and performance standard includes the analyses of the 49 recent tests indicate other strategies for sharing technological chassis frame, the bus body structure, that there are examples of bus types and risk within the bus capital program. and all external and internal load- sizes of each group that have proven FTA seeks additional comments bearing elements that are either welded capable of satisfying the proposed regarding the proposed Durability or adhesively attached to the frame and/ performance standards. The analysis performance standards. FTA seeks or body structure. Major chassis or body further indicated that six bus models comments on the benefits and costs of structures that are primarily assembled experienced either structural failures or its proposed durability testing using fasteners such as screws, bolts or powertrain failures. Of those six, FTA procedure and standard, and rivets are also included in this believes that three would have needed alternatives. Do commenters have performance standard. additional durability testing after the information to determine the extent to FTA also strongly believes that a bus design changes were applied. FTA, which the proposed testing process should not exhibit any propulsion though, does not have information reasonably simulates real-life use of system failures during the first 25 concerning whether subsequent buses? Does the current and proposed percent of its rated service life. production buses were changed as a testing process result in manufactures Durability failures of the propulsion result of the testing and requests using parts that are more or less durable system are expensive to repair and comment on whether any of the 6 than needed? cause disruptions in service. Failures of models that failed were modified prior the bus powertrain revealed during the to delivery to transit agencies. C.2. Safety durability test will likely occur in actual FTA received comments regarding Currently, only a lane change stability transit service and may lead to more durability testing and the associated test is performed in the Safety test serious recurring problems later in its performance standards that are assessed category. However, since the objective service life. Buses with systemic from these test results (Durability, of this test category is to document the powertrain problems are often retired Reliability, and Maintainability). One safety performance of the test bus, FTA early due to their financial and commenter recommended that FTA proposes to move the braking operational liability to the operating provide the same 80 percent cost match performance tests into the Safety test transit agency. The proposed propulsion for the test fees associated with system durability performance standard additional durability testing. FTA is 14 http://www.fta.dot.gov/12351_8875.html

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category. Additionally, FTA proposes to five performance standards for the operator’s workstation design, and the address safety related bus failures Safety test category. outward visibility of the bus.15 The lane identified during any of the tests in the change maneuvers start at a speed of 20 C.2.1. Hazards Safety test category. Currently, the miles per hour (mph) and continue up significant safety hazards are addressed The first Safety performance standard to a potential maximum of 45 mph. For in the Reliability test category. FTA titled ‘‘Hazards’’ addresses hazardous each test speed, a bus must remain believes that these tests should be bus performance failures to include within the designated lane change test included in the Safety test category those failures that, when they occur, course and not experience any wheel because that while braking performance could result in a loss of vehicle control; liftoff from the road surface for the test can be considered a bus performance serious injury to the driver, passengers, run to be considered successful. For the issue and the existence of safety hazards pedestrians, and/or other motorists; Stability performance standard, FTA can be considered for their Reliability and/or property damage or loss due to proposes that all buses must impact, they are first and foremost collision or fire. The performance successfully negotiate the current lane related to safety. Table 4 outlines the standard establishes that at the change test course at a speed of at least current and proposed test categories for completion of testing there are no 45 mph without lifting a wheel off the these tests. uncorrected Class 1 reliability failure ground, striking any of the cones, or modes remaining. Examples of Class 1 exceeding the boundaries of the test TABLE 4—CURRENT AND PROPOSED reliability failures include a loss of lane. This proposed standard reflects braking capability, a loss of power SAFETY SUB-TEST CATEGORIES the current definition of success for the steering assist or all steering control, an stability test and no current bus models unsecure windshield or side window Current Proposed have failed this requirement. FTA Subtest test cat- test cat- failure, the failure of a passenger seat or believes the proposed standard is egory egory seat mount, a fuel or other flammable appropriate as it tests the buses within fluid or gaseous substance leak, exposed the upper end of their operating speed Class 1 (safety haz- Reliability Safety or frayed electrical conductors, spectrum. FTA is not aware of in service ards) Reliability electrical short circuits, mechanical instability issues with buses that have Failures. failures of energy storage system satisfied this standard thereby providing Stability ...... Safety ..... Safety components and their mounting an impetus for proposing a more Braking: Perform- Safety structures, and any instance of fire. ance. stringent standard. FTA is not aware of Similar to the Durability test and reasons to propose a lower standard Stopping Dis- Reliability test performance standards, tance. either. an uncorrected failure mode is a failure Split Coefficient FTA is aware of other test Surface. that occurred during the test that has methodologies that examine the Parking Brake. not been successfully eliminated dynamic stability characteristics of through a design, manufacturing medium and heavy vehicles. The single- process, or quality control improvement lane change and the slalom course are Inserting them in the Safety test that has been successfully validated operational-style tests that use the speed category will provide our recipients a through further testing. Validation of the through the test course as the primary greater holistic view of the safety of the corrected failure mode requires performance metric like the current bus. FTA seeks comments about moving repeating all tests where the failure double-lane change test. FTA feels that the braking test result from the mode occurred. For Class 1 failure the double-lane change test is more Performance test category and the Class modes that occur during durability appropriate as buses most often need to 1 test results from the Reliability test testing and were not classified as return to lane of travel they were category into the Safety test category. durability failures, sufficient validation operating within just before the obstacle The proposed performance standards for is defined as 1.5 times the durability test avoidance maneuver and is therefore the Safety test category are based on length from the accumulated test length more operationally relevant. Similar to tests currently conducted and reported at the first occurrence of the failure the double-lane change, the slalom under the Performance and the mode, but no greater than an additional maneuver alternates the dynamic lateral Reliability test categories. No new tests 100 percent of the original durability loading of the bus during the maneuver are being proposed for the Safety test test length. This proposed standard is but the lack of a one lane width of category in this notice. FTA notes that based on historic bus testing results for lateral offset during the maneuver these tests are not intended to fulfill the durability and reliability that have makes the test less representative of mandate found in 49 U.S.C. shown that most test vehicles have no real-world conditions. FTA is aware of 5329(b)(2)(C) that the agency issues meeting this proposed standard. engineering tests that can be used to promulgate minimum safety FTA seeks comments on the benefits characterize specific bus stability performance standards for transit and costs of the proposed hazards parameters. The constant radius turn vehicles. Once those standards are testing procedure and standard, and test is used to determine a vehicle’s finalized via a separate rulemaking alternatives. maximum lateral acceleration potential action, per section 5318(e)(1)(B)(ii), C.2.2. Stability and its inherent propensity for transit agencies will only be able to understeering or oversteering behavior purchase vehicles using FTA funds that The second proposed safety throughout its range of lateral meet those standards. However, meeting performance standard addresses the acceleration. The ‘‘fishhook’’ and ‘‘sine- those standards will not be included in dynamic stability of the bus. The Bus with-dwell’’ maneuvers can be used to the ‘‘pass/fail’’ score discussed in this Testing Program has used a double-lane induce vehicle instability in a vehicle rulemaking. Bus Testing Rule will be change test procedure to assess the and then assess the ability of the revised accordingly in order to stability of buses. This obstacle stability control system to manage the accommodate the standards avoidance maneuver procedure promulgated under 49 U.S.C. simultaneously challenges the roll 15 http://146.186.225.57/bus_tests_pdfs/ 5329(b)(2)(C). FTA proposes a total of stability, yaw stability, steering rate, the 3.safety.pdf

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response of the test vehicle. While these like that proposed for the double-lance C.2.3 Braking Performance types of tests can provide significant change test, it would be possible for ill- FTA proposes three performance insight into vehicle behavior they are handling buses to pass through the Bus standards for the braking performance of not necessarily operationally relevant to Testing Program and enter transit new bus models based on the test transit bus consumers. Additionally, in service. results obtained from the current brake order to execute these maneuvers, the 2. The estimated cost of executing the performance tests.17 The first is for the use of vehicle safety outriggers, proposed 136 test is 5 times greater stopping distance on a dry level surface. additional instrumentation, and ($15,000 vs. $3,000) than the cost of the The second is for the directional potentially greater expanses of current Bus Testing program stability stability of the bus while stopping on a pavement surface are required which test. This new test would impact the level split coefficient friction surface. increases the cost and time required to The last one addresses the performance conduct the tests. FTA has not analyzed program budget forcing FTA to reduce testing in other areas. of the parking brake with the bus on a the benefits and costs of these grade. alternative testing procedures due to 3. For buses without ESC, the test insufficient data, but FTA believes that results would not be operationally C.2.3.1 Stopping Distance the double-lane change test remains the meaningful. This reduces the value of The purpose of this test is to assess best option for the needs of the Bus the information to the transit industry. the straight line stopping capability of a Testing Program. FTA received no Another option is test and apply the bus model on a level high friction specific comments regarding the proposed Stability performance surface at initial speeds of 20, 30, 40, proposed Stability performance standard only to those bus models that and 45 mph and on a level low friction standard during the industry outreach do not fall under the scope of the surface at 20 mph. FTA proposes a events. proposed FMVSS 136 (urban transit stopping distance performance standard FTA also acknowledges the National buses and buses less than 26,000 lbs). that every new bus model satisfies the Highway Traffic Safety Administration’s Buses that are subject to FMVSS 136 stopping distance requirement of (NHTSA’s) proposed rule to require and are certified as compliant by their Federal Motor Vehicle Safety Standard electronic stability control on large (FMVSS) 105 Hydraulic and electric manufacturer would be given an buses under the proposed Federal Motor brake systems (49 CFR 571.105) and automatic pass for ‘‘Stability’’. While Vehicle Safety Standard (FMVSS) 136.16 FMVSS 121 Air Brake Systems (49 CFR this option is more practical for the test Under this proposed rule, all buses over 571.121) of stopping within 158 feet 26,000 lbs gross vehicle weight rating program, as it eliminates the need to from a speed of 45 mph on dry level (GVWR) would be required to have an conduct the FMVSS 136 tests, it still road surface. electronic stability control system (ESC) could allow a poor handling bus FTA proposes that although a bus with specific capabilities and a through the testing program. The model may fail to stop within 158 feet demonstrated ability to control the bus’s proposed FMVSS 136 standard affects from a speed of 45 mph, a passing result stability within specified limits during a two types of buses that are used by from an applicable documented FMVSS defined test maneuver that challenges transit; the over-the-road motorcoach, 105 or 121 certification test conducted the stability of the bus, forcing the ESC and the large Class 7 cutaway chassis by an independent test organization can system to respond. The proposed buses. While it is unlikely that a be used instead. FTA offers this requirements of FMVSS 136 do not motorcoach will be placed into regular alternative compliance option due to the apply to ‘‘urban’’ transit buses. Overall, fixed route transit service where a bus’s fact that the Bus Testing Program does if the requirements included in the agility is more important, some Class 7 not conduct the brake burnish proposal are finalized it is expected that cutaway buses are used for fixed route procedure specified in the FMVSS for some of the buses tested in this program service. the considerations of cost and time. The will have an ESC system and some will Past Stability test results indicate that data analysis revealed that three of 49 not. FTA considered two different all bus models are capable of safely buses recently tested would have failed options for harmonizing the Bus Testing executing the double-lane-change test at this standard based on the Bus Testing Stability performance standard with that 45 mph. As a result, FTA believes that results alone. Their average stopping of FMVSS 136. probability of an ESC system distances from 45 mph were 160, 171, The first option considered was intervening during this test is low for and 189 feet. FTA believes that these replacing the current Stability test with current production bus models. three failures could have been resolved the proposed FMVSS 136 tests and Therefore, FTA believes that applying through leveraging a FMVSS performance requirements for all buses. the proposed Stability performance compliance test report or by repeating the brake testing, and that no This option was rejected for several standard of 45 mph through the double mechanical changes would have been reasons. lane-change test course to all buses, necessary in order to pass the proposed 1. For buses so equipped, ESC will regardless of whether or not they are ensure that they are stable. Our current test. equipped with ESC, is the best option. After one of the outreach sessions, stability test demonstrates whether a However, since the inherent stability bus can safely execute a double lane FTA received written comments from performance characteristics of future one source regarding the proposed change without reducing velocity. bus models are unknown, FTA seeks Without a minimum speed requirement stopping distance performance comments regarding the different that ensures a minimum level of agility, standard. The commenter recommended options for integrating the proposed a braking distance performance standard FMVSS 136 into the Bus Testing 16 ‘‘Federal Motor Vehicle Safety Standards; of 200 feet from a speed of 45 mph for Electronic Stability Control Systems for Heavy Program, including the benefits and heavy-duty transit buses due to the fact Vehicles’’, Notice of Proposed Rulemaking, costs and those of alternatives. FTA also that the FMVSS burnishing procedure is National Highway Traffic Safety Administration, seeks comments in general on the not conducted prior to conducting the May 23, 2012, https://www.federalregister.gov/ benefits and costs of its proposed articles/2012/05/23/2012-12212/federal-motor- vehicle-safety-standards-electronic-stability-control- Stability procedure and test, and 17 http://146.186.225.57/bus_tests_pdfs/ systems-for-heavy-vehicles alternatives. 4.2Performance-BrakeTest.pdf

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stopping distance tests. FTA believes occur during the testing) are deficiency in reliability during the test that by allowing the use of an FMVSS documented as well, including the that could later impact the total certification test result as an alternate length of time for each maintenance unscheduled maintenance hours data source we have addressed the action, as transit vehicle agencies noted significantly. The commenter concurred commenter’s issue and at the same time unscheduled maintenance needs was a with using a maximum of 125 hours for not lowered the bar for braking significant operating constraint.19 the unscheduled maintenance scale. performance below the FMVSS FTA proposes a maintainability The commenter also recommended threshold. FTA seeks comments on the performance standard for the total having the component removal and benefits and costs of proposed stopping unscheduled maintenance time of no replace times account for 20 percent of distance performance standard, and greater than 125 hours over the full the points for this test category and the alternatives. course of all of the tests. Unscheduled remaining points from the total maintenance time is a function of the unscheduled maintenance hours. FTA C.2.3.2 Braking Stability reliability of the bus and the amount of considered proposing limits on the The purpose of the braking stability labor required to resolve its replacement rates of certain test is to determine the ability of a bus malfunctions and is a significant ‘‘consumable’’ components but thought model to stay within a standard lane indicator for the operating cost of the that limiting the total amount of width during a maximum effort panic bus. FTA selected a standard of 125 unscheduled maintenance accumulated stop from 30 mph with one side of the hours after reviewing the bus testing during the test was an adequate bus on a high friction surface the other results for all bus models that meet the disincentive to ‘‘over-maintain’’ the bus. on a low friction surface. The proposed proposed reliability performance At the time of the comments regarding performance standard for braking standard (no more than two Class 2 the component removal and replace stability is that the bus remains within reliability failures (a failure resulting in times were submitted, FTA was a 12-foot lane width during the split a maintenance road call to repair or tow considering a potential performance coefficient friction brake stops as the bus) and meet the proposed standard for this test or including it in conducted under the current Bus durability standards (no uncorrected the discretionary scoring for Testing Program procedure. The data frame and body structure failures or Maintainability. FTA chose not to analysis revealed that all buses satisfied powertrain failures remaining at the propose including the component this proposed performance standard. completion of testing. during the test. removal and replace (R&R) times in the FTA received no comments regarding Buses that required more than 125 hours pass/fail scoring system at all. FTA felt braking stability. FTA requests of unscheduled hours during the test that the past test results that this metric comments on the benefits and costs of have been problematic in transit service did not show significant difference its proposed braking stability test and have usually not provided the full between bus models. Additionally, R&R procedure and standard, and specified useful service life. Three buses times are only relevant if that alternatives. from the study group of 49 would not component needs to be replaced meet this proposed performance multiple times throughout the bus’s life. C.2.3.3 Parking Brake standard. However, these same three The R&R time for components that fail The third proposed performance bus models also fail the proposed during the test are already captured in standard is that the parking brake holds durability requirements. Assuming the the unscheduled maintenance times. the bus stationary on a 20-percent grade durability failures would be verified as Another commenter highlighted the while facing uphill and downhill for 5 ‘‘corrected’’ during the subsequent concern that new bus models that minutes each in accordance with retesting, this proposed standard would introduce a new technology or even just FMVSS 105 and 121. likely be met. a new component could significantly The data analysis revealed that all FTA considered proposing a raise the risk of failing the test in the buses satisfied this proposed graduated performance standard based durability, reliability, or maintainability performance standard. FTA received no on the expectation that the amount of test categories. Overall, FTA agrees with comments regarding the parking brake unscheduled maintenance is directly this observation. The Bus Testing performance standard. proportional to the amount of bus Program serves as the point of entry to operation and hence its service life unlimited bus production volumes for C.3. Maintainability category. However, a plot of the total FTA recipients. These issues are already The objective of this test is to examine unscheduled maintenance results for addressed in existing bus testing the amount and types of maintenance buses with no greater than two Class 2 policies. The program’s partial testing required to keep the test bus in a fault- failures tested in 2010 revealed a policies delineate between component free operating state. Selected uniform distribution of test results that changes that are ‘‘major’’ and need to be components (e.g., transmission, was not directly proportional to the tested and those component changes alternator, windshield wiper motor, and length of the service life. The proposed that do not trigger additional testing.20 other comparable components that serve 125-hour standard would apply to all Bus models employing new bus the same functions replaced over a service life categories as all durability technologies may be eligible for a vehicle’s lifespan on the bus) are tests represent 25 percent of the prototype waiver that allows a small removed and replaced, and the total vehicle’s designated service life. quantity of buses to be procured without time required to complete this task is FTA received written comments from the need for testing.21 recorded.18 The amount of time two sources on this subject during our FTA seeks additional comments necessary to conduct the scheduled outreach activities. One commenter concerning the benefits and costs of its servicing, as defined by the bus recommended that specific limits need proposed performance standard for manufacturer, is recorded throughout to be established for ‘‘consumable’’ parts Maintainability, as well as on the duration of the test. All unscheduled so that shocks or bump stops are not alternatives. In addition, FTA seeks maintenance activities (i.e., failures the replaced every 1000 miles to hide a comment on whether the proposed 125-

18 http://146.186.225.57/bus_tests_pdfs/1- 19 http://146.186.225.57/bus_tests_pdfs/1- 20 http://www.fta.dot.gov/12351_8867.html 3.replacementandrepairsubsystems.pdf 2.servicing_pm_and_repair.pdf 21 http://www.fta.dot.gov/12351_8875.html

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hour standard may have adverse model while it undergoes the tests in reliability failures are identified by unintended consequences. the other test categories. As expected, subsystem and cumulative test distance most of the reliability failure incidents C.4. Reliability at the time of failure, and the associated occur during the durability test portion repair and down time for each failure is The objective of this test category is of the structural integrity test category. documented.22 Table 5 is an example of to document and classify each of the However, all of failures throughout the the product of this analysis. operational reliability failures of a bus test are documented. Specifically, the

TABLE 5—RELIABILITY ANALYSIS EXAMPLE

Failure type Class 4 Class 3 Class 2 Class 1 Maintenance Subsystem labor-hours Downtime Distance Distance Distance Distance (mi) (mi) (mi) (mi)

Drive System ...... 821 2.0 1.0 1,857 2.0 6.0 1,860 4.0 24.0 1,860 6.0 12.0 6,542 8.0 24.0 9,725 25.0 144.0 14,252 20.0 2,712.0

The current bus testing program coolant and hydraulic hoses, broken FTA seeks comments regarding the categorizes a failure during the test into accessory drive belts, failed Starting, adequacy and reasonableness of the one of the following four classes: Lighting, and Ignition (SLI) batteries treatment of the Class 3 and Class 4 1. Class 1: A malfunction that could (common 12-volt batteries used for reliability test results. lead to a loss of bus control; in serious engine starting and general electrical FTA received written comments injury to the driver, passengers, system use, not traction batteries used regarding the proposed Reliability pedestrians, or other motorists; and in for electric bus propulsion) or other performance standards. The commenter property damage or loss due to collision externally sourced, high-volume concurred with the proposed or fire. components whose designs and quality requirements of no uncorrected Class 1 2. Class 2: A malfunction that results control may be beyond the direct and no more than two uncorrected Class in test interruption because the bus control of the bus manufacturers. This 2 failures existing at the completion of cannot be operated. Service is proposed standard is based on the past the test. The commenter asked that FTA discontinued until the bus is repaired at reliability test results for buses that did commit to a review of these failures, the the site of the malfunction or it is towed not have systemic problems with proposed remedies, and the amount of to a service workshop. An in-service bus completing their service life validation test distance required within that experiences a Class 2 failure would requirements in service. The analysis of three business days to minimize the require a road call (i.e., a mechanical bus testing results indicates that one bus impact to the testing schedule. They failure on the road that requires towing out of the 49 studied would fail the also recommended that any additional or repairs, but there is no immediate Class 2 requirement. However, FTA testing required to validate design safety risk to the driver and/or believes that had this requirement changes necessary to meet the passengers). existed at the time of that test the Reliability performance standards be 3. Class 3: A malfunction that results manufacturer would have sought to shared between FTA and the in temporary interruption of testing, and remedy and validate at least one of Class manufacturer at the same 80/20 percent the bus must be returned to a service 2 failure modes prior to the end of the split as the rest of the test. FTA seeks workshop for repair. An in-service bus test. comments regarding the benefits and that experienced a Class 3 failure could FTA chose to propose placing a costs of the proposed Reliability be driven safely to a rendezvous site for performance standard for Class 1 performance standards, as well as on a bus swap. reliability failures in the Safety test alternatives. 4. Class 4: A malfunction that category and not in the Reliability test C.5. Fuel Economy degrades bus operations but does not category so that these results would not require immediate removal of the bus be double-counted in the proposed Bus FTA proposes that the performance from testing. An in-service bus that Model Scoring System. For standard for the Fuel Economy test experienced a Class 4 failure could completeness, the Reliability section of category is that every new bus model complete its shift. the test report will continue to report would satisfy the requirements of FTA proposes a reliability the details of all Class 1 failures. FTA NHTSA’s Medium and Heavy-Duty performance standard for the also chose not to propose any Vehicle Fuel Efficiency Program (49 accumulation of no uncorrected Class 1 performance standards for Class 3 and 4 CFR part 535) for the model year in and not more than two uncorrected reliability failures. The primary impact which it is produced. In this program, Class 2 reliability failure modes at the of these failure modes is increased transit buses are classified as ‘‘heavy- completion of the test. This proposed unscheduled maintenance which is duty vocational vehicles’’ with standard allows up to two Class 2 addressed with the proposed voluntary standards starting with the failures resulting from flat tires, failed Maintainability performance standard. 2013 model year and mandatory

22 http://146.186.225.57/bus_tests_pdfs/ 2.reliability.pdf

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standards starting in model year 2016. requirements, this proposal would only emissions standard, as well as on Correspondingly, this proposed have costs or benefits if recipients alternatives. performance standard becomes effective decide to purchase buses that perform C.7. Noise for the Bus Testing Program in 2016. better than the minimum standard based Because buses will be required to on the testing results. The EPA divides The objective of this test category is comply with these regulations for model heavy-duty vehicle exhaust emissions to measure the noise levels inside and year 2016, this proposal would only into two groups, criteria pollutants, and outside of the bus in various operating have costs or benefits if recipients green-house gas pollutants. Exhaust modes. There are a total of six different decide to purchase buses that perform emissions of nitrogen oxides (NOX), noise test procedures currently better than the minimum standard based non-methane hydrocarbons (HC), conducted. The interior noise testing on the testing results. The current fuel particulate matter (PM), and carbon includes measuring the ambient noise economy testing conducted in the Bus monoxide (CO) are considered ‘‘criteria level inside the bus as it is being Testing Program does not address this pollutants’’ and the standards for subjected to 80 dB of white noise from standard and would not be used for governing these pollutants are provided outside the bus, measuring the noise determining compliance. The in 40 CFR part 86. Exhaust emissions of levels inside the bus as it accelerates from a standstill to 35 mph, and manufacturer documentation used to carbon dioxide (CO2), methane (CH4), qualitatively identifies any specific demonstrate compliance with the and nitrogen dioxide (N2O) are NHTSA program would be the same considered ‘‘greenhouse gas pollutants,’’ types of noise such as rattles, wind basis for the Bus Testing Program the standards for which are outlined in noise, or resonant vibrations that occur determining compliance with its fuel 40 CFR part 1037. Bus manufacturers at specific speeds, throttle positions, economy standard. The Bus Testing currently leverage a ‘‘pass-through’’ gear ranges, etc. The exterior noise Program fuel economy test results compliance from the engine testing measures the noise levels would be used to award additional manufacturer, chassis manufacturer, or projected into the outside environment points above the base score as is alternative fuel conversion supplier to from the bus as it accelerates from a discussed in paragraph D.1.5 of this demonstrate compliance with 40 CFR steady speed at full throttle, as it notice. No comments were received part 86. For the greenhouse gas accelerates from a standstill to 35 mph from stakeholders as this proposal was emissions standard, 40 CFR part 1037, under full throttle, and when stationary developed after the outreach sessions. bus manufacturers must provide the bus with the engine at three different throttle settings. FTA plans to continue Initially, FTA had proposed a set of models specific results generated by the testing and reporting on the six different minimum performance standards for Greenhouse Gas Emissions Model noise test procedures as is current fuel economy based on the test results (GEM) to the EPA or leverage the chassis practice. However, performance produced by the program. FTA seeks original equipment manufacturer (OEM) standards are not proposed for all six public comment on the benefits and certification for those bus models built tests. costs of its proposed fuel economy upon an incomplete OEM chassis. standard, as well as on alternatives. To formulate Noise performance While the Bus Testing Program standards, FTA reviewed the test results C.6. Emissions currently measures all of these exhaust for buses tested in 2010 and later. FTA To protect public health and welfare, emissions except for N2O, the testing is also reviewed the APTA Standard Bus Congress enacted the Clean Air Act conducted at the vehicle level using Procurement Guidelines and its (CAA) and its subsequent amendments. transit specific driving cycles and is not recommended specifications for bus The CAA Amendments of 1970 directed suitable for determining compliance noise performance, as well as from other the Environmental Protection Agency with the EPA exhaust emissions Federal agencies such as the National (EPA) to use scientific data to set and requirements. The Bus Testing Program Institute for Occupational Safety and revise national ambient air quality emissions test was designed to provide Health (NIOSH), the Federal agency standards (NAAQS) for specific accurate data measured over transit responsible for workplace safety widespread and common pollutants, specific duty-cycles to facilitate direct research, and the EPA, the Federal making major revisions in 1977 and comparisons between bus models. agency responsible for environmental 1990. Currently, the EPA has air quality Instead of using the Bus Testing health standards. standards in place for six common Program emissions test results to FTA found that while the APTA ‘‘criteria pollutants:’’ particulate matter, address the EPA requirements, FTA guidelines set an interior noise ozone, sulfur dioxide, nitrogen dioxide, proposes that the bus manufacturer threshold of 80 dB(A) (decibels, A- carbon monoxide, and lead. documentation already being used to weighted—a relative measure of the Implementation of the standards is a demonstrate compliance with the EPA loudness of sounds as perceived by the joint responsibility of the States and requirements also be the basis for the human ear) for passenger seating EPA, with States responsible for Bus Testing Program to determine locations and 75 dB(A) for the driver developing enforceable State compliance with its Emissions area, they were designed to address implementation plans that meet performance standard. The Bus Testing procurements of urban transit buses national standards. If a State fails to Program emissions test results would be between 30 and 60 feet in length and do adopt and implement an adequate plan, used to award additional points above not address buses of shorter length, such EPA is required to issue a Federal the base score as is discussed in as cutaway buses, which are of a implementation plan. paragraph D.1.6 of this notice. FTA did different body design and whose FTA proposes that the performance not receive comments for this proposal engines are typically located forward in standard for the Emissions test category as it was not discussed during the the cab of the vehicle, rather than in the be that every new bus model would outreach sessions. FTA had initially rear of the bus. satisfy all of the applicable EPA exhaust proposed a performance standard for FTA examined other noise emissions requirements for heavy-duty each category of exhaust emissions performance standards to determine vehicles for the model year in which it currently measured by the test program. whether elevating the driver area noise is produced. Because buses are FTA seeks public comment on the level above 75 dB(A) posed an currently required to comply with these benefits and costs of its proposed unacceptable hazard for the driver. The

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NIOSH recommended exposure limit FTA received some verbal and written sustaining at least 40 mph on a 2.5 (REL) for occupational noise exposure is comments regarding the noise testing percent grade, and at least 10 mph on 85 dB(A), over an 8-hour time-weighted and the proposed performance a 10 percent grade. The proposed average. Exposures at and above this standards. During the earlier outreach gradeability on a 2.5 percent grade level are considered hazardous by sessions, FTA had discussed the performance standards is sourced from NIOSH. Although bus drivers can be proposed performance standards that it the APTA Standard Bus Procurement exposed to interior bus noise for 8 hours was considering for each of the six noise Guidelines. While this same source a day, the bus noise level is transient, tests that are currently performed. recommends a minimum speed of 15 peaking only during acceleration. Thus, Comments from transit agencies mph on a 10 percent grade, FTA setting the performance standard at 80 indicated that they focused on the noise proposes a performance standard of 10 dB(A) would ensure that the NIOSH test results for the noise produced when mph on a 10 percent grade to account recommended exposure limit is not a bus is accelerating from a stop. One for the typical measured test exceeded. bus manufacturer concurred with the performance of the 60-foot articulated The APTA exterior noise threshold of proposed noise test performance buses and to allow manufacturers to 83 dB(A) while accelerating from a full standards. FTA seeks comments optimize the powertrain fuel economy of 40-foot buses for transit applications stop is consistent with EPA regulation, concerning the benefits and costs of its proposed Noise performance standards that do not require significant which addresses transient external noise and testing procedures, and alternatives. gradeability performance. levels by commercial vehicles found in These proposed performance section 202.20(b) of 40 CFR part 202. C.8. Performance requirements are not particularly This section provides: ‘‘No motor carrier The objective of this test is to rigorous as they were set to allow for the subject to these regulations shall operate investigate and document the optimization for fuel economy, given any motor vehicle of a type to which automotive performance of the bus transit agency requirements. this regulation is applicable which at including its maximum speed, Additionally, as with any of the tests any time or under any condition of acceleration, and gradeability (grade proposed today, these performance highway grade, load, acceleration or climbing ability). These three factors are standards do not preclude transit deceleration generates a sound level in critical for buses to perform as needed agencies from procuring bus models that excess of 83 dB(A) measured on an open for transient recipients: speed is have greater performance capability. site with fast meter response at 50 feet important if the bus will be used in These proposed standards are consistent from the centerline of lane of travel on commuter service on highways, with bus testing results that have shown highways with speed limits of 35 mph acceleration is important after being that most test vehicles would likely not or less; or 87 dB(A) measured on an stopped or when entering traffic, and have significant difficulty meeting these open site with fast meter response at 50 gradeability is important for those cities proposed standards. feet from the centerline of lane of travel not located on flat terrain. The data analysis of the acceleration on highways with speed limits of more FTA is proposing three performance results for 49 recent bus tests showed than 35 mph.’’ The current Bus Testing standards for the Performance test that two buses failed to meet the program conducts this test in the same category: one for acceleration, and two proposed acceleration standard. One, a manner at a speed up to 35 mph. for gradeability. A performance standard full electric bus, recorded a time of 18.6 Therefore, FTA proposes that the for the maximum speed on a level road seconds. FTA believes that with a interior and exterior noise measured surface is not proposed. The stability software adjustment to the powertrain during the maximum acceleration of the performance standard in the Safety test control system this particular bus could test bus from 0 to 35 mph would be category already requires all buses to be have reduced its acceleration time to 18 basis for the noise performance test.23 24 able to maintain 45 mph throughout the seconds or less. This adjustment would The proposed performance standard lane change test. FTA believes that 45 not have a significant cost. The other would be 80 dB(A) for interior noise mph is an adequate maximum speed bus, a 60-foot articulated bus, achieved throughout the interior of the vehicle that all transit buses need to satisfy. 30 mph in 19.6 seconds. This diesel- and 83 dB(A) for exterior noise as FTA understands that there are bus powered bus was equipped with a measured by the current test routes that require a speed greater than relatively small displacement engine for procedures. The noise test data analysis 45 mph. The Bus Testing Program the 60-foot bus class. A numerically of 49 recent bus models indicates that requirements do not preclude transit higher final drive ratio could have been two cutaway chassis buses exceed the agencies from procuring buses with a fitted to the bus to reduce its proposed interior noise performance at speed capability greater than 45 mph. acceleration time, as well as improve its the driver’s position by 4 dB (measured The proposed Acceleration gradeability, at the expense of maximum 84 dB versus the 80 dB limit). FTA performance standard would establish speed and fuel economy, but no believes that this level could be reduced that every bus be capable of achieving additional equipment cost. to 80 dB or lower by the application of a speed of 30 mph from rest in no The data analysis for maximum speed sound absorption materials between the greater than 18 seconds, which is on a 2.5 percent grade indicates that all engine compartment and floor areas and consistent with Standard 7.3.1, Table 3, 49 buses would satisfy the proposed the driver’s workstation. FTA requests of the APTA Guidelines. FTA does not requirement of 45 mph. A few buses comments on the cost of adding this know the original basis for the were just at the threshold of this sound absorption material to a bus. acceleration requirement. Our requirement. The data analysis for the None of the 49 buses would fail the speculation is that, when it was maximum speed on a 10 percent grade proposed exterior noise performance formulated, it was based on the reveals that three buses, one 40-foot standard. capability of a popular bus model that diesel, one 40-foot electric, and the transit agencies felt provided adequate same 60-foot bus that failed the performance. acceleration requirement failed to 23 http://146.186.225.57/bus_tests_pdfs/7– 1.interiornoise.pdf The proposed Gradeability achieve 10 mph on a 10 percent grade. 24 http://146.186.225.57/bus_tests_pdfs/7– performance standards would establish Of these three, the 40-foot diesel was the 2.exteriornoise.pdf that every bus shall be capable of closest, at 7.5 mph, to achieving the

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proposed standard. Other 40-foot buses when the bus is on an actual grade without excessive operating costs and with similar powertrains were capable leading to potentially erroneous test excessive negative impact to the of meeting this requirement, perhaps results. Based on these comments and environment. The other test categories indicating that the engine in this its own data analysis, FTA adjusted the required in MAP–21 and proposed particular bus was not operating at full performance requirement for speed on a today, including noise, emissions, and capability. The next slowest bus was an 10 percent grade down to 10 mph. fuel economy, are also of great electric bus performing at 5 mph. This Additionally, FTA and LTI have been importance for the agency, transit particular bus has been confirmed by working towards a new gradeability agencies and the public, but, as noted, one operating agency as having poor hill testing methodology using the chassis are within the primary regulatory climbing ability, making it unsuitable dynamometer to replicate the grade responsibilities of other Federal for several routes in their area. specific gravitational forces. However, agencies. FTA received several comments and we are not yet ready to propose this A total of 54 points has been proposed recommendations regarding the methodology. FTA seeks comments proposed acceleration and gradeability regarding the benefits and costs of its across test categories that assess the performance testing and standards. proposed acceleration and gradeability capability of a bus model to reliably During the outreach sessions, bus performance standards, as well as on withstand continuous transit service for manufacturers endorsed the proposed alternatives. the duration of its service life, with only acceleration requirement as it competes a reasonable level of maintenance directly with fuel economy D. Bus Model Scoring System required to sustain a state of good repair performance, citing that they have never MAP–21 requires that FTA include a (structural integrity—30 points, had a customer ask for more Bus Model Scoring System that maintainability—16 points, and acceleration than the APTA standard produces an aggregate score that uses reliability—8 points). A total of 20 but always have customers asking for test categories and considers the relative points is assigned to safety, another FTA more fuel economy. Several bus importance of each such testing priority. The environmental manufacturers disagreed with the category. FTA proposes a scoring system sustainability characteristics of fuel proposed gradeability requirement of 15 where the maximum aggregate score is economy and emissions are assigned 7 mph on a 10 percent grade for heavy- 100 points. The scoring system and points each. Bus noise characteristics duty buses as most U.S. roadways are maximum points available in each test are assigned a total of 7 points. Lastly, limited to a 6 percent grade. One category are shown in Table D.1. The the automotive performance manufacturer provided a summary of points available in each test category characteristics of bus models are the buses tested that could not achieve reflect FTA’s concerns as the primary assigned a total of 5 points. FTA 15 mph on a 10 percent grade. Two bus provider of Federal assistance for the requests comments on its proposed manufacturers recommended that FTA procurement of new bus models— scoring system. In particular, FTA seeks and LTI find a new method of namely, that they can operate safely on information on whether there are determining gradeability performance as bus routes with adequate automotive alternative scoring systems that would the current analytical method that uses performance, reliably withstand the better enable recipients to compare the acceleration cannot account for how rigors of transit service over their buses, and whether categories should be the new adaptive transmissions perform required service lives and to do so weighted differently.

TABLE D–1—WEIGHTED TEST RESULTS SCORING SYSTEM

Test category Potential awarded for meeting each performance Potential points for Total point standard performance weighting by above the category standard Shakedown ...... 1.0 Distortion ...... 1.0 Static Towing ...... 1.0 Structural Integrity ...... Dynamic Towing ...... 0 1.0 30 Jacking ...... 1.0 Hoisting ...... 1.0 Durability-Structural ...... 12.0 Durability—Powertrain ...... 12.0 Hazards ...... 10.0 0 Safety ...... Stability ...... 2.5 0 20 Braking ...... 5.5 2.0 Maintainability ...... Total unscheduled maintenance hours ...... 2.0 14.0 16 Reliability ...... Number of Class 2 reliability failures ...... 2.0 6.0 8 Liquid fuels. CNG. Fuel Economy ...... Hydrogen ...... 1.0 6.0 7 Electric. CO2 ...... 4.0 CO ...... 0.4 Total hydrocarbon ...... 0.4 Emissions ...... Non-methane hydrocarbon ...... 1.0 0.4 7 Nitrogen oxides ...... 0.4 Particulates ...... 0.4 Noise ...... Interior Noise (0–35 mph) ...... 0.5 3.0 7 Exterior Noise (0–35 mph) ...... 0.5 3.0 Acceleration 0–30 mph ...... 1.5 Performance ...... Gradeability 2.5% ...... 1.5 0 5 Gradeability 10% ...... 2.0 Total ...... 60 40 100

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Determination Of Scores By Test additional prorated points would be fifteen specific areas provides additional Category awarded when the performance of the benefit to transit through increased FTA proposes that the test results for bus model exceeds specific performance safety and reliability, reduced operating each proposed performance standard be standards in the Safety, Maintainability, costs and reduced negative impact on used to generate the score for each test Reliability, Fuel Economy, Emissions, the environment. In these fifteen category. To receive a numerical score, and Noise test categories as identified in prorated performance categories, FTA a bus model must satisfy each proposed Table D–2. FTA believes that while bus believes that the maximum identified performance standard at least at the models that only just satisfy the performance levels would not be minimum level. FTA proposes scoring performance standards at the minimum exceeded by any current bus model. of the results in two steps: First a base level should be capable of providing Additional details on the scoring of test score is awarded for the satisfaction of adequate transit service, performance results by test category are provided in each performance standard; second, above the performance standard in the following sections.

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Liquid Fuels MPG: I 13 (Diesel, Gasoline, LPG, LNG) Points: 0.0 6.0 Fuel SCF/mi: 50 10 Economy CNG Compliant with 49 CFR Part 535 (7 pts.) MEDIUM- AND HEAVY-DUTY Points: 0.0 6.0 VEHICLE FUEL EFFICIENCY 1.0 PROGRAM- Heavy-Duty Vocational SCF/mi: 98 15 Hydrogen Vehicle Fuel Consumption Standards (Only 1 fuel type Points: 0.0 6.0 scored) kW-hr/mi: 3 1 Electric Points: 0.0 6.0

Grams/mi: 4000 0 Carbon Dioxide (COz) Points: 0.0 4.0

Grams/mi: 20 0 Carbon Monoxide (CO) Compliant with all applicable EPA exhaust emissions re~ulations at date of Points: 0.0 0.4 manufacture including: Grams/mi: 3 0 Total Hydrocarbon 40 CFR Part 86 CONTROL OF (THC) Emissions EMISSIONS FROM NEW AND IN-USE 1.0 Points: 0.0 0.4 (7 pts.) HIGHWAY VEHICLES AND ENGINES Non-Methane Grams/mi: 3 0 Hydrocarbon 40 CFR Part 1037 CONTROL OF (NMHC) EMISSIONS FROM NEW HEAVY- Points: 0.0 0.4 DUTY MOTOR VEHICLES Grams/mi: 2 0 Nitro~en Oxides (All emissions (NOx) categories scored) Points: 0.0 0.4

Grams/mi: 0.1 0 Particulate Matter (PM) Points: 0.0 0.4

Interior- dB( A): 80 30 acceleration No greater than 80 decibels (dB(A)) 0.5 Noise 0-35mph Points: 0.0 3.0 (7 pts.) Exterior- dB( A): 83 50 acceleration No greater than 83 decibels (dB(A)) 0.5 0-35mph Points: 0.0 3.0

Time from 0-30 mph no greater Acceleration 1.5 than 18 sec

Sustained speed on 2.5% grade no less Performance 1.5 (5 pts.) than 40mph Gradeability Sustained speed on 10% grade no less 2.0 than 10mph

FAIL Overall Result 60 + 0 40 PASS Maximum Aggregate Score 100

D.1.1. Structural Integrity Tests requirements in order to meet its of 2.0 discretionary points are available. expected service life. The Safety Test sub-categories are a FTA believes that no discretionary collection of safety related bus D.1.2 Safety Tests points are available for performance characteristics that are currently above the standard because of a transit The proposed scoring of the Safety examined in other test categories. Under vehicle must meet these baseline Test is as shown in Table D–2. A total the current rule, only the Lane Change

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Stability Test is included in the Safety 4.8 points (2.0 + (125–100)/125)*14 = The fuel economy testing test category. The first proposed Safety 4.8). accommodates a wide range of fuel test sub-category is Hazards. The sources and propulsion technologies. D.1.4. Reliability Test performance standard for Hazards Transit buses historically have been would require that all bus models have The proposed scoring of the produced in relatively low volumes no Class 1 failures at the completion of Reliability Test is shown in Table D–2. totaling about 5,000 units of all types the test that remained uncorrected. Bus A total of eight points are available in annually. Due to these low volumes, the models that satisfy this requirement this category. The proposed majority of buses rely on the medium would receive 10 points. The Stability performance standard allows for and heavy-duty truck powertrain and performance standard would require accumulation of up to two uncorrected incomplete chassis vehicle supplier that a bus model achieve a lane change Class 2 failures at the completion of the marketplace from which to source their speed of no less than 45 mph with the test. All bus models that have two bus propulsion systems. The current bus under control and all wheels on the uncorrected Class 2 failures or fewer OEM powertrain market supplies ground throughout the maneuver. A bus would receive 2.0 base points. complete gasoline and diesel powered that satisfies the stability standard FTA believes that reliability cutaway chassis for body-on-frame would receive 2.5 points. There are performance above the level set by the buses. The OEMs also supply diesel and three safety test sub-categories performance standard provides natural gas engines combined with addressing the braking performance of a additional benefit to the transit industry traditional mechanical (automatic) and bus model. The first Braking such as fewer road calls and service hybrid-electric transmissions with performance standard would require the disruptions. As a result, FTA is energy storage systems for the heavy- bus to stop from 45 mph in no greater proposing that if a bus model duty urban transit bus manufacturers. than 158 feet. Bus models that require accumulated no Class 2 failures Additionally, there are third-party less than 158 feet to stop would receive throughout the test it would receive an alternative fuel conversion suppliers 0.5 base points and up to an additional additional 6.0 points. A bus model that that provide compressed natural gas 2.0 prorated points if the bus stops in 80 accumulates one uncorrected Class 2 (CNG) and liquefied petroleum gas (LPG feet or less. The average test result from failure would receive a total of 5.0 (propane)) conversions of OEM gasoline this report would be used to award the points (2.0 base points + 3.0 prorated cutaway chassis used by the bus score. The second Braking performance points) by linearly prorating the points manufacturers. Hybrid-electric and full standard addresses the ability of a bus between two and zero failures. electric conversions of OEM cutaway model to remain within a 12 foot road D.1.5. Fuel Economy Test chassis are also available in the market. lane width during a split coefficient Heavy-duty bus OEMs are now brake stop. A bus model that stays The proposed scoring of the Fuel developing and producing their own within the lane of travel during the stop Economy Test is as shown in Table D– full electric and hydrogen fuel-cell would receive 2.5 points. The third 2. A total of 7.0 points is available in electric powertrains in low volumes. Braking performance standard addresses this category. The proposed scoring is a FTA used the Bus Testing Program the ability of the parking brake to hold summation of the base score awarded the bus stationary on a 20-percent grade fuel economy results from 2010 and for satisfying the applicable vocational newer bus models to establish the while facing uphill and downhill for 5 vehicle fuel efficiency requirements minutes each. Bus models that satisfy proposed fuel economy and fuel from 49 CFR part 535 and the additional consumption scoring scales. The test this requirement would be awarded 2.5 points awarded based on the results of points. results for the 2010 and newer bus the Bus Testing Program fuel economy models reflect the current state of bus D.1.3. Maintainability Test test. propulsion technologies that are The fuel economy testing would The proposed scoring of the compliant with current EPA emissions consist of operating the new bus models laws and their impact on transit bus fuel Maintainability Test is shown in Table on a chassis dynamometer over three D–2. A total of 16 points is available in economy. FTA is proposing four different driving cycles (Manhattan, different scales to score the fuel this category. The maintainability Orange County Bus Cycle, and the performance standard would be set at economy results based on the bus model Heavy-Duty Urban Dynamometer fuel type: liquid fuel (gasoline, diesel, no greater than 125 hours of Driving Schedule (HD–UDDS)). The unscheduled maintenance activity over propane and liquefied natural gas); driving cycles were selected during the the course of the test. All bus models CNG; hydrogen; and electric. For each emissions test development process to that accumulate no more than 125 hours proposed scale, the minimum was based simulate a range of transit bus operating of unscheduled maintenance would on the measured or estimated fuel routes.25 All new bus models would be receive 2.0 base points. economy/fuel consumption of the FTA believes that maintainability tested over these cycles regardless of largest transit buses—that is, a 60-foot performance above the level set by the their weight or passenger capacity. long articulated bus, for each fuel type performance standard provides During the test, only the energy category. The scale maximum of each additional benefit to the transit consumed to provide bus propulsion fuel scoring category was based on industry. FTA is proposing that bus would be measured. The fuel efficiency actual or estimated maximum results for models that accumulate no unscheduled impact of heating or cooling the bus each fuel type category with an maintenance hours during the test interior, while potentially significant, additional margin to allow for future would receive an additional 14 points. would not be evaluated during the test improvements in fuel efficiency. In Test results between 125 and zero hours as the test facility does not provide a formulating the proposed fuel economy would receive an additional prorated controlled ambient environment in the scoring system, FTA focused on the amount of points between 0.0 and 14.0. dynamometer facility. intended purpose of providing For example, a bus that accumulated 25 information for bus model procurement 25 West Virginia University, Center for Alternative hours would receive 13.2 points (2.0 + Fuels, Engines & Emissions, Transit Vehicle decisions and fleet-level decisions about (125–25)/125)*14 = 13.2) and a bus that Emissions Program, Dr. Scott Wayne, FTA Project fueling infrastructure investments and accumulated 100 hours would receive No. WV–26–7008, May 2013. bus operations.

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Commonly, bus procurement passenger capacity of their bus model powered 40-foot buses during National solicitations already specify the length, submitted for testing. This metric would Fuel Cell Bus Program demonstrations the passenger capacity, and the fuel also penalize bus models submitted for and scaling the results for a 60-foot bus type. It is unlikely that transit agencies testing that employed a seating layout model. would be comparing bus testing fuel that was optimized for passengers who Bus models whose primary source of economy results for buses of different use wheelchairs, as the resulting total power is electricity would be scored fuel types and significantly different passenger capacity would be lower than based on the consumption metric of passenger capacities when reviewing that of the same bus model optimized kiloWatt-hours per mile (kW-hr/mile). bids. Bus fleet strategy parameters such for seated or standing passengers. FTA Test results of 3 kW-hr/mile or greater as bus design type (heavy-duty urban, considered a ton-miles per gallon metric would receive the base score. Averaged cutaway, or paratransit), passenger but this was rejected as it again would test results of 1 kW-hr/mile or less capacity, and bus fuel type are usually indicate that heavier buses are more would be awarded an additional 6.0. decided prior to issuing a bus efficient even though they consume (Note: Since the kW-hr/mile metric is a procurement request for proposal (RFP). more fuel. Lastly, FTA considered the energy consumption metric, not a fuel Once the desired fuel has been decided, merits of establishing multiple scoring economy metric, numerically lower minimization of the overall fuel cost is scales based on bus size or bus values of kW-hr/mile indicate greater the objective. However, this cost passenger capacity. This approach could efficiency). Test results between 3 and includes several variables including the further increase the granularity of the 1 kW-hr/mile would receive an unit price of the fuel, the amortized cost scoring, highlighting differences additional score prorated from 0.0 to of any fuel specific fueling between similar bus models. However, 6.0. infrastructure, and the fuel efficiency of this type of scoring system was rejected D.1.6. Emissions Tests the bus models over its intended transit due to concerns about manufacturers The proposed scoring of the routes. Of these considerations, only the artificially manipulating the Emissions test results is shown in Table fuel efficiency of the bus is addressed by characteristics of the test bus to gain D.-2. A total of seven points would be the Bus Testing Program, as fuel entry into the category that had most available in this category. The proposed prices—including alternative fuels and advantageous scoring system. scoring is based on a combination of electricity—are subject to market forces. The proposed base score for satisfying satisfying the emissions performance Fueling infrastructure requirements vary the performance standard is 1.0 point. standard and the test results for six by the type of fuel used, the size of the The remaining 6.0 points would be measured emission products averaged bus fleet, and the characteristics of the determined based on one of the applicable scales for the dominant fuel over the Manhattan, Orange County, and bus routes. Due to the existence of these HD–UDDS transit bus driving test and many other variables that affect fuel type of the bus model. For liquid-fueled buses, the average miles per gallon cycles. A base score of 1.0 point would operating costs FTA believes it is not be awarded to each new bus model that critical to use an identical measure to measured would be scored from the range of 1 mile per gallon (MPG) to a meets all applicable EPA exhaust score the fuel economy of the four fuel emissions standards. The remaining six types. maximum of 13 MPG. All bus models that average 1 MPG or less would be points available are distributed among FTA considered other fuel economy awarded the base points. Bus models the six exhaust emission categories scoring systems recommended by the that average 13 MPG or more would be measured during the transit specific Bus bus manufacturers and their powertrain awarded an additional 6.0 points. Test Testing Program emissions test with 4.0 suppliers. FTA considered a universal results between 1 and 13 MPG would be points available in the carbon dioxide energy efficiency scoring scale like awarded a prorated score between 0.0 (CO2) category and 0.4 points available British Thermal Units (BTUs) per mile and 6.0. in each of the five other categories of or diesel miles per gallon equivalent, All CNG-fueled bus models that carbon monoxide (CO), total etc. This type of scale was rejected as it consume an average of 50 standard hydrocarbon (THC), non-methane does not take into account the other cubic feet per mile (SCF/mile) or more hydrocarbon (NMHC), nitrogen oxides variables related to fuel cost (e.g., would receive the base score. An (NOx), and particulate matter (PM). The regional pricing differences, availability additional 6.0 points would be awarded CO2 category was assigned 10 times the of fueling infrastructure, etc.), the for a test result of 10 SCF/mile or less. available points of the other categories change in relative efficiency between (Note: since the SCF/mile metric is a due to the fact that, while it is now fuel types when operating in extreme consumption metric, numerically lower regulated by the EPA, the gross amount climates, particularly in cold climates, values of SCF/mile would indicate of these emissions is significantly and due to the significantly greater greater efficiency). Test results between greater than the others and CO2 efficiency of electric buses, the resulting 50 and 10 SCF/mile would receive an emissions vary among similar size bus loss in granularity of the scale would additional amount of points prorated models based on their fuel type and greatly minimize the difference in score between 0.0 and 6.0. propulsion technology. FTA would like between bus models of similar size and All hydrogen-fueled bus models that to highlight the difference in CO2 fuel type, which defeats the objective of consume an average of 98 standard emissions between bus models. the program. We also considered a cubic feet per mile (SCF/mile) or more The scoring scale for each category of passenger miles per gallon or equivalent during the test would receive the base exhaust emissions was developed from fuel consumption version of this metric. score. An additional 6.0 points would the test results of the 49 bus models This type of metric was rejected as it be awarded for a test result of 15 SCF/ tested since 2010. These bus models assumes that buses are always operating mile or less. Test results between 98 and represent the current state of production with a full passenger load, that it would 15 SCF/mile would receive an bus emissions performance. The results show that larger buses are more efficient additional amount of points prorated for all current bus models would fall even though they consume more fuel, between 0.0 and 6.0. The hydrogen within the range of the performance which is counter-intuitive to consumers. scoring scale was developed by a bounds proposed. Bus Models with FTA believes this metric could motivate relative comparison of the measured overall test results for CO2 emissions of bus manufacturers to over-maximize the performance of hydrogen fuel-cell 4,000 grams per mile or greater would

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receive the base score and an averaged Test results for particulate emissions available in this test category. The first test result of zero grams per mile will be of 0.1 grams per mile or greater would sub-category tests the acceleration from awarded an additional 4.0 points. receive the base score and an averaged 0–30 mph. A bus that accelerates to 30 Averaged test results between 4,000 and test result of zero grams per mile would mph in no greater than 18 seconds 0 grams per mile would receive an be awarded an additional 0.4 points. would satisfy the performance standard additional amount of points prorated Averaged test results between 0.1 and 0 and receive 1.5 points. The maximum between 0.0 and 4.0. Test results for grams per mile would receive an sustained speed on a 2.5 percent grade carbon monoxide emissions of 20 grams additional amount of points prorated is the next sub-category. A bus model per mile or greater would receive the between 0.0 and 0.4. that is determined to be capable of base score and an averaged test result of D.1.7. Noise Tests sustaining no less than 40 mph on a 2.5 zero grams per mile would be awarded percent grade would satisfy the standard an additional 0.4 points. Averaged test The proposed scoring of the Noise and receive 1.5 points. The maximum results between 20 and 0 grams per mile Test results is as shown in Table D–2. sustained speed on a 10 percent grade would receive an additional amount of The Noise Test category would be worth is the next sub-category. A bus model points prorated between 0.0 and 0.4. a total of 7 points with 3.5 points that is determined to be capable of Test results for total hydrocarbon assigned to interior noise level and 3.5 sustaining no less than 10 mph on a 10 emissions of 3 grams per mile or greater points to the exterior noise level. Both percent grade would satisfy the standard would receive the base score and an noise performance standards address and receive 2.0 points. No discretionary averaged test result of zero grams per the noise levels produced by the bus points were assigned to this test mile would be awarded an additional while accelerating from 0 to 35 mph at category. FTA believes that performance 0.4 points. Averaged test results its maximum rate. Test results for in this category above the proposed between 3 and 0 grams per mile would interior noise at or below the performance standards is not receive an additional amount of points performance standard threshold of 80 necessarily beneficial to all transit prorated between 0.0 and 0.4. decibels would receive 0.5 base points agencies. Test results for non-methane and test result of 30 decibels would be hydrocarbon emissions of 3 grams per awarded an additional 3.0 points. Test D.2. Calculation of the Aggregate Score mile would receive the base score and results between 80 and 30 decibels an averaged test result of zero grams per would receive an additional amount of The aggregate score would be the mile would be awarded an additional points prorated between 0.0 and 3.0. summation of all of the individual test 0.4 points. Averaged test results Test results for exterior noise at the sub-category scores. The raw aggregate between 3 and 0 grams per mile would performance standard threshold of 83 score would be rounded to the nearest receive an additional amount of points decibels would receive 0.5 base points whole number by rounding down when prorated between 0.0 and 0.4. and test result of 50 decibels would be the first digit to the right of the decimal Test results for oxides of nitrogen awarded an additional 3.0 points. Test point is below 5 and rounding up when emissions of 2 grams per mile or greater results between 83 and 50 decibels the first digit to the right of the decimal would receive the base score and an would receive an additional amount of point is 5 or greater. Table D–3 presents averaged test result of zero grams per points prorated between 0.0 and 3.0. the scoring for two bus models within mile would be awarded an additional the study group, report numbers PTI– 0.4 points. Averaged test results D.1.8. Performance Tests BT–1007 and PTI–BT–1108. Both buses between 2 and 0 grams per mile would The proposed scoring of the three are 40-foot heavy-duty diesel-hybrid receive an additional amount of points Performance Tests is as shown in Table electric bus models with a 12-year prorated between 0.0 and 0.4. D.2. A total of five points would be service life.

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TABLE D-3: Test Results Scoring of Two Bus Models

Report No. Report No. PTI-BT-1007 PTI-BT-1108

Test Category Performance Standard Perfonnance Result Perfonnance Result Standard Standard Points Points Met Met Awarded Awarded

Maximum pennanent chassis deflection Shakedown Met < 0.006 inch after 3 load cycles Met

All exits remain operational under each Distortion Met Met distortion loading condition

Static No significant defonnation under 120% Met Met Towing curb weight load

Structural Dynamic Bus is towable with standard wrecker Met Met Integrity Towing Jacking Bus is liftable with a standard jack Met Met

Hoisting Bus stable on jacks Met Met

No uncorrected frame & body structure Met Met failures remaining at completion oftest Durability No uncorrected powertrain failures Met Not Met remaining at completion oftest

No uncorrected Class 1 reliability failures Hazards Met Met remainin~ at test completion

Stability Lane change speed no less than 45 mph Met Met

143.19 ft NA-Bus NA Safety Stopping distance from 45 mph within 158 Could not Met feet as per FMVSS 105 & FMVSS 121 achieve 45 0.38 0.00 mph Braking Bus remains within lane durin~ split Met Met coefficient brake stops

Parkin~ brake holds on 20% ~rade Met Met

25 180 Accumulation of no more than 125 hours Met Not Met Maintainability of unscheduled maintenance 11.20 0.00

0 2 No more than 2 uncorrected Class 2 Met Met Reliability failures remaining at completion oftest 6.00 0.00

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TABLE Report No. Report No. D-3: Test PTI-BT-1007 PTI-BT-1108

Results Result Result Scoring of Perform- Test Results Scoring Two Bus ance Scale Perfonuance Perfonuance Models Standard Standard Standard Points Points Met Met (Cont'd) Awarded Awarded Test Cate~ory Liquid Fuels: 3.15 4.71 avg avg 1-13 mpg/ 0.0-6.0 points NA-Met NA-Met Compliant 1.86 1.08 with49CFR Part 535 MEDIUM Compressed Natural Gas AND HEAVY DUTY 50 10 SCF/mi/ 0.0 6.0 points Fuel VEHICLE FUEL Economy Hydrogen EFFICIENCY PROGRAM 98 15 SCF/mi/ 0.0 6.0 points Heavy-Duty Vocational Vehicle Fuel Electric Consumption Standards 3 1 kW hr/mi/0.0 6.0 points

Carbon Dioxide (COz) 2063 avg 3251 avg

40 CFR Part Grams/mi: 4000-0/ 0.0-4.0 points 1.94 0.75 86 CONTROL OF EMISSIONS Carbon Monoxide (CO) 0.15 avg 1.97 avg FROM NEW AND IN-USE Grams/mi: 20- 0/ 0.0-0.4 points HIGHWAY 0.40 0.36 VEHICLES AND ENGINES Total Hydrocarbon (THC) 0.01 avg 0.10 avg

Or Grams/mi: 3- 0/ 0.0-0.4 points 0.40 0.39 Emissions Met Met 40 CFR Part 1037 Non-Methane Hydrocarbon (NMHC) 0.01 avg 0.10 avg CONTROL OF Grams/mi: 3- 0/ 0.0-0.4 points 0.40 0.39 EMISSIONS FROM NEW HEAVY- Nitrogen Oxides (NOx) 0.74 avg 14.25 avg DUTY MOTOR Grams/mi: 2-0/ 0.0-0.4 points VEHICLES 0.25 0.00

Particulate Matter (PM) 0.006avg 0.02 avg

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E. Pass/Fail Standard under paragraph 5318(e)(1), FTA pass/fail standard that requires some In order to allow an amount of funding is allowed only if the ‘‘bus . . . level of performance above the discretionary points available that met . . . performance standards for minimum levels established by the provides meaningful dispersion of test maintainability, reliability, performance performance standards. However, FTA scores and to maintain the test category (including braking performance), seeks comment on whether or not there scoring weights consistent with the structural integrity, fuel economy, are alternatives to this approach. relative importance between test emissions, and noise, as established by Additionally, FTA proposes that, to categories, FTA proposes a pass/fail the Secretary by rule.’’ That is, a bus eliminate confusion for recipients, a bus standard of 60 points. Under the would be required to at least meet the model that fails to satisfy one or more proposed Bus Model Scoring System, a minimum standards proposed in today’s performance standards would not be total of 60 points is achieved when a NPRM. Second, under paragraph issued an overall score until the failures bus model meets, but does not 5318(e)(2), the bus also would need to are resolved. This is necessary to anywhere exceed, the minimum pass the proposed ‘‘Bus Model Scoring prevent the situation where a bus model requirements of each of the performance System’’ based on the bus’ aggregate fails an essential performance standard standards. score. With the proposed pass/fail but scored very high in one or more With regard to the testing at issue in standard, FTA is choosing to link those other categories, potentially elevating two requirements. Without the two this rulemaking, in order for a bus to be the aggregate score above 60. eligible for FTA funding, MAP–21 now requirements being linked, FTA believes requires that it meet two criteria. First, it would not be possible to establish a

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E.1. Effective Date of Pass/Fail Testing Program Manager, and the bus standard failure are considered a Requirements manufacturer. Except for the test ‘‘major’’ change in configuration or categories of Structural Integrity Test, component, additional testing may be The performance standards, Bus Maintainability Test, and Reliability required. Model Scoring System, and pass/fail Test, FTA proposes that for test results standard would become effective ninety that achieve 95 percent or greater of the E.3. Scoring of New Partial Tests days after the final rule is published and value set for the performance standard Existing bus models that undergo would apply to both new bus models but fail to meet the standard, that the major changes in configuration or and previously tested bus models test would be conducted one additional subsequently produced with major time at no additional cost to the component (as defined in 665.5) that changes that require partial testing. The manufacturer. For failures to meet the would require partial testing after the date of the signed contract for testing performance standards in the Structural effective date of this rule would be would determine the applicability of the Integrity Test, Maintainability Test, and scored based on the results for the new new rule to a bus model. Reliability Test, FTA proposes that a tests conducted and on the older test results that did not need to be repeated. E.2. Resolving the Failure To Meet a manufacturer propose and implement a During the partial test determination Performance Standard design remedy to directly address the failure and then repeat the test(s) process, FTA would review the existing When a new bus model undergoing necessary to validate the design remedy. test data for that bus model and may testing fails to meet any one of the The FTA Bus Testing Program would require the retesting in categories where minimum performance standards, bear 80 percent of the costs associated the existing report indicates a failure to testing would be halted, pending a with one re-test in these test categories. meet a performance standard, in review of the test result by the Bus If the proposed bus modifications addition to the test categories affected Testing Facility operator, the FTA Bus necessary to remedy a performance by the major change in configuration.

TABLE E–1—PARTIAL RETEST REQUIREMENTS EXAMPLE

Test category Original Bus Report No. PTI-BT-1007 Partial Bus Report No. PTI-BT-1007-P

Structural Integrity Shakedown ...... Met ...... No Retest Required. Distortion ...... Met ...... No Retest Required. Static Towing ...... Met ...... No Retest Required. Dynamic Towing ...... Met ...... No Retest Required. Jacking ...... Met ...... No Retest Required. Hoisting ...... Met ...... No Retest Required. Durability ...... Met ...... No Retest Required. Safety Hazards ...... Met ...... No Retest Required. Stability ...... Met ...... No Retest Required. Braking ...... Met ...... Retest. Maintainability ...... Met ...... No Retest Required. Reliability ...... Met ...... No Retest Required. Fuel Economy ...... Met ...... Retest. Emissions ...... Met ...... Retest. Interior Noise ...... Met ...... Retest. Exterior Noise ...... Met ...... Retest. Acceleration ...... Met ...... No Retest Required. Gradeability ...... Met ...... No Retest Required. Are All Performance Standards Met? ...... Yes ...... Yes. Overall Results ...... Pass ...... Pass. Scoring Subtotals ...... 24.9 ...... 25.4. Aggregate Score ...... 85 ...... 85.

E.4. Scoring of Existing Bus Models rear-mounted engine). A major change is vehicle’s chassis from one major design currently defined by the Bus Testing to another; Due to the administrative and Program rule (49 CFR 665) as: (3) Major change in configuration financial burden of retesting all existing (1) Major change in chassis design means a change that is expected to have transit buses under the testing program means, for vehicles manufactured on a a significant impact on vehicle handling proposed in today’s NPRM, FTA third-party chassis, a change in frame and stability or structural integrity. proposes that buses with a valid test structure, material or configuration, or a For the benefit of purchasers, FTA report conducted under the current change in chassis suspension type; proposes that the data from existing test testing program would remain eligible (2) Major change in components reports would be evaluated using the for FTA financial assistance until the means: new criteria to calculate an aggregate bus undergoes a major change in (a) For those vehicles that are not score, with the resulting amended test component or configuration, because a manufactured on a third-party chassis, a report reflecting the vehicle’s major change in the configuration or a change in a vehicle’s engine, axle, performance using the new criteria, component might invalidate the data transmission, suspension, or steering along with new scores for any contained in its test report that was components; additional partial tests that conform based upon a particular component (e.g. (b) For those that are manufactured on with the new criteria. The amended engine) or configuration (e.g., front- vs. a third-party chassis, a change in the report would apply the scoring system

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adopted in the final rule and generate an this would exceed the vehicle’s weight F.2. Elimination of On-Road Fuel aggregate score for the applicable rating. By testing within the rated Economy Testing performance standards. passenger capacity of the bus model, all FTA proposes that the Fuel Economy manufacturers would be treated equally E.5. Re-Testing of Existing Bus Models Test only be performed on the chassis as they would be specifying the capacity To Raise the Overall Score dynamometer in conjunction with the of their bus models. Under the proposed emissions testing. The bus testing FTA would approve the execution of performance standards, FTA would facility operator has been measuring one partial test of an existing bus model require that Durability and Class 2 fuel economy performance on both the that has undergone non-major changes Reliability failures be remedied by the test track and on the chassis (e.g., adjusting engine or transmission end of the test. Vehicle manufacturers dynamometer since the emission testing control software in order to improve should be aware that chassis and chassis capability became available in 2010. A mileage, replacing wall insulation in component suppliers might not offer chassis dynamometer is a device used to order to further reduce interior noise) in any remedies to these failures if they replicate the motion resisting forces that anticipation of achieving a higher believe that overloading is causing the act on a vehicle when it is driven. A aggregate score. Existing bus models failure. chassis dynamometer consists of a large that undergo major configuration FTA proposes the following changes diameter drum, a drive system, and a changes would continue to be eligible to the bus payloading procedure: control system. The drum is mounted for partial testing. If a bus fails to obtain (1) Manufacturers are to specify, on indoors in the floor of the emissions test a passing score, the vehicle is ineligible the interior bulkhead of the bus, the laboratory. The bus drive wheels are to participate in FTA-assisted maximum number of standee passengers placed directly onto the top of the drum procurements. their bus model is designed to carry. and the bus is physically restrained in F. Other Proposed Program Changes (2) The maximum number of standee place with chains and ratcheting straps. During the fuel economy/emissions F.1. Bus Payloading Procedures passenger loadings would be based on 150 pounds and 1.5 square feet of free testing the bus is driven at the speeds There are three bus loading floor space per standee passenger. prescribed by each test duty cycle. The conditions currently employed during (3) Free floor space would exclude the dynamometer applies a resistive load as the testing process. Portions of the designated areas for wheelchair it spins that replicates the total motion Durability Test are performed at curb passengers, ingress/egress areas, area resistance the bus would experience if weight (CW = bus weight including under seats, area occupied by feet of it was actually on a road. maximum fuel, oil, and coolant; but seated passengers, and the vestibule While the duty cycles used in the without passengers or driver), seated area. dynamometer-based emission testing are load weight (SLW = 150 pounds load in (4) Seated Load Weight (SLW) would not the same as those used during the each passenger seat and 600 pounds per be 150 pounds for every passenger seat, on-road testing, they have proven to be wheelchair position), and at gross the driver’s position, 600 pounds per comparable. The on-road (test track) fuel vehicle weight (GVW = seated load wheelchair position, plus the curb economy test determines fuel economy weight plus 150 pounds for every 1.5 weight of the bus. over three different duty cycles: square feet of free floor space). Under 1. ‘‘Central Business District (CBD)’’ the current Bus Testing Rule, loading to (5) Gross Weight (GW) would be SLW phase of 2 miles with 7 stops per mile GVW is performed even if the gross plus the total standee weight (product of and a top speed of 20 mph; vehicle weight rating (GVWR) or the 150 pounds * maximum (rated) number 2. ‘‘Arterial’’ phase of 2 miles with 2 axle weight ratings (GAWR) have been of standees). stops per mile and a top speed of 40 exceeded. While this loading procedure The ability of a bus model to carry its mph; is a good approximation of the potential full complement of seated, wheelchair, 3. ‘‘Commuter’’ phase of 4 miles with peak passenger loads in actual transit and standee passengers would be 1 stop and a maximum speed of 40 mph. service, it creates some negative impacts assessed by measuring the weight at The dynamometer fuel economy test that are difficult to resolve. For instance, each wheel position with the bus loaded is also conducted over three different not all buses are designed for to GW and comparing to the GVWR, the duty cycles: transporting standing passengers and GAWRs, and the maximum wheel and 1. ‘‘Manhattan’’ phase of 2 miles with those that are not designed for standees tire load ratings. Buses that exceed any 9.5 stops per mile and a top speed of 25 could be loaded beyond the ratings of of their ratings when loaded to GW mph; the chassis components. Thus, analysis would not be tested until the passenger 2. ‘‘Orange County Bus Cycle’’ phase of durability and reliability failures rating is within the rated weight of 6 miles with 5 stops per mile and a during the test will be confounded by capacity of the bus. FTA seeks comment top speed of 41 mph; the overloading, and the bus model’s on these proposed changes. 3. ‘‘HD–UDDS’’ phase of 5 miles with ability to satisfy the performance FTA is also proposing changing the 2 stops per mile and a max speed of 58 standards at its rated load is unknown. definition of Curb Weight in the 665.5 mph. The CBD and the Manhattan Additionally, a bus model’s compliance of the rule from ‘‘Curb weight means the cycles represent urban bus operation, with FMVSS in an overloaded condition weight of the empty, ready-to-operate the Arterial and the Orange County Bus is also unknown, as bus chassis and bus plus driver and fuel.’’ to ‘‘Curb Cycle represent suburban or express chassis component warranties are weight means the bus weight including operation, and the Commuter and HD– contingent upon their usage within their maximum fuel, oil, and coolant; but UDDS cycles represent commuter type weight ratings. without passengers or driver.’’ so that it bus operations. While the test results for Therefore, we propose to modify the is the same as used in the current Bus the same bus model will not be same for existing test to only load the bus up to Testing Program procedures and both urban, suburban, and commuter its maximum weight rating, in contrast consistent with automotive industry tests (on-track vs. dyno), the rank order to the current procedure of loading the practice. This change results in no new relationships of the resulting fuel vehicle with a full complement of costs as the current practice remains the efficiencies has proven to be the same seated and standing passengers, even if same. with the urban having the lowest and

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the commuter having the highest. There enter the Bus Testing Program as go to the FTA Bus Testing Program is no compelling need for the dyno test follows: 1) Bus models submitted for Manager first for a determination of the cycles to be exactly the same as the on- testing must be from a transit vehicle set of tests necessary to bring the new track testing. Maintaining three distinct manufacturer (TVM) whose bus model configuration into test cycles for our transit consumers is Disadvantaged Business Enterprise compliance with the rule with respect to the primary objective. (DBE) goals have been submitted to its major changes in configuration. The FTA believes that the test results from FTA, consistent with 49 CFR Part 26 bus manufacturer then submits the the dynamometer test would be more Participation by Disadvantaged partial testing determination letter accurate and more consistent than the Business Enterprises in Department of provided by FTA to the facility operator on-road results, since the variables of Transportation Financial Assistance to schedule the partial test program. wind and ambient temperature range are Programs. 2) Test model buses also must FTA proposes that all requests for full minimized or eliminated. The comply with applicable NHTSA or partial testing be submitted to the Manhattan and the Orange County Bus requirements in 49 CFR Part 566 FTA Bus Testing Program Manager for Cycle are real world measured duty Manufacturer Identification; 49 CFR review prior to scheduling a test with cycles. The CBD, Arterial, and the Part 567 Certification; and 49 CFR Part the Bus Testing Facility operator. All Commuter are analytical representations 568 Vehicle Manufactured in Two or requests shall provide: A detailed of the real world that took into More Stages—All Incomplete, description of the new bus model (or consideration the limitations of Intermediate and Final-Stage previously tested bus model conducting the test on the test track. Manufacturers of Vehicle Manufactured incorporating major changes) to be Elimination of the on-road fuel economy in Two or More Stages. tested; the service life category of the test would also reduce test program In order to commence testing, FTA bus; engineering level documentation costs and shorten the length of the proposes that test model buses would characterizing all major changes to the overall test schedule. FTA requests also need to identify the maximum bus model, and documentation that comments on this proposal. quantity of standee passengers, be demonstrates satisfaction of each one of capable of negotiating the Durability the testing requirements outlined in F.3. Bus Passenger Load for Emissions Test course at the requisite test speed paragraph 665.11(a). FTA would review Testing under all conditions of loading (curb the request and determine if the bus The current Emissions test specifies a weight, seated load weight, and gross model is eligible for testing and which bus payload equal to two-thirds of the weight), and be capable of following the tests need to be performed. FTA would maximum seated passenger load. The test duty cycles used for Fuel Economy prepare a written response to the origin of this requirement was from and Emissions Test within the requester for use in scheduling the previous heavy vehicle exhaust established test procedure standard for required testing with the Bus Testing emissions research.26 FTA proposes that allowable speed deviation. Facility. the Emission test be conducted at seated load weight (SLW), instead of two-thirds F.5. Buy America F.7. Test Requirements Review SLW, to enhance the efficiency of the Lastly, FTA is proposing that bus Milestone testing process. In this way time and models submitted for testing satisfy the FTA proposes the addition of a Test labor costs are reduced for bringing the domestic content requirement of FTA’s Requirements Review Milestone that SLW down to two-thirds SLW. This Buy America regulation (see 49 CFR examines the results from the initial change results in a 4–6 percent increase 661.11, Rolling Stock Procurements). check-in inspections of the bus (which in the total test weight, thereby slightly FTA believes this change would not be occurs when the bus first arrives at the reducing measured fuel economy and a significant impediment to testing facility), passenger payloading slightly increasing emissions. All of the commencing testing, as section 665.11 results, and the results of initial testing other bus performance tests are of the bus testing regulation already operations. The purpose of this conducted at SLW. Maintaining requires test models to be ‘‘substantially milestone is to verify that the bus consistency with past emission research fabricated and assembled using the matches the bus documented in the test does not provide additional value to the techniques, tooling, and materials that request and has satisfied the program Bus Testing Program. Additionally, the will be used in production of entrance criteria prior to the Bus Testing Program Emissions test is subsequent uses of that model.’’ This expenditure of FTA program funding on not used to determine regulatory change would ensure that the buses and this bus model. The intent of this Test compliance other than the proposed components tested would be similar, if Requirements Review Milestone is to performance standards in this notice. not identical to, the vehicles ultimately ensure that buses submitted to the The proposed Emission performance manufactured for FTA recipients. FTA Program are ready for testing. The standards were formulated to allow for does not expect any change to the review would be conducted during the the slight increase in vehicle test weight component costs because the test buses expenditure of the 20 percent that this change would impart. FTA will be identical to the production manufacturer fee and before the requests comments on this proposal. models, however, FTA is seeking expenditure of the 80 percent Federal F.4. Bus Testing Entrance Requirements comment regarding component changes matching program funding. If the bus that might result in incremental costs to has met all of the requirements 49 CFR Currently, an entity desiring to test a vehicle manufacturers. 665.11, testing of the bus model would bus enters into a contract with the bus continue. testing facility operator, without any F.6. Scheduling of Testing pre-approval or pre-authorization from Currently, the scheduling of a full test F.8. Penalty for Unauthorized FTA. Therefore, FTA proposes new can be accomplished by going directly Maintenance and Modification procedural requirements for a bus to the facility operator and completing a Unauthorized maintenance and bus testing contract and submitting repairs by bus manufacturer 26 West Virginia University, Center for Alternative other required documentation (http:// representatives, such as the replacement Fuels, Engines & Emissions, Transit Vehicle _ Emissions Program, Dr. Scott Wayne, FTA Project www.altoonabustest.com/schedule of vehicle parts or repairs that were not No. WV–26–7008, May 2013. testing). Request for partial testing must captured by the bus testing facility

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operator and recorded into the test seeking comments related to the testing FTA seeks external input regarding the report can lead to erroneous test results and the appropriate service life expectations and requirements for that are not reflective of the bus model expectations of remanufactured buses. remanufactured bus models. in its documented configuration. To Previously performed in-house by Specifically, FTA seeks answers and prevent this situation, FTA proposes transit agencies or by their contractor as comments to these questions: that the Bus Testing Facility operator part of one’s fleet maintenance, rebuilt 1. What, if any, problems are investigate each occurrence of (‘‘remanufactured’’) used transit buses recipients experiencing with unsupervised maintenance and repairs are now being sold to FTA recipients by remanufactured buses? For example, are and determine the potential impact to third-parties as an alternative to remanufactured buses being the validity of the test results. Tests acquiring a newly-manufactured bus prematurely retired compared to where the results may have been model. Bus testing requirements have reasonable expectations and in light of impacted would be repeated at the never been applied to rebuilt or the assumed reduced purchase cost? Do manufacturer’s expense. Undocumented remanufactured buses (in-house or such buses need more maintenance than bus modifications can also lead to contracted) by the transit operators should be reasonably expected? results that do not reflect accurately the regardless of the level of configuration 2. If recipients are experiencing performance capability of the changes performed, as this was part of problems with remanufactured buses, documented configuration of the bus. a transit agency’s asset management can the problems be addressed by FTA proposes that the facility operator obligations and the overall grant subjecting the buses to FTA testing and perform all modifications on the test program risk was considered low. The scoring? If so, what standards should vehicle, consistent with the availability of fully depreciated (service FTA use for testing? manufacturer’s specifications, unless life requirement satisfied) used transit 3. What types of buses and how many the operator determines that the nature bus models with sound (at least are being remanufactured annually? of the modification is best performed by perceived sound) structures at a low 4. What actions are performed when the manufacturer under the operator’s cost enables a potentially attractive remanufacturing a bus? supervision. Significant vehicle value proposition to transit operators 5. What are common entrance criteria modifications performed after the test and enables a new business opportunity for a used bus entering into the has started would first require review for bus rebuilders. remanufacturing process? Mileage and approval by FTA. If the The current Bus Testing Program limits? Age? Usage history? modification is determined to be a major policy for new and used bus models is 6. What structural inspection change, some or all of the tests already presented in Table F.9–1. Used buses techniques are employed during the completed may need to be repeated or and remanufactured bus models that selection of candidate buses? extended. Additionally, the facility retain their production design 7. Should FTA apply Bus Testing operator would halt testing after the configuration are not subject to requirements to all remanufactured occurrence of unapproved or additional testing as long as the bus buses or just the ones procured through unsupervised test vehicle modifications. model already underwent a full test. a bus acquisition project? The vehicle manufacturer would submit Remanufactured bus models with a 8. What service life length should be a new test request to FTA that addresses major change in configuration procured applied to remanufactured buses? all the requirements in 49 CFR 665.11 using procedures employed to acquiring 9. Is a prorated service life to reenter the Bus Testing Program. new buses could be treated as ‘‘new’’ requirement based on the ratio of the bus models and subject to testing. acquisition cost as compared to a F.9 Testing of Remanufactured Buses However, the regulation does not similar new bus model appropriate? FTA is not proposing the application identify a service life requirement. For 10. What information is available for of the Bus Testing Program these reasons, FTA has not applied the estimating the benefits and costs of requirements to remanufactured bus program requirements to testing requirements and a scoring models in this NPRM. However, FTA is remanufactured bus models. However, system for remanufactured buses?

TABLE F.9–1—CURRENT BUS TESTING REQUIREMENTS FOR ALL BUS ACQUISITION PROJECTS SUBSIDIZED WITH FTA CAPITAL GRANTS

Completely Existing bus model New and Used bus model Used bus model new bus with a ‘‘major’’ used bus (remanufactured with no design (remanufactured with a model change models changes) major change)

Required Testing ...... Full test (all Partial test to ad- No testing if the model has been through a full Meets the definition of a test cat- dress design test already. ‘‘new bus model’’. Full egories). changes. Durability or partial testing is re- test required only quired. Durability test If the chassis or required only If the body structure was chassis or body struc- altered or structure ture was altered or is loaded beyond structure is loaded be- the load level of yond the load level of the original test. the original test.

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TABLE F.9–1—CURRENT BUS TESTING REQUIREMENTS FOR ALL BUS ACQUISITION PROJECTS SUBSIDIZED WITH FTA CAPITAL GRANTS—Continued

Completely Existing bus model New and Used bus model Used bus model new bus with a ‘‘major’’ used bus (remanufactured with no design (remanufactured with a model change models changes) major change)

Durability Test Length ...... 25% of manufacturer designated or Undetermined. Ex: A 12-year/500,000 1 minimum required service life mile service life bus will distance, whichever is greater. be tested the equivalent of 125,000 miles (25% of 500K). Actual dura- bility test distance is 12,500 miles as the test track was designed to provide a 1 to 10 mile acceleration factor.).

G. Section By Section Analysis specifications at 49 CFR § 38.23(b)(1) Section 665.13 Test report and and (c)(1). manufacturer certification Section 665.1 Purpose FTA proposes to amend the purpose Section 665.7 Certification of FTA proposes adding language to this of the regulation to reflect a new pass/ compliance section for a requirement for the Bus fail test and scoring system. FTA proposes to amend this section Testing Facility operator to score the to reflect that the recipient must certify test results using the performance Section 665.3 Scope that a bus has received a passing test standards and scoring system outlined FTA proposes no changes, as the score, but acknowledges that parties in Appendix A of this part. FTA also requirements of this part continue to may seek assistance from FTA, proposes that the bus testing facility apply to recipients of Federal financial consistent with FTA’s role in reviewing operator obtain approval of the Bus assistance under 49 U.S.C. Chapter 53. partial testing requests as described in Testing Report by the bus manufacturer section 661.11(d). FTA is also removing and by FTA prior to its release and Section 665.5 Definitions the term ‘‘Grantee’’ from the section publication. Finally, FTA proposes that FTA proposes changing the definition heading and throughout this part, as the bus testing facility operator to make of Curb Weight from ‘‘Curb weight FTA now uses the term ‘‘recipient.’’ the test results available electronically means the weight of the empty, ready- to supplement the printed copies. Section 665.11 Testing requirements to-operate bus plus driver and fuel.’’ to Section 665.21 Scheduling ‘‘Curb weight means the weight of the FTA proposes additional bus including maximum fuel, oil, and requirements for a bus to enter the Bus FTA proposes that all requests for coolant; but without passengers or Testing Program. New bus models testing, including requests for full or driver.’’ submitted for testing would be from a partial testing, be submitted to the FTA FTA proposes changing the definition Transit Vehicle Manufacturer that has Bus Testing Program Manager prior to of Gross Weight from ‘‘Gross weight, submitted its DBE goals to FTA scheduling with the Bus Testing Facility also gross vehicle weight, means the consistent with 49 CFR part 26. Test operator. All test requests would curb weight of the bus plus passengers model buses would also comply with provide: a detailed description of the simulated by adding 150 pounds of applicable requirements in 49 CFR part new bus model to be tested, the service ballast to each seating position and 150 566 Manufacturer Identification; 49 CFR life category of the bus, engineering pounds for each standing position part 567 Certification; and 49 CFR part level documentation characterizing all (assumed to be each 1.5 square feet of 568 Vehicle Manufactured in Two or major changes to the bus model, and free floor space).’’ to ‘‘the seated load More Stages—All Incomplete, documentation that demonstrates weight of the bus plus 150 pounds of Intermediate and Final-Stage satisfaction of each one of the testing ballast for each rated standee passenger, Manufacturers of Vehicle Manufactured requirements outlined in paragraph up to and including, the maximum rated in Two or More Stages. Bus models 665.11(a). FTA would review the test standee passenger capacity identified on would also need to have the maximum request and determine if the bus model the bus interior bulkhead’’. rated quantity of standee passengers is eligible for testing and which tests FTA proposes changing the definition identified on the interior bulkhead in 2 need to be performed. FTA would of Seated Load Weight from ‘‘Seated inch tall or greater characters, be prepare a written response to the load weight means the weight of the bus capable of negotiating the Durability requester for use in scheduling the plus driver, fuel, and seated passengers Test course at the requisite test speed required testing with the Bus Testing simulated by adding 150 pounds of under all conditions of loading (curb Facility operator. ballast to each seating position.’’ to ‘‘the weight, SLW, and GVW), and be capable Section 665.23 Fees curb weight of the bus plus seated of following the test duty cycles used for passengers simulated by adding 150 Fuel Economy and Emissions Tests FTA is proposing a requirement that pounds of ballast to each seating within the test procedure for allowable the manufacturer’s share of the test fee position and 600 pounds per wheelchair speed deviation. Lastly, bus models would be expended first during the position.’’ This 600 pound figure is submitted would satisfy the domestic testing procedure and that the bus based on the minimum load-bearing content requirements for rolling stock in testing facility operator would obtain capacity for wheelchair lifts and ramps 49 CFR part 661, Buy America approval from FTA prior to committing in the USDOT’s accessible bus Requirements. FTA program funds.

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Section 665.25 Transportation of H. Regulatory Analyses And Notices buses they are currently operating. The Vehicle proposed Pass/Fail rule was designed H.1. Executive Orders 13563 and 12866 prevent the risk of an inadequate bus and DOT Regulatory Policies and FTA is not proposing any changes. model from being overshadowed by Procedures. Section 665.27 Procedures During other priorities, such as financial Testing This rulemaking is a significant resources available for new buses, vis a regulatory action within the meaning of vis funds available for maintaining FTA is proposing additional language Executive Orders 13563 and 12866, and existing vehicles in a state of good for this section to require the Bus FTA has determined that it is also repair. Testing Facility operator to inspect the significant under DOT regulatory bus model configuration upon arrival to policies and procedures because of Alternative Scoring Systems Considered compare it to that submitted in the test substantial State, local government, While reviewing and developing request; to compare the gross vehicle congressional, and public interest. scoring systems to meet the MAP–21 weight and gross axle weights to the However, this rule is not ‘‘economically requirements, FTA considered a number ratings on the bus; to determine if the significant,’’ as defined in Executive of alternatives. To begin, we considered bus model can negotiate the test track Order 12866. the importance of the entirety of the and maintain proper test speed over the This section explains: the purpose of safety tests within the existing Bus the Bus Testing Program, why we are durability, fuel economy and emission Testing Program. Noting how integral to proposing a pass/fail requirement with drive cycles; and to provide these the Bus Testing Program each of the a point-based system and how that fits results to the bus manufacturer and FTA testing categories were, we wanted to within our mission, the alternative prior to conducting testing using FTA ensure that the buses that were tested, scoring systems we considered, the logic program funds. at the very least, met all of the minimum that we employed in determining the FTA is also proposing additional performance standards, regardless of the weights assigned to the different test language that requires the Bus Testing scoring system that we adopted. Stated categories, our rationale for prioritizing Facility operator to investigate each differently, we resolved that the scoring use of the manufacturer’s portion of the occurrence of unsupervised system would have to preclude a bus maintenance and assess the impact on testing fee, and our analysis of the costs and benefits. model from passing the test solely by the validity of the test results and to attaining additional points in other repeat any impacted test results at the Purpose of the Bus Testing Program categories (while failing in one or more manufacturer’s expense. FTA proposes The Bus Testing Program was key categories), resulting in points additional language to address originally created to provide transit greater than the threshold that we set for modifications to bus models undergoing agencies an independent source of bus the pass/fail standard. We also wanted testing. Specifically, this section performance results that could be used to ensure that whatever system we requires that the Bus Testing Facility to inform their bus procurement adopted would be relatively simple, operator perform or supervise and decisions. Without the program, transit straightforward, and easy to understand, document the performance of bus agencies would have to rely on either and provide meaningful information to modifications only after the manufacturer supplied information, both transit agencies and manufacturers. modifications have been reviewed and information supplied by third parties As discussed below, using these approved by FTA. The language also (FTA is not aware of third parties principles, we assessed various systems states that testing would be halted after currently providing performance that we could adopt or implement to the occurrence of unsupervised bus information about buses), information meet the requirements of MAP–21. modifications. The Bus Testing Facility from their own pilot bus demonstrations We first considered various operator would not continue testing potentially supplemented with specific qualitative systems. We reviewed a until FTA has issued a testing engineering laboratory test procedures, ‘‘five-tier’’ based system, as used by determination regarding the or on the experiences from other other organizations. We liked the modifications. agencies with a particular bus model. simplicity of the five-star system for FTA proposes moving the test Without a centralized independent grading buses that met the minimum requirements from Appendix A into testing program, FTA believes the requirement of passing all of the tests. section 665.27 and assigning introduction of new bus models would While our review of various systems performance standards to each of the be limited, as the perceived indicated that such qualitative systems test categories as MAP–21 requires. FTA procurement risk would be high. As a are simple to implement, they can be proposes amending the Performance result, successful bus adaptation to new very subjective. Moreover, the five-tier Test category by removing the language transit requirements would be slowed system did not capture the level of regarding the Braking Performance Test considerably. detail and differential information that and moving it into the Safety Test Once the Bus Testing Program was we desired to convey to the transit category. FTA also proposes adding the established, the availability of a test industry and manufacturers. We also requirement for a review of the Class 1 report was considered an adequate reviewed and considered an ‘‘A to D’’ failures documented in the Reliability safeguard from catastrophic and based grading system. Again, while this Test category to the Safety Test category. systemic failures of portions of a bus would have resulted in a fairly simple Appendix A to Part 665—Bus Model fleet. For popular bus types where there and straightforward system, it did not Scoring System and the Pass/Fail are several competing bus models, FTA convey the level of information or the Standard believes this assumption holds true. level of detail that was our goal. Thus, However, for less common bus types, we rejected these two qualitative FTA proposes adding a bus model where there are at times only one or two systems. While they were simple, scoring system and Pass/Fail Standard manufacturers capable of supplying, the straightforward, and easy to understand, to Appendix A of Part 665 to outline the risk of the new bus model may be they did not meet our goal of providing requirements of the Bus Model Scoring overshadowed by the risk to an agency meaningful information to transit System and the Pass/Fail Standard. of not having a new replacement for the agencies and manufacturers.

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Next, we considered quantitative each category received 12 points based fuel. For the Emissions Tests, we point-based systems with the minimum on their importance to daily operation. apportioned one-half point for each of threshold requirement of passing all of For the Safety sub-tests, we the five Emissions Tests that are already the tests. We considered various scales. determined that the Hazards Test was as regulated by other Federal agencies and We rejected a 50-point based scale for important as the other two sub-tests the remaining points for the Carbon lack of simplicity. We considered an 80- within this category and allotted it one- Dioxide Test. This weighting for carbon point scale (10 points for each test half of the total 20 points. The Stability dioxide captures the importance of category) and rejected it because it did and Braking Tests have three alternative fuels with respect to not capture the relative importance or component tests that require a pass/fail greenhouse gases. weighting of the categories. We also grading and one that is a performance The Noise Test allocates points on a considered various levels for the pass/ based allocation. We valued each of performance basis determined by the fail threshold for each of the scales. these tests equally, based on their level of decibels produced. We weighted Finally, we settled on a 100-point scale relative importance when evaluating a the Interior Noise and Exterior Noise due to its universality. FTA initially vehicle. Hence, we apportioned 25 Test equally (3.5 points each). As for the considered a minimum passing score of percent of the remaining points to each Performance Test, we weighted the bus 40 points, believing the 60 discretionary test. model performance on a 2.5 percent points would provide purchasers with a For the Maintainability and grade and the performance during the greater range with which to evaluate Reliability Tests, we assessed the acceleration test as being equally different vehicles, but given the grading Maintainability Test to be twice as important and together being worth 60 systems used in schools and other important as the Reliability Test, but percent of the five points available. The applications, FTA established a both tests to be as important as the performance on a 10 percent grade was minimum passing threshold of 60 points remaining tests, as both directly affect a valued at 40 percent of the Performance with 40 discretionary points. This transit agency’s operating costs. test category. Maintainability reflects how much time quantitative scale with the minimum Testing Fee Prioritization threshold of passing all of the tests met and resources the transit agency should In order to preclude buses that are not all of our goals that the scoring system expect to budget over the course of a ready to complete the Bus Testing is relatively simple, straightforward, and vehicle’s service life to perform routine Program, the NPRM proposes to exhaust easy to understand, and will provide maintenance, and reliability reflects a the manufacturer’s 20 percent meaningful information to transit vehicle’s ability to meet its service life contribution for the total testing fee agencies and manufacturers. requirements without significant service disruptions caused by unscheduled prior to employing funds from FTA’s 80 Logic Used to Determine Weighting for maintenance. For ease of assigning percent contribution. This prioritizing Tests and Sub-Tests points within the weightings, we of the manufacturers’ portion of the test allocated 24 points (or just less than fee is purposed to incentivize After deciding to propose a 100-point one-half of the 50 points for the manufacturers to ensure that the bus scale for the Bus Testing Program, we remaining tests) to these two tests. model submitted will, at a minimum, had to weigh the importance of each of Hence, within our weighting scheme, clear the initial check-in inspections, the test categories within the Bus the Maintainability Test received 16 passenger payloading, and initial testing Testing Program. After much percent of the total points and the operations. FTA estimates that, deliberation and consultation, we Reliability Test received eight percent of depending on the bus model, nearly 20 determined that the Structural Integrity the total points. percent of the testing fee should and Safety Tests were the most Assessing the remaining four tests, encompass the check-in process and important components of the Bus Fuel Economy, Emissions, Noise, and threshold tests. Testing Program, as both were critical to Performance Tests, we determined that Based on previous testing experience, the operation of the vehicle while on the each was about the same level of FTA determined that bus models that road. Therefore, we allotted 50 of the importance based on comments from fail these preliminary activities will not total 100 points to these two tests. transit agencies, but that two, Fuel perform well during subsequent tests. Between the two tests, we determined Economy and Emissions Tests, were This proposed policy minimizes the that, while both were important, the slightly more important in terms of cost to FTA from bus models submitted Structural Integrity Test was more helping a transit agency to budget for a before they are ready for testing, thereby important than the Safety Test, based on vehicle’s fuel consumption over its conserving Federal resources and its greater importance in evaluating a lifetime and in calculating the vehicle’s ensuring that the proper incentive vehicle’s construction and design. incremental benefit towards meeting structures are in place. This will Hence, we assigned 60 percent of the Clean Air Act requirements. Therefore, encourage manufacturers to ensure their points for these tests to the Structural as opposed to assigning equal weighting product can withstand the rigors of bus Integrity Test and the remaining 40 to each of the remaining tests, we testing. FTA would continue to pay the percent to the Safety Test. allocated slightly more weight to the 80 percent Federal match for one retest Within the Structural Integrity Test Fuel Economy and Emissions Tests than and would contribute no Federal funds are seven sub-tests categories, of which the Noise and Performance Tests. This for a third test or subsequent tests six are pass/fail tests. Thus, we allotted resulted in a point allocation of seven required to pass the instant test. one point each for the Shakedown, points or 27 percent of the remaining Distortion, Static Towing, Dynamic points for to the Fuel Economy and Benefit-Cost Analysis Towing, Hydraulic Jacking, and Emissions Tests and an average of six This section contains FTA’s analysis Hoisting Tests. The Durability Test, as points or 23 percent of the remaining of the benefits and costs of the proposed the most important component of the points for the Noise and Performance rule. FTA estimated the proposed rule’s Structural Integrity Test, received the Tests. benefits and costs through two steps: remaining 24 points. Within these The Fuel Economy Test allocates First, FTA identified and analyzed the Durability Tests, we allocated body and points on a performance basis benefits and costs of the existing Bus power train failures equal accord and determined by the output of the type of Testing program (baseline). Second,

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FTA identified and analyzed the results for these 49 bus models tested annual cost of applying the design expected benefits and costs of the since 2010 provide the best available changes and components necessary to proposed rule relative to the baseline. source of information for determining comply with all of the proposed To determine the benefits and costs of the cost of the proposed rule on future performance standards to all affected the proposed rule, FTA reviewed the buses that would be tested (and the bus models produced in one year. test data for all bus models that had models they represent). All bus types 2. Lost Value of Test Buses: This been tested at the Bus Testing Facility and sizes are included in the group of category estimates the depreciation cost between January 2010, when the 49, from accessible vans to 60-foot of a bus subjected to the testing process. Environmental Protection Agency’s articulated bus models. Buses fueled by For each of the 49 buses models tested (EPA’s) current Diesel Engine Emission compressed natural gas (CNG), from 2010 through 2012, the full retail Standards took effect (40 CFR part 86, electricity, diesel, gasoline, and value was estimated by identifying a as amended, 66 FR 5002, January 18, liquefied petroleum gas (LPG) were recent purchase value from the 2013 2001), and February 2013, when this present within this group. To determine APTA Fleet Report and applying a rulemaking commenced. The resulting qualitative benefits, FTA also examined depreciation factor of 50% to bus diesel engine exhaust after-treatment the test results and the transit models that underwent a durability test systems used to satisfy the 2010 experience with two bus models tested and a factor of 20% for bus models that requirements potentially impacted the (prior to 2010) that failed to meet their only underwent performance and other reliability, maintainability, fuel service life requirements in transit non-durability related tests. economy, emissions, and noise test service. FTA has placed the test results 3. Shipping of Test Buses: This results for a portion of the 49 buses. of the buses that it analyzed in the category estimates the cost of shipping Additionally, there were OEM product docket for this rulemaking. the test buses to the Bus Testing and updates to many of the medium-duty A summary of the results of our cost Research Center and back to the chassis used by the five, seven, and ten analysis is presented in Table H–1. manufacturer. The actual/estimated year service life buses that would affect Eight categories of costs were identified, distance that each of the 49 bus models test results in several test categories. A analyzed, and annualized: traveled was determined and was used total of 49 buses had been tested over 1. Cost of Required Bus Design for our calculations. Table H–0 presents this period. FTA believes that the test Changes: This category is the estimated this data.

TABLE H–0—DISTANCE TRAVELED TO AND FROM TEST CENTER

Actual/esti- mated ship- Shipped via truck Report No. Service ping distance to and from test life to and from center test center

1001 ...... 7 490 1002 ...... 7 490 1003 ...... 12 549 1004 ...... 7 490 1005 ...... 7 1014 1006 ...... 10 490 1007 ...... 12 310 1008 ...... 7 490 1009 ...... 7 490 1010 ...... 10 975 1011 ...... 12 780 1012 ...... 7 490 1014 ...... 7 490 1015 ...... 12 1400 1016 ...... 12 1400 X 1017 ...... 4 490 1101 ...... 12 1400 1102 ...... 7 490 1103 ...... 7 1112 1104 ...... 10 490 1105 ...... 7 1112 1106 ...... 7 490 1107 ...... 12 574 X 1108 ...... 12 482 1109 ...... 12 2676 X 1110 ...... 10 490 1111 ...... 7 490 1112 ...... 7 490 1113 ...... 7 430 1114 ...... 7 490 1115 ...... 4 1112 1116 ...... 7 1112 1117 ...... 12 310 1118 ...... 12 1400 X 1120 ...... 7 490 1201 ...... 7 490 1202 ...... 12 310 1203 ...... 7 430

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TABLE H–0—DISTANCE TRAVELED TO AND FROM TEST CENTER—Continued

Actual/esti- mated ship- Shipped via truck Report No. Service ping distance to and from test life to and from center test center

1204 ...... 7 1112 1205 ...... 12 1400 1206 ...... 12 2676 X 1207 ...... 7 1112 1208 ...... 7 430 1210 ...... 7 1112 1211 ...... 12 1400 1212 ...... 7 955 1213 ...... 12 482 1214 ...... 7 1112 X 1215 ...... 4 490

For 10-, 7-, 5-, and 4-year buses, a cost 6. Paperwork Burden: This cost performance standards requirements. of $2.00 per mile was used to estimate category covers the costs to For the purpose of this analysis, FTA the shipping cost. This cost is based on manufacturers of providing mandatory assumes that manufacturers do not take a recent shipment of a mid-sized bus on information to the Bus Testing Program. remedial action to buses when defects a truck. For heavy-duty 12-year diesel 7. Manufacturer Testing Fees: This are identified through testing. FTA also fueled buses, a cost of $1.61 per mile cost category covers the 20 percent assumes that there are zero costs was used to cover the costs of driving testing fees that the manufacturers pay resulting from buses being designed or the bus to the test center and back. The to have testing conducted. manufactured differently in response to estimated fuel costs were calculated 8. FTA Program Cost: This cost the existing testing requirements. FTA using the bus model’s measured category covers the funding provided by seeks comments on both these highway fuel economy and a fuel price FTA to cover 80 percent of the costs assumptions. of $3.00 per gallon was added. For associated with testing a bus model. To estimate the costs of the proposed heavy-duty buses powered by natural FTA estimates the costs of the existing rule, FTA first identified all of the bus gas or electricity, a shipping cost of Bus Testing Program are as follows: The models in the study group of 49 that $4.00 per mile was applied. This cost maximum total annual program cost is would fail to meet the proposed represents the cost to ship these bus $3,750,000 with 80 percent ($3,000,000) standards. The most significant cost, of models on a truck. covered by FTA and 20 percent those FTA was able to estimate, was the 4. Parts Consumed: This cost category ($750,000) paid by transit vehicle cost of retesting to validate the remedies is for the cost of parts consumed during manufacturers who submit a bus for needed to achieve passing test results. the test. FTA seeks comments on the testing. The current Paperwork The testing fees for the program are average cost of parts consumed during Reduction Act reportable costs are broken down by test and sub-test the test process as FTA had no data on $9,016. The estimated annual cost of on- categories, with manufacturers charged which it could estimate those costs. site manufacturer personnel is estimated fees only for the tests that must be 5. On-Site Personnel: This cost to be $76,673. The value of the parts conducted. The fee schedule for the category is for the cost of maintaining consumed in the testing process is current program is shown in Table manufacturer personnel on-site at the unknown. The annual estimated bus H–3. Next, FTA determined the test center. For each test of a heavy-duty shipping costs for the current program performance issues that need to be bus, the cost of a mechanic’s labor is $63,743. remedied and the tests that would need ($20.35 an hour), lodging, and per diem The estimated annual test bus to be repeated. Then FTA estimated the at State College, PA for three full depreciation cost is $1,591,714. The costs for retesting, and in two cases, the months. Manufacturer personnel are annual cost of bus design improvements cost of a potential remedy. FTA often on-site during the testing of heavy- as a result of the current program is provides a summary of this analysis in duty bus models. assumed zero as there are no minimum Table H–4.

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The results from this analysis indicate unknown amount of additional parts able to quantify the additional cost of that annual costs would increase in and components would be consumed remedying buses in response to failing several areas. The impact of the during the retesting. FTA estimates that one or more performance standards. Nor proposed performances standards to the one of the eight failed buses would be is FTA able to estimate potential costs FTA program cost is estimated to be returned to the manufacturer for from design or manufacture changes $133,448. A total of $33,362 in systemic modifications incurring made to buses to obtain higher testing additional manufacturer’s fees would be additional round-trip shipping expenses scores. FTA seeks comments on the collected from the additional tests. An of $2,034. FTA believes that the extent of such costs and requests additional paperwork burden of $767 retesting process will not depreciate the information to develop estimates. would be incurred from the required test bus an additional amount beyond However, FTA believes there are no failure analysis and remedy proposal the first test. In many cases the test bus additional costs to the program from process. An additional $5,103 would be may be worth more once the failure implementing the proposed Bus Model expended for on-site personnel modes have been resolved and test Scoring System. The scores will be expenses incurred performing test bus buses have inherent remaining value in calculated automatically once the test modifications at the test site. An the future as testing mules. FTA is not results are finalized.

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FTA also analyzed the costs of the payloading procedures, FTA estimates passenger capacity of new bus models discretionary program changes proposed an annual decrease in the program cost submitted to the program. The only in this NPRM. The proposed rule would of $294 and a decrease in testing fees of other cost identified with this proposal modify two test procedures (payloading $74. These are a result of labor cost is the new requirement to add a placard and emissions test payload) but does not savings from loading the mid-sized on the interior bulkhead of the bus impose any completely new testing buses with fewer or no simulated identifying the maximum standee procedures, and would eliminate the standee passengers. FTA estimates an passenger rating in 2 inch or taller On-Road Fuel Economy Test procedure, increase in the annual paperwork letters. FTA estimates the annual cost thereby reducing the aggregate costs burden of $1,488 from the increased impact to new bus models is $58,038. currently associated with the Bus manufacturer labor required to This cost analysis is presented in Table Testing Program. For the revised bus determine and report to FTA the total H–2.

TABLE H–2—COST OF STANDEE PASSENGER RATING PLACARD ($)

Standee Rating Placard (source: www.edecals.com using a 2.5 inch tall lettering stating ‘‘XX Standees Estimated cost per Labor amount to Estimated cost per Maximum’’) Labor rate assumes a cat- decal (using a Labor rate (hr) install (hr) bus Total annual cost egory of ‘‘assembler and fabricator’’ quantity of 500) from bls.gov

annual cost for new production transit buses (5600 units a year) ...... 8.99 13.74 0.10 10.36 58,038

TABLE H–3—CURRENT BUS TESTING PROGRAM COSTS AND FEES

500,000 mi— 350,000 mi— 200,000 mi—7 150,000 mi—5 100,000 mi—4 Test 12 year 10 year year service year service year service service life service life life life life

Check-In ...... 3,000 3,000 3,000 3,000 3,000 Inspect for Accessibility...... 1,500 1,500 1,500 1,500 1,500

Maintainability (scheduled and unscheduled) ...... Included in the durability test cost Selected Maintainability...... 4,500 4,500 4,500 4,500 4,500

Reliability ...... Included in the durability test cost

Safety ...... 3,000 3,000 3,000 3,000 3,000

Performance ...... 3,000 3,000 3,000 3,000 3,000 Brake ...... 3,100 3,100 3,100 3,100 3,100 Shakedown ...... 6,000 6,000 6,000 6,000 6,000 Distortion ...... 3,000 3,000 3,000 3,000 3,000 Static Towing...... 1,500 1,500 1,500 1,500 1,500 Dynamic Towing...... 1,500 1,500 1,500 1,500 1,500 Jacking ...... 1,500 1,500 1,500 1,500 1,500 Hoisting ...... 1,500 1,500 1,500 1,500 1,500 Structural Durability ...... 117,890 85,270 55,760 40,060 25,970 Fuel Economy...... 6,000 6,000 6,000 6,000 6,000 Interior Noise...... 1,500 1,500 1,500 1,500 1,500 Exterior Noise...... 1,500 1,500 1,500 1,500 1,500 Emissions ...... 44,000 44,000 44,000 44,000 44,000 Total for Full Testing (100%) ...... 203,990 171,370 141,860 77,660 60,570 Manufacturer’s Portion Fee (20%) ...... 40,798 34,274 28,372 15,532 12,114

TABLE H–4—SUMMARY OF THE COSTS FOR RETESTING FAILED BUS MODELS

Shipping of test bus back to Bus (report Failed test Cost of required Lost value manufacturer Additional On-site Paper-work Testing fees FTA number) category bus design of test for parts personnel burden (20%) program changes buses modifications consumed cost and return to Altoona

Cost of remedying and retesting bus models (2010–2013) that would fail a proposed performance standard ($)

PTI–BT–1214 ...... Structural dura- unknown—upper 0 0 unknown 4,374 215 11,152 44,608 bility. body structure failing. PTI–BT–1208 ...... Structural dura- unknown—body 0 0 unknown 4,374 215 11,152 44,608 bility. structure cracks.

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TABLE H–4—SUMMARY OF THE COSTS FOR RETESTING FAILED BUS MODELS—Continued

Shipping of test bus back to Bus (report Failed test Cost of required Lost value manufacturer Additional On-site Paper-work Testing fees FTA number) category bus design of test for parts personnel burden (20%) program changes buses modifications consumed cost and return to Altoona

PTI–BT–1110 ...... Structural dura- unknown—body 0 0 unknown 4,374 215 17,054 68,216 bility. to frame inter- face is crack- ing. Potentially need a new bus body mount design.. PTI–BT–1108 ...... Powertrain dura- unknown—mul- 0 2034 unknown ...... 710 23,578 94,312 bility. tiple different powertrain fail- ure modes need to be remedied. Maintainability ..... if powertrain du- 0 0 unknown ...... 0 0 0 rability failures are corrected this standard would be met as well. PTI–BT–1108 ...... Performance ...... unknown—the 0 0 unknown ...... 0 600 2,400 maximum pro- pulsion power delivered to the wheels needs to be increased. PTI–BT–1009 ...... Powertrain dura- unknown—mul- 0 0 unknown 2,187 215 11,152 44,608 bility. tiple different powertrain fail- ure modes need to be remedied. PTI–BT–1107 ...... Structural dura- $130—radius rod 0 0 ...... 42 0 0 bility. mount was re- welded to cor- rect manufac- turing defect. Powertrain dura- unknown—mul- 0 4,592 unknown ...... 380 23,578 94,312 bility. tiple different powertrain fail- ure modes need to be remedied. Transmission cradle was the primary issue. Performance ...... unknown—the 0 ...... unknown ...... 42 600 2,400 maximum pro- pulsion power delivered to the wheels needs to be increased. Safety-braking .... additional test 0 0 0 0 0 620 2,480 trials needed to achieve greater brake lining contact with brake rotors. PTI–BT–1107 ...... Maintainability ..... 0—if the 0 0 unknown ...... 0 0 0 powertrain du- rability failures are corrected this standard would be met as well.

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TABLE H–4—SUMMARY OF THE COSTS FOR RETESTING FAILED BUS MODELS—Continued

Shipping of test bus back to Bus (report Failed test Cost of required Lost value manufacturer Additional On-site Paper-work Testing fees FTA number) category bus design of test for parts personnel burden (20%) program changes buses modifications consumed cost and return to Altoona

PTI–BT–1006 ...... Interior Noise ...... $211—this trolley 0 0 0 0 133 300 1,200 bus exceeded the proposed interior noise standard by 4 dB at the driv- er’s seating po- sition. Com- mercially avail- able (dynamat xtreme) sound dampening ma- terial applied to the floor and engine cover area would re- duce the aver- age noise level by 5 dB. 20 square feet of this material costs $170.00 retail and a two hours of me- chanic labor (2 × 20.35 = 40.70) to install. PTI–BT–1010 ...... Interior Noise ...... $211—this trolley 0 0 0 0 133 300 1,200 bus exceeded the proposed interior noise standard by 4 dB at the driv- er’s seating po- sition. Com- mercially avail- able (dynamat xtreme) sound dampening ma- terial applied to the floor and engine cover area would re- duce the aver- age noise level by 5 dB. 20 square feet of this material costs $170.00 retail and a two hours of me- chanic labor (2 × 20.35 = 40.70) to in- stall.. Total Cost ($) ..... unknown ...... 0 6,626 0 15,309 2,300 100,086 400,344 Annual Cost ($) .. unknown ...... 0 2,209 0 5,103 767 33,362 133,448

The annual cost savings of result, the cost for conducting one passenger load as all of the other non- eliminating the on-road fuel economy electric bus fuel economy test was not durability performance tests are test is $64,000 for the FTA program and eliminated. conducted at full seated load. FTA is also proposing changing the $16,000 in manufacturer test fees. FTA The proposed program entrance estimated that 15 on-road fuel economy bus passenger load for the emissions test requirements are expected to increase tests would be eliminated annually and from 2⁄3 seated load weight to full seated the annual FTA program costs by $2,654 the cost of the dynamometer based fuel load weight. FTA estimates a cost economy test is already captured in the reduction of $470 for the FTA program and require $664 in additional cost for the emissions test. One full portion and $118 in reduced fees to the manufacturer costs. The additional costs electric bus is expected to be tested manufacturers. The cost savings is are a result of the proposed Buy annually. Electric bus models do not derived from eliminating the labor of America bus configuration inspections need to undergo emissions testing. As a unloading and reloading 1⁄3 of the seated conducted at bus check-in. The details

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of this cost analysis are outlined in Table H–5.

TABLE H–5—BUY AMERICA CONFIGURATION INSPECTION COST

Labor category Hourly rate Source Total hours per bus Cost

diesel auto service tech ...... 20.35 bls.gov 4 81.40 technical writer ...... 31.49 bls.gov 4 125.96 ...... Cost per bus 207.36 ...... Total annual cost (16 $3,318 buses)

The proposed revisions to the test cost reduction (qualitative benefit) to improved bus performance: This scheduling process are expected to the industry. category examines the benefits derived increase the annual paperwork burden 2. Reduced safety risk: This category from the proposals to increase the speed to bus manufacturers by $1,322. The test estimates the benefits derived from the and depth of comprehension of the bus entrance requirements review milestone NPRM proposals that reduce the safety testing results. is not expected to add any costs to the risk of new bus models entering transit 7. Simplified test scheduling process program as only FTA will be reviewing service. and elimination of unnecessary testing: the results of the check-in process and 3. Improved recipient awareness and This category examines the benefits of determining the outcome of the accuracy of total bus passenger maintaining one point and process of milestone review. capacity: This category of benefits program entry and the benefits of Lastly, the annual cost of the examines the benefits obtained from eliminating unnecessary testing. proposed penalty for unauthorized determining and communicating the FTA was unable to provide monetized maintenance and modification is rated standee passenger capacity of a benefits for many of the benefit estimated to be $800 for the FTA bus to recipients to inform their categories. For many of the categories program cost portion and $200 in fees procurement process and their bus where FTA believes there are benefits to the manufacturers. The costs were operations. but was unable to quantify, the result is determined by amortizing the cost of 4. Improved recipient knowledge of identified as ‘‘unknown’’. For categories test track upgrades for physical security Buy America and Bus Testing where FTA believes there is no benefit, and surveillance over a 10-year period. production configuration: This category the result was identified as ‘‘0’’. The A summary of the estimated annual improves knowledge of both Buy benefits of a greater probability of bus benefits of the Bus Testing Program is America and the Bus Testing provisions models meeting their service life was presented in Table H–6. Seven herein. We do not quantify these quantified, but only to inform our categories of program benefits were benefits. qualitative assumptions. FTA seeks identified and analyzed: 5. Increased confidence the delivered comments related to the benefits of 1. Greater probability of meeting production buses will perform the same categories with an ‘‘unknown’’ result. service life and reduced unscheduled as the test bus: This category examines Overall, FTA believes that the current maintenance: This category estimates the benefits of the proposals in program provides potential benefits in the annual benefits achieved by all of increasing the understanding and all of the seven categories identified the NPRM proposals that potentially confidence that the bus model a when the information generated by the improve the probability new model bus recipient procures and is delivered program is used in the procurement models entering the fleet will satisfy matches the bus tested with respect to decision process. FTA is not aware of their service life requirement and the its design configuration and major any means to determine these benefits, benefits obtained through a reduction of components. FTA requests comments but FTA believes the proposed unscheduled maintenance in actual on the extent recipients or the public is minimum performance standards will service. While we provide a potential concerned that tested buses may not reduce safety risks, reduce unscheduled estimate of this benefit, we do not meet Buy America requirements. maintenance, and ensure a greater include it in our quantitative analysis, 6. Faster comprehension of test probability of a bus model meeting its but note that this will most likely be a results/scores and motivation for expected service life.

TABLE H–6—SUMMARY OF THE ESTIMATED ANNUAL BENEFITS FOR ALL PROPOSALS

Greater Improved Increased Faster com- probability of Grantee grantee confidence the prehension of Simplified test meeting awareness knowledge of delivered test scores scheduling Item service life Reduced and accuracy Buy America production and motivation and process & and reduced safety risk of total bus and bus test- buses will per- for improved elimination of unscheduled passenger ing production form the same bus unnecessary maintenance capacity configuration as the text bus performance testing

Baseline—Current Pro- unknown ...... unknown ...... unknown ...... unknown ...... unknown ...... unknown ...... unknown gram. Proposed MAP–21 Min- Cost reduction unknown ...... 0 ...... 0 ...... 0 ...... 0 ...... 0 imum Performance Standards. Proposed Scoring Sys- unknown ...... unknown ...... 0 ...... 0 ...... 0 ...... unknown ...... 0 tem.

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TABLE H–6—SUMMARY OF THE ESTIMATED ANNUAL BENEFITS FOR ALL PROPOSALS—Continued

Greater prob- Improved Increased Faster com- ability of Grantee grantee confidence the prehension of Simplified test meeting serv- awareness knowledge of delivered test scores scheduling Item ice life and re- Reduced and accuracy Buy America production and motivation and process & duced un- safety risk of total bus and bus test- buses will per- for improved elimination of scheduled passenger ing production form the same bus unnecessary maintenance capacity configuration as the text bus performance testing

Proposed Discretionary ...... Program Changes. Revised Bus Payloading unknown ...... unknown ...... unknown ...... 0 ...... 0 ...... 0 ...... 0 Procedures. Elimination of On-Road 0 ...... 0 ...... 0 ...... 0 ...... unknown ...... 0 ...... Cost reduction Fuel Economy Test. Revised Bus Passenger 0 ...... 0 ...... 0 ...... 0 ...... 0 ...... 0 ...... Cost reduction Load for Emissions Testing. Bus Testing Entrance 0 ...... unknown ...... unknown ...... unknown ...... unknown ...... 0 ...... unknown Requirements. Revisions to the Sched- 0 ...... 0 ...... 0 ...... 0 ...... 0 ...... 0 ...... unknown uling of Testing Re- quirements. Test Requirements Re- 0 ...... 0 ...... 0 ...... 0 ...... 0 ...... 0 ...... unknown view Milestone. Penalty for Unauthorized unknown ...... unknown ...... unknown ...... unknown ...... unknown ...... unknown ...... 0 Maintenance and Modification. Estimated Program Ben- Cost reduction unknown ...... unknown ...... unknown ...... unknown ...... unknown ...... Cost reduction efit (Baseline and all Proposals).

TABLE H–7—BENEFITS ACHIEVED FROM THE MINIMUM PERFORMANCE STANDARDS Projected benefit from the service life loss prevention resulting from the proposed durability requirements

Estimated quantity of Estimated # of tested buses sold annual serv- Service life # of units # of models models that in 2013 that Average ice life value Total cost of Bus size category sold in tested failed dura- have failed new bus loss (as- new transit bility (struc- value 2 sumes bus buses procured (yrs) 2013 1 2010–2012 the pro- tural or posed dura- ($) retirement in 2013 powertrain) bility stand- at 50% life) ard ($)

> 55 foot articulated ... 12 172 2 0 0 760,766 0 130,851,752 45 foot ...... 12 18 2 0 0 449,712 0 8,094,816 40 foot ...... 12 1,906 10 1 38 439,954 8,385,523 838,552,324 35 foot ...... 12 373 2 1 37 286,972 5,352,028 107,040,556 30 foot ...... 10 283 4 1 14 207,528 1,468,261 58,730,424 < 27 foot ...... 4, 5, 7 2,892 29 3 60 62,410 1,867,135 180,489,720 Total ...... 5,644 49 6 149 ...... 17,072,947 1,323,759,592 1 Table 9A, FY 2013: http://www.fta.dot.gov/about_FTA_16073.html. 2 See APTA Public Transportation Vehicle Database. http://www.apta.com/resources/statistics/Pages/OtherAPTAStatistics.aspx.

FTA is not able to provide a The analysis presented in Table H–7 each bus size category. This estimate monetized value for the safety risk used the 2013 transit bus procurement assumes that 20 percent of the bus reduction. Further, we have estimated data outlined in Table 9A in the FY models sold in 2013 were bus models potential benefits of bus models meeting 2013 FTA statistical summaries by bus tested between 2010 and 2012. The their service life requirements, but we size category and quantity. This analysis other 80 percent of the sales were used this to inform our qualitative also estimated the average cost of a bus assumed to consist of existing bus assumption that there would be model in each size category using the models tested prior to 2010. FTA then aggregate benefits to the industry. We cost information in Table 9A. FTA then estimated the projected quantity of did not include this in our quantitative determined the quantity of bus models failing buses by applying a ratio of the calculations because we were uncertain tested in each of the size categories from number of tested buses that would fail of the potential aggregate savings on a 2010–2012 (49 buses total) and the the proposed durability standard by the year-to-year basis into the future as the number of those that failed the proposed number of bus models tested in that size industry adapts to the instant durability performance standard (6). category to 20 percent of the 2013 bus rulemaking. The results of this analysis FTA estimated the quantity of bus sales figures. This resulting quantity of are presented in Table H–7. models sold in 2013 that would have buses was multiplied by the average been restricted from FTA recipients in monetary value of that bus size category

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and divided by two to obtain the calculation of benefits. We conducted this analysis are presented in Table H– average amount of service life value lost this analysis to inform our qualitative 8. Again, while we performed this assuming that each of the failed buses assumption of potential benefits. We analysis, we did not include these only satisfied 50 percent of their service found, as shown above in Table H–6, values in our quantitative calculation of life requirement. FTA notes that this that potential for a major cost reduction benefits. We used this analysis to inform analysis assumes that all six models for the industry is great, but we are our qualitative assumption of potential were not modified by the manufacturer uncertain of the potential aggregate benefits. We found again, as shown in prior to procurement, as the agency has savings on a year-to-year basis into the Table H–8, that the potential for a major no information concerning whether or future as the industry adapts to the cost reduction for the industry is great, not any modifications did in fact occur. requirements enumerated herein. FTA but we are uncertain of the potential If modifications did occur, then the seeks comments on this analysis. aggregate savings on a year-to-year basis potential benefits discussed here may be As another baseline, the lost service overstated. life value of two tested bus models into the future as the industry adapts to We note here that though we known to have failed in service but the requirements enumerated herein. conducted this analysis, we did not outside the study window from 2010– FTA seeks comment on this analysis. include these values in our quantitative 2012 was also estimated. The results of

TABLE H–8—ESTIMATED SERVICE LIFE VALUE LOSS OF TWO FAILED BUS MODELS Estimated benefits from Service Life Loss Prevention of Proposed Durability Requirements with known bus models that failed in service from 2003 to 2013

Estimated annual service life value loss Bus size Quantity Initial bus value (assumes bus retirement ($) at 50% life) ($)

60 foot articulated ...... 226 451,328 51,000,064 23 foot hybrid electric ...... 70 150,000 5,250,000 Total Service Value Loss ...... 56,250,064 Estimated Annual Loss over 2003–2013 ...... 5,625,006

FTA, though, was able to estimate the was only able to estimate the reduction hours after the design remedies for quantified benefits provided by the in labor costs and not the associated structural and powertrain durability proposed durability performance reduction in the costs of replacement were applied to the failing bus models standards in the form of reduced components. The basis for the reduction identified in the study group. The unscheduled maintenance, which we in labor costs was the estimated results of this analysis are presented in estimate to be $531,990 per year. FTA reduction in unscheduled maintenance Table H–9.

TABLE H–9—BENEFITS FROM REDUCED UNSCHEDULED MAINTENANCE [Benefit Derived from reduced bus maintenance requirements as a result of proposed durability standards]

Average unscheduled Average Estimated maintenance unscheduled quantity of Benefit from the # of tested hours per bus maintenance buses sold in reduction in Benefit from Service life models that eliminated by hours per bus 2013 that have maintenance the reduction Bus size category failed durability durability avoided over failed the hours @ 20.35/hr in the amount (yrs) (structural or standard 50% service proposed (diesel service of components powertrain) during test life durability technician) replaced (25% service (until early standard ($) life) retirement)

> 55 foot articulated 12 0 0 0 0 0 unknown 45 foot ...... 12 0 0 0 0 0 unknown 40 foot ...... 12 1 103 206 38 159,300 unknown 35 ft ...... 12 1 113 226 37 170,167 unknown 30 ft ...... 10 1 4 8 14 2,279 unknown < 27 foot ...... 4, 5, 7 3 82 164 60 200,244 unknown Total ...... 6 ...... 149 531,990

FTA believes the proposed results currently unable to quantify these life requirements, reduced amounts of scoring system will provide benefits in benefits. unscheduled maintenance, reduced the areas of reduced unscheduled FTA is confident the proposed safety risk, and greater understanding of maintenance, reduced safety risk, with revisions to the bus payloading the total rated bus passenger capacity. the faster comprehension of test results, procedures that require the posting of FTA believes that eliminating the and provide industry motivation to seek the maximum rated standee passenger current on-road fuel economy test and bus models with higher test scores. FTA load on the interior bus bulkhead will only publishing the fuel economy test seeks comments on the benefits of the provide benefits in the areas of greater results from the dynamometer based test proposed scoring system as it is probability of a bus meeting its service will provide recipients more realistic

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and reliable test results than the current compliant bus configuration with understanding of a new bus model’s on-road fuel economy test. Having only respect to major component systems, program eligibility and readiness for one set of fuel economy test results will and prevents unnecessary retesting due testing. FTA did not quantify the benefit also eliminate the potential confusion to to bus production configuration of this proposal. recipients and manufacturers with anomalies discovered during or after the The proposed penalty for respect to the scoring of the test results. test is completed. FTA was unable to unauthorized maintenance and FTA was unable to quantify the benefits, quantify these benefits. beyond the program cost reduction, of The primary benefit of the revisions to modification is the repeat of all eliminating the on-road fuel economy the scheduling of testing requirements is potentially affected tests. This proposal test. that the process will be same whether it provides benefits in all the categories For the proposal to revise the bus is a request for full testing or partial identified except with the ‘‘simplified passenger load for the emissions testing testing. By establishing a single point of test scheduling and elimination of to seated load weight instead of the 2⁄3 entry for the program there will be less unnecessary testing’’ category. FTA was seated load weight that was unique in confusion about the program not able to directly quantify these the emission test. The benefit of this requirements and the process and benefits. change is a minor cost reduction from consistency in the resulting Using a 3 and 7 percent discount rate the reduced labor of unloading and determinations. FTA was not able to 1 over a ten-year analysis period using the loading ⁄3 of the seated load weight just quantify this benefit. information developed above, FTA for this test. FTA does not expect any The benefit of the proposed test calculates that the Net Present Value of other benefits from this proposal. requirements review milestone is a The proposed program entrance program event that will deliver the the changes encompassed within this requirements are expected to provide benefits of the bus entrance proposed rule would yield a positive benefits with reduced safety risk, greater requirements. This event will provide $3,606,732 at 3 percent discount and a awareness and accuracy of the bus all testing stakeholders (manufacturer, positive $2,969,704 at 7 percent passenger capacity, greater bus testing facility operator, FTA, and discount. Table H–10 shows our DCF understanding of the Buy America potentially a recipient) a clear analysis.

TABLE H–10—DISCOUNTED CASH FLOW ANALYSIS AND NET PRESENT VALUES

Year Costs Benefits Net cash flow Discount rate DCF @ 3% Discount rate DCF @ 7%

1 ...... $109,171 $531,990 $422,819 0.03 $410,504 0.07 $395,158 2 ...... 109,171 531,990 422,819 0.03 398,547 0.07 369,306 3 ...... 109,171 531,990 422,819 0.03 386,939 0.07 345,146 4 ...... 109,171 531,990 422,819 0.03 375,669 0.07 322,567 5 ...... 109,171 531,990 422,819 0.03 364,727 0.07 301,464 6 ...... 109,171 531,990 422,819 0.03 354,104 0.07 281,742 7 ...... 109,171 531,990 422,819 0.03 343,791 0.07 263,310 8 ...... 109,171 531,990 422,819 0.03 333,777 0.07 246,085 9 ...... 109,171 531,990 422,819 0.03 324,056 0.07 229,986 10 ...... 109,171 531,990 422,819 0.03 314,617 0.07 214,940 NPV 3,606,732 NPV 2,969,704

H.2. Executive Order 13132 (Federalism) compliance costs, the funding and regulated industry, including bus consultation requirements of Executive manufacturers who meet the definition This NPRM has been analyzed in Order 13175 do not apply. of ‘‘small businesses,’’ Congress has accordance with the principles and authorized FTA to pay 80% of the bus criteria contained in Executive Order H.4. Executive Order 13272 manufacturer’s testing fee, defraying the 13132 (‘‘Federalism’’’). This NPRM does (Intergovernmental Review) direct financial impact on these entities. not include any regulation that has The regulations implementing FTA has estimated the additional costs substantial direct effects on the States, Executive Order 12372 regarding and the projected benefits of this the relationship between the national intergovernmental consultation on government and the States, or the proposed rule, above. I hereby certify Federal programs and activities do not that this rulemaking would not have a distribution of power and apply to this rulemaking as the bus responsibilities among the various significant economic impact on a testing program does not involve direct substantial number of small entities. levels of government. Therefore, the Federal assistance, nor does it involve consultation and funding requirements direct Federal development. H.6. Unfunded Mandates Reform Act of of Executive Order 13132 do not apply. 1995 H.5. Regulatory Flexibility Act H.3. Executive Order 13175 The Unfunded Mandates Reform Act (Consultation and Coordination with The Regulatory Flexibility Act (5 of 1995 (2 U.S.C. 1532, et seq.) requires Indian Tribal Governments) U.S.C. 601–611) requires each agency to analyze regulations and proposals to agencies to evaluate whether an agency This NPRM has been analyzed in assess their impact on small businesses action would result in the expenditure accordance with the principles and and other small entities to determine by State, local and tribal governments, criteria contained in Executive Order whether the rule or proposal will have in the aggregate, or by the private sector, 13175 (‘‘Consultation and Coordination a significant economic impact on a of $151 million or more (as adjusted for with Indian Tribal Governments’’). substantial number of small entities. inflation) in any one year, and if so, to Because this NPRM does not have tribal Although the testing requirement take steps to minimize these unfunded implications and does not impose direct imposes minor compliance costs on the mandates. FTA does not believe the

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proposed rulemaking would result in existing bus models being produced Information addressing items 1 and 2 expenditures exceeding this level. with a major change must also comply will be collected by FTA through a with the requirements of the Bus standardized electronic form to be H.7. Paperwork Reduction Act Testing Program. Upon completion of available on the FTA internet site and Under the Paperwork Reduction Act the testing of the vehicle, a bus testing used by FTA to process the request for of 1995 (PRA) (44 U.S.C. 3501–3520), a report is provided to the manufacturer. new bus model testing. An outline of Federal agency must obtain approval 49 CFR part 665.7(a) states that a this proposed standard form is included from OMB before conducting or recipient of federal funds must certify as an information collection instrument sponsoring a collection of information that any new bus model acquired with in the ROCIS system. From the as defined by the PRA. Because the FTA financial assistance has been tested information collected on the proposed regulation contains a new in accordance with the requirements of standardized form and previous bus provision that would require Part 665, and that the recipient has model testing history, if any, FTA will manufacturers to provide technical received a copy of the applicable Bus determine the amount of testing that is specifications regarding their vehicles to Testing Report before expenditure of necessary. Once complete, FTA will FTA in order to receive approval to any FTA funding on a bus. provide the testing determination proceed with testing, FTA will submit a The Bus Testing Program (often results to the requester and to the Bus revised information collection estimate referred to as ‘‘Altoona Testing’’ due to Testing Facility operator if testing is to OMB. the location of the primary test facility) required. If FTA determines that no In compliance with the PRA, we is operated by The Thomas D. Larson testing is required, no additional announce that FTA is seeking comment Pennsylvania Transportation Institute information is collected for that request. on a new information collection. (LTI), an interdisciplinary research unit In order to schedule a bus test at the Agency: Federal Transit of The Pennsylvania State University in Bus Testing Center (item 3), bus Administration. the College of Engineering. Founded in manufacturers must submit a variety of Title: Bus Testing Program. 1989, LTI operates the Bus Testing information to LTI. The steps for Type of Request: Modified Center, conducts the tests, and submitting a vehicle for testing are information collection. outlined on LTI’s Web site at http:// documents the test results under a _ OMB Control Number: 2132–0550. cooperative agreement with the Federal 146.186.225.57/schedule testing. The Form Number: Not assigned. Transit Administration (FTA). first piece of information that must be submitted is two signed copies of the Requested Expiration Date of Approval The Bus Testing Program has proven testing contract. The contract outlines Three years from the date of approval. to be valuable to the transit industry. As that LTI is the official operator of the of March 31, 2015, testing has been bus testing facility and that they are Summary of the Collection of completed on 437 buses with a total of Information. under a cooperative agreement with 9,214 bus malfunctions identified. Of FTA to conduct testing of transit In accordance with the Paperwork those malfunctions, 44 could have vehicles in accordance with FTA Reduction Act of 1995, this notice resulted in serious injuries or significant regulations and the established testing announces the intention of the Federal property damage had they occurred in procedures. The contract can be found Transit Administration (FTA) to request revenue service. Many of the other as an information collection instrument the Office of Management and Budget malfunctions would adversely impact in the ROCIS system and online at (OMB) to update the following transit service (e.g., resulting in http://146.186.225.57/scheduling_pdfs/ information collections for the FTA Bus mechanical breakdowns and stranded Contract_Dec_2013.pdf. Additional Testing Program. The information to be passengers), and all would increase information that must be submitted collected for the Bus Testing Program is maintenance costs by requiring before testing begins includes; a spare necessary to ensure that buses have corrective maintenance actions. By parts inventory list, evidence of been tested at the Bus Testing Center for testing new bus models before they are adequate liability and physical damage maintainability, reliability, safety, purchased, recipients and insurance coverage on the bus, and a performance (including braking manufacturers can often address check for the manufacturer’s share of performance), structural integrity, fuel problems before the fleet is built, the testing fee. economy, emissions, and noise and potentially saving the federal To address item 4, bus manufacturers have met the required performance government and grant recipients are required to complete the bus model standards. considerable money and time and information template. This information avoiding inconveniencing passengers. can be submitted at the time of test Description of the Need for the The information collected by the Bus scheduling or later, as it is included in Information and Use of the Information Testing Program is used to: (1) the final bus testing report to document Title 49 U.S.C. Section 5323(c) Determine the eligibility of a new bus the bus configuration tested. This provides that no federal funds model for testing as per 49 CFR 665.11; template is included as an information appropriated or made available after (2) determine the amount of testing collection instrument in the ROCIS September 30, 1989, may be obligated or necessary; (3) satisfy the legal and system. For item 5, bus manufacturers expended for the acquisition of a new administrative requirements necessary need to submit a copy of their bus model (including any model using for the Bus Testing Facility to schedule compliance documentation prepared to alternative fuels) unless the bus has met the testing of a new bus model; (4) to address the applicable Federal the requirements of FTA’s Bus Testing collect new bus model design, and requirements of 49 CFR part 535, 40 Program. Title 49 U.S.C. Section 5318(a) component information for inclusion in CFR part 86, and 40 CFR part 1037 as further specifies that each new bus the final report; (5) determine evidence of satisfying the proposed FTA model is to be tested for maintainability, compliance with the fuel economy and performance standards for ‘‘Fuel reliability, safety, performance emissions performance standards; and Economy’’ and ‘‘Emissions’’ outlined in (including braking performance), (6) determine the maximum rated the Bus Testing Pass/Fail NPRM. structural integrity, fuel economy, standee passenger capacity of a new bus The Pass/Fail NPRM also proposes emissions, and noise. In addition, any model. that bus manufacturers identify the

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maximum rated standee passenger the pass/fail compliance process. The information in order to assess the scope capacity on the front interior bulkhead. program averages 46 requests for testing of the partial test program. The This rating will be used for the purposes annually and assumed that the number additional information consists of of payloading the test bus and will also of test requests will remain at 46 engineering drawings, 3–D depictions, inform FTA recipients about the total annually. FTA estimates that with the finite element analyses, sub-system rated passenger capacity of the new bus use of a new standardized form for specifications, and similar documents. models. requesting testing, that all 46 requests These items are already part of the bus Description of the Likely Respondents will require 0.75 hour for the manufacturers’ normal product respondent to complete regardless if the development process and FTA believes Bus manufacturers are the primary request is for full or partial testing. The it would not require significant respondents. estimated hourly burden and additional time or costs to create. FTA Estimate of the Total Annual Reporting annualized cost to respondents for the estimates that each of these five and Recordkeeping Burden Resulting test request process is outlined in Table expanded information collections From the Collection of Information H–10 below. The estimates assume that required an additional 4 hours each to The hourly burden and cost to a mechanical engineer will complete the prepare and send to FTA. Labor respondents is driven by the standardized test request form. categories and rates from the Bureau of information collected during the test On average annual basis, five test Labor Statistics (http://www.bls.gov/oes/ request process, the test scheduling requests were of a higher level of current/) were used to estimate the process, and the report preparation and complexity that FTA needed more annual labor costs.

TABLE H–10—ESTIMATED COST AND BURDEN OF THE TEST REQUEST PROCESS

Labor rate Labor category (BLS code/ ($/hr) (May Annual Total annual Total annual Item title) 2013 BLS sta- Time (hrs) quantity hours cost ($) tistic)

Standardized test request 17–2141 Mechanical engi- 41.31 0.75 46 34.5 1425.20 form. neer. Partial Test Determination 17–2141 Mechanical Engi- 41.31 4.0 5 20.0 826.20 Request (Expanded). neer.

Total Annual Partial ...... 54.5 $2251.40 Test Determination Request Burden.

The estimated hourly and cost burden presented in Table H–11 (see below). admin personnel will be involved in the related to scheduling a bus for testing FTA estimates that a lawyer, preparation of the request. An average of with the bus testing facility operator is accountant, mechanical engineer, and 16 tests is scheduled with LTI annually

TABLE H–11—ESTIMATED LABOR BURDEN AND COST FOR THE TEST SCHEDULING PROCESS

Labor rate ($/hr) (May Preparation Item Labor category (BLS code/title) 2013 BLS time (hrs) Cost ($) statistic)

Testing Contract ...... 23–1011 Lawyer ...... 63.46 1.0 63.46 Proof of Insurance ...... 23–1011 Lawyer ...... 63.46 1.0 63.46 Payment Check ...... 13–2011 Accountant ...... 34.86 1.0 34.86 Spare Parts Inventory List ...... 17–2141 ...... 41.31 3.0 123.93 Mechanical Engineer ...... Bus Design Characteristics Information ...... 17–2141 ...... 41.31 2.5 103.28 Mechanical Engineer ...... Assembling/Mailing of Test Scheduling Package 43–000 ...... 16.78 1.5 25.17 Office/Admin Support ...... Postage for package ...... 8.63 Total burden per test request ...... 10.0 ...... 422.79 Total Annual Burden (16 tests a year) ...... 160.0 ...... $6764.64

There is an additional paperwork to submit to FTA a failure analysis and are repeated. The estimated burden and burden associated with submitting a proposed corrective action report for cost is presented in Table H–12. Over documentation to FTA and the Bus bus models that fail to meet one or more the three-year study period, seven bus Testing Facility operator for the of the proposed performance standards. models would have required a request retesting of a failed performance They will also need to submit additional for retesting resulting in an average of standard. Bus manufacturers will need test fees associated with the tests that 2.33 requests annually.

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TABLE H–12—ESTIMATED BURDEN AND COST FOR THE REQUEST OF RETESTING TO ADDRESS A FAILED PERFORMANCE STANDARD

Labor rate ($/ Item Labor category (BLS code/title) hr) (May 2013 Preparation Cost ($) BLS statistic) time (hrs)

Payment Check for Retesting Fees ...... 13–2011 Accountant ...... 34.86 0.5 17.43 Check Mailing ...... 43–000 ...... 16.78 1.0 16.78 Office/Admin Support ...... Postage for package ...... 5.60 Preparation of Failure Analysis and Modifica- 17–2141 ...... 41.31 7.0 289.17 tion Proposal. Mechanical Engineer ...... Total burden per test request ...... 8.5 ...... 328.98 Total Annual Burden (2.33 retest re- 20 ...... $766.52 quests a year).

One of the proposed revisions to the placarded inside on the front bulkhead labor burden for this information payloading process requires that the of the test bus. The estimated cost and collection is presented in Table H–13. maximum standee passenger rating be

TABLE H–13—ESTIMATED BURDEN AND COST FOR THE REVISED BUS PAYLOADING PROCEDURES

Labor rate ($/ Item Labor category (BLS code/title) hr) (May 2013 Preparation Cost ($) BLS statistic) time (hrs)

Maximum Standee Passenger Capacity Cal- 17–2141 ...... 41.31 2.0 82.62 culation. Mechanical Engineer ...... Placard (source: www.edecals.com using a ...... 8.99 2.5 inch tall lettering stating ‘‘XX Standees Maximum’’ and a quantity of 500). Installation of Placard ...... 51–2099 ...... 13.74 0.10 1.37 Assembler and Fabricator ...... Total burden per test bus ...... 2.10 ...... 92.98 Total Annual Burden (16 buses ) ...... 33.6 ...... $1487.68

The proposed revisions to test manufacturer must verify that the requirements in 49 CFR 661.11. The scheduling (49 CFR 665.11) introduce vehicle complies with applicable estimated cost and labor burden of these additional documentation requirements FMVSS requirements and that the requirements for this information during the test requesting process. The vehicle meets the Buy America content collection is presented in Table H–14.

TABLE H–14—ESTIMATED BURDEN AND COST FOR THE REVISED TEST SCHEDULING REQUIREMENTS

Labor rate ($/ Preparation Item Labor category hr) (May 2013 time Cost (BLS code/title) BLS statistic) (hrs) ($)

Submission of Documentation for 49 CFR part 17–2141 ...... 41.31 1.0 41.31 565 Vehicle Identification Number Require- Mechanical Engineer ...... ments; 49 CFR part 566 Manufacturer Identi- fication; 49 CFR part 567 Certification; and where applicable, 49 CFR part 568 Vehicle Manufactured in Two or More Stages—All In- complete, Intermediate and Final-Stage Manu- facturers of Vehicle Manufactured in Two or More Stages. Submission of Documentation for Buy America 17–2141 ...... 41.31 1.0 41.31 U.S. content requirements of 49 CFR § 661.11, Mechanical Engineer ...... Rolling Stock Procurements. Total burden per test bus ...... 2.0 ...... 82.62 Total Annual Burden (16 buses ) ...... 32.0 ...... $1321.92

The total burden and cost for this and cost of the information collections previous burden estimate for the NPRM is summarized in Table H–15. resulting from the proposals in this existing program was 210 hours and FTA estimates the total annual burden NPRM as 300 hours and $12,593. The $9,016.

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TABLE H–15—TOTAL ESTIMATED ANNUAL BURDEN AND COST OF THE PROPOSED BUS TESTING PASS/FAIL NPRM

Annual burden Annual cost Information collection (hr) ($)

Test Request Process ...... 54.5 $2251.40 Test Scheduling Process ...... 160.0 6764.64 Request of Retesting to Address a Failed Performance Standard ...... 20 766.52 Revised Bus Payloading Procedures ...... 33.6 1487.68 Revised Test Scheduling Requirements ...... 32.0 1321.92 Total ...... 300.1 12,592.16

Comments are invited on: published on April 11, 2000 (Volume proposed regulations, if finalized as • Whether the collection of 65, Number 70; Pages 19477–78) or you proposed, would not cause information is necessary for the proper may visit www.regulations.gov. disproportionately high and adverse performance of the functions of the human health and environmental effects H.11. Executive Order 12898 Department, including whether the on minority or low income populations. (Environmental Justice) information will have practical utility. List of Subjects in 49 CFR Part 665 • Whether the Department’s estimate Executive Order 12898, ‘‘Federal for the burden of the information Actions to Address Environmental Buses, Grant programs— collection is accurate. Justice in Minority Populations and transportation, Public transportation, • Ways to minimize the burden of the Low-Income Populations,’’ and DOT Motor vehicle safety, Reporting and collection of information on Order 5610.2(a), ‘‘Actions to Address recordkeeping requirements. respondents, including the use of Environmental Justice in Minority Issued in Washington, DC, under the automated collection techniques or Populations and Low-Income authority delegated at 49 CFR 1.91. other forms of information technology. Populations (see, www.fhwa.dot.gov/ Therese McMillan, _ _ Please submit any comments, identified environment/environmental justice/ej Acting Administrator. _ _ by the docket number in the heading of at dot/order 56102a/index.cfm), require DOT agencies to achieve For the reasons stated in the preamble this document, by any of the methods and under the authority of 49 U.S.C. described in the ADDRESSES section of environmental justice (EJ) as part of their mission by identifying and 5323(c), 5318, and the delegations at 49 this document. Comments are due by CFR 1.91, the Federal Transit August 24, 2015. addressing, as appropriate, disproportionately high and adverse Administration proposes to revise Part H.8. Regulation Identifier Number (RIN) human health or environmental effects, 665 of Title 49, Code of Federal Regulations, to read as follows: A regulation identifier number (RIN) including interrelated social and is assigned to each regulatory action economic effects, of their programs, PART 665—BUS TESTING listed in the Unified Agenda of Federal policies, and activities on minority Regulations. The Regulatory Information populations and low-income Subpart A—General Service Center publishes the Unified populations in the United States. The Sec. Agenda in April and October of each DOT Order requires DOT agencies to 665.1 Purpose. year. The RIN number contained in the address compliance with the Executive 665.3 Scope. heading of this document may be used Order and the DOT Order in all 665.5 Definitions. to cross-reference this action with the rulemaking activities. To meet this goal, 665.7 Certification of compliance. Unified Agenda. FTA has issued additional final Subpart B—Bus Testing Procedures guidance in the form of a circular H.9. National Environmental Policy Act 665.11 Testing requirements. (Circular 4703.1, ‘‘FTA Policy Guidance 665.13 Test report and manufacturer The National Environmental Policy for Federal Transit Recipients,’’ July 17, certification. 2012; http://www.fta.dot.gov/ Act of 1969 (NEPA), as amended (42 Subpart C—Operations U.S.C. 4321–4347), requires Federal legislation_law/12349_14740.html), to agencies to consider the consequences implement Executive Order 12898 and 665.21 Scheduling. DOT Order 5610.2(a). 665.23 Fees. of major federal actions and prepare a 665.25 Transportation of vehicle. detailed statement on actions FTA evaluated this proposed rule 665.27 Procedures during testing. significantly affecting the quality of the under the Executive Order, the DOT Appendix A to Part 665—Bus Model Scoring human environment. FTA has Order, and the FTA Circular. System and Pass/Fail Standard Environmental justice principles, in the determined that this rulemaking is Authority: 49 U.S.C. 5318 and 49 CFR 1.91. categorically excluded pursuant to 23 context of establishing a quantitative CFR 771.118(c)(4). scoring system for public transit Subpart A—General vehicles, fall outside the scope of H.10. Privacy Act applicability. § 665.1 Purpose. Anyone is able to search the Nothing inherent in this proposed An applicant for Federal financial electronic form for all comments regulations would disproportionately assistance for the purchase or lease of received into any of our dockets by the impact minority or low income buses with funds obligated by the FTA name of the individual submitting the populations, as the primary parties shall certify to the FTA that any new comments (or signing the comment, if affected by this proposal are those bus model acquired with such submitted on behalf of an association, transit vehicle manufactures who would assistance has been tested and has business, labor union, etc.). You may be subject to the bus testing procedures received a passing test score in review DOT’s complete Privacy Act and the new quantitative scoring accordance with this part. This part Statement in the Federal Register system. FTA has determined that the contains the information necessary for a

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recipient to ensure compliance with this Hybrid means a propulsion system the complete set of bus tests in which provision. that combines two power sources, at significantly different data would least one of which is capable of reasonably be expected as a result of the § 665.3 Scope. capturing, storing, and re-using energy. changes made to the bus from the This part shall apply to an entity Major change in chassis design configuration documented in the receiving Federal financial assistance means, for vehicles manufactured on a original full Bus Testing Report. A under 49 U.S.C. Chapter 53. third-party chassis, a change in frame partial testing report is not valid unless § 665.5 Definitions. As used in this structure, material or configuration, or a accompanied by the corresponding full part— change in chassis suspension type. Bus Testing Report for the Administrator means the Major change in components means: corresponding baseline bus Administrator of the Federal Transit (1) For those vehicles that are not configuration. Administration or the Administrator’s manufactured on a third-party chassis, a Public transportation service means designee. change in a vehicle’s engine, axle, Automotive means that the bus is not the operation of a vehicle that provides transmission, suspension, or steering general or special service to the public continuously dependent on external components; power or guidance for normal operation. on a regular and continuing basis (2) For those that are manufactured on consistent with 49 U.S.C. Chapter 53. Intermittent use of external power shall a third-party chassis, a change in the not automatically exclude a bus of its Recipient means an entity that vehicle’s chassis from one major design receives funds under 49 U.S.C. Chapter automotive character or the testing to another. requirement. 53, either directly from FTA or through Major change in configuration means a direct recipient. Bus means a rubber-tired automotive a change that is expected to have a vehicle used for the provision of public Regenerative braking system means a significant impact on vehicle handling transportation service by or for a system that decelerates a bus by and stability or structural integrity. recovering its kinetic energy for on- recipient of FTA financial assistance. Modified third-party chassis or van Bus model means a bus design or board storage and subsequent use. means a vehicle that is manufactured variation of a bus design usually Retarder means a system other than from an incomplete, partially assembled designated by the manufacturer by a the service brakes that slows a bus by third-party chassis or van as provided specific name and/or model number. dissipating kinetic energy. by an OEM to a small bus manufacturer. Bus Testing Facility means the facility Seated load weight means the curb This includes vehicles whose chassis used by the entity selected by FTA to weight of the bus plus the seated structure has been modified to include: conduct the bus testing program, passenger load simulated by adding 150 a tandem or tag axle; a drop or lowered including test track facilities operated in pounds of ballast to each seating floor; changes to the GVWR from the connection with the program. position and 600 pounds per wheelchair OEM rating; or other modifications that Bus Testing Report means the position. are not made in strict conformance with complete test report for a bus model, Service brake(s) means the primary the OEM’s modifications guidelines documenting the results of performing system used by the driver during normal where they exist. the complete set of bus tests on a bus operation to reduce the speed of a New bus model means a bus model model. moving bus and to allow the driver to that— Curb weight means the weight of the bring the bus to a controlled stop and bus including maximum fuel, oil, and (1) Has not been used in public transportation service in the United hold it there. Service brakes may be coolant; but without passengers or supplemented by retarders or by driver. States before October 1, 1988; or (2) Has been used in such service but regenerative braking systems. Emissions means the components of Small bus manufacturer means a the engine tailpipe exhaust that are which after September 30, 1988, is being secondary market assembler that regulated by the United States produced with a major change in acquires a chassis or van from an OEM Environmental Protection Agency configuration or a major change in for subsequent modification or assembly (EPA), plus carbon dioxide (CO2) and components; or and sale as 5-year/150,000-mile or 4- methane (CH4). Operator means the operator of the Emissions control system means the Bus Testing Facility. year/100,000-mile minimum service life components on a bus whose primary Original equipment manufacturer vehicle. purpose is to minimize regulated (OEM) means the original manufacturer Tailpipe emissions means the exhaust emissions before they exit the tailpipe. of a chassis or van supplied as a constituents actually emitted to the This definition does not include complete or incomplete vehicle to a bus atmosphere at the exit of the vehicle components that contribute to low manufacturer. tailpipe or corresponding system. emissions as a side effect of the manner Parking brake means a system that Third party chassis means a in which they perform their primary prevents the bus from moving when commercially available chassis whose function (e.g., fuel injectors or parked by preventing the wheels from design, manufacturing, and quality combustion chambers). rotating. control are performed by an entity Final acceptance means the formal Partial testing means the performance independent of the bus manufacturer. approval by the recipient that the of only that subset of the complete set Unmodified mass-produced van vehicle has met all of its bid of bus tests in which significantly means a van that is mass-produced, specifications and the recipient has different data would reasonably be complete and fully assembled as received proper title. expected compared to the data obtained provided by an OEM. This shall include Gross weight (Gross Vehicle Weight, in previous full testing of the baseline vans with raised roofs, and/or or GVW) means the seated load weight bus model at the Bus Testing Facility. wheelchair lifts, or ramps that are of the bus plus 150 pounds of ballast for Partial testing report, also partial test installed by the OEM or by a party other each standee passenger, up to and report, means a report documenting, for than the OEM provided that the including, the maximum rated standee a previously-tested bus model that is installation of these components is passenger capacity identified on the bus produced with major changes, the completed in strict conformance with interior bulkhead. results of performing only that subset of the OEM modification guidelines.

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Unmodified third-party chassis means Testing Facility, then the new bus a passing test score, the vehicle will be a third-party chassis that either has not model shall undergo the full tests ineligible for FTA financial assistance. been modified, or has been modified in requirements for Maintainability, (c)(1) A manufacturer or dealer of a strict conformance with the OEM’s Reliability, Safety, Performance new bus model or a bus produced with modification guidelines. (including Braking Performance), a major change in component or Structural Integrity, Fuel Economy, configuration shall provide a copy of the § 665.7 Certification of compliance. Noise, and Emissions Tests. corresponding full Bus Testing Report (a) In each application to FTA for the (c) If the new bus model has not and any applicable partial testing purchase or lease of any new bus model, previously been tested at the Bus report(s) to a recipient during the point or any bus model with a major change Testing Facility and is being produced in the procurement process specified by in configuration or components to be on a third-party chassis that has been the recipient, but in all cases before acquired or leased with funds obligated previously tested on another bus model final acceptance of the first bus by the by the FTA, the recipient shall certify at the Bus Testing Facility, then the new recipient. that the bus was tested at the Bus bus model may undergo partial testing (2) A manufacturer who releases a Testing Facility and that the bus in place of full testing. report under paragraph (c)(1) of this received a passing test score as required (d) If the new bus model has section also shall provide notice to the in this part. The recipient shall receive previously been tested at the Bus operator of the facility that the test the appropriate full Bus Testing Report Testing Facility, but is subsequently results and the test report are to be made and any applicable partial testing manufactured with a major change in available to the public. report(s) before final acceptance of the (d) If a tested bus model with a Bus first vehicle. chassis or components, then the new bus model may undergo partial testing Testing Report undergoes a subsequent (b) In dealing with a bus manufacturer major change in component or or dealer, the recipient shall be in place of full testing. (e) The following vehicle types shall configuration, the manufacturer or responsible for determining whether a dealer shall advise the recipient during vehicle to be acquired requires full be tested: (1) Large-size, heavy-duty transit the procurement process and shall testing or partial testing or has already include a description of the change. Any satisfied the requirements of this part. A buses (approximately 35′–40′ in length, as well as articulated buses) with a party may ask FTA for confirmation bus manufacturer or recipient may regarding the scope of the change. request guidance from FTA. minimum service life of 12 years or 500,000 miles; (e) A Bus Testing Report shall be available publicly once the bus Subpart B—Bus Testing Procedures (2) Medium-size, heavy-duty transit manufacturer makes it available during buses (approximately 30′ in length) with § 665.11 Testing requirements. a recipient’s procurement process. The a minimum service life of ten years or operator of the facility shall have copies (a) In order to be tested at the Bus 350,000 miles; of all the publicly available reports Testing Facility, a new model bus (3) Medium-size, medium duty transit shall— available for distribution. The operator buses (approximately 30′ in length) with (1) Be a single model that complies shall make the final test results from the a minimum service life of seven years or with NHTSA requirements at 49 CFR approved report available electronically 200,000 miles; part 565 Vehicle Identification Number and accessible over the internet. (4) Medium-size, light duty transit Requirements; 49 CFR part 566 ′ ′ (f) The Bus Testing Report and the test Manufacturer Identification; 49 CFR buses (approximately 25 –35 in length) results are the only official information part 567 Certification; and where with a minimum service life of five and documentation that shall be made applicable, 49 CFR part 568 Vehicle years or 150,000 miles; and publicly available in connection with Manufactured in Two or More Stages— (5) Other light duty vehicles such as any bus model tested at the Bus Testing All Incomplete, Intermediate and Final- small buses and regular and modified Facility. Stage Manufacturers of Vehicle and unmodified vans with a minimum Manufactured in Two or More Stages; service life of four years or 100,000 Subpart C—Operations (2) Have been produced by an entity miles. § 665.21 Scheduling. whose Disadvantaged Business (f) Tests performed in a higher service Enterprise DBE goals have been life category (i.e., longer service life) (a) All requests for testing, including submitted to FTA pursuant to 49 CFR need not be repeated when the same bus requests for full, partial, or repeat part 26; model is used in lesser service life testing, shall be submitted to the FTA (3) Identify the maximum rated applications. Bus Testing Program Manager for review quantity of standee passengers on the prior to scheduling with the operator of § 665.13 Test report and manufacturer the Bus Testing Facility. All test interior bulkhead in 2 inch tall or certification. greater characters; requests shall provide: a detailed (4) Meet all applicable Federal Motor (a) The operator of the Bus Testing description of the new bus model to be Vehicle Safety Standards, as defined by Facility shall implement the tested; the service life category of the the National Highway Traffic Safety performance standards and scoring bus; engineering level documentation Administration in part 571 of this title; system set forth in this part. characterizing all major changes to the (5) Meet the Buy America U.S. (b) Upon completion of testing, the bus model; and documentation that content requirements of § 661.11 of this operator of the facility shall provide the demonstrates satisfaction of each one of chapter; and scored test results and the resulting test the testing requirements outlined in (6) Be substantially fabricated and report to the entity that submitted the § 665.11(a). assembled using the techniques, tooling, bus for testing and to FTA. The test (b) FTA will review the request and and materials that will be used in report will be available to recipients determine if the bus model is eligible for production of subsequent buses of that only after both the bus manufacturer testing and which tests must be model. and FTA have approved it for release. If performed. FTA will prepare a written (b) If the new bus model has not the bus manufacturer declines to release response to the requester for use in previously been tested at the Bus the report, or if the bus did not achieve scheduling the required testing.

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(c) To schedule a bus for testing, a Program Manager for review prior to maintain a representative on-site during manufacturer shall contact the operator initiating testing using the Bus Testing the testing. Test facility staff may of the Bus Testing Facility and provide Program funds. require a manufacturer to provide the FTA response to the test request. (c) The operator shall perform all vehicle servicing or repair under the Contact information and procedures for maintenance and repairs on the test supervision of the facility staff. Since scheduling testing are available on the vehicle, consistent with the the operator may not be familiar with operator’s Bus Testing Web site, http:// manufacturer’s specifications, unless the detailed design of all new bus www.altoonabustest.com. the operator determines that the nature models that are tested, tests to (d) Upon contacting the operator, the of the maintenance or repair is best determine the time and skill required operator shall provide the manufacturer performed by the manufacturer under for removing and reinstalling an engine, with the following: the operator’s supervision. a transmission, or other major (1) A draft contract for the testing; (d) The manufacturer shall be propulsion system components may (2) A fee schedule; and permitted to observe all tests. The require advice from the bus (3) The test procedures for the tests manufacturer shall not provide manufacturer. All routine and corrective that will be conducted on the vehicle. maintenance or service unless requested maintenance shall be carried out by the (e) The operator shall process vehicles to do so by the operator. operator in accordance with the FTA has approved for testing in the (e) The operator shall investigate each manufacturer’s specifications. order in which the contracts are signed. occurrence of unauthorized (ii) The Maintainability Test Report maintenance and repairs and determine shall include the frequency, personnel § 665.23 Fees. the potential impact to the validity of hours, and replacement parts or (a) The operator shall charge fees in the test results. Tests where the results supplies required for each action during accordance with a schedule approved could have been impacted must be the test. The accessibility of selected by FTA, which shall include different repeated at the manufacturer’s expense. components and other observations that fees for partial testing. (f) The operator shall perform all could be important to a bus purchaser (b) Fees shall be prorated for a vehicle modifications on the test vehicle, shall be included in the report. withdrawn from the Bus Testing Facility consistent with the manufacturer’s (iii) The performance standard for before the completion of testing. specifications, unless the operator Maintainability is that no greater than (c) The manufacturer’s portion of the determines that the nature of the 125 hours of total unscheduled test fee shall be used first during the modification is best performed by the maintenance shall be accumulated over conduct of testing. The operator of the manufacturer under the operator’s the execution of a full test. Bus Testing Facility shall obtain supervision. All vehicle modifications (2) Reliability Test—(i) Reliability approval from FTA prior to continuing performed after the test has started will shall not be a separate test, but shall be testing of each bus model at the Bus first require review and approval by addressed by recording all bus failures Testing Program’s expense after the FTA. If the modification is determined and breakdowns during all other testing. manufacturer’s fee has been expended. to be a major change, some or all of the The detected bus failures, repair time, tests already completed shall be and the actions required to return the § 665.25 Transportation of vehicle. repeated or extended at FTA’s bus to operation shall be presented in A manufacturer shall be responsible discretion. the report. for transporting its vehicle to and from (g) The operator shall halt testing after (ii) The performance standard for the Bus Testing Facility at the beginning any occurrence of unapproved, Reliability is that the vehicle under test and completion of the testing at the unauthorized, or unsupervised test experience no more than one manufacturer’s own risk and expense. vehicle modifications. Following an uncorrected Class 1 failure and two occurrence of unapproved or uncorrected Class 2 failures over the § 665.27 Procedures during testing. unsupervised test vehicle modifications, execution of a full test. Class 1 failures (a) Upon receipt of a bus approved for the vehicle manufacturer shall submit a are addressed in the Safety Test, below. testing the operator of the Bus Testing new test request to FTA that addresses An uncorrected Class 2 failure is a Facility shall: all the requirements in 665.11 to reenter failure mode not addressed by a design (1) Inspect the bus design the Bus Testing Program. or component modification that would configuration and compare it to the (h) The operator shall perform eight cause a transit vehicle to be unable to configuration documented in the test categories of tests on new bus models. complete its transit route and require request; The eight tests and their corresponding towing or on-route repairs. A failure is (2) Determine if the bus, when loaded performance standards are described in considered corrected when a design or to Gross Weight, does not exceed its the following paragraphs. component modification is validated Gross Vehicle Weight Rating, Gross Axle (1) Maintainability Test—(i) The through sufficient remaining or Weight Ratings, or maximum tire load Maintainability test shall include bus additional reliability testing in which ratings; servicing, preventive maintenance, the failure does not reoccur. (3) Determine if the bus is capable of inspection, and repair. It shall also (3) Safety Test—(i) The Safety Test negotiating the durability test track at include the removal and reinstallation shall consist of a Handling and Stability curb weight, seated load weight, and of the engine and drive-train Test, a Braking Performance Test, and a Gross Vehicle Weight; components that would be expected to review of the Class 1 reliability failures (4) Determine if the bus is capable of require replacement during the bus’s that occurred during the test. performing the Fuel Economy and normal life cycle. Much of the (ii) The Handling and Stability Test Emissions Test duty cycles within the maintainability data should be obtained shall be an obstacle avoidance double- established standards for speed during the Bus Durability Test. All lane change test performed on a smooth deviation. servicing, preventive maintenance, and and level test track. The lane change (b) The operator shall present the repair actions shall be recorded and course will be set up using pylons to results obtained from the activities of reported. These actions shall be mark off two 12 foot center to center § 665.27(a) and present them to the bus performed by test facility staff, although lanes with two 100 foot lane change manufacturer and the FTA Bus Testing manufacturers shall be allowed to areas 100 feet apart. Bus speed shall be

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held constant throughout a given test shall be calculated based on the data jacking shall be assessed. The run. Individual test runs shall be made measured on a level grade during the performance standard shall be that the at increasing speeds up to a specified Acceleration Test. The performance vehicle is capable of being lifted with a maximum or until the bus can no longer standard for the gradeability test is that standard commercial vehicle hydraulic be operated safely over the course, the test vehicle achieves a sustained jack. whichever speed is lower. Both left- and speed of at least 40 mph on a 2.5 (vi) Hoisting Test—With the bus at right-hand lane changes shall be tested. percent grade and a sustained speed of CW, possible damages or deformation The performance standard is that the at least 10 mph on a 10 percent grade. associated with lifting the bus on a two test vehicle can safely negotiate and (ii) [Reserved]. post hoist system or supporting it on remain within the lane change test (5) Structural Integrity Test—Seven jack stands shall be assessed. The course at a speed of no less than 45 individual Structural Integrity Tests performance standard shall be that the mph. shall be performed. vehicle is capable of being supported by (iii) The functionality and (i) Shakedown Test—A shakedown of jack stands rated for the vehicle’s performance of the service, regenerative the bus structure shall be conducted by weight. (vii) Structural Durability Test— (if applicable), and parking brake loading and unloading the bus with a The Structural Durability Test shall be systems shall be evaluated at the test distributed load equal to 2.5 times the performed on the durability course at track. The test bus shall be subjected to load applied for the gross weight the test track, simulating twenty-five a series of brake stops from specified portions of testing. The bus shall then percent of the vehicle’s normal service speeds on high, low, and split-friction be unloaded and inspected for any life. The bus structure shall be inspected surfaces. The parking brake shall be permanent deformation on the floor or regularly during the test, and the evaluated with the bus parked facing coach structure. This test shall be mileage and identification of any both up and down a steep grade. There repeated a second time, and shall be structural anomalies and failures shall are three performance standards for repeated one more time if the be reported in the Reliability Test. There braking. The stopping distance from a permanent deflections vary significantly shall be two performance standards for speed of 45 mph on a high friction between the first and second tests. The the Durability Test, one to address the surface shall satisfy the bus stopping performance standard shall be that the vehicle frame and body structure and distance requirements of FMVSS 105 or maximum measured permanent one to address the bus propulsion 121 as applicable. The bus shall remain deflection is no greater than 0.006 inch system. The performance standard for within a standard 12-foot lane width after the third loading cycle. the vehicle frame and body structure during split coefficient brake stops. The (ii) Distortion Test—The bus shall be shall be that there are no uncorrected parking brake shall hold the test vehicle loaded to GVW, with one wheel on top failure modes of the vehicle frame and stationary on a 20 percent grade facing of a curb and then in a pothole. This test body structure at the completion of the up and down the grade for a period of shall be repeated for all four wheels. full vehicle test. The performance 5 minutes. The test verifies: standard for the vehicle propulsion (iv) A review of all the Class 1 failures (A) Normal operation of the steering system is that there are no uncorrected that occurred during the test shall be mechanism and; powertrain failure modes at the conducted as part of the Safety Test. (B) Operability of all passenger doors, completion of a full test. Class 1 failures include those failures passenger escape mechanisms, (6) Noise Test—(i) The Noise Test that, when they occur, could result in a windows, and service doors. A water shall measure interior noise and loss of vehicle control; in serious injury leak test shall be conducted in each vibration while the bus is idling (or in to the driver, passengers, pedestrians, or suspension travel condition. The a comparable operating mode) and other motorists; and in property damage performance standard shall be that all driving, and also shall measure the or loss due to collision or fire. The vehicle passenger exits remain transmission of exterior noise to the performance standard is that at the operational throughout the test. interior while the bus is not running. completion of testing with no (iii) Static Tow Test—Using a load- The exterior noise shall be measured as uncorrected Class 1 failure modes. A equalizing towing sling, a static tension the bus is operated past a stationary failure is considered corrected when a load equal to 1.2 times the curb weight measurement instrument. There shall be design or component modification is shall be applied to the bus towing two minimum noise performance validated through sufficient remaining fixtures (front and rear). The load shall standards: One to address the maximum or additional Reliability Tests in which be removed and the two eyes and interior noise during vehicle the failure does not reoccur over a adjoining structure inspected for acceleration from a stop, and one to number of miles equal to or greater than damages or permanent deformations. address the maximum exterior noise the additional failure up to 100% of the The performance standard shall be that during vehicle acceleration from a stop. durability test mileage for the service no permanent deformation is The performance standard for interior life category of the tested bus. experienced at static loads up to 1.2 noise while the vehicle accelerates from (4) Performance Test—(i) The times the vehicle curb weight. 0–35 mph shall be no greater than 80 Performance Test shall measure the (iv) Dynamic Tow Test—The bus shall decibels A-weighted. The performance maximum acceleration, speed, and be towed at CW with a heavy wrecker standard for exterior noise while the gradeability capability of the test truck for 5 miles at 20 mph and then vehicle accelerates from 0–35 miles per vehicle. In determining the transit inspected for structural damage or hour shall be no greater than 83 decibels vehicle’s maximum acceleration and permanent deformation. The A-weighted. speed, the bus shall be accelerated at performance standard shall be that the (ii)—[Reserved] full throttle from rest until it achieves vehicle is towable with a standard (7) Emissions Test—(i) The Emissions its maximum speed on a level roadway. commercial vehicle wrecker without Test shall measure tailpipe emissions of The performance standard for experiencing any permanent damage to those exhaust constituents regulated by acceleration is that the maximum time the vehicle. the United States EPA for transit bus that the test vehicle requires to achieve (v) Jacking Test—With the bus at CW, emissions, plus carbon dioxide (CO2) 30 mph is 18 seconds on a level grade. probable damages and clearance issues and methane (CH4), as the bus is The gradeability test of the test vehicle due to tire deflating and hydraulic operated over specific repeatable transit

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vehicle driving cycles. The Emissions (iii) The emissions performance all the minimum performance standards, an test shall be conducted using an standard shall be the prevailing EPA aggregate score shall be generated and emission testing laboratory equipped emissions requirements for heavy-duty presented in each Bus Testing Report. A bus model that just satisfies the minimum with a chassis dynamometer capable of vehicles outlined in 40 CFR part 86 and 40 CFR part 1037. baseline performance standard and does not both absorbing and applying power. exceed any of the standards shall receive a (ii) The Emissions Test is not a Appendix A to Part 665—Bus Model score of 60. The maximum score a bus model certification test, and is designed only to Scoring System and the Pass/Fail shall receive is 100. The minimum and enable FTA recipients to relatively Standard maximum points available in each test category shall be as shown below in Table A. compare the emissions of buses 1. Bus Model Scoring System 2. Pass/Fail Standard operating on the same set of typical The Bus Model Scoring System shall be transit driving cycles. The results of this used to score the test results using the The passing standard shall be a score of 60. test are not directly comparable to performance standards in each category. A Bus models that fail to meet one or more of emissions measurements reported to bus model that fails to meet a minimum the minimum baseline performance other agencies, such as the EPA, or for performance standard shall be deemed to standards will be ineligible to obtain an aggregate passing score. other purposes. have failed the test and will not receive an aggregate score. For buses that have passed BILLING CODE P

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TABLE A: Performance Standards, Scoring System, and Pass/Fail All Performance Standards Met? No Yes ____. Assess Score Test Category Performance Standard

Base Score + Prorated Points for Measured Test Performance

Maximum permanent chassis deflection Shakedown 1.0 :::; 0.006 inch after 3 load cycles

All exits remain operational under each Distortion 1.0 distortion loading condition

No significant deformation under 120% Static Towing 1.0 curb weight load Structural Integrity Dynamic Towing Bus is towable with standard wrecker 1.0 (30 pts.) Jacking Bus is liftable with a standard jack 1.0

Hoistin~ Bus stable on .iacks 1.0

No uncorrected frame & body structure 12.0 failures remaiuin~ at completion oftest Durability No uncorrected powertrain failures 12.0 remainin~ at completion of test

No uncorrected Class 1 reliability failures Hazards 10.0 remaining at test completion

Stability Lane chan~e speed no less than 45 mph 2.5

Stoppin~ distance from 45 mph Stopping distance from 45 mph within 158 (ft) 158 80 Safety 0.5 (20 pts.) feet as per FMVSS 105 & FMVSS 121 Points: 0.0 2.0 Braking Bus remains within lane during split 2.5 coefficient brake stops

Parkin~ brake holds on 20% ~rade 2.5

Hours: 125 0 Accumulation of no more than 125 hours 2.0 Maintainability (16 pts.) of unscheduled maintenance Points: 0.0 14.0

Failures: 2 0 No more than 2 uncorrected Class 2 2.0 Reliability (8 pts.) failures remaining at completion oftest Points: 0.0 6.0

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Liquid Fuels MPG: I 13 (Diesel, Gasoline, LPG, LNG) Points: 0.0 6.0

Fuel SCF/mi: 50 10 Economy CNG Compliant with 49 CFR Part 535 MEDIUM- AND HEAVY-DUTY Points: 0.0 6.0 (7 pts.) VEHICLE FUEL EFFICIENCY 1.0 PROGRAM- Heavy-Duty Vocational SCF/mi: 98 15 Hydrogen Vehicle Fuel Consumption Standards Points: 0.0 6.0 (Only 1 fuel type scored) kW-hr/mi: 3 I Electric Points: 0.0 6.0

Grams/mi: 4000 0 Carbon Dioxide (COz) Points: 0.0 4.0

Grams/mi: 20 0 Carbon Monoxide (CO) Compliant with all applicable EPA exhaust emissions regulations at date of Points: 0.0 0.4 manufacture including: Grams/mi: 3 0 Total Hydrocarbon 40 CFR Part 86 CONTROL OF (THC) Emissions EMISSIONS FROM NEW AND IN-USE 1.0 Points: 0.0 0.4 (7 pts.) HIGHWAY VEHICLES AND ENGINES Non-Methane Grams/mi: 3 0 Hydrocarbon 40 CFR Part 1037 CONTROL OF (NMHC) EMISSIONS FROM NEW HEAVY- Points: 0.0 0.4 DUTY MOTOR VEHICLES Grams/mi: 2 0 Nitrogen Oxides (All emissions (NOx) cate~ories scored) Points: 0.0 0.4

Grams/mi: 0.1 0 Particulate Matter (PM) Points: 0.0 0.4

Interior- dB( A): 80 30 acceleration No greater than 80 decibels (dB(A)) 0.5 Noise 0-35mph Points: 0.0 3.0 (7 pts.) Exterior- dB( A): 83 50 acceleration No greater than 83 decibels (dB(A)) 0.5 0-35mph Points: 0.0 3.0

Time from 0-30 mph no greater Acceleration 1.5 than 18 sec

Sustained speed on 2.5% grade no less Performance 1.5 (5 pts.) than40mph Gradea bility Sustained speed on 10% grade no less 2.0 than 10mph FAIL Overall Result 60 + 0 40 PASS Maximum Aggregate Score 100

[FR Doc. 2015–14176 Filed 6–22–15; 8:45 am] BILLING CODE C

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Part IV

Federal Communications Commission

47 CFR Parts 0, 1, 2, et al. Shared Commercial Operations in the 3550–3650 MHz Band; Final Rule

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FEDERAL COMMUNICATIONS The Commission will send a copy of representatives.4 This proceeding raises COMMISSION this Report & Order in a report to be sent significant technical issues implicating to Congress and the Government federal and non-federal spectrum 47 CFR Parts 0, 1, 2, 90, 95, and 96 Accountability Office pursuant to the allocations and users. Staff from NTIA, Congressional Review Act, see 5 U.S.C. DoD, and the FCC have engaged in [GN Docket No. 12–354; FCC 15–47] 801(a)(1)(A). technical discussions in the development of this Report and Order Shared Commercial Operations in the Ex Parte Presentations and we anticipate these discussions will 3550–3650 MHz Band This proceeding shall continue to be continue after this Report and Order is released. These discussions will benefit AGENCY: treated as a ‘‘permit-but-disclose’’ Federal Communications from an open exchange of information Commission. proceeding in accordance with the Commission’s ex parte rules.1 Persons between agencies, and may involve ACTION: Final rule. making ex parte presentations must file sensitive information regarding the strategic federal use of the 3.5 GHz SUMMARY: In this document, the Federal a copy of any written presentation or a Band. Recognizing the value of federal Communications Commission (FCC or memorandum summarizing any oral presentation within two business days agency collaboration on the technical Commission) adopts rules to establish a issues raised in this Report and Order, new Citizens Broadband Radio Service after the presentation (unless a different deadline applicable to the Sunshine NTIA’s shared jurisdiction over the 3.5 in the 3550—3700 MHz band. This GHz Band, the importance of protecting document implements a three-tiered period applies). Persons making oral ex parte presentations are reminded that federal users in the 3.5 GHz Band from spectrum authorization framework in interference, and the goal of enabling the 3550–3700 MHz band to facilitate a memoranda summarizing the presentation must (1) list all persons spectrum sharing to help address the variety of small cell and other ongoing spectrum capacity crunch, we broadband uses of the band on a shared attending or otherwise participating in the meeting at which the ex parte find that this exemption serves the basis with incumbent federal and non- public interest. federal users. presentation was made, and (2) summarize all data presented and DATES: Effective July 23, 2015, except Comment Filing Procedures arguments made during the for §§ 96.17(d), 96.21(a)(3), 96.23(b), Pursuant to sections 1.415 and 1.419 presentation. If the presentation 96.29, 96.33(b), 96.35(e), 96.39(a), of the Commission’s rules, 47 CFR consisted in whole or in part of the 96.39(c)–(g), 96.41(d)(1), 96.43(b), 1.415, 1.419, interested parties may file presentation of data or arguments 96.45(b), 96.45(d), 96.49, 96.51, comments and reply comments on or already reflected in the presenter’s 96.57(a)–(c), 96.59(a), 96.61, 96.63, and before the dates indicated on the first written comments, memoranda or other 96.67(b)–(c) which contain information page of this document. Comments may filings in the proceeding, the presenter collection requirements that are not be filed using the Commission’s may provide citations to such data or effective until approved by the Office of Electronic Comment Filing System arguments in his or her prior comments, Management and Budget. The FCC will (ECFS). See Electronic Filing of memoranda, or other filings (specifying publish a document in the Federal Documents in Rulemaking Proceedings, the relevant page and/or paragraph Register announcing the effective date 63 FR 24121 (1998). numbers w where such data or for those sections. • Electronic Filers: Comments may be arguments can be found) in lieu of FOR FURTHER INFORMATION CONTACT: Paul filed electronically using the Internet by summarizing them in the memorandum. accessing the ECFS: http:// Powell, Mobility Division, Wireless Documents shown or given to Telecommunications Bureau, at (202) fjallfoss.fcc.gov/ecfs2/. Commission staff during ex parte • Paper Filers: Parties who choose to 418–1613 or by email at paul.powell@ meetings are deemed to be written ex fcc.gov. file by paper must file an original and parte presentations and must be filed one copy of each filing. If more than one 2 SUPPLEMENTARY INFORMATION: This is a consistent with section 1.1206(b). In docket or rulemaking number appears in summary of the Commission’s Report proceedings governed by section the caption of this proceeding, filers 3 and Order in GN Docket No. 12–354, 1.49(f) or for which the Commission must submit two additional copies for FCC 15–47, adopted April 17, 2015 and has made available a method of each additional docket or rulemaking released April 21, 2015. The full text of electronic filing, written ex parte number. this document is available for presentations and memoranda Filings can be sent by hand or inspection and copying during normal summarizing oral ex parte messenger delivery, by commercial business hours in the FCC Reference presentations, and all attachments overnight courier, or by first-class or Center, 445 12th Street SW., thereto, must be filed through the overnight U.S. Postal Service mail. All Washington, DC 20554. The complete electronic comment filing system filings must be addressed to the text may be purchased from the available for that proceeding, and must Commission’s Secretary, Office of the Commission’s copy contractor, Best be filed in their native format (e.g., .doc, Secretary, Federal Communications Copy and Printing, Inc., 445 12th Street .xml, .ppt, searchable .pdf). Participants Commission. SW., Room CY–B402, Washington, DC in this proceeding should familiarize D All hand-delivered or messenger- 20554, (202)488–5300, facsimile (202) themselves with the Commission’s ex delivered paper filings for the 488–5563, or via email at fcc@ parte rules. Commission’s Secretary must be bcpiweb.com. The full text may also be We note that our ex parte rules delivered to FCC Headquarters at 445 downloaded at: www.fcc.gov. provide for a conditional exception for 12th St. SW., Room TW–A325, Alternative formats are available to all ex parte presentations made by NTIA Washington, DC 20554. The filing hours persons with disabilities by sending an or Department of Defense are 8:00 a.m. to 7:00 p.m. All hand email to [email protected] or by calling the deliveries must be held together with Consumer & Governmental Affairs 1 47 CFR part 1, subpart H. rubber bands or fasteners. Any Bureau at 202–418–0530 (voice), 202– 2 47 CFR 1.1206(b). 418–0432 (tty). 3 47 CFR 1.49(f). 4 See 47 CFR 1.1204

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envelopes and boxes must be disposed Congressional Review Act would be required to protect the DoD of before entering the building. The Commission will send a copy of radar systems. Last year’s Further Notice D Commercial overnight mail (other this Report and Order in a report to be of Proposed Rulemaking (FNPRM or 3.5 than U.S. Postal Service Express Mail sent to Congress and the Government GHz FNPRM) (79 FR 31247, June 2, and Priority Mail) must be sent to 9300 Accountability Office pursuant to the 2014) sought comment on the Fast Track East Hampton Drive, Capitol Heights, Congressional Review Act (CRA), see 5 exclusion zones, but mentioned ongoing MD 20743. U.S.C. 801(a)(1)(A). discussions among federal agencies on D U.S. Postal Service first-class, ways to reevaluate the zones. On March Express, and Priority mail must be Synopsis of the Report and Order 24, 2015, NTIA filed a letter addressed to 445 12th Street SW., I. Introduction recommending a framework that would Washington DC 20554. reduce the geographic area of the zones People with Disabilities: To request With this Report and Order (Report by approximately 77 percent. NTIA’s materials in accessible formats for and Order or R&O), we adopt rules for letter also recommended the use of people with disabilities (braille, large commercial use of 150 megahertz in the sensor technology to permit commercial print, electronic files, audio format), 3550–3700 MHz band (3.5 GHz Band), use inside the zones, providing a send an email to [email protected] or call and in so doing open a new chapter in roadmap to full nationwide commercial the Consumer & Governmental Affairs the history of the administration of one use of the band. Bureau at 202–418–0530 (voice), 202– of our nation’s most precious This federal/non-federal sharing 418–0432 (tty). resources—the electromagnetic radio arrangement is part of a broader three- spectrum. Wireless broadband is tiered sharing framework enabled by a Regulatory Flexibility Analysis transforming every facet of American Spectrum Access System (SAS). As required by the Regulatory life. We live in a world of wirelessly Incumbent users represent the highest Flexibility Act of 1980,5 the connected people, apps, and things. The tier in this framework and receive Commission has prepared a Final 3.5 GHz Band has physical interference protection from Citizens Regulatory Flexibility Analysis (FRFA) characteristics that make it particularly Broadband Radio Service users. and an Initial Regulatory Flexibility well-suited for mobile broadband Protected incumbents include the Analysis (IRFA) of the possible employing small cell technology. The federal operations described above, as significant economic impact on small creation of our new Citizens Broadband well as Fixed Satellite Service (FSS) entities of the policies and rules Radio Service in this band will therefore and, for a finite period, grandfathered adopted and proposed in this document, add much-needed capacity to meet the terrestrial wireless operations in the respectively. The FRFA is set forth in ever-increasing demands of wireless 3650–3700 MHz portion of the band. Appendix B. The IRFA is set forth in innovation. As such, it represents a The Citizens Broadband Radio Service Appendix C. Written public comments major contribution toward our collective itself consists of two tiers—Priority are requested on the IRFA. These goal of making 500 megahertz newly Access and General Authorized Access comments must be filed in accordance available for broadband use. (GAA)—both authorized in any given with the same filing deadlines as Advances in radio and computing location and frequency by an SAS. As comments filed in response to this technologies provide new tools to the name suggests, Priority Access Report and Order as set forth on the first facilitate more intensive spectrum operations receive protection from GAA page of this document, and have a sharing. Our new rules use these tools operations. Priority Access Licenses separate and distinct heading to dissolve some age-old regulatory (PALs), defined as an authorization to designating them as responses to the divisions, between commercial and use a 10 megahertz channel in a single IRFA. The Commission’s Consumer and federal users, exclusive and non- census tract for three years, will be Governmental Affairs Bureau, Reference exclusive authorizations, and private assigned in up to 70 megahertz of the Information Center, will send a copy of and carrier networks. Starting from 3550–3650 MHz portion of the band. this Report and Order, including the some of the recommendations of the GAA use will be allowed, by rule, FRFA, to the Chief Counsel for President’s Council of Advisors on throughout the 150 megahertz band. Advocacy of the Small Business Science and Technology (PCAST), these GAA users will receive no interference Administration (SBA).6 In addition, the rules incorporate a wide range of protection from other Citizens Report and Order and FRFA (or viewpoints and information collected Broadband Radio Service users. summaries thereof) will be published in through three rounds of notice and Our new rules advance a potential the Federal Register.7 comment. Over time, some of the solution to a long-standing problem in approaches we advance in the 3.5 GHz spectrum policy: how to select the most Paperwork Reduction Act ‘‘innovation band’’ could lead to greater appropriate commercial authorization or The Report and Order contains new productivity in other parts of the radio licensing mechanism for a new band. information collection requirements spectrum. The record has brought us back to first subject to the Paperwork Reduction Act The R&O establishes a roadmap for principles. We have considered ideas of 1995 (PRA), Public Law 104–13. It making the entirety of the 3.5 GHz Band from three major traditions in spectrum will be submitted to the Office of available for commercial use in phases. management: flexible-use geographic Management and Budget (OMB) for The 3550–3650 MHz band segment is licensing, site-based frequency review under section 3507(d) of the currently allocated for use by coordination, and unlicensed PRA. OMB, the general public, and Department of Defense (DoD) radar authorization. Ultimately, we adopt a other Federal agencies will be invited to systems. The National hybrid framework that selects, comment on the new information Telecommunications and Information automatically, the best approach based collection requirements contained in Administration (NTIA) first proposed on local supply and demand. Where this proceeding. making the band available for shared competitive rivalry for spectrum access use in its 2010 ‘‘Fast Track Report.’’ is low, the GAA tier provides a low-cost 5 See 5 U.S.C. 603–04. Based on technical assumptions entry point to the band, similar to 6 See 5 U.S.C. 603(a). available at the time, NTIA’s analysis unlicensed access. Where rivalry is 7 See id. showed that large exclusion zones high, an auction resolves mutually

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exclusive applications in specific military users of the band. A similar In July, 2013, PCAST released its geographic areas for PALs. Finite-term approach will also apply to the report. Given the increasing demand for licensing facilitates evolution of the authorization and operation of the commercial wireless spectrum and the band and an ever-changing mix of GAA Environmental Sensing Capability continuing critical needs of federal and Priority Access bandwidth over (ESC). users, the report concluded that the best time. The SAS serves as an advanced, This Report and Order initiates a way to increase the availability of highly automated frequency coordinator comprehensive regulatory scheme to broadband spectrum is to promote across the band. It protects higher tier promote development of innovative spectrum sharing between federal and users from those beneath and optimizes technologies and services in the 3.5 GHz commercial users through the use of frequency use to allow maximum Band. Nonetheless, there are a few, new technologies. PCAST capacity and coexistence for both GAA highly technical areas where we have recommended that shared spectrum be and Priority Access users. concluded that additional record organized into three tiers. The first tier This regulatory adaptability should development would provide beneficial would consist of incumbent federal make the 3.5 GHz Band hospitable to a clarity or consensus to shape some users. These users would be entitled to wide variety of users, deployment specific parts of the rules. full protection for their operations models, and business cases, including within their deployed areas, consistent some solutions to market needs not II. Background with the terms of their assignments. The adequately served by our conventional A. Policy Context second tier would consist of users that licensed or unlicensed rules. Carriers would receive short-term priority can avail themselves of ‘‘success-based’’ America’s appetite for wireless authorizations to operate within license acquisition, deploying small broadband service is surging. According designated geographic areas. Secondary cells on a GAA basis where they need to Cisco, North American mobile traffic users would receive protection from additional capacity and paying for the grew 63 percent in 2014 and will interference from third tier users but surety of license protection only in continue to grow at a near-50 percent would be required to avoid interference targeted locations where they find a compound annual growth rate over the with and accept interference from demonstrable need for more interference next five years. In this context, the FCC, Federal Primary users. Third tier users protection. Real estate owners can NTIA, and federal agencies have worked would be entitled to use the spectrum deploy neutral host systems in high- collaboratively to make additional on an opportunistic basis and would not traffic venues, allowing for cost-effective spectrum available to meet demand. be entitled to interference protection. network sharing among multiple In March 2010, the National Coordination among different tiers wireless providers and their customers. Broadband Plan recommended that the would be accomplished through a Manufacturers, utilities, and other large Commission make 500 megahertz database-driven SAS. The use of low- industries can construct private wireless available for broadband use by 2020, power small cells for broadband would broadband networks to automate with 300 megahertz suitable for mobile facilitate spectral reuse and sharing, processes that require some measure of use by 2015. It supported the increasing overall efficiency. PCAST interference protection and yet are not development of opportunistic recommended that the Federal appropriately outsourced to a technologies to enable dynamic shared Government identify 1,000 megahertz of commercial cellular network. Smart access to spectrum. The National federal spectrum for shared use under grid, rural broadband, small cell Broadband Plan also recommended that this system to create the first ‘‘shared backhaul, and other point-to-multipoint the Commission and NTIA work use spectrum superhighways.’’ networks can potentially access three together to identify spectrum that can be On June 13, 2013, President Obama times more bandwidth than was made available for wireless broadband released another Presidential available under our previous 3650–3700 use, on an exclusive, shared, licensed, Memorandum entitled ‘‘Expanding MHz band rules. All of these and/or unlicensed basis. America’s Leadership in Wireless applications could share common On June 28, 2010, President Obama Innovation.’’ Echoing the PCAST report, wireless technologies, providing this second Memorandum directed the economies of scale and facilitating released a Presidential Memorandum entitled ‘‘Unleashing the Wireless executive branch to increase broadband intensive use of the spectrum. access to spectrum through sharing with In specifying rules for the SAS—the Broadband Revolution,’’ which directed federal users (78 FR 37431, June 20, lynchpin of the Citizens Broadband NTIA to collaborate with the FCC to 2013). Radio Service—we balance a need for make available 500 megahertz of clear definition of its role, purposes, and spectrum available for commercial B. Spectrum Environment functions against a desire to allow wireless services while ensuring no loss 1. 3550–3650 MHz Band market forces and industry standards to of critical government capabilities. inform the specifics of implementation. Pursuant to this Presidential The 3550–3650 MHz band is allocated We will open a process by which Memorandum, in October 2010, NTIA to the Radiolocation Service (RLS) and multiple entities can apply for released its ‘‘Fast Track’’ Report, which the Aeronautical Radionavigation certification to operate as SAS identified 3550–3650 MHz as one of Service (ARNS) (ground-based), on a Administrators. Through this approval several federal bands that could be primary basis for federal use (47 CFR process, applicants will demonstrate made available for commercial wireless 2.104(h)(4) and 2.1(c)). Footnote G59 their ability to perform the enumerated broadband by 2015. As discussed below, states that all federal non-military RLS SAS functions. Because the regime this band has long been allocated for use use of the 3500–3650 MHz band shall be depends on a high degree of interaction by military radar systems. Based on a on a secondary basis to military RLS among different users, the approval preliminary electro-magnetic operations (47 CFR 2.106, note G59). process will be designed to confirm the compatibility analysis, the Fast Track Footnote G110 states that federal ability of an SAS to ensure that lower Report included significant restrictions ground-based stations in the ARNS may tiers do not transgress the rights of on broadband use to protect existing be authorized in the 3500–3650 MHz higher tiers. This will be especially DoD radars from commercial systems band when accommodation in the important with respect to incumbent and vice-versa. 2700–2900 MHz band is not technically

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and/or economically feasible (47 CFR agrees to such operation (47 CFR (1) Incumbent Access; (2) Priority 2.106, note G110). 90.1331). Requests for base or fixed Access; and (3) General Authorized Both fixed and mobile high-powered station locations closer than 80 Access. Incumbent Access users would DoD radar systems on ground-based, kilometers to three Federal Government include authorized federal and shipborne, and airborne platforms radiolocation facilities are only grandfathered FSS users currently operate in this band. These radar approved upon successful coordination operating in the 3.5 GHz Band. These systems are used in conjunction with by the Commission with NTIA. Mobile users would have protection from weapons control systems and for the and portable stations may operate only harmful interference from all other users detection and tracking of air and surface if they can positively receive and in the 3.5 GHz Band. In the Priority targets. The U.S. Navy uses the band for decode an enabling signal transmitted Access tier, the NPRM proposed that the radars on guided missile cruisers. The by a base station; airborne operations Commission authorize certain users U.S. Army uses the band for a firefinder are prohibited (47 CFR 90.1333). with critical quality-of-service needs system to detect enemy projectiles. The The 3650–3700 MHz band is allocated (such as hospitals, utilities, and public U.S. Air Force uses the band for for primary use by the federal RLS at safety entities) to operate with some airborne radar Station Keeping three designated sites (47 CFR 2.106, interference protection in portions of Equipment throughout the United States note US348). The 3650–3700 MHz band the 3.5 GHz Band at specific locations. and Possessions to assist pilots in is also allocated for use by ship stations Finally, in the GAA tier, the NPRM formation flying and to support drop- located at least 44 nautical miles from proposed that users be authorized to use zone training. shore in offshore ocean areas on a non- the 3.5 GHz Band opportunistically The 3500–3600 MHz and 3600–3650 interference-basis (47 CFR 2.106, note within designated geographic areas. MHz bands are allocated to RLS on a US349). GAA users would be required to not secondary basis for non-federal use (47 cause interference to, and accept CFR 2.106). 3. Adjacent Bands interference from Incumbent and The 3600–3650 MHz band is also Below 3550 MHz. Several of the Priority Access tier users. The NPRM allocated to the FSS (space-to-Earth) on allocations discussed above extend also included a supplemental proposal a primary basis for non-federal use and, below 3550 MHz. Of particular to expand the proposed licensing and per footnote US245, use of this FSS relevance to this proceeding are the authorization model to an additional downlink allocation is limited to primary allocations for shipborne, adjacent 50 megahertz of spectrum in international inter-continental systems airborne, and ground-based radars the 3650–3700 MHz band, making up to and is subject to case-by-case operated by DoD. 150 megahertz available for shared electromagnetic compatibility analysis. Above 3700 MHz. FSS, which has a wireless broadband access. The Commission has licensed primary co-primary allocation at 3600–3650 The NPRM noted that the technical FSS earth stations to receive frequencies MHz, also makes extensive use of the characteristics of the 3.5 GHz Band and in the 3600–3650 MHz band in 35 cities. 3700–4200 MHz band (C-Band) in the the existence of important incumbent Airbus DS SatCom Government, Inc. United States and globally in order to operations in the band in many areas of operates two gateway earth stations provide video distribution, mobile voice the country make the band an ideal (located northeast of Los Angeles and and data backhaul, retail services, platform to explore innovative New York City) that provide feeder links aeronautical applications, and other approaches to shared spectrum use and for Inmarsat’s L-band mobile-satellite uses, to commercial and government small cell technology. NTIA’s Fast Track service system. customers. Terrestrial microwave Report recommended, based on 2. 3650–3700 MHz Band services licensed under Part 101 of the technical assumptions typical of traditional macrocell deployments of The 3650–3700 MHz band is also Commission’s rules also operate in this band (See 47 CFR 101.17 and 101.101). commercial wireless broadband allocated for terrestrial non-federal use. technology, that new commercial uses In March 2005, the Commission adopted C. Procedural History of the band occur outside of large a Report and Order that amended Part 1. 3.5 GHz NPRM ‘‘exclusion zones’’ to protect Federal 90 by adding new Subpart Z—Wireless Government operations. Given that the Broadband Services in the 3650–3700 The 3.5 GHz NPRM furthered the exclusion zones would cover MHz Band (3.65 GHz Order, 70 FR Commission’s ongoing efforts to address approximately 60 percent of the U.S. 24712, May 11, 2005). Such service is the growing demand for fixed and population and because of limited authorized through non-exclusive mobile broadband capacity by signal propagation in the band, the band nationwide licenses and requires the proposing to make an additional 100 did not appear to be well-suited for registration of individual fixed and base megahertz (or up to 150 megahertz macrocell deployment. However, the stations. All stations operating in this under a supplemental proposal) of NPRM stated that these very band must employ a contention-based spectrum available for shared wireless disadvantages could be turned into protocol (47 CFR 90.1305). Base and broadband use. Specifically, the NPRM advantages if the band were used to fixed stations are limited to 25 watts per proposed to create a new Citizens explore spectrum sharing and small cell 25 megahertz equivalent isotropically Broadband Radio Service under Part 95 innovation. radiated power (EIRP) and the peak of the Commission’s rules. The We received 65 comments and 26 EIRP power density shall not exceed 1 proposed service built on our existing reply comments in response to the watt in any 1 megahertz slice of TVWS rules (See 47 CFR 15.701, et NPRM. These comments, and those spectrum; mobile and portable stations seq.). First, technical rules would focus received in subsequent rounds, are are limited to 1 watt per 25 megahertz on the use of low-powered small cells summarized and referenced in this EIRP and the peak EIRP density shall to drive increases in broadband capacity Report and Order where appropriate. not exceed 40 mW in any 1 megahertz and spectrum reuse. Second, an SAS slice of spectrum (47 CFR 90.1321). Base would coordinate multiple tiers of 2. Licensing Public Notice and fixed stations may only be located commercial use. In November 2013, in response to within 150 kilometers of an FSS earth The NPRM proposed that the SAS record comments received up to that station if the licensee of the earth station would accommodate three service tiers: point, the Commission released the

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Licensing PN (78 FR 73794, December 9, trade associations, and academia that band for non-federal fixed and 2013), which described a Revised submitted technical papers in advance mobile use. In addition, the NPRM Framework that elaborated upon some of the workshop and participated in proposed to restrict primary non-federal of the licensing concepts and panels throughout the day. FSS earth station use in the upper half alternatives set forth in the NPRM. The of the band (3600–3650 MHz) to the FSS 4. Further Notice of Proposed Revised Framework retained the three- earth stations licensed or applied for as Rulemaking tier model proposed in the NPRM but of the effective date of the Report and expanded eligibility for access to the In April 2014, the Commission Order in this proceeding. The Priority Access tier with competitive released the 3.5 GHz FNPRM, proposing Commission noted the existence of bidding for assigning licenses within specific rules for a new Citizens primary federal allocations for that tier. Like the NPRM’s main Broadband Radio Service in the 3.5 GHz aeronautical radionavigation service and proposal, the Revised Framework cited Band to be codified in a new proposed ground-based radars, and stated that the the unique capabilities of small cell and Part 96. The FNPRM built upon the Commission would work with NTIA SAS technologies to enable sharing concepts and proposals set forth in the regarding the continued need for those among users in the Priority Access and NPRM and the Licensing PN and allocations. The NPRM sought comment GAA tiers. Specifically, the Revised reflected the extensive record generated on the potential for interference to and Framework contained the following core in the proceeding. Notably, the 3.5 GHz from existing and future international concepts: FNPRM proposed to: FSS operations in the 3.5 GHz Band. In • An SAS to dynamically manage • Implement the three-tier the NPRM, the Commission noted its frequency assignments and authorization model proposed in the belief that its proposed framework met automatically enforce access to the NPRM; the requirements for allocation of Priority Access and GAA tiers; • Establish Exclusion Zones based on flexible use spectrum under Section • Expansive eligibility for Priority recommendations set forth in the Fast 303(y) of the Act. In this regard, it noted Access tier use; Track Report to ensure compatibility that a non-federal Fixed and Mobile • Granular, but administratively between incumbent federal operations allocation is consistent with streamlined licensing of the Priority and Citizens Broadband Radio Service international allocations for use of the Access tier; users; 3.5 GHz Band, that the proposed • Exclusive spectrum rights for • Create an open eligibility framework would spur innovation and Priority Access subject to licensing by authorization system for Priority Access investment in new wireless technologies auction in the event of mutually and GAA operations; with little to no impact on incumbent exclusive applications; • Establish granular, exclusive • uses, and that the framework was A defined ‘‘floor’’ of GAA spectrum spectrum rights for the Priority Access structured to prevent interference availability, to ensure that GAA access tier, consistent with parameters between users through the SAS and is available nationwide (subject to discussed in the Licensing PN; technical and operational rules Incumbent Access tier use); • Set a defined ‘‘floor’’ for GAA proposed therein. • Additional GAA access to unused spectrum availability, to ensure that In the FNPRM, the Commission Priority Access bandwidth, as identified GAA access is available nationwide and managed by the SAS, to maximize refined the proposals initially made in (subject to Incumbent Access tier use); the NPRM. The Commission proposed dynamic use of the unutilized portion of • Set guidelines to allow Contained the band and ensure productive use of to add non-federal fixed and land Access Users to request up to 20 mobile allocations to the 3550–3650 the spectrum; megahertz of reserved frequencies from • Opportunities for Contained Access MHz band on a primary basis to permit the GAA pool for use within their commercial use of the band consistent Users to obtain targeted priority facilities; spectrum use within specific facilities • with the Commission’s accompanying Establish baseline technical rules licensing and service rule proposals. (such as buildings) meeting certain for fixed or nomadic base stations requirements to mitigate the potential Additionally, the Commission proposed operating in the 3.5 GHz Band; to remove the secondary radiolocation for interference to and from Incumbent • Set guidelines for the operation and Users and other Citizens Broadband service allocation from the 3550–3650 certification of SASs in the band. MHz band in the non-Federal Table, and Radio Service users; and The FNPRM also sought comment on: • A set of baseline technical to add three US footnotes to: (1) Permit (1) Protection criteria for Incumbent non-federal stations in the radiolocation standards to prevent harmful Users; (2) potential protection of FSS interference and ensure productive use service that were licensed or applied for earth stations in the C-Band; (3) prior to the effective date of this Report of the spectrum. competitive bidding procedures for We received 35 comments and 27 and Order to continue to operate on a resolving mutually exclusive secondary basis until the end of the reply comments in response to the applications for PALs; and (4) the Licensing PN. equipment’s useful lifetime; (2)(a) limit possible extension of the proposed rules primary FSS use of the 3600–3650 MHz 3. Workshops to include the 3650–3700 MHz band. band to earth stations authorized prior We convened two workshops to III. Discussion to, or granted as a result of an discuss technical issues related to this application filed prior to, the effective proceeding. The first workshop, held on A. Allocation date of this Report and Order and March 13, 2013, explored broad issues Background. In the NPRM, the constructed within 12 months of initial that emanated from the original NPRM. Commission requested comment on the authorization; (2)(b) specify that FSS The second workshop, held on January allocation structure that should be used use of the 3600–3650 MHz band for all 14, 2014, further explored the technical to accommodate the Citizens Broadband other earth stations will be on a requirements, operational parameters, Radio Service at 3550–3650 MHz. secondary basis to non-federal stations and architecture of the proposed SAS Specifically, the NPRM proposed to in the fixed and land mobile services; (SAS Workshop). A group of engineers retain the primary allocation for existing and (3) specify provisions for federal representing industry stakeholders, federal radar systems, and also allocate use of the aeronautical radionavigation

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(ground-based) and radiolocation AWS–3 proceeding (i.e., commercial addition, the allocation plan we adopt services and for non-federal use of the operations will accept interference from today will create a system for shared use fixed and land mobile services in the federal airborne systems), including a of the band with incumbent federal 3550–3650 MHz band. The Commission clear statement in the rules that the users in a way that maximizes efficient sought comment on these proposals. airborne radars will not seek protection use of spectrum through the The FNPRM also sought comment on from Citizens Broadband Radio Service combination of small cell technology whether federal fixed and mobile Devices (CBSD). NTIA also requests that and more sophisticated spectrum operations should be permitted in the the Commission reinstate the management techniques through the 3.5 GHz Band, and what the protections for a site in Pascagoula, MS SAS designed to prevent harmful implications would be of such federal in the 3650–3700 MHz band. NTIA interference. Moreover, we note that use on non-federal use of the band. asserts that the DoD informed NTIA that these allocations are consistent with the A small number of commenters it still has an active assignment in use ITU Region 2 Allocation Table. addressed these allocation proposals. at that location on a regular basis. The non-federal co-primary fixed and The Utilities Telecom Council, Edison Discussion. After review of the record, mobile except aeronautical mobile Electric Institute, and National Rural we adopt allocation proposals largely allocations will allow for shared use of Electrical Cooperative Association consistent with the FNPRM proposals, the band between Citizens Broadband (Utility Groups) and Motorola Mobility as amended to reflect the NTIA Letter. Radio Service and incumbent federal support the proposals for non-federal The allocations are appropriate to Radiolocation and Aeronautical fixed and mobile allocation of the 3550– permit both robust development of the Radionavigation and non-federal FSS 3650 MHz band, and for the restrictions Citizens Broadband Radio Service and services. These allocations are on the primary FSS earth station use to protection of Incumbent Users. We consistent with prior Commission those earth stations licensed or applied believe that the Citizens Broadband actions to repurpose certain bands for for as of the effective date of the Report Radio Service has the potential to new broadband uses. To ensure that and Order in this proceeding. Motorola provide a valuable new service to essential federal radiolocation systems Mobility argues that this limitation will address broadband capacity shortages. operating in the band continue their result in more robust use of the band for Accordingly, we are adding primary operations without impact from the the Citizens Broadband Radio Service, fixed and mobile except aeronautical sharing arrangements, we are and for this same reason, argues that the mobile allocations to the 3550–3650 prohibiting CBSDs from causing Commission should not permit federal MHz band in the non-federal table. We harmful interference to, or claiming fixed and mobile operations in the 3.5 are also limiting the primary FSS protection from, federal stations aboard GHz Band. On the other hand, the operations in the band to those vessels (shipborne radars) and at Satellite Industry Association (SIA) authorized prior to, or granted as a designated ground-based radar sites. In opposes a primary allocation for the result of an application filed prior to the addition, authorized users of CBSDs Citizens Broadband Radio Service, but effective date of this Report and Order, must not claim protection from airborne argues that if the Citizens Broadband and constructed within 12 months of radars and airborne radar receivers must Radio Service is granted primary status, the initial authorization. We are also not claim protection from CBSDs such status should not preclude future removing the non-federal radiolocation operating in the Citizens Broadband FSS deployment because it would be allocation and agreeing to continued Radio Service. We therefore establish contrary to the Commission’s stated federal use of airborne radars in the rules to protect federal radar systems premise that the FSS and Citizens band based on the NTIA Letter. Finally, from Citizens Broadband Radio Service Broadband Radio Service can share we sunset the freeze we imposed on operations as described below. These spectrum. SIA contends that the new earth station applications in the rules are reflected in footnote US433 to proposal to relegate future FSS NPRM. The freeze will expire on the the Table of Allocations. Also, we will operations to secondary status would effective date of this Report and Order, take such actions as are necessary to unnecessarily limit the much-needed which replaces the freeze with a rule amend the Commission’s rules to reflect flexibility of satellite network operators making such facilities secondary to non- any modification to the list of sites and strand existing investment in 3600– federal stations in the fixed and land designated by NTIA where federal radar 3650 MHz space stations, harming mobile services. systems will operate. satellite operators, their customers, and We also find that these changes to the We will continue to permit primary their investors. Table of Allocations are made consistent operations in the 3600–3650 MHz band As detailed in Section III(G)(1), NTIA with the Commission’s authority under for those FSS earth stations authorized generally supports the FCC’s proposal to Section 303(y) of the Communications prior to, or granted as a result of an add a co-primary, non-federal fixed and Act. We adopt our tentative conclusion application filed prior to, the effective mobile allocation to the band. NTIA and find that: (1) the allocations are in date of this Report and Order, and describes a phased approach to the public interest; (2) new and revised constructed within 12 months of their implementing protection criteria of uses of the band would not deter initial authorization. However, we will federal operations, including the investments in communications services not accept applications for approval of an ESC to detect signals and systems or technology modifications to existing FSS earth from federal radar systems. The ESC development; and (3) new and revised station facilities after the effective date input would be used by the SAS to uses of the band would not result in of the Report and Order, except for direct Priority Access licensees and harmful interference among users of the changes in polarization, antenna GAA users to another portion of the 3.5 band. Adding non-federal co-primary orientation, or ownership. We will also GHz Band or, if necessary, to cease fixed and mobile (except aeronautical allow modifications to increase the transmissions to avoid potential mobile) allocations in the 3550–3650 antenna size to mitigate interference interference to federal radar systems. MHz band will add much needed from new services. In addition, we will NTIA also encourages the Commission capacity to meet the rapidly increasing consider reasonable waiver requests to retain the federal allocation for demands of wireless innovation, and from existing FSS licensees to airborne radar systems subject to the promote investment in new services and accommodate additional modifications, same type of approach used in the technologies for use in that band. In including facility relocation, on a case-

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by-case basis. Any new FSS earth continue to be FSS use of the 3600–3650 allow federal incumbent users to retain stations in the 3600–3650 MHz band, MHz band, with grandfathered the flexibility to deploy radar systems in applied for following the effective date operations on a co-primary basis with the band. We do not believe that the of the Report and Order, will be the Citizens Broadband Radio Service potential future deployment of federal authorized on a secondary basis to non- and new uses on a secondary basis to airborne radar systems will significantly federal stations in the fixed and land the Citizens Broadband Radio Service. impact the commercial viability of the mobile services. These provisions are We emphasize that CBSDs are Citizens Broadband Radio Service. reflected in footnote US107 to the Table prohibited from causing harmful Accordingly, we adopt NTIA’s of Allocations. We believe these changes interference to any FSS earth stations recommendation for preserving the to the Table of Allocations are necessary authorized prior to the effective date of allocation allowing federal airborne to ensure the ongoing stability of the this Report and Order, as those earth radar systems in the 3550–3650 MHz band and ensure its availability for stations will retain primary status. The band, with the proviso that such mobile broadband services. We will also approach we adopt in the 3600–3650 systems shall not be entitled to coordinate with the border countries as MHz band is similar to the one we interference protection from Citizens necessary to ensure that the Citizens adopted in the 3650–3700 MHz band Broadband Radio Service users in the Broadband Radio Service does not cause and will permit the FSS to continue to band. As described below in Section harmful interference to international make productive use of that band, III(G)(1)(b), Citizens Broadband Radio FSS operations in the band as set forth without increasing impairments to the Service users will also have to accept in Section III(G)(3). new Citizens Broadband Radio Service the risk of interference from airborne While we appreciate SIA’s concerns use. systems. that the proposed allocation changes In addition, we will eliminate the Finally, in the 3650–3700 MHz band, may impact existing FSS growth and the non-federal radiolocation allocation in footnote US 109 establishes an 80 investment in the band, these changes the 3550–3650 MHz band. There are a kilometer protection zone around two are consistent with Commission policies number of other bands available for federal government radiolocation adopted more than 14 years ago for non-federal radiolocation use, and we facilities at Saint Indigoes MD and sharing in the adjacent 3650–3700 MHz see no need to continue to authorize use Pensacola FL (47 CFR 2.106, note band, wherein existing FSS earth for such radiolocation services in the US109). As specified in 47 CFR part stations were grandfathered on a 3550–3650 MHz band, especially 90.1331, commercial fixed and mobile primary basis and new FSS earth considering the impact of potential operations within the protection zone stations were permitted to operate on a interference to Citizens Broadband must be coordinated with NTIA (47 CFR secondary basis.8 Further, as noted Radio Service. However, we will 90.1331). Prior to 2012, an additional above, there is a co-primary FSS continue to permit non-federal site located in Pascagoula, MS had also allocation in the 3700–4200 MHz band radiolocation stations that were licensed been protected in the band. That site that can be used to accommodate future or had filed an application for was removed in the 2012 Notice of FSS earth station growth that cannot be authorization prior to the effective date Proposed Rulemaking and Order accommodated in the 3600–3650 MHz of this Report and Order to continue to implementing the results of the 2007 band (47 CFR 2.106). We also disagree operate on a secondary basis until the WRC (WRC–07) (77 FR 76250, with SIA that these changes are contrary end of the equipment’s useful lifetime. December 27, 2012). The NTIA Letter to the Commission’s stated premise that These provisions are reflected in notes that DoD has an active frequency the FSS and Citizens Broadband Radio footnote US105 to the Table of assignment at the Pascagoula, MS Service can share spectrum. The Allocations. location that regularly uses the 3650– purpose of the 2012 freeze was to No commenting party addressed the 3700 MHz portion of the band. ‘‘ensure a stable spectral ecosystem for potential addition of a federal fixed and Therefore, we revise footnote US 109 to the proposed Citizens Broadband mobile allocation for the 3.5 GHz Band include the Pascagoula, MS site and [Radio] Service.’’ Moreover, there will in response to the NPRM and FNPRM’s protect it from harmful interference request for comment on federal Citizens consistent with other protected federal 8 See Amendment of the Commission’s Rules Broadband Radio Service use of the radiolocation sites in the band. With Regard to the 3650–3700 MHz Government band in addition to non-federal use. At Transfer Band, ET Docket No. 98–237, RM–9411; this time we will not include a federal B. Access Model and Bandplan The 4.9 GHz Band Transferred from Federal fixed and mobile allocation in the 3.5 Government Use, WT Docket No. 00–32; First We adopt an access model for the 3.5 Report and Order and Second Notice of Proposed GHz Band. However, if and when GHz Band consistent with the proposals Rule Making, 65 FR 69451(November 17, 2000) federal agencies determine they may set forth in the NPRM, Licensing PN, (3650–3700 MHz First R&O) (allocating the 50 benefit from use of Citizens Broadband and FNPRM. We also adopt the megahertz of spectrum in the 3650–3700 MHz band Radio Service equipment, we will work to fixed and mobile services on a primary basis to supplemental proposal to include the facilitate the provision of a broad range of services, with NTIA to ensure use by the federal 3650–3700 MHz band in the including traditional voice telephony and agencies is consistent with the rules authorization framework. We will broadband data and video services; while adopted herein. immediately effectuate three-tiered ‘‘grandfathering’’ existing primary FSS earth We will continue to allow federal stations and permitting new secondary FSS earth sharing, with Priority Access Licenses station use of that band). While allowing existing airborne radar use in the band, with authorized in the bottom 100 megahertz sites to freely relocate could cause instability in the some qualifications. As NTIA noted, in of the combined band. By adopting a band and endanger spectrum access for Citizens the AWS–3 proceeding, we allowed flexible access model across the entire Broadband Radio Service users, we acknowledge federal airborne radar use to continue in that such relocations may occasionally be band, we aim to create a versatile 150 necessary. Therefore, to accommodate what SIA the band and required commercial megahertz band for shared wireless represents would be the ‘‘quite rare’’ need for systems to accept interference from broadband use that can adapt to market ‘‘[r]elocation or addition of an FSS earth station,’’ these systems. Unlike the AWS–3 band, and technological opportunities. as when a licensee is unable to extend its lease at there are no federal airborne radar any existing site or when that site is damaged, we 1. Three-Tier Access Model will entertain applications for waivers for site systems currently operating in the relocations within 16.1 km of existing facilities. See 3550–3650 MHz band. However, NTIA Background. In the FNPRM, we SIA FNPRM Comments at 19–20. recommends an approach that would proposed to implement the three-tier

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authorization framework originally development of a full functional SAS ultimately lead to a fully developed described in the NPRM and further capable of managing three-tiers of users. unified band without sacrificing short- discussed in the Licensing PN. Under Google agrees that the three-tier term investment. this framework, existing primary framework would meet the AT&T argues that the Commission operations—including authorized Commission’s goals more effectively should initially divide the band into federal users and grandfathered FSS than the two-tier or ‘‘transitional’’ licensed and unlicensed segments, with earth stations—would make up the approaches advocated by other a significant amount of spectrum Incumbent Access tier and would commenters. Google also argues that the reserved for both types of users. In its receive protection from harmful SAS can effectively manage three-tiers view, licensed users should be afforded interference consistent with the of service without any negative effects longer license terms with a renewal proposed rules. The Citizens Broadband on Priority Access networks and that expectation and reasonable performance Radio Service would be divided into some features of the SAS could help requirements to provide licensees with Priority Access and GAA tiers of promote efficient use of the band by the regulatory certainty necessary to service, each of which would be Priority Access Licensees. Google encourage investment. During the required to operate on a non- contends that moving immediately to a ‘‘transition’’ period, AT&T argues that interference basis with the Incumbent three-tier sharing framework for the users should not be permitted to use Access tier. GAA users would also be entire 3.5 GHz Band will promote channels assigned to licensed users on required to operate on a non- investment and the deployment of an opportunistic basis, though such use interference basis with respect to innovative broadband technologies in could be allowed after the ‘‘transition’’ Priority Access Licensees. We also the band. Google recently demonstrated window. proposed that any party that meets basic a prototype SAS, which it asserts is Some network equipment and eligibility requirements under the capable of managing three tiers of technology providers, including Nokia Communications Act be eligible to hold authorized users in the 3.5 GHz Band. Solutions and Networks (NSN) and a PAL or, when authorized, operate a Other commenters, including 4G Qualcomm, continue to argue for the CBSD on a GAA basis in the Citizens Americas, Alcatel-Lucent, AT&T, CTIA, merits of a two-tier Licensed Shared Broadband Radio Service. In addition, Ericsson, Mobile Future, Qualcomm, Access (LSA) framework, whereby, in we proposed to apply the three-tier PCIA, and Verizon argue for a portions of the band assigned to Priority authorization model across the entire ‘‘transitional’’ band plan that would Access users, no GAA use would be 3.5 GHz Band. We sought comment on divide the 3.5 GHz Band between two- allowed. They contend that two-tier these proposals and encouraged tier and three-tier authorization models, sharing technology has already been commenters to consider the costs and at least initially, or phase in GAA use proven to be effective in other markets benefits of any alternative proposals. only after an SAS is tested and proven. and that adoption of a two-tier model We received a varied record on this While these commenters differ on the would allow for rapid Priority Access topic, with many commenters specific bandplan that should be development in the band. The proposals supporting the immediate adopted, they generally argue that the are consistent with the two-tier sharing implementation of the three-tier SAS, as proposed, is a complex system model advocated by Verizon, AT&T, approach and others arguing for a that will require extensive testing and and others for the exclusively licensed ‘‘transitional’’ approach. Numerous development prior to deployment. They portion of the band during the commenters supported the use of a believe that the inclusion of GAA use in ‘‘transition’’ period. three-tier framework. This group the band increases this complexity As described in detail in Section III(J), included BLiNQ, Dynamic Spectrum significantly. They therefore argue in the record divides over whether to Alliance, Federated Wireless, Google, favor of more traditional exclusive include the 3650–3700 MHz band in the Interdigital, Motorola Mobility, PISC, licensing in a portion of the band before proposed Citizens Broadband Radio White Space Alliance, the Wireless the eventual transition to a three-tier Service authorization framework. Many Innovation Forum, and WISPA. In a framework. commenters support the proposal to joint filing, PISC, the White Space Verizon believes that moving to a create a 150 megahertz contiguous block Alliance, and the Dynamic Spectrum three-tier framework is ultimately of spectrum for the Citizens Broadband Alliance contend that immediate desirable, but that the Commission Radio Service. Others oppose changing adoption of a three-tier framework should designate a portion of the band the existing framework for the 3650– would benefit the economy by enabling for short-term deployment of existing 3700 MHz band. Still others suggest that intensive use of the band, promoting technologies for a fixed period of time. if we decide to include 3650–3700 MHz additional broadband development in Verizon proposes that the band should in the Citizens Broadband Radio Service rural areas, and lowering the barriers to initially be divided into three segments: we must do so in a manner that entry for a diverse range of users. (1) The ‘‘transitional band’’ for Priority sufficiently protects existing investment Federated Wireless asserts that Access and Incumbent Users only; (2) in the band. These commenters propose delaying implementation of the three- the ‘‘experimental’’ band for the that we adopt additional protections for tiered authorization model—even Commission’s three-tiered sharing 3650–3700 MHz band incumbents in temporarily—would reduce spectral and approach; and (3) a portion of the band order to mitigate any impact on existing economic efficiency and introduce for GAA and Incumbent Use only. operations. uncertainty into the band, reducing According to Verizon, the two-tier Discussion. After thorough review of network deployments. Federated also model is a proven technology and the record, we generally adopt the three- contends that SAS-based sharing designating a portion of the band for tier authorization model proposed in the between GAA and Priority Access users this use would promote near term NPRM and FNPRM for the 3550–3650 is conceptually no different than sharing investment and deployment of LTE MHz band. We conclude that moving between Priority Access and Incumbent networks while allowing industry to immediately to a three-tier authorization Users. Therefore, according to Federated develop technology to support the three- model, rather than adopting a Wireless, the perceived risk of GAA tier framework in the ‘‘experimental’’ ‘‘transitional’’ approach to the band, is interference should not pose an portion of the band. Verizon argues that technologically feasible and will impediment to three-tier sharing or the its proposed framework would promote innovation and investment in

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the band. We also conclude that the impediment to rapidly deploying encourage investment in the band. We 3650–3700 MHz band should be service across three tiers of service in address the specific elements of these included in the Part 96 authorization the band. Indeed, several current TVWS licensing proposals in more detail regime, subject to the conditions set database providers support the below. For now, we note that forth in Sections 90.1307, 90.1311, Commission’s proposal and believe that, implementation of the ‘‘transition’’ 90.1338 and 96.21, but that the 3650– while the SAS will be a more complex plans advocated by AT&T, Verizon, 3700 MHz band should be reserved for system than the TVWS databases, the Ericsson, CTIA, and others could GAA users and Grandfathered Wireless technology already exists to effectively effectively prevent the three-tier Broadband Licensees at this time. As we manage the three tiers of users in the authorization model from ever taking explain in detail in Section III(J) below, band. Notably, as mentioned above, hold in the ‘‘transitional’’ portion of the we find that including the 3650–3700 Google claims that it has already band. The combination of fixed channel MHz band for these uses and subject to developed a prototype SAS capable of these conditions will further the managing three tiers of users in the band assignments for PALs and indefinite development of the Citizens Broadband to the specifications proposed by the license renewals could permanently Radio Service while respecting the FNPRM. prevent GAA use of certain portions of investments that current licensees have We believe that the technological the band, particularly in regions of high made in the band. development of an SAS capable of commercial interest, even after the We agree with numerous commenters managing a ‘‘transitional’’ bandplan ‘‘transition’’ period concludes. These that immediately adopting the three-tier would not be significantly less proposals could also preclude access model for the 3550–3650 MHz burdensome than the development of a investment from a newer generation of band will best serve the public interest, fully functional SAS. Even a two-tier or Priority Access Licensees in the future. encourage innovation, and spur ‘‘transitional’’ approach would require Indeed, any plan that rests upon the investment in the band. Indeed, as Commission review and approval of assumption that a licensee will be able Federated Wireless notes, ‘‘[m]ovement some form of SAS to manage to renew a license for a fixed channel away from the three tier model. . .will interactions between Incumbent Users assignment in perpetuity can hardly be reduce spectral and economic and a variety of Priority Access called ‘‘transitional.’’ In addition, the efficiencies, and temporarily adopting Licensees prior to initial commercial record includes substantial evidence two sets of rules for the band will deployment. Using the ‘‘proven’’ from commenters that are interested in introduce regime uncertainty, reducing technologies available for two-tier investing in a three-tier band and, as deployments.’’ Even commenters sharing would entail some period of such, we do not believe that it is in the advocating ‘‘transition’’ plans agree that testing, development, and review prior a three-tier access model would be to the issuance of PALs in the context public interest to delay or compromise advantageous as soon as it becomes of our proposed Citizens Broadband its implementation. Moreover, our technically feasible. We believe that a Radio Service. To ensure that a three- framework depends on providing three-tier framework is technically tier authorization model is developed, a potential PAL bidders with feasible in the near term, while adopting two-tier sharing system would likely simultaneous economic choices of an ‘‘interim’’ plan could create more need to be designed from the outset to bidding for higher priority PAL licenses challenges to any eventual transition to later accommodate a third tier after the in areas where such priority is critical a three-tier model. We also observe that transition period. Therefore, we adopt to their needs and relying on shared we cannot predict with certainty what the three-tier approach for the entire GAA use where it is not. the demand for spectrum will be for use 3550–3650 MHz band to encourage the However, while we decline to of the spectrum by PALs at any given development of fully functional SASs subdivide the 3550–3650 MHz band, location and over time. A three-tiered without delay. While we acknowledge nothing in the rules we adopt should be approach will better ensure that use of that the development and approval of a read to preclude industry agreement on the spectrum can adapt to market and fully functional SAS may take some a common bandplan, so long as the user demands. Therefore, the public time, as described in Sections III(H)(1) bandplan complies with the rules, interest will best be served by launching and III(H)(3)(b), we are convinced that the Citizens Broadband Radio Service the technology to implement the three- including the band-wide operability with the three-tier model in place from tier authorization framework exists or is requirements described in Section the outset. in late-stage development and that the III(F)(2)(c). We acknowledge that SAS While we appreciate the creative public interest benefits of moving Administrators, potential licensees, and ‘‘transition plans’’ put forth by various directly to this model significantly other industry stakeholders will need to commenters, we are not convinced that outweigh any possible risk of delay. develop various implementation details this approach is necessary or desirable. These benefits include the promotion of to facilitate development of the Citizens We disagree with commenters that argue wide-scale investment and deployment Broadband Radio Service. As described that the three-tier framework entails based on assured availability to both elsewhere in this Report and Order, we untested and unproven sharing PAL and GAA users, as well as the believe that many of these issues can be elements that will require significant critical need to provide for the most addressed during the SAS Approval testing and development—beyond that efficient use of the spectrum by Process and through the efforts of a which would be required for two-tier providing users with the simultaneous multi-stakeholder group. For example, a sharing—prior to commercial option of bidding at auction for priority bandplan similar to the one shown in deployment. Rather, we agree with the PAL use in areas where they need and Figure 1 could promote efficient use of Dynamic Spectrum Alliance, Federated are willing to pay for it, while obtaining the band and simplify coordination Wireless, Google, PISC, Spectrum shared use on a GAA basis in all other between SAS Administrators. If Bridge, the White Space Alliance, scenarios. industry stakeholders do not develop WISPA, and other commenters who We are also unconvinced by have argued that the development of an arguments that a portion of the band such a convention, the Commission may SAS capable of managing three-tiers of must be, at least temporarily, set aside revisit this issue in the future. authorized users will not be an for more traditional licenses to

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2. Frequency Assignment the band, and create an environment that the policies we adopt in this order, a. Apportionment Between Priority conducive to a wide array of potential including the ability to access ‘‘unused’’ Access and GAA Tiers users and uses. However, we modify the channels assigned to Priority Access proposed approach to better serve the Licensees, will ensure that substantial Background. In the FNPRM, we public interest in this band. We spectrum capacity is available in all proposed to adopt rules governing recognize that the proportional geographic areas for GAA use. frequency assignments that would frequency assignment method proposed With regard to the amount of balance the needs of Priority Access in the FNPRM could create uncertainty spectrum available for GAA and Priority Licensees and GAA users. To foster a in the marketplace, particularly in areas Access use, we believe that reserving a robust GAA ecosystem, a meaningful where the band may be partially used by maximum of 70 megahertz—i.e., seven amount of the 3.5 GHz Band must be Incumbent Users. Therefore, we channels—for Priority Access Licensees reserved for GAA use in any given conclude that a maximum of 70 in any given license area appropriately geographic area. To that end, we megahertz may be reserved for PALs in balances the needs of these two types of proposed to reserve for GAA use a any given license area at any time and access. Seven PAL channels represent minimum of 50 percent of the 3.5 GHz the remainder of the available an increase from the five PAL channels Band in any given census tract—after frequencies should be made available that would have been available under accounting for any frequencies used by for GAA use. the baseline FNPRM proposal (i.e., Incumbent Access tier operators in the This approach will benefit Priority 3550–3650 MHz) while providing a area—with the remainder to be assigned Access Licensees and GAA users alike. greater degree of certainty for potential as PALs. We sought comment on this Priority Access Licensees will have licensees. This increase in Priority proposed apportionment of spectrum more predictable access to spectrum. Access spectrum availability will likely between the GAA and Priority Access GAA users will potentially have access encourage more licensees to enter the tiers. to all 150 megahertz in the band in areas band in any given area or allow more Some commenters, including NSN where there are no PALs issued or in licensees to pursue higher bandwidth and PCIA contend that the proposed use and up to 80 megahertz where all applications (through channel GAA floor is too high. NSN argues that PALs are in use. We note, however, that aggregation). Considered alongside the the proposed 50 percent floor will not both PAL and GAA spectrum access inclusion of the 3650–3700 MHz band, provide sufficient spectrum to will necessarily be constrained by the the bandplan and frequency assignment encourage potential Priority Access need to protect Incumbent Users model we adopt herein would generally Licensees to invest in the band. T- throughout the band. We believe that provide all users with more and greater Mobile argues that a minimum of 40 moving from proportional frequency spectrum availability than they would megahertz of spectrum should be reservations to fixed frequency have had under our proposal in the reserved for Priority Access Licensees in reservations—coupled with FNPRM. Where the band is not utilized each license area as well as 50 percent opportunistic access to spectrum for by Incumbent Access users or of any additional available spectrum. GAA users across 150 megahertz—will Grandfathered Wireless Broadband Verizon asks that the Commission increase band access, stability, and Licensees, GAA users will have access confirm that the 50 percent GAA floor predictability for all Citizens Broadband to a minimum of 80 megahertz, more will not remain static if Priority Access Radio Service users. than the proportional 50 percent of the Licenses have been assigned in a given We agree with those commenters who band proposed in the FNPRM. Thus, area and Incumbent Users later make contend that a percentage-based both Priority Access Licensees and GAA use of a portion of the spectrum. reservation for GAA use in any given users will benefit from our revised According to Verizon, in such cases, area could cause confusion and lead to approach to the assignment of Priority Access Licensees should be uncertainty regarding the amount of frequencies in the band. assigned channels before GAA users. available spectrum in any given area. As Others, including WISPA, the Wi-Fi Verizon points out, under the FNPRM b. Opportunistic Access to Priority Alliance, UTC, the American Petroleum proposal, if the amount of available Access Licenses Institute, Motorola Mobility, and Shared spectrum in a given area were to be Background. In the NPRM and Spectrum Company support reserving at reduced due to Incumbent Access use, FNPRM we proposed to allow GAA least 50 percent of available frequencies Priority Access Licensees could lose users access to frequencies not yet in any given area for GAA use. Motorola access to capacity that they had been assigned to PALs—or where assigned Solutions supports the proportional assigned through auction. While the bandwidth is not in actual use by assignment approach proposed by the need to protect Incumbent Users makes Priority Access Licensees—on an Commission but proposes that 60 it impossible to completely avoid this opportunistic basis. We sought percent of available frequencies be risk, moving to a non-proportional comment on whether to allow reserved for GAA use. Others support Priority Access reservation model opportunistic access to channels the proposed GAA floor but contend should minimize it substantially. assigned to Priority Access Licensees that users should have at least a fixed While we agree with PISC and and, if so, how to determine whether minimum amount of the band available Microsoft that GAA users should have such channels are actually ‘‘in use.’’ instead of utilizing a proportional access to a significant amount of Commenters offered varied opinions approach. Notably, PISC and Microsoft spectrum, we do not agree that 50 on whether opportunistic use of Priority ask that the Commission reserve the megahertz of the band should always be Access channels should be permitted greater of 50 megahertz or 50 percent of reserved for GAA use. The presence of and proposed a variety of ways to available spectrum for GAA use. Incumbent Users could affect the determine whether such channels are Discussion. We continue to believe amount of spectrum available for both actually ‘‘in use.’’ Commenters that ensuring that a stable and GAA and PAL users. Circumstances including the Dynamic Spectrum significant quantity of spectrum is may occur where incumbent use of the Alliance, Federated, Interdigital, available for both Priority Access band leaves less than 50 megahertz Microsoft, PISC, Shared Spectrum Licensees and GAA will foster available for GAA (or PAL) use in a Company, White Space Alliance, Wi-Fi innovation, encourage efficient use of given location. Nevertheless, we believe Alliance, and WISPA support the

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proposal to allow opportunistic access We disagree with AT&T’s contention The record reflects a sharp division to Priority Access channels by GAA that GAA use of PAL channels should between those who favor the assignment users. Some others, like Ericsson, only be allowed if the licensee is not of frequencies by the SAS and those contend that opportunistic GAA use using a portion of its assigned spectrum who prefer static frequency should not be permitted after network or geography at the end of its license assignments. Commenters including facilities have been deployed by Priority term. This proposed model is PISC, White Space Alliance, Dynamic Access Licensees in a given channel and incompatible with the three-tier Spectrum Alliance, Federated Wireless, license area. CTIA contends that further authorization framework adopted herein Interdigital, Google, Shared Spectrum study is needed before the Commission and would undermine the Company, Spectrum Bridge, and the determines that it is feasible to allow Commission’s objectives for more Wireless Innovation Forum support the opportunistic access to licensed efficient spectrum use in this band. Commission’s proposal to allow the spectrum. Under AT&T’s model, channels SAS to dynamically assign frequencies Other commenters support assigned to PALs would effectively lie in the band for both Priority Access opportunistic access, with certain fallow until the Priority Access Licensee Licensees and GAA Users. Google caveats. AT&T argues that GAA use of chooses to deploy its network in a given asserts that SAS-directed spectrum channels assigned to Priority Access area, precluding opportunistic use of the sharing will ensure that Citizens Licensees should only be permitted if, at spectrum and limiting the scope of Broadband Radio Service users will the end of a license term, there is potential GAA deployments. Thus, have access to the best available channel spectrum or geography not in actual use AT&T’s suggested policy could in any given spectral environment and by the Priority Access Licensee. encourage spectrum warehousing and that dynamic frequency assignment is a According to AT&T, the Commission disincentivize efficient use of the band. necessary component of any sharing should utilize 3GPP standards for TD– We believe that it is in the public regime that requires secondary users to LTE channel occupancy to determine interest to ensure that the 3.5 GHz Band change their operations in response to channel usage. Verizon contends that is made widely available to Citizens higher tier users. Similarly, PISC states the definition of ‘‘use’’ should not be Broadband Radio Service users— that frequency assignment through the limited to actual operations. For regardless of their operational tier—and SAS will confer a number of public example, Priority Access Licensees that Priority Access Licensees should interest benefits, including: (1) Better should be permitted to use all or some not be permitted to exclude other accommodation of Incumbent Access of a given license area as a guard band authorized users unless and until their Users; (2) more intensive and to protect its network from interference. networks are in use. productive use of the band; and (3) T-Mobile asserts that GAA users should improved coexistence of small cell and c. Frequency Assignment by SAS only be permitted to use channels higher power uses. Federated Wireless assigned to PALs until the licensee Background. In the FNPRM, we contends that static frequency notifies an SAS that such channels are proposed that, in place of fixed channel assignments for PALs: (1) Are in operation. WISPA proposes a assignments, the SAS would assign inconsistent with the efficient, SAS- technical definition of use based on the bandwidth within given geographic driven spectrum assignment model the specific number of data ‘‘packets’’ areas to Priority Access Licensees and Commission proposes; (2) would received by any CBSD within a five GAA users. Under this proposal, the threaten interoperability in the band; minute period. SAS would ensure that Priority Access and (3) are unnecessary for incumbent TIA contends that the Commission’s Licensees have access to 10 megahertz protection. proposal would effectively make GAA channels and that GAA users would Other commenters, including AT&T, rights in the band superior to Priority have access to the remaining portions of CTIA, Ericsson, 4G Americas, HKT Access rights by allowing GAA users to the band. However, the exact Limited, NSN, and UK Broadband access channels assigned to Priority frequencies defining any given oppose the Commission’s proposal and Access Licensees without allowing authorization, whether Priority Access argue that Priority Access Licensees Priority Access Licensees to do the or GAA, would not be fixed. For should be given static frequency same. The Wi-Fi Alliance counters that example, a licensee might have Priority assignments. Many of these commenters this is not the case since GAA users will Access rights for a single PAL, but the contend that static frequency always be prohibited from using specific channel location assigned to assignments are the simplest and most channels assigned to Priority Access that user would be assigned by the SAS effective way to license PALs to wireless Licensees when they are in actual use and could be reassigned from time to broadband providers. AT&T and T- and, as such, Priority Access rights will time (e.g., from 3550–3560 MHz to Mobile argue that dynamic frequency always be superior to GAA tier rights 3630–3640 MHz). Individual GAA users assignment would undermine carriers’ under the Commission’s proposed would be assigned available bandwidth essential network management framework. of a size and frequency range functions, frustrate their ability to plan Discussion. We find that permitting determined by the SAS. The SAS would network deployments, and discourage opportunistic access to unused Priority assign and maintain appropriate investment in the band. T-Mobile Access channels would maximize the frequency assignments and ensure that asserts that current network technology flexibility and utility of the 3.5 GHz lower tier users do not interfere with does not support dynamic frequency Band for the widest range of potential higher tier users. To the extent that assignment. users. By allowing GAA users to access some level of regional or national Google disagrees and states that SAS bandwidth that is not used by Priority consistency of assignment facilitates the management of frequency assignments Access Licensees, we can ensure that provision of service, SAS providers is wholly compatible with LTE system the band will be in consistent and would be free to agree upon a common architecture. Indeed, Google asserts that productive use. We believe the record assignment convention. However, such dynamism in frequency assignment demonstrates the benefits of allowing a convention was not specified in the would provide greater certainty to GAA users some degree of opportunistic proposed rules, in order to allow the Priority Access Licensees since the loss access to ‘‘unused’’ Priority Access greatest degree of operational flexibility. of any specific channel in a specific channels. We sought comment on these proposals. license area would not necessarily result

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in the loss of Priority Access Incumbent User begins using those Access Licensees are provided with functionality. Google also stresses that frequencies, the Priority Access consistent channel authorizations across reassignment should only be used to Licensee would lose access to the contiguous geographic areas and avoid situations where PALs might channel. Without the ability to reassign contiguous channels within the same otherwise lose access to assigned PAL channels dynamically, the Priority geographic area where feasible. We frequencies. Access Licensee would lose the use of address these rules in greater detail in Seeking to balance concerns on both a channel it had acquired at auction for Sections III(H)(2)(c) and III(c)(2)(a). sides of the issue, Verizon notes that the duration of the Incumbent User’s Contrary to some of the arguments SAS-based frequency assignment has operations. Thus, static channel made in the record, SAS-based potential benefits and drawbacks. As a assignments for Priority Access frequency assignment is compatible result, Verizon contends that additional Licensees would lead to unpredictable with international harmonization to information on incumbent frequency spectrum availability, undermining the achieve ecosystem scale and permit use is needed to perform a complete and very stability that commenters claim is global roaming. In considering this accurate cost-benefit analysis of the needed to encourage investment in the issue, we believe it is necessary to Commission’s proposals. band. However, with automated distinguish air interface compatibility— Discussion. After review of the record, frequency assignment, Priority Access the primary focus of international we conclude that frequencies in the 3.5 Licensees could be relocated to standards efforts, including those within GHz Band will be assigned by an SAS. unencumbered channels and allowed to 3GPP—from channel assignment. This approach is consistent with the continue providing service. Indeed, irrespective of the method of Revised Framework and the proposals We also find that SAS-based channel assignment, we expect that any set forth in the FNPRM. We believe that frequency assignments will increase the standardized device that uses the new flexible band management is essential to flexibility and utility of the 3.5 GHz 3.5 GHz Band would be able to tune effective spectrum sharing between the Band. We agree with PISC’s assertion across the band (and, in fact, we three tiers of authorized users in the that automated frequency assignment mandate such capability with a band- band. However, we also acknowledge will allow more users to access wide operability requirement). commenters’ concerns about frequency spectrum in a given geography, leading Automated channel assignment by an predictability and stability. To address to more productive and intense SAS will simply involve instructions to these concerns, we adopt provisions to spectrum use by both Priority Access these devices to use a specific channel, ensure that Priority Access channel Licensees and GAA users. Coupled with at a specific place and time, within this assignments remain as stable and the requirement that CBSDs be capable tuning range. As noted above, the rules consistent as possible for licensees of operating across the entire 3.5 GHz contain provisions to promote stability holding multiple channels within the Band, SAS-controlled assignment will of the spectral environment. Therefore, same license area or in contiguous ensure that individual users are based on the record before us, it is our license areas. provided with flexible, stable access to predictive judgment that SAS-mandated We agree with commenters who assert the band and that Citizens Broadband channel changes, guided by the that SAS-controlled frequency Radio Service users as a whole are able requirement to preserve consistency and assignment is an essential component of to access as much spectrum as possible contiguity for PAL spectrum the three-tiered authorization at any given time and place. framework adopted in this Report and We are not convinced that frequency assignments where feasible, will Order. Notably, automated frequency assignment by the SAS is incompatible generally occur relatively infrequently assignment is necessary to ensure with wireless broadband network rather than on a millisecond-by- consistent spectrum access for Citizens planning as T-Mobile, AT&T, and CTIA millisecond basis as some commenters Broadband Radio Service users and to claim. We realize that operators fear. ensure protection of Incumbent Users. traditionally have planned their This mode of automated frequency Under the framework described in networks with certain static assignment is consistent with most Section III(B)(1), Incumbent Access assumptions about frequency prevalent networking standards. Indeed, users have superior spectrum rights at assignments, reflecting the exclusive- modern networks typically have control all times and in all areas over Priority use licenses they hold in other bands. features that allow for automated or Access Licensees and GAA Users. As However, we do not agree that static managed channel selection. Finally, we such, all Citizens Broadband Radio assignments are always necessary to note that unlike many other countries Service users must be capable of plan and operate a network— that have fully reallocated the 3.5 GHz discontinuing operation or changing particularly a network with ‘‘islands’’ of Band for commercial broadband uses, frequencies at the direction of the SAS small cell clusters—or that utilizing a we must accommodate a spectral to protect Incumbent Users. If PAL flexibly assigned band would disrupt environment that includes, and will assignments were entirely static, as network deployments. To the contrary, continue to include, extensive use of the AT&T and others propose, Priority as explained above, we believe that band by military radar systems. Many of Access Licensees would have no choice automated assignment will benefit the policies we adopt in this Report and but to discontinue operations when an wireless broadband providers by Order are intended to address this Incumbent User begins operating on its providing an additional measure of unique situation and ensure that the assigned channel in a given license area. resiliency and flexibility. band is made available for commercial Indeed, as PISC notes, the need to We believe that our SAS rules will use while protecting important protect Incumbent Users coupled with ensure a stable spectral environment for incumbent operations. As such, static channel assignments could Priority Access Licensees and GAA industry standards may need to evolve require Priority Access Users to shut users alike while providing the to accommodate some of the policies we down indefinitely or even permanently. flexibility needed to accommodate and adopt herein. We believe that For example, assume that a Priority protect Incumbent Access users. To standardization should be addressed, at Access Licensee is given a fixed channel address the concerns raised by AT&T, least in part, during the SAS approval assignment of 3550–3560 MHz in a Verizon, and others, the SAS will be process and may be informed by the designated License Area. If an responsible for ensuring that Priority work of a multi-stakeholder group as

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described in Sections III(K) and higher quality service.’’ Accordingly, 10 MHz licenses would harmonize with III(H)(3)(b). subject to the qualification rules the worldwide use of existing global discussed above, any entity, is eligible 3GPP Bands 42 and 43 for Long Term C. Priority Access Tier to be a Priority Access Licensee. Evolution Time Division Duplex use. As 1. Eligibility NSN further explains, ‘‘[b]and class 2. PAL Configuration Background. Based on comments harmonization helps achieve economies received in response to our original a. Frequencies of scale, enables global roaming, reduces NPRM and Licensing PN, we proposed Background. We proposed to equipment design complexity and in the FNPRM to make eligibility for authorize PALs as 10 megahertz improves spectrum efficiency.’’ As discussed in Section III(C)(2)(a), all PALs open to any prospective licensee unpaired channels. With this proposal channels will be assigned by the SAS. who meets basic FCC qualifications, we intended to balance several The exact frequencies of specific rather than to a more limited group of objectives. First, as we have concluded assigned channels, however, may be ‘‘mission critical’’ users. The record we in other services suitable for wireless changed by the SAS, if necessary. To the broadband deployment, 10 megahertz received in this proceeding generally extent feasible, we will require the SAS channels are well suited for high data supports expanding eligibility to the to assign multiple channels held by the rate technologies both in terms of Priority Access tier to a broader class of same Priority Access Licensee to deployment and scalability. Second, 10 users than we proposed in the NPRM. contiguous channels in the same license Discussion. The Commission has megahertz channels divide evenly into area. The SAS may temporarily reassign broad authority to prescribe either the 100 megahertz (10 channels) individual PALs to non-contiguous ‘‘citizenship, character, and financial, or 150 megahertz of spectrum (15 channels only to the extent necessary to channels) that would be available in technical, and other qualifications’’ for protect Incumbent Users from harmful its licensees (47 U.S.C. 308(b)). Based on either our main proposal or the interference or if necessary to perform the record in this proceeding, and for supplemental proposal to include 3650– its required functions. However, while a the reasons we have previously outlined 3700 MHz. Third, 10 megahertz Priority Access Licensee may initially in a number of other wireless broadband channels will allow us to license request a particular channel or services, we determine that it is in the multiple Priority Access users in each frequency range, any particular request public interest to allow any entity that geographic area, particularly where will not be guaranteed. Nevertheless, is eligible to hold an FCC license to also protection of incumbents limits the SAS administrators would be required be eligible to apply for, and hold, a PAL. amount of spectrum available for to maintain consistent and contiguous All applicants for PALs must commercial use. Fourth, 10 megahertz frequency assignments for licensees demonstrate their qualification to hold licenses would provide useful ‘‘building with multiple PALs in the same or an authorization and demonstrate how a blocks’’ for licensees that might wish to adjacent license areas whenever grant of authorization would serve the aggregate larger amounts of spectrum in feasible. Thus, our rules aim to create a public interest (See 47 U.S.C. 303, 307, a given area. We sought comment on the flexible, responsive spectral 309, 310). Qualifications include those appropriate bandwidth for PALs. environment while retaining much of under Section 310 of the Act regarding Discussion. Based on the general the stability of traditional static channel foreign ownership (See 47 U.S.C. 310(b)) consensus in the record, we adopt our assignments. as well as the bar on participation in proposal to authorize PALs to operate spectrum auctions with respect to any over 10 megahertz unpaired channels. b. Area person ‘‘who has been, for reasons of Ten megahertz channels provide a Background. In the FNPRM, we national security, barred by any agency flexible, scalable, and practically proposed to authorize PALs at the of the Federal Government from bidding deployable bandwidth for high data rate census tract level and to permit on a contract, participating in an technologies, permitting multiple geographic aggregation across license auction, or receiving a grant (47 U.S.C. Priority Access Licensees to operate in areas. As we explained, census tracts 1404; 47 CFR 1.2105(a)(2)(xii)).’’ the same geographic area. We agree with offer a variety of benefits, including For the same reason that we have T-Mobile, that 10 megahertz blocks geographic sizes varying by population determined to expand the size of the ‘‘strike the appropriate balance between density, nesting into other political tier, we conclude that expanded permitting multiple entities access to subdivisions including city lines, and eligibility for access to the Priority licensed 3.5 GHz Band spectrum and aligning with other natural features that Access tier will promote more intensive ensuring that the blocks are large track population density. Under our use of the 3.5 GHz Band. The increasing enough to support customer traffic.’’ proposal, PAL applicants could target growth in demand for wireless Further, some commenters see specific geographic areas in which they broadband service has led to increasing beneficial consistency with the 3GPP need additional coverage and avoid demands for spectrum to accommodate Bands 42 and 43 channelization applying for areas that they do not that growth. As T-Mobile explains, scheme. Such alignment should intend to serve. Our proposal reflected many entities besides mission critical encourage investment in and the unique technical characteristics of users seek access to the type of ‘‘quality development of new equipment for this small cells to promote a high degree of assured’’ spectrum that PALs provide. innovation band. spectral and spatial reuse while The Consumer Electronics Association Although a few commenters facilitating flexible, targeted deployment notes that ‘‘[c]ommercial operations advocated for larger or smaller channels, of CBSDs. benefit from reliable, prioritized access the record generally supports our We received a diverse record in to spectrum and a predictable quality of proposal to utilize 10 megahertz response to our proposal to use census service, which will support investment channels for PALs with the ability to tracts as a licensing area. Some and innovation in the 3.5 GHz Band.’’ aggregate multiple channels. Spectrum commenters agree with our proposal. Google states that ‘‘[o]pening the Bridge, for example, notes that 10 MHz Others argue that census tracts are Priority Access tier will encourage channels are compatible with inappropriate because the borders of deployment of systems that require broadband technology and operations. census tracts frequently divide streets reliable access to spectrum to deliver NSN and T-Mobile also point out that and their relatively small size would

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make license administration and co- Census tract-level licensing also low power uses in this band, such as channel coordination between Priority aligns well with small cell deployment. small cells, which align well with small, Access Licensees more difficult. Other Due to their low power and small size, targeted geographic areas such as census commenters suggest that even smaller small cells can provide broadband tracts. Further, traditional licensing geographic areas, such as census block coverage and capacity in targeted areas will not allow users of the band to groups would allow for granular and geographic areas. This applies whether acquire PALs only for those specific demand-focused assignments. Still small cells are used to offer independent geographic areas they intend to serve. others proposed larger, more traditional broadband service, supplemental Divesting large, unwanted swaths license areas such as Economic Areas coverage for a macrocell network, or through secondary markets transactions (EAs), Cellular Market Areas (CMAs), or private network functions. PAL could impose significant transactions counties. Google suggests license authorization in a highly localized costs. On the other hand, should users boundaries be based on proposed fashion, i.e., at the census tract level, of the band desire to provide service network parameters and actual will promote the use of the band for within traditional geographic license contours, as determined and enforced clusters of small cells. areas, they can aggregate multiple by the SAS, rather than fixed geographic In our view, other proposals in the contiguous census tracts, which as areas. Google further maintains that record have limitations. Like Spectrum discussed above, nest into the small license areas which ‘‘track the Bridge, we believe that geographic standardized license areas commonly radiofrequency characteristics of license areas significantly smaller than used by the Commission. proposed deployments or rely on a census tracts will ‘‘significantly increase We continue to believe that census pixel-based approach, will maximize the complexity and data management tracts are the appropriate middle ground use of the licensed spectrum in the 3.55 requirements [in the band], with among the competing proposals GHz band.’’ diminishing and no obvious developed in the record and provide an Discussion. We adopt census tracts as improvement in spectral efficiency.’’ equitable means of achieving the the appropriate geographic license size Regarding Google’s proposal to assign Commission’s public interest goals for PALs. Among our goals in this licenses according to interference consistent with our statutory mandates. proceeding is to establish the geographic protection requirements rather than by As WISPA stated, ‘‘[t]he range of views component of PALs in a way that allows fixed geographic areas, we believe that suggests that, while not perfect, census flexible and targeted network such a proposal adds unnecessary tracts probably strike the appropriate deployments, promoting intensive and uncertainty and complexity to the balance with regard to size and are efficient use of the spectrum, but also licensing process and would complicate therefore the best alternative.’’ Census allowing easy aggregation to the competitive bidding process by tracts are sufficiently granular to accommodate a larger network footprint. creating irregular ‘‘lots’’ for auction. promote intensive use of the band and We find that licensing PALs at the Google subsequently proposed a ‘‘pixel- are large enough, either on their own or census tract level will serve the public based’’ approach to Priority Access in aggregate, to support a variety of use interest and provide a middle ground licensing but we believe the enormous cases, including small cell base stations between commenters who sought volume of licenses that would result and backhaul. As Cantor Telecom states, license areas larger than census tracts would be challenging to administer. We ‘‘census tracts may offer certain benefits and those who supported even smaller agree with WISPA that proposals to such as geographic sizes varying by license areas. assign licenses based on point/radius population densities which would allow Census tracts will provide a number methodology will result in license areas PAL applicants to target specific areas of other benefits. Currently, there are that do not conform to natural that they intend to serve.’’ Moreover, by over 74,000 census tracts in the United boundaries and will ‘‘complicate[] defining license areas in a granular States targeted to an optimum mutual exclusivity determinations.’’ fashion and allowing geographic population of 4,000. Census tracts vary As noted above, some commenters aggregation, operators should be able to in size depending on the population argue that to encourage investment in acquire enough PALs to cover their density of the region, with tracts as this shared band, we should license desired network footprint without small as one square mile or less in dense PALs in larger geographic areas such as having to over-acquire licenses. urban areas and up to 85,000 square those used in other licensed mobile Accordingly, each PAL shall consist of miles in sparsely populated rural bands. These commenters argue that a single census tract as defined, regions. Census tracts generally nest introducing a new license scheme in the initially, in the 2010 census. into counties and other political band will create uncertainty and delay subdivisions. In turn, they nest into the deployment in the band. We disagree. c. Term standardized license areas commonly As noted above, the mandate of Section Background. In the FNPRM, we used by the Commission (e.g., CMAs, 309(j) strongly supports our goal, proposed that PALs would have a one EAs, and Partial Economic Areas). particularly in ‘‘prescrib[ing] area year, non-renewable term. PALs would Census tracts also generally align with designations (47 U.S.C. 309(j)(4)(c)),’’ of automatically terminate after one year the borders of political boundaries (e.g., providing economic opportunity to a and would not be renewed. We city lines) and often to natural features, wide variety of applicants. That reasoned that a one-year term, while which may affect population density mandate is particularly compelling in shorter than the 10- or 15-year terms (e.g., rivers). Census tracts, therefore, light of the opportunities for typically associated with geographic may naturally mirror key considerations participation with much lower capital area-licensed wireless services, would in targeted deployment by service investment requirements associated be appropriate for this band. First, providers, such as tracking existing with smaller service areas, as we have licensees would be permitted to customers, plant, and permits or rights- previously recognized in other services aggregate up to 5 consecutive 1-year of-way. In addition, the inclusion of in trying to address the substantial terms to replicate the predictability of a census tracts in census geospatial challenges faced by new entrants. The longer-term license while providing the databases may ease the incorporation of larger, traditional license areas favored flexibility inherent in shorter-term geographic and demographic data into by some commenters are inconsistent spectrum authorizations. Second, the an SAS. with our desire to promote innovative, use of a shorter, non-renewable license

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term could simplify the administration automatically terminate and may not be innovation.’’ We believe our rule of the Priority Access tier by obviating renewed. However, solely during the appropriately addresses the competing the need for renewal, discontinuance, first application window, we will public interest concerns expressed in and performance requirements typically permit an applicant to apply for up to the record. associated with longer-term licenses. two consecutive three-year terms for any We believe that, as part of the overall Third, shorter terms would allow for a given PAL available during such first set of rules established for the Citizens wider variety of innovative uses and application window, for a total of six Broadband Radio Service, time-limited encourage efficient use of spectrum years. During subsequent regular PAL terms will promote investment by resources. Fourth, short term licenses application windows, only the next traditional and non-traditional could promote greater fungibility and three-year license term will be made providers of wireless broadband service. liquidity in the secondary market. available for any given PAL. If sufficient We are not persuaded by arguments put Finally, allowing applications for interest is expressed by prospective forth by AT&T, T-Mobile, and others multiple years of PALs would provide Priority Access Licensees, we will also that non-renewable PALs will diminish Priority Access Licensees with the open interim filing windows for investment in the band. Several certainty they may need to make capital unassigned PALs, in which case any considerations jointly and severally investment in PALs. We sought newly auctioned PAL term will expire weigh in this determination. In our comment on the appropriate duration of at the end of the three-year period view, these considerations applicable to PALs and our aggregation proposal and associated with previously auctioned the 3.5 GHz Band do not support invited commenters to suggest other PALs, so that all PALs will be made traditional justifications for renewal proposals. available for bidding in the next regular expectancies appropriate in exclusively Commenters differed on the window. This practice will avoid licensed bands.9 appropriate term for PALs. Some staggered PAL terms. First, we expect that Citizens commenters supported one-year terms Among our goals in this proceeding is Broadband Radio Service users will for PALs with the option to aggregate to promote more efficient wireless have similar incentives to invest under multiple years. Others argued for license network architectures and innovative the GAA rules as unlicensed users in terms shorter than one year, while approaches to spectrum management. other bands. Ample experience with Microsoft agreed with the one-year To this end, we identified the 3.5 GHz tens of millions of unlicensed wireless proposal but argued for a prohibition on Band as ‘‘an ideal ‘innovation band,’ devices deployed under our non- term aggregation. Alternatively, well suited to exploring the next exclusive Part 15 rules demonstrates numerous commenters including generation of shared spectrum that significant investment can occur Ericsson, NSN, and Qualcomm technologies, to drive greater under a non-exclusive use supported a more traditional licensing productivity and efficiency in spectrum authorization. Moreover, unlike the model with longer license terms. These use.’’ In our view, the flexibility traditional exclusive licensing regime in commenters argue that short, one-year inherent in shorter license terms should which the Commission has established licenses will not provide operators with allow for a wider variety of innovative renewal expectancies, even a PAL sufficient certainty to invest the uses in the band and encourage efficient licensee who does not obtain PAL rights necessary resources in the band. use of scare spectrum resources. for the succeeding three-year term Instead, commenters argue, longer, more Commenters in this proceeding, retains the ability to use the same traditional license terms will make the however, hold widely varying views on equipment in the same area as a GAA spectrum more attractive for investment. the appropriate license terms for PALs. licensee. The investment is thus not AT&T for example states that ‘‘a one- While some commenters support our stranded. In this context, PALs simply year, non-renewable license is initial proposal for one-year terms, provide additional economic incentives, insufficient assurance to spark many others argue that longer license over and above GAA authorizations, for investment in the 3.5 GHz band [and terms will best spur investment in this those users seeking greater interference may] raise the possibility of stranded repurposed band. protection in specific locations for a investment.’’ We believe that three-year non- specific three-year period. Commenters also differed on the renewable license terms—with the Second, return-on-investment appropriate temporal aggregation limit ability to aggregate up to six years up- determinations for PALs in the 3.5 GHz for PALs. For example, WISPA suggests front—strike a balance between some Band likely involve a lower cost hurdle a four-year aggregation cap, Public commenters’ desire for flexibility with than in other bands permitting higher- Knowledge and the New America other commenters’ need for certainty. power transmissions. The economics Foundation suggest a three-year cap, This belief is consistent with our goal of and upgrade cycles for the Motorola Solutions suggests only two creating greater opportunities for new (predominant) small cell use case, years, and Microsoft suggests we not and innovative uses to secure the applied in the context of census tract permit term aggregation (effectively a priority benefits associated with PAL license areas over three-year license one-year availability in the licensing licenses governed by the mandates of terms, may resemble those for enterprise window). AT&T, by contrast, suggests Section 309(j) described above. As and carrier Wi-Fi deployments rather that licensees be permitted to retain recognized by OTI/PK, shorter, non- than traditional macro cell deployments their authorizations indefinitely for renewable licenses ‘‘will promote common to other bands. areas in which they have deployed deployments by a wide range of service Third, where a prospective user of the equipment and provided service within providers.’’ Further, OTI/PK reasons band does require a PAL as a predicate one year. that the cost of such short duration to investment, our rules do permit the Discussion. Based on the record in licenses covering small geographic areas user to bid for and acquire, as a this proceeding, and in the context of ‘‘will dramatically lower the barriers to our particular regulatory scheme for this entry for innovation and competition in 9 Such justifications include: (1) Rewarding band, we adopt a longer license term the band.’’ At the same time, we proven performance over much longer license terms; (2) encouraging investment; or (3) avoiding than originally proposed: three-year acknowledge that a license term longer haphazard restructuring of the industry. See rather than one-year terms. At the end than one year ‘‘will foster more robust generally Central Florida Enterprises, Inc. v. FCC, of its three-year license term, a PAL will deployment and strengthen 683 F.3d 503, 507 (D.C. Cir. 1982).

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condition to its investment, at the time who holds the local PALs at any given any time). We find that, on balance, the of the initial PAL auctions, two time. potential public interest benefits of successive three-year licenses. A For similar reasons, we believe our adopting a limitation on the aggregation Priority Access Licensee would also rules prescribing three-year, non- of PALs outweigh the potential public have subsequent opportunities to renewable license terms for PALs, interest harms of such limits.11 In participate in auctions assigning PALs coupled with the absence of a renewal particular, we conclude that a limit of for subsequent three-year terms, or expectancy, will operate in combination 40 out of the maximum of 70 megahertz secondary market transactions. with our rules permitting opportunistic of PALs that may be available in each Moreover, the non-fixed frequency GAA use and the relatively inexpensive license area will facilitate competition, assignment model and band-wide deployment costs in this band to ensure innovation, and the efficient use of the equipment operability rule we adopt that winning bidders for PAL licenses at 3.5 GHz Band, ensuring that it is herein increase the substitutability of auction will have sufficient incentive to assigned in a manner that serves the PALs in a given area. This model also deliver service so as to avoid the need public interest, convenience, and substantially reduces the risk to a for prescribing any further performance necessity.12 Priority Access Licensee of not winning requirements. Bidders who purchase We evaluate the potential benefits and a comparable license in a subsequent PALs at auction will likely have an costs of a spectrum aggregation limit in auction. Additionally, it is possible that interest in putting the spectrum into the context of the licensing framework a Priority Access Licensee with a proven productive use. that we adopt for the 3.5 GHz Band, which would make available up to 80 business case that depends on access to 3. Spectrum Aggregation Limits Priority Access tier channels could megahertz of GAA spectrum when PALs value a subsequent PAL in the same Background. In the FNPRM, we are assigned and accordingly, up to 70 proposed to allow licensees to hold up license area more highly than a new megahertz of PAL spectrum. In to three out of an anticipated five PALs entrant in that area, further increasing considering whether to adopt a mobile in one census tract at one time (i.e., 30 the incumbent’s odds of winning a new spectrum holdings limit for the megahertz in one census tract at any PAL.10 In a service in which we have licensing of a particular band through time). We indicated that, given the determined to permit shared (albeit competitive bidding, as well as what unique circumstances of this band, a prioritized) uses of the same technology, type of limit to apply, the Commission specific aggregation limit applicable to it seems more appropriate to tie assesses how such a limit would likely all PAL licensees would promote access prioritized use to the ongoing desire to affect the quality of communications to the band. pay for it at auction. services or result in the provision of Several commenters advocate for the new or additional services to Finally, industry structure may adapt adoption of a spectrum aggregation limit consumers. In its consideration, the in ways that obviate any remaining on the number of PALs that can be held Commission evaluates whether the perceived risks associated with term- in each license area. WISPA and Cantor public interest could potentially be limited licensing in this band. For Telecom support the proposed limit of negatively affected if multiple licensees example, ‘‘neutral host’’ business 30 megahertz of PALs in each license would not have access to sufficient models common to the distributed area, with caveats. Motorola Mobility spectrum to be able to compete antenna systems (DAS) industry may suggests that the actual cap should be also apply to small cell networks the larger of either the 30 megahertz 11 While we adopt a band-specific limit on the operating in the 3.5 GHz Band. A venue fixed limit or a percentage of Priority aggregation of PALs, we do not find that PALs are network operator (e.g., an enterprise, Access spectrum, such as 55 percent. suitable and available for the provision of mobile telephony/broadband services in the same manner facilities owner, or their agent) could PISC, Sony Electronics, and Motorola as other spectrum bands that currently are included install small cell equipment and provide Solutions contend that a 20 megahertz in the Commission’s spectrum screen as applied to service directly or pursuant to limit on PALs would be more secondary market transactions. See Policies agreements with several different appropriate to allow future entrants and Regarding Mobile Spectrum Holdings Expanding the Economic and Innovation Opportunities of wireless carriers. In this situation, this new competitors to enter the Spectrum Through Incentive Auctions, WT Docket venue operator may be the lowest-cost marketplace. No. 12–269, GN Docket No. 12–268, Report and provider of service, as it brings to the Verizon Wireless and AT&T oppose Order, 79 FR 39977 (July 11, 2014) (‘‘Mobile table some of the key inputs (mounting any cap on Priority Access channel Spectrum Holdings Report and Order’’). We make aggregation. Verizon argues that this finding based on the combination of the unique points, backhaul, etc.) and the ability to characteristics of this band—multiple tiers of many coordinate network sharing inside its adopting a spectrum cap will harm users including Federal incumbents, sophisticated facility (which further reduces costs). A consumers by impeding the rules for sharing that include dynamic access for venue operator inhabiting the development and deployment of PALs, the short license terms and very small license innovative services in the 3.5 GHz Band, areas for PALs, and the range of technologies and underlying real estate will therefore heterogeneous business models that may operate in likely be a party to any provision of particularly given that providers require this environment. Accordingly, we do not include small cell service in the area. As a large contiguous blocks of spectrum to 3.5 GHz spectrum in the spectrum screen, and we consequence, it has incentives to invest deliver broadband service. AT&T also will not evaluate secondary market acquisitions of claims that the Commission has not this spectrum relative to existing holdings of other in network infrastructure regardless of spectrum bands included in the screen. identified any public interest harm 12 Section 309(j)(3) of the Communications Act 10 We recognize that a new entrant using new associated with allowing licensees to provides that, in designing systems of competitive technologies or business practices may outbid an aggregate as much spectrum as they bidding, the Commission must ‘‘include safeguards incumbent Priority Access Licensee. Such an require. to protect the public interest in the use of the instance is precisely when it makes economic sense spectrum,’’ and must seek to promote various for a new licensee to replace the old. Moreover, we Discussion. In this Report and Order, objectives, including ‘‘promoting economic believe that combining term-limited PALs with the we adopt an aggregation limit, as opportunity and competition and ensuring that new kind of renewal expectancy traditionally awarded proposed, but increase the limit to allow and innovative technologies are readily accessible to commercial wireless licenses (with longer terms licensees to hold no more than four to the American people by avoiding excessive and higher capital costs) would not be consistent concentration of licenses and by disseminating with our statutory responsibility to promote PALs in one census tract at one time licenses among a wide variety of applicants,’’ and ‘‘efficient and intensive use of the electromagnetic (i.e., 40 megahertz out of 70 megahertz promoting the ‘‘efficient and intensive use’’ of spectrum.’’ 47 U.S.C. 309(j)(3)(D). allocated to PALs in one census tract at spectrum. 47 U.S.C. 309(j)(3).

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robustly.13 The framework adopted in of innovative services to consumers. On and the spectrum will remain available this Report and Order is designed to the contrary, as explained above, we for GAA use under our license-by-rule facilitate spectrum sharing and believe this spectrum aggregation limit framework until the next application innovation in an environment with will promote competition and filing window for PALs in the 3.5 GHz many tiers of users, including innovation by ensuring at least two Band is opened either for unassigned commercial and private users with parties have access to PALs in those PALs or otherwise in advance of the heterogeneous business models. areas where sophisticated approaches to expiration of the prior three-year license A spectrum aggregation limit of 40 sharing are most needed and most likely term. megahertz will ensure availability of to develop. In addition, we note that, in We also discuss in this Section our PAL spectrum to at least two users in Census tracts where seven PALs are decision not to offer bidding credits to those geographic areas where there is issued, one entity would have access to small businesses or Critical the greatest likelihood of high demand up to 40 megahertz of PAL spectrum, as Infrastructure Industry (CII) entities due for such spectrum. We recognize that in well as up to 80 megahertz of GAA to the unique characteristics and nature geographic areas where PALs are issued, spectrum—or 120 megahertz out of the of the Citizens Broadband Radio multiple users may wish to try out total of 150 megahertz of spectrum Service. In addition, we discuss our different business models or available in the 3.5 GHz Band. Under public notice process by which we will technologies in this unique and highly these circumstances, we find it unlikely develop the auction design and innovative marketplace. And while the that this spectrum aggregation limit procedures for an auction of PALs. census tracts used to license PALs are would curtail potential business models a. PAL Applications Subject to small by comparison to most and use cases in the band. We also Competitive Bidding commercial wireless license areas in disagree with those commenters who other bands, multiple small cell users suggest a smaller aggregation limit, such Background. In the NPRM, the may want to pursue different business as 20 megahertz as opposed to 40 Commission proposed a license-by-rule models in census tracts covering megahertz, due primarily to the nascent framework for assigning licenses in the densely populated areas or areas with state of the marketplace and the need in Citizens Broadband Radio Service, significant commercial activity. these circumstances to balance the including the Priority Access tier. The Allowing one licensee to acquire all foregoing goals against the potential Commission suggested that a license-by- seven PALs would limit choices to users benefits of developing innovative rule licensing framework would allow interested in applications that would services with larger contiguous blocks. rapid deployment of small cells by a benefit from PAL access. Given the For all the reasons discussed, the 40 wide range of users, including many potential scenarios and the nature megahertz limit strikes the appropriate consumers, enterprises, and service of demand for PALs, as described, we balance between ensuring a diversity of providers, at low cost and with minimal believe the spectrum aggregation limit is users and allowing for applications that barriers to entry. Commenters were appropriate, as it will likely foster require larger blocks of spectrum. divided on whether a license-by-rule competition and innovation in both PAL regime was appropriate for PALs. and GAA uses. 4. Competitive Bidding Procedures Under the Revised Framework This spectrum aggregation limit Under the licensing scheme we adopt, outlined in the Commission’s Licensing provides a minimum degree of diversity PALs will be assigned by competitive PN, and in response to many comments, among commercial and private users bidding. The geographic area licensing we proposed to open eligibility for PALs that likely will be operating in this approach we adopt for PALs will permit for flexible use, beyond only ‘‘mission band. Such diversity is important to the filing and acceptance of mutually critical’’ uses. We sought comment on encourage innovation in technologies exclusive applications, which we are ‘‘approaches to spectrum assignment and business models that include access required to resolve through competitive and auction that could be used to to shared spectrum in a multi-user bidding. Thus, as detailed below, we productively manage use of the Priority environment. The 3.5 GHz Band will adopt rules to govern the use of a Access tier while allowing SAS provide a very significant opportunity competitive bidding process for authorized opportunistic use of the for the development of innovative assigning PALs in the 3550–3650 MHz GAA tier as described in the NPRM.’’ In approaches to spectrum sharing. We band. proposing auctions to assign PALs believe that some of the resulting We will conduct any auction of PALs ‘‘where there are mutually exclusive business models and technologies in the 3550–3650 MHz band in applications pending,’’ the Commission developed in the 3.5 GHz Band may conformity with the general competitive sought comment on its proposed well lead to positive spillovers in the bidding rules set forth in part 1, subpart auction and licensing mechanisms, development of other spectrum bands in Q of the Commission’s rules (47 CFR including their economic and technical the future. part 1, subpart Q), and substantially viability, and in particular on whether We anticipate that the potential costs consistent with the competitive bidding its approach ‘‘[w]ould . . . properly of such a spectrum aggregation limit procedures that have been employed in incentivize targeted use of the Priority will be low. We disagree with AT&T previous auctions, except as otherwise Access tier by a diverse group of users,’’ and Verizon Wireless that such a provided in this Report and Order. as well as on alternative licensing and limitation will impede the development Below, we explain that PALs will be authorization mechanisms. assigned through competitive bidding In the FNPRM, the Commission 13 This evaluation is based on several factors, only where we receive multiple proposed to open an application including, but not limited to, the total amount of competing applications in a geographic window for PALs annually, with each spectrum to be assigned, the extent to which competitors have opportunities to gain access to area that seek PALs that exceed the PAL authorized at the census tract level. alternative bands that would serve the same available supply. If PAL applicants for This approach would permit the filing purpose as the spectrum licenses at issue, the a specific geographic area do not seek and acceptance of mutually exclusive characteristics of the spectrum to be assigned, the PALs that exceed the available supply, applications for PALs and would timing of when the spectrum could be used, and the specific rights being granted to licensees of the we will not assign any PALs in that require the Commission ‘‘to resolve spectrum. See Mobile Spectrum Holdings Report license area. Instead, we will cancel the such applications through competitive and Order. auction with respect to that license area bidding consistent with the mandate of

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Section 309(j) of the Communications parties applying to bid for a license promotes the underlying principle for Act.’’ The FNPRM proposed that subsequently bids for the subject license this band that while GAA should be ‘‘[c]onsistent with the Commission’s (See Benkelman Tel. Co., 220 F.3d at easy to access and sufficient for many approach in other spectrum auctions, 605–606). applications in this service, PALs mutual exclusivity would be triggered As an initial matter, we disagree with should be available for applications that when more applications are submitted ENTELEC’s proposal to utilize a simple require greater certainty as to than can be accommodated lottery-based system to resolve mutually interference protection because they geographically, temporally, and exclusive applications. This would would suffer in a congested use spectrally.’’ violate the Commission’s mandate environment. We therefore conclude AT&T, PISC, Wireless Innovation under the Communications Act. Nor do that we should make available one less Forum, and WISPA agree that if the we believe that the public interest will PAL, up to a maximum of seven, than Commission adopts its geographic area be served by avoiding mutual the total selected by two or more licenses for the Priority Access tier, it exclusivity in the manner advocated by applicants to assure that our licensing would have to resolve mutually Google. scheme for PALs meets the needs of exclusive applications through In awarding initial PALs in the 3.5 such potential users. competitive bidding. Google argues that GHz Band, when multiple applicants Because of the ‘‘generic’’ nature of the Commission can avoid mutual select to bid on more licenses than are PAL frequency assignments, when total exclusivity in the Citizens Broadband available in a geographic area, we find PAL applications exceed the PAL Radio Service band by limiting the that mutual exclusivity exists (See bandwidth available in a license area, number of PAL licenses available in the Benkelman Tel. Co., 220 F.3d at 605– PAL applications are mutually exclusive relevant geographic area, giving priority 606). When the mutually exclusive because granting one application would to spectrally efficient operators, and applications are accepted the create conflict with another application. SAS-based interference avoidance could Commission will, consistent with its This will assure that there is mutual minimize mutually exclusive statutory authority, assign the licenses exclusivity between any two applications. through competitive bidding. Consistent applications in the same license area A number of utilities oppose the with previous spectrum auctions, and enable us to assign PALs by Commission’s proposal to adopt a mutual exclusivity will be determined competitive bidding. As we explain licensing scheme that could result in based upon the Commission’s further below, we conclude that mutually exclusive applications for acceptance of competing applications. assigning PAL licenses in the 3.5 GHz PALs. Several utilities express concern Also consistent with our previous Band on a non-auctioned basis would that CII entities have not been spectrum auctions, applicants to not result in as efficient an assignment successful at competing with participate in an auction of PALs in the of the spectrum as licensing the commercial carriers for spectrum. UTC/ 3.5 GHz Band, will have an opportunity spectrum for shared GAA use. However, EEI said that its members are concerned to select across some or all of the by reducing the available PAL inventory about the ‘‘cost and difficulty of available license areas the lesser of the when there are competing demands for competing with commercial carriers for maximum number of PALs that may be less than the maximum number of Priority Access Licenses.’’ They also available in a license area or the PALs, interested applicants may bid for express concern about the uncertainty of maximum number or PALs they are PALs to ensure access to exclusive PAL renewals year-to-year, potential permitted to hold in a license area usage rights. In contrast, when there is interference to GAA operations, and under our spectrum aggregation limit. only one applicant for one or more PALs interference with utilities’ incumbent Once mutual exclusivity has been in a given census tract, we will neither systems. ENTELEC suggested that the established by competing accepted proceed to an auction nor assign any Commission utilize a lottery-based applications seeking to acquire more PAL for that license area. system should ‘‘two or more applicants PALs than are available in a particular This determination is consistent with file applications on the same day and geographic area, the PALs in that area Commission precedent. In establishing request the same PAL frequency block.’’ will be assigned by competitive bidding, its competitive bidding rules in 1994, Discussion. The Communications Act, without regard to the number of the Commission recognized that the Act as amended, requires the Commission to applicants that ultimately decide to bid does not permit the award of initial use competitive bidding to assign or the actual number of PALs for which licenses through competitive bidding in licenses when ‘‘mutually exclusive they place bids.14 the absence of mutually exclusive applications are accepted for any initial Under this approach, when there are applications (See Competitive Bidding license,’’ subject to specified two or more applicants for PALs in a Second Report and Order, 59 FR 22980, exemptions not applicable here (47 given census tract for a specific auction, May 4, 1994). Thus, if the Commission U.S.C. 309(j)(1)-(2), (j)(6)(e)). Section we will make available one less PAL receives only one application acceptable 309(j)(1) provides the Commission with than the total number of PALs in that for filing with respect to a particular the obligation to conduct competitive tract for which all applicants have license, ‘‘mutual exclusivity would be bidding when all applicants to applied, up to a maximum of seven. lacking and the Commission would be participate in bidding on particular Determining availability in this way is prohibited from using competitive licenses cannot be granted the subject in the public interest because it bidding to award the license.’’ The licenses because at the time of Commission noted that to handle such application submission, the applicants 14 See DIRECTV, 110 F.3d at 827–28. Although situations it ‘‘[g]enerally’’ would intend seek the same license or different our determination that mutual exclusivity exists to adopt procedures for conducting within a particular geographic area will not be licenses that would interfere with each based on the number of applicants for PALs in that auctions that provided in such a other (Benkelman Tel. Co. v. FCC, 110 area, because we adopt an aggregation limit that situation for ‘‘cancelling [of] the auction F.3d 601, 603 n.2 (D.C. Cir. 2000)), or allows licensees to hold no more than four PALs for this license and establishing a date when the requests for interchangeable (i.e., 40 megahertz) in one census tract at one time, for the filing of a long-form application see supra Section III.C.2.a, this necessarily means channels exceed the available supply. that for mutual exclusivity to exist we will have [by the lone applicant], the acceptance The Commission has such authority accepted at least two applications for PALs in a of which would trigger the relevant irrespective of whether each of the given census tract. procedures permitting petitions to

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deny.’’ However, it noted that the coexistence among users. The small suited to exploring the next generation Commission ‘‘may decide in the future license size will allow for targeting of of shared spectrum technologies, to to alter some or all of the procedures’’ network deployments, with GAA users drive greater productivity and efficiency detailed therein, ‘‘or to tailor them to able to coordinate actual use of the in spectrum use. specific service rules, after we have had spectrum through the SAS. In areas Our licensing approach to address any an opportunity to assess their where genuine local scarcity exists, absence of mutually exclusive effectiveness.’’ interested applicants may apply for applications is supported by the Additionally, we conclude that, with PALs to ensure access to exclusive commenters urging greater reliance on respect to Priority Access licensing, usage rights. This reliance on economic shared use in the particular where there is only a single applicant incentives, and not performance circumstances of this 3.5 GHz Band. We seeking PALs in a geographic area, and requirements, will prevent spectrum have employed shared use rather than therefore no mutual exclusivity (and warehousing and ensure continued exclusive licensing as a spectrum hence we have no auction authority), innovation. By ensuring widespread management approach in other services the best way to discharge our statutory GAA use of any spectrum for which we where appropriate, both licensed and mandate to ‘‘encourage the larger and have not received mutually exclusive unlicensed, even without any initial more effective use of radio in the public PAL applications, we ensure that the reliance on a competitive bidding interest (47 U.S.C. 303(g))’’ is to provide spectrum will be put to a use for which mechanism for assignments from among access to such spectrum via shared GAA we have identified a clear public mutually exclusive applicants. use. If we do not accept competing interest need, including by those who Accordingly, we exercise our applications seeking in total more PALs have filed PAL applications as well as established rulemaking authority to than the number of PALs available in a others. enable GAA uses of the entire 3.5 GHz particular geographic area, we will not At the same time, we note that the Band in any census tract where we are assign any PAL for that license area. determination of mutual exclusivity of unable to use our auction authority to Instead, we will cancel the auction with PAL applications is not a one-time event issue PAL licenses from among respect to that geographic area and for this band. Because PALs are licensed mutually exclusive applicants.15 allow the spectrum to remain accessible for three-year, non-renewable terms, we Nothing in the auction provisions of the solely for shared GAA use under a will periodically open application Communications Act was intended to license-by-rule framework until the next windows for new PALs that take effect affect this broad spectrum management filing window for competitive bidding upon expiration of previously assigned authority (See 47 U.S.C. 309(j)(6)(A), of PALs. PALs. Additionally, if sufficient interest (B), (C), (E)), particularly where we While we could issue PALs for these is expressed by prospective PAL users, conclude our licensing approach will areas on a non-auctioned basis, we we will open interim filing windows to best serve the public interest. We conclude that doing so in this band accept applications for unassigned conclude that our decision best accords would not result in as efficient an PALs, i.e., PALs that could be made with the Communications Act, as assignment of the spectrum as licensing available for auction, before the amended, while still affording the the spectrum for shared GAA use. Given expiration of an ongoing three-year PAL flexibility needed for the three-tiered the fact of more than 74,000 census term. In the pre-auction public notice spectrum sharing framework. tracts throughout the country, we process by which the Commission first believe there is a substantial likelihood seeks comment on and subsequently b. Application of Part 1 Competitive that in many of these areas, at least announces the procedures for the first Bidding Rules initially, there would not be applicants auction of PALs in the 3.5 GHz Band, Background. For those mutually for more than seven PALs—thereby we will consider the process by which exclusive applications that will be precluding mutual exclusivity for these we will determine whether there is subject to competitive bidding, the initial licenses. Because it does not sufficient interest by prospective Commission proposed to employ its appear that the incidence of areas Priority Access Licensees in general competitive bidding rules to without mutually exclusive applications participating in an interim auction of conduct an auction of PALs in the 3.5 under the approach we describe above PALs prior to expiration of an ongoing GHz Band. Commenters generally for the 3.5 GHz Band will be isolated three-year PAL term. These procedures support the Commission’s proposed use events, we predict that licensing at most are designed to ensure that we continue of its general competitive bidding rules. a handful of PAL licenses would likely to provide opportunities to satisfy any WISPA supports our proposal to adopt have the widespread effect of further demand for higher priority PAL our general competitive bidding rules. substantially restricting extensive use as the 3.5 GHz Band service AT&T cautions that the Commission’s deployment of a wide range of matures. traditional auction framework ‘‘may not innovative GAA uses in the 70 In accordance with Section 309(j), we be appropriate with respect to PALs.’’ megahertz reserved for PALs. have established an auction process that AT&T warns that the Commission’s We do not believe that using a ‘‘first promotes ‘‘efficient and intensive use’’ Section 1.2105(c) prohibited come, first served giveaway’’ (See Kay v. of this spectrum and the ‘‘development communications rule would be FCC, 393 F.3d 1339, 1344 (D.C. Cir. and rapid deployment of new inappropriate due to the ‘‘high-volume 2005) as a licensing mechanism in this technologies, products, and services for of auction activity on a regular basis.’’ scenario would ensure the most efficient the benefit of the public, including Other commenters express views on and intensive use of the spectrum, or be those residing in rural areas,’’ that topics that are generally considered after consistent with the goals served by more ‘‘recover[s] for the public . . . a portion extensive GAA use as demonstrated by of the value of the public spectrum 15 See 47 U.S.C. 307; 47 CFR 1.945. The the record. The 3.5 GHz Band is resource made available for commercial Commission is also not precluded ‘‘from designed to allow new, innovative use, and achieves the other goals of the establishing threshold standards to identify operations access to flexible, fungible statute described above (47 U.S.C. qualified applicants.’’ Hispanic Information & Telecommunications Network, Inc. v. FCC, 865 F.2d spectrum. The small cell deployment 309(j)(3), 309(j)(4)). Providing for both 1289, 1294 (D.C. Cir. 1989). See also United States envisioned for the 3.5 GHz Band should GAA and PAL operations allows the v. Storer Broadcasting Co., 351 U.S. 192, 202, 205 enable tremendous spatial reuse and Commission to create a band ‘‘well (1956).

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the adoption of service rules, during the the 3.5 GHz Band are up-to-date and business plans in advance of the auction pre-auction process for establishing will avoid uncertainty for prospective (47 U.S.C. 309(j)(3)). Maintaining procedures for conducting a PAL applicants if changes are made to the flexibility in the implementation of final auction. For example, some parties state part 1 competitive bidding rules. procedures is a prudent approach to their positions on auction design and We nonetheless recognize that the assuring that the PAL auction will fulfill the use of package bidding for any Commission could greatly benefit from the goals we have established by this auction of PALs, with some in favor and a more fully developed record regarding Report and Order. some opposed. Likewise, other limited rule revisions that may be Payment, Application and Default commenters recommend that the necessary to accommodate payment, Rules. We solicited comment on our Commission make certain changes to its application and default issues that are general competitive bidding rules auction procedures concerning payment unique to the service rules we adopt for regarding payments, including upfront and default issues. the Citizens Broadband Radio Service. payments, down and final payments, Discussion. Except as noted below, we These issues will therefore be default and disqualification. We adopt our proposal to conduct any considered in the context of the Second received a limited number of comments auction of PALs in conformity with the Notice of Proposed Rulemaking on these payment issues. Federated general competitive bidding rules in discussed fully below. Wireless proposes a two-step payment part 1, subpart Q, including any Finally, we decline to adopt AT&T’s process. WISPA asks that the modifications that the Commission may proposal to eliminate the Commission’s Commission ‘‘revise its payment rules to adopt for its Part 1 general competitive Section 1.2105(c)’s prohibited require payment for winning bids on an bidding rules in the future. We believe communications rule in auctions for annual basis after the competitive that the Commission’s general PALs in the Citizens Broadband Radio bidding process is complete[ ].’’ Open competitive bidding rules are suitable to Service. We disagree with AT&T’s Technology Institute at the New conduct auction of PALs. These rules contention that the prohibition would America Foundation and Public have proven successful in previous impair secondary markets and reduce Knowledge argue that payment should spectrum auctions, and will enable the participation in the 3.5 GHz Band. The be ‘‘due annually prior to the license Commission to meet its goals for the plain text of the rule makes clear that start date and a license would terminate Citizens Broadband Radio Service. business discussions and negotiations automatically if the payment is not We proposed to apply any future that are unrelated to bids or bidding made.’’ We believe that it is in the modifications made to the part 1 general strategies or to post-auction market public interest to develop a more competitive bidding rules to an auction structure are not prohibited by the rule complete record on payment, of PALs in the 3.5 GHz Band. We (47 CFR 1.2105(c)). The rule’s application and default issues. received no comment on this proposal. prohibition has always been aimed at Bidding Credits. We solicited Specifically, we noted the Commission’s the specific content of an applicant’s comment on the use of bidding credits proposal, in the Broadcast Incentive communication to a competing in the 3.5 GHz Band. In the FNPRM, we Auction proceeding, to revise the list of applicant regardless of the context or explained that in authorizing the auction design options in Section situation in which such content is Commission to use competitive bidding, 1.2103 of the competitive bidding rules. communicated, and applies only during Congress mandated that the The Commission has since adopted its a limited window. Commission ‘‘ensure that small proposed revisions in the Broadcast businesses, rural telephone companies, c. Bidding Process Options Incentive Auction Report & Order (80 and businesses owned by members of FR 19661, April 13, 2015), which Competitive Bidding Design Options. minority groups and women are given provide for the establishment of specific We solicited comment on a number of the opportunity to participate in the auction procedures governing bid issues regarding competitive bidding provision of spectrum-based services collection, assignment of winning bids, design options for PALs. Here too we (47 U.S.C. 309(j)(4)(D)).’’ We further and the determination of payment received limited comment. WISPA discussed that one of the principal amounts in spectrum license auctions, proposes a two-step auction process. means by which the Commission and these provisions will be generally AT&T asked that the Commission clarify furthers these statutory goals is the applicable as we consider procedures its PAL competitive bidding rules. award of bidding credits to small for future spectrum auctions, including Consistent with the Commission’s businesses. auctions of PALs in the 3.5 GHz Band. practice in past spectrum license For the 3.5 GHz Band, the The Commission also adopted its auctions, the rules we adopt allow Commission specifically asked whether proposed amendments to Section subsequent determination of specific the flexible and dynamic auction and 1.2104, which permit the Commission final auction procedures. The process licensing mechanisms, shorter license to establish stopping rules in order to will be initiated by the release of the term, and size of the license area would terminate multiple round auctions Auction Comment PN, which will limit the barriers to participate in PAL within a reasonable time and in solicit public input on final auction auctions. Six CII entities filed accordance with the goals, statutory procedures, and which will include comments, requesting that the requirements, and rules for the specific proposals for auction Commission provide bidding credits incentive auction, including the reserve components such as minimum opening ‘‘for entities that would use the price or prices. In the absence of bids. Thereafter, the Auction Procedures spectrum for ‘mission critical’ comments establishing a record, we do PN will specify final procedures, communications systems, such as not adopt any additional revisions to including dates, deadlines, and other utilities.’’ API also suggests that the Sections 1.2103 or 1.2104. Our decision final details of the applications and Commission could ‘‘provide bidding to conduct competitive bidding for bidding processes. We believe the credits to current licensees who PALs subject to the Commission’s most Commission’s practice of finalizing demonstrate they are using their current Part 1 rules, including any auction procedures in the pre-auction licenses in the public interest.’’ WISPA modifications that the Commission may process provides time for interested objects to CII-specific bidding credits, adopt in the future, will ensure that the participants to both comment on the arguing that ‘‘[b]idding credits add a rules applied to auctions of licenses in final procedures and to develop layer of complexity that would make

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conducting competitive bidding for procedures. This public notice will availability will promote competition, potentially thousands of census blocks address auction-specific matters such as encourage flexible network much more difficult, especially the competitive bidding design and deployments, and facilitate the efficient considering that the Commission has mechanisms, minimum opening bids use of available spectrum. The same proposed one-year license terms.’’ and/or reserve prices, and payment technical rules will apply to devices Mobile Future opposes ‘‘restrictive procedures. In advance of the auction, operated in both the Priority Access and spectrum set-asides and preferential the Commission will issue another GAA tiers of service to maximize rules including bidding credits.’’ We public notice to announce the auction flexible and efficient use of the band. also solicited comment regarding procedures and provide detailed Therefore, as discussed below and bidding credits for serving a qualifying instructions for potential auction consistent with the proposals set forth tribal land. We received no comment participants. Because we expect the first in the NPRM and FNPRM, we adopt a regarding tribal land bidding credits. auction to raise new and novel license-by-rule authorization framework We conclude that given the unique considerations with respect to the under Section 307 of the characteristics of the service, bidding auction procedures, we will vote the Communications Act for GAA users credits are not necessary to ensure the public notices for the initial auction at (See 47 U.S.C. 307(e)(1)). participation by small businesses in the Commission level. competitive bidding for PALs. We also As discussed above, procedures 1. Authorization Methodology conclude that the unique characteristics regarding minimum opening bids and Background. We proposed to establish of the Citizens Broadband Radio Service upfront payments will be announced via the Citizen’s Broadband Radio Service are sufficient to promote greater use of the public notice process. In (including the GAA tier) by rule under the spectrum over tribal lands, making determining these amounts, we expect Section 307(e) of the Communications bidding credits unnecessary for tribal we will have to balance our twin Act (See 47 U.S.C. 307(e)). We reasoned lands. As we noted in the FNPRM, ‘‘the objectives of satisfying applicant that a license-by-rule licensing Commission takes into account both the demand for PALs and the possibility of framework would allow for rapid nature of the service and the nature of shared GAA use where no PALs are deployment of small cells by a wide the parties most likely to be interested issued. We recognize that this balance range of users, including consumers, in using the spectrum.’’ The Citizens may vary in different geographic areas. enterprises, and service providers, at Broadband Radio Service licensing In addition, given the very high volume low cost and with minimal barriers to scheme is designed to encourage of licenses that will be available in an entry. As we explained, much wireless participation from a wide variety of auction of PALs, it may be necessary to broadband use occurs indoors or in users and a broad range of operations. implement measures that will allow the other enclosed facilities. Typically, the The GAA tier already allows low cost auction to close within a reasonable owners or users of such facilities access to the 3.5 GHz Band, both in the time. Therefore, we will consider already have access to the siting at least 80 megahertz of spectrum in establishing other auction procedures permissions, backhaul facilities, which there is no PAL use, and in the that will encourage targeted bidding on electrical power, and other key non- remaining portion of the band on an specific PAL licenses. To further that spectrum inputs for the provision of opportunistic basis. While mutually objective, we may consider various service. Moreover, small cell operation exclusive applications for PALs in up to procedures, including, among others, in the 3.5 GHz Band would generally 70 megahertz of the band are subject to establishing an upfront payment process tend to contain service within such competitive bidding, the short term of that requires qualified bidders to make facilities, allowing for a high degree of the license and small geographic area upfront payments on a license-by- spectrum reuse. Therefore, authorizing should work to keep costs affordable to license basis, i.e. for a PAL in a specific these end users to have direct access to acquire PALs. Because the nature of the license area, rather than for general the 3.5 GHz Band in the physical Citizens Broadband Radio Service bidding eligibility on any one of a set locations that they otherwise are able to already gives designated entities the number of PALs. If bidding eligibility is access would seem to facilitate opportunity to access 3.5 GHz spectrum, nontransferable to other PALs, this expeditious and low-cost provision of we will not offer small business nor would limit a bidder’s ability to change service. Accordingly, we concluded that tribal land bidding credits in auctions of the geographic area of the PALs for a license-by-rule framework was very PALs. For the same reason, we decline which it bids during the auction. We compatible with and conducive toward to adopt bidding credits for CII entities. may also consider whether such license- these aims. Commission Notices. In the FNPRM, specific upfront payments should also A number of commenters endorsed we proposed to follow our established serve as an applicant’s opening bid for the license-by-rule approach. The practice of issuing a public notice upon that PAL, constituting a binding Utility Groups, for example, agree that the conclusion of a PAL auction commitment to purchase the PAL at that the Citizens Broadband Radio Service declaring the bidding closed and price. should be licensed by rule. The Utility identifying the winning bidders. We Groups note that a license-by-rule received no comment on this proposal, D. General Authorized Access model for this band is consistent with and accordingly, we will follow this The GAA-tier is intended to provide the Commission’s decision to license process for notifying auction a low-cost entry point into the Citizens the Wireless Medical Telemetry Service participants and the public of the Broadband Radio Service for a wide by rule because both services facilitate auction results. array of users. GAA users will have no the accelerated deployment of mission As noted above, after adoption of all expectation of interference protection critical services. In addition, UTC notes of the necessary service rules for the from Incumbent Users and other that the license-by-rule model promotes Citizens Broadband Radio Service, Citizens Broadband Radio Service users. economies of scale, minimizes consistent with the Commission’s Further, GAA users must comply with administrative burdens, and provides a longstanding approach, the Commission the instructions of the SAS and avoid unified licensing model in the band. will initiate a public notice process to causing harmful interference to Priority WISPA argues that a license-by-rule solicit public input on certain details of Access Licensees and Incumbent Access approach coupled with SAS auction design and the auction tier users. We believe that GAA requirements ‘‘represents an evolution

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of ad hoc unlicensed systems where We disagree with AT&T’s assertion Licensees and Incumbent Access tier spectrum coordination often occurs after that the Commission does not have users. Similar to unlicensed operations, deployment, an inefficient and outdated authority to license GAA users by rule GAA users have no expectation of approach for avoiding interference.’’ under Section 307(e) of the interference protection from Incumbent The WiMAX Forum states that a license- Communications Act (See 47 U.S.C. Users and other Citizens Broadband by-rule approach ‘‘would streamline 307(e)). As noted above, the Act Radio Service users (See 47 CFR 15.5). deployment as compared to the ‘light expressly delegates to the Commission We decline to adopt an unlicensed licensing’ scenario of the current 3650– the discretion to define the scope of the regime for this band as suggested by 3700 MHz band.’’ term ‘‘citizens band radio service.’’ The certain commenters in the proceeding. Other commenting parties express a Commission has repeatedly exercised Instead, we adopt a primary fixed and preference for an unlicensed (Part 15) that authority to license new services by land mobile allocation across the entire framework, rather than the FNPRM’s rule under Section 307.16 Indeed, the band. A co-primary allocation for the proposed license-by-rule framework. Commission has licensed an array of entire 3.5 GHz Band will ensure that AT&T specifically opposes license-by- beneficial services by rule by defining GAA operations are prioritized over rule authorizations and asserts that the the Citizens Band Radio Services to existing secondary users in the band. Commission’s statutory authority under include the Family Radio Service, the Moreover, this authorization framework Section 307(e) is narrower than the Low Power Radio Service, the Medical will serve the public interest, aiding Commission claims. AT&T argues that Device Radiocommunication Service, enforcement and promoting a more the Commission should authorize GAA the Wireless Medical Telemetry Service, stable and predictable spectral users under Part 15 instead. Microsoft and the Dedicated Short-Range environment through affirmative likewise argues that an unlicensed Communications Service On-Board authorization of CBSDs by the SAS. regime would facilitate the rapid Units.17 Accordingly, we establish a Further, authorizing GAA as a licensed deployment of new technologies in the new Citizen’s Broadband Radio Service radio service will facilitate its band ‘‘because of the relatively low under Part 96 of the Commission’s integration into the broader part 96 regulatory barriers to entry and because Rules, and define the GAA tier as a framework, including SAS-governed the technical rules governing Part 2 and Citizens Band Radio Service pursuant to frequency assignment, and simplify 15 devices have proven effective in the Commission’s authority under administration and oversight of the protecting incumbent users from Sections 307(e)(1) and (e)(3) of the Act Citizens Broadband Radio Service. interference.’’ TIA, by contrast, argues (47 U.S.C. 307(e)(1) and (e)(3)). We find 2. Contained Access Facilities that license-by-rule and unlicensed that the creation of a wireless Citizens approaches are too unpredictable to Broadband Radio Service under the Background. In the FNPRM, we support the Commission’s service license-by-rule framework of Section proposed to allow Contained Access expectations, as envisioned by the 307 will serve the public interest, Users, such as hospitals, public safety National Broadband Plan. convenience, and necessity and is organizations, and local governments to Discussion. After careful consistent with Commission precedents request up to 20 megahertz of reserved consideration of the record in this creating new services with flexible frequencies from the GAA pool for proceeding, we adopt a licensed-by-rule assignments for any number of users. indoor use within their facilities. These framework for the GAA tier of the new Under the license-by-rule framework frequencies would be used only for Citizens Broadband Radio Service, we adopt today, GAA users may use private internal radio services and could pursuant to Section 307(e) of the only certified, Commission-approved not be made available to the general Communications Act, as amended, and CBSDs and must register with the SAS. public. Other GAA users would not be subject to applicable technical rules. Consistent with our new rules governing permitted to utilize the reserved Section 307(e) states in part that, CBSDs, devices operating on a GAA frequencies within designated CAFs. We ‘‘[n]otwithstanding any license basis must provide the SAS with all also proposed that Contained Access requirement established in this Act, if information required by the rules— Users must accept interference from the Commission determines that such including operator identification, device GAA transmissions originating outside authorization serves the public interest, identification, and geo-location the CAF and undertake reasonable convenience, and necessity, the information—upon initial registration efforts to safeguard against harmful Commission may by rule authorize the and as required by the SAS. GAA users interference from those transmissions. operation of radio stations without must also comply with the instructions Potential Contained Access Users would individual licenses in the following of the SAS and must avoid causing be required to receive approval from the radio services: (A) citizens band radio harmful interference to Priority Access Commission to be eligible to utilize service; . . ..’’ (47 U.S.C. 307(e)(1)). reserved frequencies. We sought Section 307(e) further states that, ‘‘[f]or 16 See, e.g., Amendment of Parts 1, 2, 22, 24, 27, comment on these proposals. purposes of this subSection, the terms 90 and 95 of the Commission’s Rules, WT Docket Some commenters, including Verizon, ‘citizens band radio service’ . . . shall No. 10–4, Notice of Proposed Rulemaking, 76 FR Mobile Future, PISC, Wi-Fi Alliance, have the meanings given them by the 26983 (May 10, 2011); Amendment of Parts 1 and and others oppose the Commission’s Commission by rule (47 U.S.C. 95 of the Commission’s Rules to Eliminate proposal to set aside frequencies for Individual Station Licenses in the Remote Control 307(e)(3)).’’ (R/C) Radio Service and the Citizens Band (CB) CAF use. Verizon contends that the We conclude that a license-by-rule Radio Service, PR Docket No. 82–799, Report and Commission should not ‘‘earmark’’ framework is the appropriate Order, 48 FR 24884 ¶ 25 (1983). spectrum for a particular class of users. methodology for authorizing users in 17 See 47 CFR 95.401(a)–(g). While the plain WiMAX Forum argues that the language of Section 309(e)(3) provides for such the 3.5 GHz Band consistent with the authority, we also note that GAA use of the Citizens Commission’s CAF proposal is tiers of service proposed herein. This Broadband Radio Service fits well within the incompatible with SmartGrid proposed framework will facilitate the category of licenses that are ‘‘granted to virtually technology. rapid deployment of compliant small any person who files an application,’’ that are non- PISC opposes the Commission’s CAF exclusive, and for which the high cost of licensing cell devices while minimizing so many eligible users is not justified in light of the proposal and notes that it could have administrative costs and burdens on the public interest benefits. H.R. Conf. Rep. No. 97–765, the effect of limiting or eliminating GAA public, licensees, and the Commission. at 36 (1982). availability in some areas. PISC argues

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that, if the Commission wishes to portable CBSDs proposed in the in both Priority Access and GAA tiers— provide exclusive access spectrum to FNPRM. Thus, there will be limited to provide the same service. Not critical access facilities, it should assign opportunities for Citizens Broadband allowing GAA users to provide common them finely tailored PALs. PISC also Radio Service users to deploy and carrier service would undercut this argues that, if the Commission does utilize CBSDs in indoor areas without interchangeability. We believe that any adopt its CAF proposal, eligible users the permission of facility owners, even administrative effort needed to establish should be narrowly tailored to include without CAFs available. In these an application process for GAA users only ‘‘public safety agencies, hospitals, circumstances, we conclude that the wishing to provide common carrier local governments and possibly public need for additional protection is services will be far outweighed by the utilities for only indoor and internal, outweighed by the additional costs and public interest benefits of allowing noncommercial communication in burdens of implementing this special licensees to offer these services. support of core public service priority within GAA use. We remain F. Technical Rules functions.’’ optimistic that the Citizens Broadband Other commenters, including Exelon Radio Service can be used support a We effectuate technical rules for the and Interdigital, support the proposal. wide variety of indoor operations, 3.5 GHz Band that will allow for a wide Still others support CAF use in including private networks. We will range of usage scenarios, while also principle with some key changes. monitor the development of the band encouraging spectral efficiency and Microsoft argues that prospective CAF and we may take action if we believe orderly co-existence with other users of users should be required to demonstrate that such vital use cases are not being the radio spectrum. Our technical rules a clear need for exclusive use of supported. are the same for devices operating on a frequencies within their facilities and Priority Access or GAA basis to allow qualified applicants should be assigned E. Regulatory Status Citizens Broadband Radio Service users frequencies from the Priority Access Background. In the FNPRM, we to effectively access both tiers using the spectrum pool. WISPA argues that CAF proposed to allow Citizens Broadband same equipment. We also observe that frequencies should be taken from Radio Service users to select whether to the public interest requires us to balance Priority Access channels and not GAA provide service on a common carrier or opportunities for greater engineering frequencies. Motorola Solutions non-common carrier basis, regardless of efficiency against other goals. For contends that CAFs should be permitted whether they operate in the Priority example, we understand that in many for campuses that include outdoor areas Access tier, GAA tier, or both. Users that cases it may be most efficient to define and that CAF authorizations should be elect to offer services on a common interference protection with respect to made available on a temporary basis at carrier basis would be required to aggregations of signals received by a emergency incident scenes. The comply with all of the Commission’s protected receiver. At the same time, American Petroleum Institute, UTC, and rules applicable to common carriers. this type of approach raises questions of other utility companies also argue that This is consistent with our approach in equity and complexity. While we have CAFs should include outdoor areas. other licensed services. We sought endeavored to accommodate as much Federated Wireless supports the comment on this proposal. technical flexibility and use-case Commission’s CAF proposal but urges Verizon supports the Commission’s diversity as possible in the initial rules the Commission to expand access to the proposal. WISPA argues that Priority (in some respects, more than other CAF designation and incorporate Access Licensees should be permitted to ‘‘flexible use’’ radio services), we additional commercial uses into its select whether to provide service on a necessarily have had to simplify in ways rules. Specifically, Federated suggests common carrier or non-common carrier that we believe will accelerate use of the that the class of eligible users should be basis on their license applications. band. We recognize that innovation expanded beyond the ‘‘critical users’’ However, WISPA contends that GAA requires iteration. We expect that as the that the Commission proposed. users should not be permitted to select band develops, we will occasionally Federated argues that the CAF should be common carrier status since GAA users revisit the rules in ways that increase defined as any ‘‘any contiguous are not required to file an application the technical flexibility—and therefore boundary that encompasses both indoor and the Commission does not have an the economic productivity—of the and outdoor locations’’ and should established process to accept and track Citizens Broadband Radio Service. include additional conditions such as a submissions by GAA users. 1. General Radio Requirements minimum size requirement. Federated Discussion. After review of the record, suggests 500 square meters. Federated we adopt our proposal to allow GAA a. Digital Modulation believes that instead of being limited to users and Priority Access Licensees to In the FNPRM we proposed that 20 megahertz, a CAF rule should apply select whether they will provide service systems operating in the Citizens to all GAA frequencies. Several on a common carrier or non-common Broadband Radio Service use digital commenters also opined on the types of carrier basis. We agree with Verizon that modulation techniques and sought entities that should be eligible to be ‘‘[a]n entity’s decision to operate as comment on this proposed rule. There CAF users. For instance, the American either a Priority Licensee or as a GAA was no objection to this proposed rule. Petroleum Institute, UTC, and others user should not affect how it is Digital modulation technology has contend that the definition of CAF regulated or the services it can provide.’’ become an embedded and essential should be clearly defined to include Moreover, this approach is consistent component of today’s wireless critical infrastructure entities. WISPA with Commission precedent in other broadband devices. Therefore, we adopt argues that qualified users should be bands. the requirement that CBSDs use digital limited to hospitals, utilities, public We do not agree with WISPA’s modulation techniques. safety organizations, and local contention that GAA users should not governments. be permitted to provide common carrier b. Emissions and Interference Limits Discussion. After review of the record, services. We believe that it is in the Background. In the FNPRM, we we decline to adopt the CAF proposal. public interest for Citizens Broadband sought comment on specific out-of-band The final rules only allow fixed Radio Service users to be able to utilize emission (OOBE) power levels for CBSDs—as opposed to the fixed and the same equipment interchangeably— CBSDs and End User Devices. We

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proposed applying the long-standing operate under the emission limits On the other hand, SIA advocates for OOBE attenuation requirement of 43 + proposed by the Commission. significant separation distances and 10 log (P) dB (equivalent to ¥13 dBm/ Qualcomm states that while NSN’s OOBE limits to prevent harmful MHz), to all emissions from CBSDs and proposal to reuse 3GPP Band 42 and 43 adjacent band interference. SIA observes End User Devices outside of any plans is not unreasonable, the better that the Commission’s ‘‘choice of ‘band channel assigned by the SAS. We also path forward would be to define a new edges’ and the frequency ranges in proposed a 30 megahertz transition gap 3GPP band class for the 3.5 GHz Band which it proposes to impose a stricter above 3650 MHz and below 3550 MHz because doing so would offer more OOBE limit (beyond 3550 MHz and with an OOBE limit of no more than flexibility for purposes of setting OOBE 3650 MHz) do not make a great deal of ¥40 dBm/MHz for emissions above limits. AT&T states that the sense if the goal is to protect adjacent 3680 MHz and below 3520 MHz. Commission’s proposed OOBE rules band FSS earth station receivers We sought comment on whether the differ considerably from those for other operating at 3600 MHz and above.’’ proposed transition gap is in the range bands used for mobile broadband However, SIA agrees with the of existing filter technology and whether service. AT&T argues that the Commission’s observation that ‘‘a more the gap could be smaller. We also noted Commission’s proposed OOBE limits stringent limit would enable closer in the FNPRM that there has been are too extreme because, unlike AWS– proximity of neighboring service considerable technological advancement 4, receivers and transmitters in the 3.5 operations.’’ SIA presents an in transmitter and receiver technologies GHz Band will not be in extremely close engineering study by RKF Engineering, deployed in the mobile broadband proximity to one another. including an analysis of the required industry over recent years, such that BLiNQ Networks filed a 3.5 GHz Band line-of-sight separation distances more stringent out-of-band emission co-existence study with a proposal to between a CBSD and an FSS earth limits may be practical without undue allow higher conducted CBSD transmit station as a function of OOBE limit burden to manufacturers and operators. power and limit adjacent channel (¥13, ¥40, and ¥50 dBm/MHz) and In the FNPRM, we noted that a more leakage by defining a power ratio the earth station off-axis angle. The stringent OOBE limit would enable relative to the authorized carrier power. study shows separation distances of tens closer proximity of neighboring service BLiNQ proposes to limit adjacent ¥ of kilometers required to control operations while still protecting the channel power to 30 dBm/MHz aggregate interference with an OOBE operations of earth stations in the C- beyond 2.5 times the channel limit of ¥13 dBm/MHz, while the Band and DoD systems. We sought bandwidth offset and proposes to limit required separation distances with a comment as to whether the OOBE limit out-of-band emissions outside the 3.5 tighter OOBE limit of ¥50 dBm/MHz at greater offsets than 30 megahertz GHz Band to ¥40 dBm/MHz beyond 40 ¥ are between 100 m and 1 km, depending above or below the band edge should be megahertz offset and to 50 dBm/MHz on the off-axis angle to the FSS earth more stringent, such as to a level below beyond 60 megahertz offset. BLiNQ station. ¥50 dBm/MHz, and whether the in- presents calculations, for base station Discussion. After review of the record, band emission limits outside of any radios (i.e., CBSDs), of protections we adopt emissions and interference channel assignment should be more distances to C-band earth stations for limits that will further the stringent (i.e., at a lower power spectral various combinations of propagation Commission’s goals and promote density) than ¥13 dBm/MHz. path models and OOBE levels, resulting The record reflects divergent views effective coexistence of different users in large variations in computed in the band. Specifically, we adopt the regarding appropriate OOBE limits. protection distances and poor spectrum following: Some commenters support the proposed utilization for worst case assumptions. • ¥13 dBm/MHz from 0 to 10 OOBE attenuation requirement of 43 + Importantly, BLiNQ, and others, megahertz from the SAS assigned 10 log (P) dB (¥13 dBm/MHz) adjacent conclude that limiting OOBE is more channel edge to and outside the band, as well as a 70 critical to protecting incumbent • ¥25 dBm/MHz beyond 10 + 10 log (P) dB (¥40 dBm/MHz) OOBE services, than minimum geographic megahertz from the SAS assigned level 30 megahertz outside of the distance separation to limit receiver channel edge down to 3530 MHz and up Citizens Broadband Radio Service (low noise block downconverter, or to 3720 MHz operating band. Motorola Mobility LNB) saturation. • ¥ supports the overall proposed OOBE Google argues that OOBE rules should 40 dBm/MHz below 3530 MHz limits and argues that 10 and 20 not adopt a one-size-fits-all limit to and above 3720 MHz megahertz LTE channels should not protect adjacent services from harmful We recognize that these emission limits encounter any problems in meeting interference. Instead, Google states that are more stringent than what we such limits. Motorola Mobility urges the the rules should recognize that device proposed in the FNPRM. However, we Commission to refrain from adopting performance may result in lower also observe that these limits are a any limit more stringent than proposed emissions than the ¥13 dBm/MHz logical extension of multiple proposals in the FNPRM (e.g., ¥50 dBm/MHz). standard and enable SASs to take in the record, which reflects more On the other hand, NSN and AT&T improved performance into account stringent requirements at greater offsets state that the Commission should when determining which spectrum is from the band, and are consistent with harmonize its OOBE rules with the available for a device in a given the capabilities of the equipment and existing 3GPP standard. NSN points out operating environment. NTIA lab services likely to be deployed in this that the use of ¥40 dBm/MHz at a measurements of emission spectra for band. Some commenters suggest that the frequency offset of 30 megahertz would several commercial devices that operate Commission should harmonize with the not comply with 3GPP TS 36.101 Out- within the 3.5 GHz Band demonstrate existing 3GPP standards. Industry of-Band Emission limits of ¥25 dBm/ emission performance and OOBE power standards typically cover many radio MHz for 10 megahertz channels beyond levels significantly below the levels options and variations (e.g., many a 10 megahertz frequency offset for End proposed in the FNPRM, and with bandwidths, base station types, user User Devices. According to NSN, this transition bandwidths narrower than 30 equipment types, modulation types), would imply that Band 42 and Band 43 megahertz to achieve OOBE levels resulting in many different OOBE power user equipment would not be able to below ¥40 dBm/MHz level specifications. We believe that the

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Commission’s rules can simultaneously technologies. We acknowledge that this baseline threshold for the maximum be supportive of such flexible and is more stringent than the proposed permitted aggregate signal level from all evolving standards, while also being limit which did not have such an CBSDs at the borders of PALs. We stated technology neutral, and not overly intermediate limit. However, based on that Citizens Broadband Radio Service prescriptive. our review of the record, existing users should ensure that the aggregate We agree with Google that the standards, and the NTIA measurements, signal level from their CBSDs as well as approach to interference limits and we believe that adopting this limit will the aggregate transmissions from their service protection should recognize that allow for greater spectrum efficiency associated End User Devices at the edge device performance may exceed through shorter coupling distances and of their authorized service boundaries industry standards and baseline reduced interference potential while not remain at levels that would not harm regulations. However, the baseline having a significant impact on other CBSDs in the same or adjacent standards and rules must be balanced equipment cost. service areas. For small cell networks, and sufficiently stringent to ensure that We also address the size of the industry standards and studies have spectrum sharing between diverse radio transition gap. While some commenters shown, so long as interference rise over services and license types will work. supported the proposed 30 megahertz noise (IoT) remains at or below 20 dB They should also address a wide range transition gap from the upper edge of an and 55 dB for picocells and femtocells, of technologies, standards, and radio authorized CBSD channel to an out-of- respectively, performance is not types (e.g., end user devices, access band emission limit of ¥40 dBm/MHz, impaired. Based on the industry studies, points, small cells, base stations, etc.) there would be a significant impact on and taking into account reasonable without being excessively complicated the required separation distance distance between authorized user or stifling innovation. BLiNQ proposes between CBSDs operating just below operations, we proposed a maximum an adjacent channel leakage ratio 3700 MHz, and C-Band earth station aggregate signal level threshold of ¥80 (ACLR) for first and second adjacent receivers operating between 3700–3730 dBm with reference to a 0 dBi antenna channels. However, BLiNQ’s proposal MHz, where the higher (¥13 dBm/MHz) in any 10 megahertz bandwidth, at a appears to only address base station OOBE limit applied. height of 1.5 meters above the ground radios and not end-user devices. We We disagree with AT&T that our level, anywhere along the boundary of recognize that end-user device radios proposed OOBE limit is too stringent. a PAL license area. Furthermore, we may have different adjacent channel NTIA measurements show that the proposed a minimum adjacent channel performance requirements as compared OOBE of commercial products can be and in-band blocking interference to base station requirements in industry lower than ¥40 dBm/MHz at offsets threshold not to exceed ¥30 dBm/10 standards (e.g., 30–33 dB ACLR for end higher than 20 megahertz. Based on megahertz with greater than 99% user equipment versus 45 dB ACLR for these measurements, we adopt a 20 probability. We also proposed to allow base stations). However, because we are megahertz transition gap instead of our neighboring PALs to coordinate and adopting conducted power limits for proposed 30 megahertz transition gap. mutually agree on higher or lower signal end-user devices that are similar to the This more stringent requirement level thresholds. We sought comment rules for CBSD conducted power limits, appears to be practically realizable with on these proposals. we can adopt one set of OOBE rules to existing state-of-the-art products at little Commenters offered a range of cover both CBSDs and End User Devices or no added cost and will provide positions on what would constitute an thereby avoiding adding more superior protection to FSS and DoD acceptable signal level at the boundary complexity to the emission rules. systems as compared to our original of each service area. Notably, WISPA Additionally, we must consider the proposal. We therefore adopt ¥40 dBm/ and Federated Wireless support the OOBE limits in context of our decision MHz as the OOBE limit for End User Commission’s proposal to establish a to include the 3650–3700 MHz band as Devices and CBSDs, at frequencies signal strength limit along the borders of part of the 3.5 GHz Band. The existing above 3720 MHz and below 3530 MHz. individual license areas. Motorola part 90 rules for that band segment Motorola Mobility argues that larger Solutions agrees and states that a ¥80 specify a ¥13 dBm/MHz OOBE limit aggregated channels above 20 megahertz dBm limit would be an acceptable above 3700 MHz, while the proposed up to 40 megahertz in bandwidth may initial starting level. Some commenters OOBE limits in the FNPRM above 3700 not be possible because a 30 megahertz believe using 3GPP standards for Band MHz were ¥40 dBm/MHz. transition gap would be too narrow to 42 and 43 and a reference sensitivity As an initial matter, we note that meet the ¥40 dBm/MHz limit outside limit of ¥96 dBm over a 10 megahertz adopting a ¥13 dBm/MHz OOBE limit of the 3.5 GHz Band. We are not channel bandwidth would be for the first 10 megahertz beyond the convinced that OOBE limits should be appropriate. Commenters including SAS assigned channel edge is raised or the transition gap should be AT&T, Motorola Solutions, and WISPA reasonably supported by industry wider, at the expense of less spectral agree that, regardless of the maximum standards and existing technologies, it is efficiency and increased risk of signal level set at the border, individual consistent with the limits for other interference to incumbent systems. licensees should be allowed to agree on Commission regulated services, and it is Finally, we encourage industry to alternate signal levels appropriate to non-controversial among commenters. establish improved emission standards their network configurations. Similarly, based on the NTIA and reception performance for both the Verizon argues that rather than using measurements, the 3GPP emission mask protection of incumbent and future a one-size-fits-all specification, a for user devices and base stations, and radio services. Improved performance in multilevel interference framework with the WiMAX spectrum emission mask for these areas, could allow for denser different regimes (areas, channel sets) 10 megahertz bandwidth equipment, we deployment of CBSDs closer to for managing the allowed frequency find that an emission limit of ¥25 dBm/ Incumbent Users, and more efficient use reuse density to achieve different IoT MHz at frequency offsets beyond 10 of the 3.5 GHz Band. targets would advance the megahertz from the SAS assigned Commission’s objectives. Google channel edge up to 3530 MHz and 3720 c. Received Signal Strength Limits contends that a fixed maximum signal MHz is also reasonably supported by Background. In the FNPRM, we level of ¥80 dBm along license area industry standards and existing indicated that the SAS should have a boundaries does not reflect actual

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network deployment parameters and interference power spectral density GAA radios in the band, up to a power could lead to inefficient use of the band. level is enforced by rule for adjacent spectral density level not to exceed ¥40 It argues that it would be more efficient and alternate channels. dBm per 10 megahertz with greater than for the SAS to assign a PAL’s Discussion. After a thorough review of 99% probability. boundaries based on the actual the record, we believe that establishing We also acknowledge that licensees characteristics of a licensee’s proposed a baseline maximum signal level along may have a legitimate need for network equipment, CBSD locations, license area boundaries will help foster flexibility in their network and the physical characteristics of the effective coexistence in the 3.5 GHz deployments, which may not all fit into area where that network will operate. Band. We also find that licensees should the dense small cell category and Similarly, Wireless Innovation Forum be permitted to agree to lower or higher therefore may tolerate lower or higher contends that the appropriate signal acceptable maximum signal levels levels of interference. It is our policy to threshold should be network dependent appropriate to their particular network encourage technical flexibility wherever and that a general received signal configurations. We believe that the possible and it is clear from the record strength limit should be determined by aggregate ¥80 dBm per 10 megahertz that several commenters desire such PAL and GAA service providers. It signal threshold at the service flexibility here. By leveraging the contends that a multi-stakeholder boundaries proposed in the FNPRM is capabilities of the SAS, licensees will working group is the proper forum for wholly appropriate for the dense cell hopefully be able to reach agreement on determining the appropriate maximum deployments and relatively small maximum signal thresholds that will signal threshold along license area license areas that we expect in this maximize the utility of the band, borders. band. Therefore, we adopt our proposal promote spectral reuse, and facilitate for aggregate received signal level at a With regard to adjacent reception efficient network planning. As such, we PAL license boundary to be at or below limits, Pierre de Vries, Senior Fellow find that holders of geographically and an average (rms) power level of ¥80 and Co-Director of the Spectrum Policy spectrally adjacent licenses may dBm when integrated over a 10 MHz Initiative at the Silicon Flatirons Center mutually consent to different thresholds reference bandwidth with the at the University of Colorado at Boulder, than the mandatory baseline. Such measurement antenna placed at a height argues that such limits will facilitate agreements must be communicated to of 1.5 meters above ground level. We productive coexistence among Priority an SAS Administrator. The SAS also recognize that the PAL licensees Access Licensees, whereby dynamic Administrator shall enforce these may agree to an alternative limit besides agreements to the extent that such frequency assignment requires an ¥ 80 dBm at their service boundaries agreements do not conflict with its other explicit statement of the interference and communicate it to an SAS. rights and responsibilities of receivers. responsibilities under the rules or cause Moreover, these signal level impermissible interference to other NSN states that systems likely to operate requirements will not apply to adjacent in this band should follow the technical Citizens Broadband Radio Service users license areas held by the same Priority of the same or higher tier. specifications of standards bodies such Access Licensee. We recognize that as 3GPP, and the Commission should ensuring compliance with this limit at 2. CBSD Requirements not specify minimum receiver the boundary is likely challenging on a standards. Motorola Mobility states that a. CBSD Categories and Power real-time basis and there are legitimate Requirements receiver limits should be set by questions relative to how to develop standards organizations and the appropriate predictive models. We also Background. In the FNPRM, we adoption of any guidance by the recognize that the use of an aggregate defined CBSD categories based on Commission should be voluntary. metric could be challenging in a multi- multiple use cases. We proposed a Motorola Mobility also argues that, if user environment. We encourage any baseline maximum conducted power of the Commission concludes that a multi-stakeholder group formed to 24dBm per 10MHz (Power Spectral mandated receiver requirement is address technical issues raised by this Density of 14dBm/MHz) and, maximum necessary, it should not be more proceeding to consider how this limit EIRP of 30dBm for CBSDs. We noted stringent than 3GPP in-band blocking should be applied. As an initial matter, that this proposal was consistent with specifications and the Commission we will apply the limit through the values commonly assumed in should define separate requirements for measurements at the license area various studies for small cell base in-band and out-of-band blocking. Pierre boundary at times of peak activity. stations. We also proposed higher power De Vries states that ¥30 dBm per 10 Furthermore, we believe that efficient limits for rural CBSDs. Specifically, we megahertz is reasonable and use of the band by both Priority Access proposed that rural CBSDs have conservative, and cites drive test field Licensees and GAA users requires not flexibility to transmit a maximum data that suggests that ¥30 dBm per 10 only the specification of emission limits conducted power of 30dBm per 10 megahertz, 99th percentile, could be but also the protection limits that megahertz (Power Spectral Density of lowered by 5 dB or more, leading to should be afforded to PAL receivers, 20dBm/MHz) and EIRP of 47dBm. For more operational flexibility for without mandating receiver purposes of this rule part, we proposed licensees. Furthermore, Motorola performance specifications. We agree that a rural area be defined as a county Solutions believes that ¥30 dBm per 10 with Pierre de Vries that a baseline (or equivalent) with a population megahertz is too burdensome and reception limit lower than ¥30 dBm per density of 100 persons per square mile implies more adjacent channel 10 megahertz is appropriate and will or less, based upon the most recently selectivity than is feasible in typical lead to more operational flexibility to available Census data. The FNPRM also broadband system designs, and would licensees. We also agree with Motorola proposed a third category of CBSD limit CBSD system (weak signal) Solutions’ recommendation of a deployment for fixed point-to-point coverage in areas with strong adjacent threshold no higher than ¥40 dBm per (PTP) CBSDs with maximum conducted channel signals. Motorola Solutions 10 megahertz. Therefore, we adopt the power not to exceed 30dBm per 10 MHz recommends an interference rule that Priority Access Licensees must (Power Spectral Density of 20dBm/ requirement no higher than ¥40 dBm accept adjacent channel and in-band MHz) and EIRP of 53dBm. We also per 10 megahertz if a general fixed blocking from other Priority Access or indicated that the maximum operational

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EIRP of individual base stations might range of EIRP limits and argued that by Radio Service users, and to avoid be reduced by the SAS to prevent adopting intermediate power limits potential interference into the interference and promote efficient between the baseline 30dBm EIRP limit incumbent services, Category A CBSDs network operation. and the 53dBm EIRP point-to-point shall not be deployed or operated Commenters diverged greatly with limit, the Commission can enable outdoors with antennas exceeding 6 regard to the maximum allowable power innovative use cases, including non- meters Height above Average Terrain. for devices operating in the band, with line-of-sight (NLOS) point-to-multipoint We believe that the majority of Category many supporting variable power limits backhaul. For fixed PTP systems, AT&T A devices will likely be deployed for different use cases. For instance, and Motorola Solutions both advocate indoors or at street level. As discussed AT&T, Google, Motorola Solutions, and for a 53 dBm EIRP allowable power in greater detail below, Category B NSN support a 36dBm maximum EIRP limit. devices may be used for outdoor uses in for baseline CBSDs. CTIA also argues Discussion. We believe that it is other configurations such as non-line-of- that the power levels proposed in the vitally important to establish flexible, sight backhaul. FNPRM are too low for effective small yet simple, rules that would allow for a Category A CBSDs must also provide cell deployment. Verizon advocates up wide variety of innovative services to be certain essential information about their to 46dBm EIRP for baseline CBSDs. deployed in the 3.5 GHz Band and we configuration, location, and operation Alcatel-Lucent argues for 30dBm are encouraged that many commenters (e.g., EIRP) when registering with an maximum power for indoor CBSDs and share this view. Ensuring that the band SAS. However, due to their relatively greater than 30dBm for outdoor CBSDs. is available for multiple use cases small footprint, information about Alcatel-Lucent also contends that for should encourage rapid network antenna configuration (other than EIRP) outdoor cells, allowing greater than the deployment, promote the development need not be transmitted to the SAS. proposed 30dBm (1W) limit could foster of a robust device ecosystem, and help Assuming a relatively large number of rapid deployment in the 3.5 GHz Band. to ensure the long-term viability of the Category A CBSDs, this will simplify Sony supports the Commission’s band. It is also important that we frequency coordination in the band. proposed maximum power of 30dBm. provide interference protection to Category A CBSDs do not have to be Shure contends that 20dBm EIRP would Incumbent Users and Priority Access professionally installed. However, as be sufficient to characterize devices Licensees. To advance these goals, we described in Section III(F)(2)(b), geo- with low interference potential. define two categories of CBSDs. location data must be provided by a NTIA states that 30 dBm per 10 MHz Category A and Category B CBSDs will professional installer if this information channel maximum EIRP would be be defined mainly by their maximum cannot be automatically reported by the appropriate for CBSD deployment conducted power and deployment CBSD. Once registered with an during the first phase of the proposed conditions. Both CBSD categories will approved SAS, Category A CBSDs may commercial-federal sharing proposal be available for GAA and Priority operate throughout the entire 3550– described in Section III (G) (1). In Access use (with certain caveats, 3700 MHz range, provided they respect subsequent phases, NTIA indicates that described below). This commonality of protections for Incumbent Users. higher power CBSDs could be permitted technical rules throughout the Citizens Category B CBSDs will be authorized provided that relevant CBSD parameters Broadband Radio Service will ensure to operate at higher power than Category required to protect radar operations at that equipment can switch between A, providing greater flexibility and higher power levels are determined GAA and PA authorizations over time ensuring ongoing compatibility with through the SAS and ESC approval and without changing network coverage existing 3650–3700 MHz operations. In authorization process. footprint. non-rural areas, the conducted power For rural CBSD deployments, Category A represents a lower-power limit is the same as Category A (24 Qualcomm and Motorola Solutions use (small cells being the paradigmatic dBm), but the EIRP limit is 40 dBm. In support maximum EIRP of 47dBm and example) that we expect will be widely rural areas, the conducted power limit believe the FCC should allow the band prevalent in the 3.5 GHz Band. Category is increased to 30dBm per 10 MHz and to be used at higher power levels for A CBSDs will be limited to a maximum EIRP to 47 dBm EIRP per 10 MHz. As cellular deployments away from the conducted transmit power of 24 dBm implied by the difference between low coast. Along the same lines, Verizon and a maximum EIRP of 30 dBm in 10 conducted and higher radiated power asserts that 58dBm EIRP would be megahertz, but will be required to limits, Category B CBSDs can make use appropriate for non-baseline use cases. operate in accordance with instructions of more directional, higher-gain WISPA supports higher power from the SAS, which for interference antennas to achieve increased range. operations in rural areas and argues that prevention reasons, may authorize a Compared to an approach that merely the Commission should define ‘‘rural lower power level (see Sections 96.41 specifies a higher EIRP, our rule should area’’ in the same manner that the Rural and subpart F of the rules). These promote efficient use of the spectrum Utilities Service defines it for its parameters are consistent with the and facilitate greater coexistence with Community Connect program. This baseline small cell use case proposed in neighboring CBSDs. The higher rural definition deems an area ‘‘rural’’ if it ’’ the FNPRM and with NTIA’s phased power limits reflect challenges for is not located within: (i) A city, town, federal-commercial sharing plan. We deploying wireless coverage in rural or incorporated area that has a believe that the lower power limit for areas as well as decreased contention for population of greater than 20,000 Category A CBSDs will facilitate spectrum resources due to lower inhabitants; or (ii) An urbanized area coordination with existing federal population density in those areas. contiguous and adjacent to a city or operations—particularly before an ESC In order to realize these efficiencies, town that has a population of greater is developed and made commercially we require Category B CBSDs to provide than 50,000 inhabitants.’’ available—while allowing Citizens the SAS with additional information We also received transmit power Broadband Radio Service users to about antenna configuration, including recommendations from parties who deploy a variety of small cell the antenna gain, beamwidth, azimuth, would like to utilize the 3.5 GHz Band applications. downtilt angle, and antenna height for point-to-point and point-to- In addition, to facilitate coordination above ground level. Such information multipoint services. BLiNQ provided a with neighboring Citizens Broadband can help SASs more accurately estimate

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the signal transmissions from such high using such devices for outdoor to continue to provide service within power nodes and avoid harmful backhaul, coverage, or capacity for their existing network footprints. interference. In addition, as described in managed networks. While we Finally, we agree with WISPA’s Section III(F)(2)(b), Category B CBSDs acknowledge that some commenters, proposed definition of ‘‘rural area.’’ will be limited to outdoor deployments including Alcatel-Lucent, AT&T, Accordingly, for purposes of the and—due to their higher maximum BLiNQ, CTIA, and Verizon requested Citizens Broadband Radio Service, transmit power—they are required to be higher maximum power levels for ‘‘rural area’’ will be defined as any installed professionally. Crucially, as outdoor operations than we adopt in census tract which is not located within, discussed below in Section III(G)(1), this Report and Order, we believe that or overlapping: (i) A city, town, or Category B operations in the 3550–3650 the Category B criteria we adopt will incorporated area that has a population MHz band segment will only be allow a wide range of network of greater than 20,000 inhabitants; or (ii) permitted pursuant to authorization of deployments, including point-to-point an urbanized area contiguous and an appropriately calibrated ESC, and and point-to-multipoint transmissions, adjacent to a city or town that has a consistent with system parameters while maximizing coexistence between population of greater than 50,000 required to protect federal incumbent and within different tiers of user. Thus, inhabitants. We direct WTB to operations. we are not adopting specific rules for We believe that this approach point-to-point deployments as we promulgate a machine-readable list of addresses many of the concerns raised proposed. Moreover, these criteria are census tracts that meet the ‘‘rural area’’ by commenters that support higher consistent with permissible power definition. power operations in the band. levels and deployment characteristics in The table below summarizes the main Commenters supporting higher power the 3650–3700 MHz band and should technical and operational characteristics CBSDs typically express interest in allow current 3650–3700 MHz licensees of Category A and Category B CBSDs:

Maximum Maximum con- Maximum conducted Operations in 3550– Operations in 3650– CBSD category ducted power EIRP PSD (dBm/ CBSD installations 3650 MHz 3700 MHz (dBm/10 MHz) (dBm/10 MHz) MHz)

Category A ...... 24 30 14 —Indoor ...... Everywhere Outside Everywhere Outside —Outdoor max 6m DoD Protection FSS and DoD Pro- HAAT. Zone. tection Zone. Category B (Non- 24 40 14 —Outdoor only...... Outside DoD Protec- Everywhere Outside Rural). —Professional Instal- tion Zone & re- FSS Protection lation. quires ESC ap- Zone and DoD proval. Protection Zone. Category B (Rural) ... 30 47 20 —Outdoor only ...... Outside DoD Protec- Everywhere Outside —Professional Instal- tion Zone & re- FSS Protection lation. quires ESC ap- Zone and DoD proval. Protection Zone.

We are cognizant that the capabilities or use of contention-based American Datum of 1983, NAD83) of determination of power limits must protocols in CBSDs (or both), would each of their antennas to within ±50 reflect consideration of several different mitigate concerns about spectrum meters (horizontal) and ±3 meters public interest objectives with respect to congestion in urban areas. For example, (vertical). The proposed horizontal geo- the new Citizens Broadband Radio it might be possible that instead of the location requirement is consistent with Service. On the one hand, higher limits bright-line urban/rural distinction a similar requirement in the TVWS rules may provide more technical flexibility implemented in these initial rules, (See 47 CFR 15.711(b)). Such geographic for users of the band to increase industry stakeholders (perhaps working coordinates shall be reported to SAS at coverage with sparser network through a multi-stakeholder forum) the time of first activation from a power- topologies, potentially reducing could agree on a ‘‘congestion metric’’ off condition. We also propose that deployment costs. On the other hand, and associated methodology for SASs to CBSDs report their location to the SAS lower power limits may lead to greater reduce CBSD power levels in high- within 60 seconds of a change in spatial reuse of the band, reduced demand areas. We intend to continue an location exceeding the accuracy coexistence challenges, and increased informal dialog with stakeholders on requirement. This capability is used by aggregate network capacity. In this topic and welcome the submission a SAS to determine frequency establishing the power limits herein, we of additional technical analysis or availability and maximum power limits strive to strike a practical balance of reports of technological developments for CBSDs. these different considerations based on that can inform us going forward. AT&T asserts that the geo-location requirements proposed in the FNPRM the existing record. Nonetheless, we b. Geo-location and Reporting are not feasible. AT&T suggests that the remain open to the possibility that we Capability may allow higher power limits for Commission require that CBSDs report Category B non-rural use at a future Background. In the FNPRM, we stated their location but defer on specific point in time, either through our usual that for the SAS to accurately predict location accuracy requirements until the waiver process or through modification and evaluate potential interference and SAS is developed and agreed upon by of our initial rules. In making this channel availability, it must receive and a multi-stakeholder group. T-Mobile consideration, we will place store accurate location information for also requests that the Commission re- consideration on the extent to which all CBSDs. We proposed that all CBSDs evaluate the proposals for ±50 meters demonstrable advances in technology, must accurately report the location horizontal, ±3 meters vertical location such as advanced SAS coordination coordinates (referenced to the North accuracy, and CBSDs to report their

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location to the SAS within 60 seconds some conditions (e.g., outdoors with the SAS. We sought comment on this of a change in location particularly as clear line of site to GPS), automated proposal. they pertain to PALs. reporting of geolocation to our location Many commenters also support band- In its comments, Google also accuracy requirements is achievable. wide device operability because it questioned ±3 meters vertical accuracy Other conditions, particularly indoors, would open a wider range spectrum for and stated that such accuracy is not may prove to be more challenging. commercial use and give flexibility to technologically reasonable today and We will therefore permit professional the SAS to tune within the band to need to be revisited. Google also installers to report accurate CBSD select the best available frequency. submitted an ex parte filing arguing that location information in lieu of Some commenters, including existing ‘‘consumer devices should be able to automated reporting measures. Any 3650–3700 MHz band licensees, express report their location to a SAS either subsequent CBSD movement must be concerns about extending the Citizens through an automated capability or reported by a professional installer as Broadband Radio Service framework through the services of a trusted well. Since CBSDs will be fixed into the 3650–3700 MHz band. As installer.’’ Google contends that this installations, the professional described in detail in Section III(J), approach is consistent with Commission installation option should allow for these commenters claim that compelling precedent in the TVWS proceeding. network deployment in the near term existing licensees to change or replace Google agrees that the Commission’s while automatic geo-location existing equipment to comply with the rules should require communication technologies are tested and developed part 96 licensing framework would with the SAS whenever a controlling that meet our accuracy requirements. undermine the substantial investments access point device (CBSD) moves more that licensees have made in the band. Given the importance of accurate than 50 meters. AT&T contends that the Specifically, UTC contends that reporting by professional installers, we proposed 60-second reporting compliance with band-wide operability strongly encourage the SAS and user requirement may not provide sufficient requirements will necessitate equipment community, through multi-stakeholder time for a CBSD to obtain an accurate upgrades and changes which will fora or industry associations, to develop location fix, particularly indoors. On the impose significant additional costs on programs for accrediting professional other hand, SIA claims that a 60-second existing licensees. interval for geo-location reporting is too installers who receive training in the Commenters also express mixed long and notes that a shorter interval relevant Part 96 rules and associated opinions as to whether CBSDs and End may be necessary to enforce incumbent technical best practices. We note that User Devices should be required to be protection criteria. industry-led professional accreditation capable of operating in the 3.5 GHz Discussion. After thorough review of processes have proven successful in Band on a two-way, stand-alone basis. the record, we adopt the location other similar situations. In fact, Section CTIA, T-Mobile, and Verizon support accuracy requirements set forth in the 154(f)(4)(D) of the Communications Act rules that would allow Citizens FNPRM. We will allow location authorizes the Commission to ‘‘to Broadband Radio Service users to utilize information to be captured and reported endorse certification of individuals to either one-way or two-way technology to SAS as part of a CBSD’s initial perform transmitter installation, in the 3.5 GHz Band. These commenters registration either via automated operation, maintenance, and repair contend that the Commission should geolocation technologies or by a duties in the private land mobile adopt technologically agnostic rules that professional installer. This approach services and fixed services (as defined would not require or restrict particular allows for deployment in the band to by the Commission by rule) if such technologies in the 3.5 GHz Band. CTIA proceed as new automated new certification programs are conducted by contends that the Commission should technologies evolve to achieve the organizations or committees which are adopt rules that are independent of the capability to automatically and representative of the users in those type of air interface technology accurately meet our geolocation services and which consist of deployed in the band. Specifically, requirements in different environments. individuals who are not officers or CTIA argues that there is no reason for Accurate CBSD location is essential employees of the Federal Government the Commission to prohibit for coordinating interactions between (47 U.S.C. 154(f)(4)(D)).’’ Following the technologies, such as LTE-Unlicensed and among users in the band and for amendment of the Act to include this (LTE–U), that rely on bonded channels protecting Incumbent Users from Section, the Commission eliminated the in licensed bands. Verizon states that it harmful interference. Indeed, NTIA licensing requirement and strongly intends to deploy equipment and noted that CBSDs should transmit geo- encouraged organizations or committees devices that are capable of bi-directional location information to the SAS and representative of users in the Private operation in the 3.5 GHz Band but urges SASs should use that information to Land Mobile Radio and Private the Commission to avoid any mandate determine permissible operational Operational-Fixed Microwave Services that would restrict how the spectrum is parameters. Without accurate location to establish a national industry used. data, SASs will be unable to effectively certification program or programs for A number of commenters, including determine where and at what power technicians but left the development of Federated Wireless, Google, NCTA, levels CBSDs should be authorized or and details concerning such a program Open Technology Institute, and Public effectively discontinue their operations to the private sector. Knowledge have expressed concern that to protect Incumbent Users. To this end, that the use of LTE–U/Licensed Assisted c. Band-wide Operability we also note that our rules require Access (LAA) technology in the 3.5 GHz authentication of CBSDs with an SAS Background. In the FNPRM, we Band could negatively affect and require that SAS Administrators proposed to require that CBSDs have the competition and innovation in the band. maintain the accuracy of stored data, ability to operate across all frequencies NCTA contends that LAA’s reliance on including CBSD records. The latter from 3550–3700MHz. We noted that this licensed spectrum would raise barriers requirement places a duty on SAS proposal would ensure that all CBSDs to access for new entrants and give Administrators to take reasonable steps and End User Devices certified to carriers with existing licensed spectrum to validate newly entered data and to operate in the band would be capable of an advantage in the band. As such, purge obsolete data. We believe that, in utilizing any frequencies assigned by NCTA argues that the Commission

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should prohibit tying access to GAA Commission’s longstanding policies by an SAS. We sought comment on frequencies to the use of a control promoting technological neutrality and these proposals. channel in a licensed band. Google and competition in emerging bands. We Many commenters generally agree Federated wireless argue that devices believe that the 3.5 GHz Band could with the concept of CBSDs registering should be capable of operating across potentially engender a wide diversity of with the SAS. Microsoft suggests that the entirety of the 3.5 GHz Band in a network deployments, including by there should be limits on the stand-alone manner, without relying on some non-traditional entrants that do information the SAS collects and the any other band. Public Knowledge and not operate mobile networks in other time it maintains records for CBSDs. the Open Technology Institute agree and spectrum. To this end, we will observe Sony also recommends that to better contend that all equipment operated in the development of technology manage coexistence among PAL the 3.5 GHz Band should be capable of standards for this band, with an eye licensees and GAA users, each SAS operating on a standalone basis and that toward ensuring they include, rather should store the actual operational no standard incorporating 3.5 GHz than preclude, a wide variety of uses information of CBSDs and End User frequencies should require access to and users. Devices registered with it. Some exclusively licensed frequencies to In addition, as described in greater commenters expressed concern about function. They also urge the detail in Section III(J), we exempt the SAS having information on detailed Commission to require any technology existing Part 90 equipment used by operational parameters of mobile standard adopted for use in the 3.5 GHz Grandfathered Wireless Broadband networks as well maintaining the Band to be licensed on fair and Licensees from the band-wide confidentiality of sensitive information. reasonable (FRAND) terms identical to operability requirement and provide Motorola Solutions also asserts that, those adopted by the IEEE and that the such licensees with a reasonable similar to the TVWS rules, if a CBSD Commission adopt a spectrum etiquette transition period during which their cannot successfully query an SAS rule, similar to the requirement for a existing operations will be protected. within a designated period of time it contention-based protocols in the 3650– After the transition period, such should cease its operation in the band. 3700 MHz band. equipment will continue to be exempt Discussion. The Citizens Broadband Discussion. After review of the record, from the band-wide operability Radio Service framework depends on we conclude that all CBSDs must be requirement but must otherwise comply SAS authorization of commercial use capable of two-way transmissions on with the rules applicable to CBSDs, and protection of incumbents. In order any frequency from 3550–3700 MHz as including SAS registration. These rules to perform this function, it is essential instructed by the SAS. Ensuring that all address some of the concerns raised by for the CBSD to provide the SAS with devices in the band are able to operate 3650–3700 MHz band licensees and necessary information about its on any assigned frequency will promote their representatives regarding the threat operations prior to transmission. We innovation and flexibility in the band. to existing investment posed by a band- therefore require that as part of Indeed, this rule is necessary to make wide operability requirement. This rule registration, the CBSD should provide full use of the frequency assignment will facilitate the development of a the SAS with a number of operational capabilities of the SAS described in robust device ecosystem and promote parameters, including geographic Section III(H)(2)(c). Band-wide new investment in the band, and protect location, antenna height above ground operability will also help to establish a investments made by existing 3650– level (meters), CBSD operational consistent certification process for the 3700 MHz band licensees. category (Category A/Category B), entire band. We also clarify that this requested authorization status, unique d. Registration Requirements rule requires all CBSDs and End User FCC identification number, user contact Devices in the band to be capable of Background. In the FNPRM, we information, air interface technology, two-way operations across the entire proposed that a CBSD must register and unique serial number, and additional band. It does not require adherence to, receive authorization from an approved information on its deployment profile or interoperability with, a particular SAS prior to its initial service (e.g., indoor/outdoor operation). All transmission technology or air interface. transmission. We also proposed to information provided by the CBSD to We agree with commenters that argue define a CBSD as ‘‘Fixed or Portable the SAS must be true, complete, correct, that devices in the 3.5 GHz Band should Base stations, or networks of such base and made in good faith, and failure to be capable of two-way operation. We stations. . .’’ We therefore intended that provide such information will void the believe that this rule is crucial to registration could occur directly user’s authority to operate the CBSD. promote competitive access to the band, between a CBSD and an SAS or between We adopt additional registration encourage innovation, foster the a network of CBSDs (In the latter requirements for Category B CBSDs. development of a diverse equipment instance, an intermediary network Pursuant to Section 96.45, Category B ecosystem, and ensure that the band is management element/proxy would be CBSDs must register all information made available for a wide variety of required). Specifically, we proposed required under Section 96.39 as well as innovative uses by an array of potential that a CBSD must provide the SAS its antenna gain, antenna beamwidth, users, including standalone private geographic location, antenna height antenna azimuth for sector site, and networks that do not have recourse to above ground level, requested antenna height above ground level. mobile networks in other bands for authorization status whether it is These additional requirements could signaling and control. However, we also Priority Access or General Authorized provide the SAS with information conclude that CBSDs and End User Access, unique FCC identification necessary to perform effective Devices using the 3.5 GHz Band should number, user contact information, and propagation and interference mitigation not be required to operate in a two-way unique serial number. We also proposed analyses on these higher power devices. mode. We believe that adopting this that the CBSDs update the SAS if any This will help ensure the effective flexible rule, which allows licensees to of the original registration parameters coexistence of all tiers of user operating elect whether to make use of a device’s changes. CBSDs would be permitted to in the band. If any of the required two-way functionality, will provide operate only if authorized by the SAS registration information changes, the public interest benefits for the 3.5 GHz and if they follow frequency CBSD shall update the SAS within 60 Band. This rule is consistent with the assignments and power limitations set seconds of such change.

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We encourage multi-stakeholder been compromised. As described in proposed that the End User Device groups to consider the issues raised by Section III(H)(2)(d), we also proposed to transmit at an EIRP not to exceed the registration rules described in this require that the SAS employ protocols 23dBm per 10MHz. End User Devices Section, including acceptable contact and procedures to ensure that all would operate only if they could intervals between CBSDs and SASs, and communications and interactions positively receive and decode an to suggest appropriate operational between the SAS and CBSDs are authorization signal transmitted by a parameters. We also acknowledge accurate and secure and that CBSD, including the frequency channels concerns raised by commenters about unauthorized parties cannot access or and power limits for their operation. the security of information that will be alter the SAS or the list of frequencies This requirement would effectively retained by the SAS and the desire to sent to a CBSD. prevent End User Devices from keep certain sensitive information The record strongly supports the unauthorized operation in the 3.5 GHz confidential. These issues are addressed inclusion of robust security protocols Band and ensure that such devices in detail in Section III(H)(2)(a). for CBSDs and for communications operate only according to the between CBSDs and SASs. The record instructions transmitted from the SAS to e. Interference Reporting regarding secure communications the CBSD. As discussed above, we Background. It was suggested in the between CBSDs and SASs is described proposed that all CBSDs along with all FNPRM that, to help an SAS tune or in detail in Section III(H)(2)(d). End User Devices must contain security update its predictive propagation Discussion. Data security is features sufficient to protect against models and detect realistic interference fundamental to the successful modification of software by issues once CBSDs are deployed, the implementation of the Citizens unauthorized parties. CBSDs should be able to provide signal Broadband Radio Service. To this end, Some commenters support the idea of strength and interference level as described in Section III(H)(2)(d), we user devices transmitting power levels measurements. This capability is codify the requirement for secure based on the latest 3GPP standards and already widely used to facilitate communications between authorized believe that making this adjustment will interference and radio resource SASs and CBSDs. We also adopt promote global harmonization. NSN and management within cellular networks. It comprehensive procedures to test and Motorola Mobility recommend user could be used in the 3.5 GHz Band to certify CBSDs and associated End User device transmit power to be at help promote coexistence between Devices for operation in this band. maximum 25dBm (23dBm +2/-3). On different users. Notably, all CBSDs and End User the other hand, WISPA argues that the The record generally supports the Devices must contain security features user device power level should agree proposal to incorporate interference sufficient to protect against modification with the three different power levels for reporting into CBSDs. However, some of software and firmware by any CBSDs defined in the FNPRM. WISPA’s commenters contend that the details of unauthorized parties. Applications for view is that, the Commission should set such measurement/reporting should be certification of CBSDs and End User the maximum conducted power to be specified by industry forums. Devices must include an operational 30dBm/10 MHz with maximum EIRP of Discussion. We require that CBSDs be description of the technologies and 47dBm/10 MHz for end user devices in able to measure and report on their local measures that are incorporated in the rural areas. In WISPA’s view a lower interference levels and issues as set device to comply with the security EIRP limit would neutralize any benefits forth in the proposed rules. We requirements indicated in Section 96.39. intended by the higher maximum power encourage industry to develop detailed In addition, CBSDs and End User level proposed for CBSDs in rural area. metrics regarding issues like received Devices should be able to protect the Discussion. Based on industry signal strength, packet error rate, and communication data that are exchanged standard power levels for end user technology specific parameters of signal between these elements. SAS devices and comments received we and interference metrics. These metrics Administrators and CBSD operators maintain the proposed maximum EIRP could be developed by an industry who, in good faith, implement duly of 23dBm per 10 megahertz for end user multi-stakeholder group. Such guidance approved/certified SAS or CBSD equipment. We also conclude that End could be incorporated in the SAS security capabilities will be presumed, User Devices must only operate if they Approval process described in Section for enforcement purposes, to be can receive and decode an authorization IIIH)(3)(b) or incorporated compliant with the rules pertaining to signal sent by a CBSD, including the independently by authorized SAS those capabilities. Any subsequently frequencies and power limits for their Administrators, subject to Commission identified security vulnerabilities will operation. We agree with WISPA and review. This requirement is separate need to be resolved on a going-forward BLiNQ that End User Devices should from sensing requirements associated basis. We are mindful, however, of the operate under power control of an with ESC, discussed in Section III(I). limitations inherent in mandating any associated CBSD. This requirement is particular security technology or necessary to ensure that interference f. Security protocol through regulation. We levels can be effectively managed in the Background. The FNPRM emphasized encourage the industry to develop best band to protect Incumbent Access and the importance of data security and end- practices for end-to-end security that Priority Access Licensees from harmful to-end security for communications can be validated in the equipment and interference. among CBSDs, End User Devices, and SAS certification processes. We do not agree with WISPA’s the SAS. To that end, we proposed a assertion that End User Devices should security requirement for all 3. End User Device Requirements be permitted to operate at power levels communications between authorized Background. In the FNPRM, we equal to CBSDs. Adopting such a rule SASs and CBSDs. We also proposed to proposed that End User Devices must be would effectively authorize the adopt comprehensive procedures to test authorized and controlled by an SAS- deployment of innumerable higher and certify CBSDs and associated End authorized CBSD. These devices may power fixed and mobile devices in the User Devices for operation in this band not be used as intermediate service band not subject to direct SAS and to require the SAS to disconnect access links or to provide service to authorization. As stated previously, any device whose proper operation has other End User Devices. We also SAS-enabled coordination is essential to

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the success of the Citizens Broadband separation distances of several hundred On January 12, 2015, CTIA and Radio Service and is necessary to ensure kilometers. several of its member companies filed a stable and secure spectral In the FNPRM, we proposed to adopt an ex parte presentation advocating an environment for Incumbent Access the geographic Exclusion Zones approach to the protection of federal users. As such, we find that devices that described in the Fast Track Report as a incumbents that would incorporate need to operate at a higher EIRP than starting point for further updates and sensing technologies to promote 23dBm will be considered to be CBSDs analysis. In the FNPRM, we noted that dynamic access to spectrum in the 3.5 and subject to all CBSD requirements, preliminary studies had been performed GHz Band. In CTIA’s proposed including SAS registration. on the potential effects of small cells on approach, federal incumbents would be As described above, all End User radar operations, with additional able to choose between an ‘‘informing’’ Devices and CBSDs must also include studies planned, that could lead to a (i.e., incumbent notification driven) or necessary security features to protect reduction in Exclusion Zones in the non-informing (i.e., sensor-based) against modification of software and near future. We also noted that the rules solution—to be developed and managed firmware by any unauthorized parties. proposed in the FNPRM contemplate by private industry—for protection of Applications for certification of CBSDs additional uses other than small cells, their radar systems. CTIA also proposes and End User Devices must include an with varying maximum transmit power technical solutions based on LTE operational description of the levels and antenna gains, which must network deployments. technologies and methods that are factor into the consideration of The NTIA Letter recommends, among incorporated in the device to comply Exclusion Zones. We unambiguously other things: (1) Changes to the with the security requirements of this stated that we would continue our regulatory framework of the spectrum proceeding. dialogue with NTIA and other federal sharing model described in the 3.5 GHz agencies regarding reduction of the FNPRM; (2) a phased implementation 4. Other Technical Issues Exclusion Zones and noted that various and approval process for the SAS and in-progress technical studies could yield ESC; and (3) protection of commercial In the FNPRM, we proposed to apply information that would allow us to operations in the 3.5 GHz Band from our Part 1 RF Safety and Part 2 provide greater access to commercial federal radar systems. NTIA also Equipment Authorization rules to users in the band. We asked supplements the technical information CBSDs. The record did not raise commenters to submit data and studies presented in the Fast Track Report and objections, so we adopt these proposals. that could help with the analysis. provides an explanation of its recent We also emphasize that our equipment We also stated that we would explore technical work on these issues. authorization process is essential to the topic of dynamic coordinated access The phased approach described by ensuring that CBSDs and End User within the Exclusion Zones in future NTIA relies on an SAS and ESC Devices implement the various phases of this proceeding. We sought approved by the Commission to protect technical requirements in Part 96 that comment on allowing Citizens federal incumbent operations. NTIA are essential to the overall integrity of Broadband Radio Service operations asserts that these approval processes the Citizens Broadband Radio Service within Exclusion Zones and encouraged could take place simultaneously or framework. commenters to submit technical separately. G. Incumbent Protections analyses to support their positions. In the first phase, as recommended by Commenters overwhelmingly support NTIA, geographic exclusion zones 1. Federal Incumbent Protection reducing or eliminating the Exclusion would be established along the a. Multi-Phase Approach Zones presented in the Fast Track coastlines and around designated Report and proposed as a starting point ground-based radar locations. CBSDs Background. As we detailed in in the FNPRM. Qualcomm claims that with an EIRP up to 30 dBm as measured Section II(B), the 3.5 GHz Band is Exclusion Zones based on actual small in a 10 megahertz bandwidth would be currently used by a number of federal cell use cases could be less than 10 authorized to operate outside of the agencies for radiolocation operations. kilometers along the coastlines. Other Exclusion Zones during this phase but Federal operations in the band include commenters contend that, regardless of higher power operations would not be high-powered DoD radar systems using their size, exclusion zones should be permitted. Approved SASs would ground-based and shipboard platforms. reclassified as ‘‘coordination zones’’ to manage Citizens Broadband Radio In its Fast Track Report, NTIA allow licensees to establish coordination Service users outside of the Exclusion concluded that geographic separation agreements with incumbent users. Zones during this phase. Phase two and frequency offsets could be used to Some commenters propose that the would begin after an ESC that meets all minimize interference between Commission permit CBSDs to operate of the requirements set forth by the commercial networks and radar systems closer to the coastline when no federal Commission is approved and operating in the 3.5 GHz Band. radar systems are in use in the area. synchronized with at least one approved However, NTIA’s analysis at the time Google and Federated Wireless contend SAS. With the SAS and ESC in place, indicated that it would be necessary to that the Commission should adopt an the Exclusion Zones for the coastal areas put in place exclusion zones around the engineering-based protection standard and the ground-based radars would be coast to prevent incumbent operations rather than relying on static exclusion converted to Protection Zones. ESC and broadband wireless systems from zones. In addition, several commenters deployment near the borders of causing interference to one another. contend that sensing technologies could protection zones (i.e., not nationwide) NTIA concluded that effective exclusion play a role in enabling dynamic access would protect radars from interference. zone distances around ground-based to the 3.5 GHz Band. Notably, Google, NTIA indicates that the rules may radar systems would extend Federated Wireless, and Virginia Tech authorize CBSDs at higher EIRP levels approximately one to 60 kilometers, submitted a joint filing that argues that than 30 dBm provided that the relevant coupled with frequency offsets of 40 or a network of ‘‘dedicated listening system parameters required to protect 50 megahertz. Exclusion zones around devices’’ could eliminate the need for DoD operations at these higher levels certain high-power shipborne Naval permanent fixed exclusion zones are determined through the ESC radars would require over-land entirely. approval process. NTIA also indicates

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that the phased approach could be used Exclusion Zones are the product of higher levels are determined and to protect the three protected federal further analysis by NTIA engineers to implemented through the ESC approval radiolocation facilities in the 3650–3700 reevaluate the Exclusion Zone distances process. DoD may also add additional MHz band. with technical assistance from radar sites in the future through the In addition to the coastal exclusion Commission staff and DoD experts. The usual NTIA spectrum assignment zones, NTIA identifies a need to protect zones are 77 percent smaller than the processes, and the Commission will short-duration, non-emergency use of Exclusion Zones described in the Fast provide appropriate notice of any such shipborne radars during scheduled Track Report and more accurately additions and make the necessary visits to ports along inland waterways. reflect the types of devices and network ministerial amendments to its Table of NTIA suggests that, given the advance deployments that are likely to be used Allocations (47 CFR 2.106, note US433). notice associated with these types of in the 3.5 GHz Band. In addition, Once assigned, these new sites will be events, shipborne radars could be Exclusion Zones around ground-based accorded the same protections as other protected by temporarily extending the radar sites have been reduced to a 3 km radar sites in the band. Exclusion (or Protection) Zones to contour around the borders of protected This two-phase approach will also include these port areas. NTIA offers to locations from the 50–60 km Exclusion apply to the protection of the existing work with the FCC and DoD to develop Zones recommended by the Fast Track federal sites operating in the 3650–3700 the necessary procedures to adequately Report. MHz band and listed in 47 CFR 90.1331. protect these types of temporary During the first phase, no Citizens During phase one, these sites will be shipborne radar operations. Broadband Radio Service operations protected from commercial operations NTIA also states that a limited will be permitted in the 3550–3650 MHz in the 3650–3700 MHz band consistent number of facilities used by DoD and its band within the Exclusion Zones. with the static protection contours set contractors for the development and Outside of the Exclusion Zones, Citizens forth in 47 CFR 2.106, US 109. During testing of shipborne radars in the 3.5 Broadband Radio Service Licensees will phase 2, these sites will be protected by GHz Band must be protected from be permitted to deploy and utilize the ESC in the same manner as federal harmful interference. NTIA suggests that Category A CBSDs in the 3550–3650 sites in the 3550–3650 MHz band. Exclusion Zones be established around MHz band, consistent with the After the ESC and SAS are approved, these sites using the same methodology Commission’s rules. Phase one spectrum availability will be used to establish the coastal Exclusion deployments may begin once an SAS is determined and conveyed Zones but notes that site-specific approved and made available for automatically, promoting efficient use of characteristics may be employed to commercial use as set forth in Section the band and ensuring that federal reduce the impact of these Zones on the III(H)(3)(b). Incumbent Users are protected. We Citizens Broadband Radio Service. Phase two will begin when an ESC is believe that this approach is superior to NTIA indicates that additional time will developed, approved, and deployed as the ‘‘coordination zone’’ approach be needed to calculate these zones and described in Section III(I). The ESC will proposed by Verizon, Ericsson, and T- offers to work with DoD and the consist of a network of sensors— Mobile since it relies on technology to Commission to develop appropriate infrastructure-based, device-based, or a automatically provide information on protection criteria. combination of both—that will detect federal frequency use to an SAS for the Discussion. Federal use of the radio federal radars operating in and around benefit of all of its associated CBSDs. spectrum is generally governed by NTIA the 3.5 GHz Band and relay information This approach will be more efficient while non-federal use is governed by the regarding those transmissions to the and will advance our goals for the band Commission (See 47 U.S.C. 305(a), SAS in order to protect incumbent more effectively than requiring 902(b)(2)(A)). As such, we adopt the federal users. Sensors must be deployed individual licensees and federal phased approach to federal Incumbent in or near Exclusion Zones and near Incumbent Users to attempt to reach ad User protection generally described in federal ground-radar facilities to detect hoc coordination agreements and NTIA’s letter. We believe this approach federal spectrum use. Approved SASs implement the terms of such properly balances the need to protect will process the information agreements. It will avoid burdening current and future federal operations in communicated by the ESC and instruct military operators with significant new the band with the need to make the associated CBSDs to cease operations or spectrum coordination obligations and band available for commercial use in the move to unencumbered frequencies in will protect operational security. near future. During phase one, a large geographic areas where federal use has It should also be noted that operators portion of the country will be available been detected. The ESC will be managed may skip phase one entirely if they for Citizens Broadband Radio Service and operated by one or more develop an ESC simultaneously with the use as soon as a commercial SAS is commercial entities and will not require SAS. However, while the approval approved and made commercially day-to-day input or oversight from DoD processes for these systems will be available. During phase two, much of or NTIA. similar, they may be developed the rest of the country—including major As a consequence of ESC deployment separately. If an SAS is approved and coastal cities—will be made available in phase two, the Exclusion Zones will made commercially available before an for commercial use when no federal be converted to Protection Zones. ESC is available, the rules governing incumbent use is detected in a given Citizens Broadband Radio Service phase one deployments will apply until area by the ESC. This approach operations in the 3550–3650 MHz band an ESC is approved and connected to an addresses the concerns of commenters will be permitted within Protection approved SAS. and federal users in an equitable Zones, including major coastal cities, We acknowledge that there are several manner and provides a clear path except when the ESC reports federal use inland radar testing facilities that will toward dynamic sharing of spectrum in in the area. Availability of an ESC will require protection. We will work with the band. also allow use of Category B CBSDs in NTIA and DoD to determine appropriate We will establish Exclusion Zones the 3550–3650 MHz band portion, phase one protection criteria for these along the coast and around designated provided that the relevant system sites based on the engineering ground-based radar facilities, consistent parameters required to protect federal methodology used to determine the with NTIA’s recommendations. These Incumbent User operations at these revised coastal Exclusion Zones and

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taking into account any site-specific damage that may occur to receiver Analyses submitted on the record factors that may serve to minimize the components (often referred to as indicate that CBSDs can operate in close impact of these Zones on Citizens receiver ‘‘burnout’’), as well as proximity to active radar sites, even on Broadband Radio Service users. During temporary performance degradation a co-channel basis, without interrupting phase two, these sites will be protected such as receiver overload and receiver commercial transmissions. We note that by the ESC consistent with the saturation. NTIA’s latest analysis effort, performed procedures described in this Section In the FNPRM, we stated that Citizens in conjunction with Commission and and Sections 96.15 and 96.67 of the Broadband Radio Service users should DoD, to reduce the Exclusion Zones did rules. We will release a Public Notice take reasonable measures to protect not consider the potential interference detailing these protection criteria. their CBSDs from high-power radar impact to CBSDs from federal radar We will implement a coordination interference effects. We also sought systems. We encourage device procedure to protect temporary federal comment on whether and to what manufacturers to design equipment that naval radars—including visits to non- degree CBSDs should be protected— overcomes or avoids harmful homeports—from interference. Under geographically or otherwise—from radar interference from federal radar systems. this procedure, federal Incumbent Users interference. Consistent with NTIA’s will provide the Commission with Commenters overwhelmingly assert recommendation, Citizens Broadband notice of the location and scope of that the Commission should only Radio Service users will be required to temporary operations before such consider protection of federal radar accept interference—including operations commence. This requirement systems from commercial devices in potentially harmful interference—from will ensure that federal Incumbent devising protection criteria for federal radar systems as a condition of Users may receive protection when they incumbent systems. Notably, the their authorization. We require Citizens (infrequently) visit locations not Wireless Innovation Forum contends Broadband Radio Service users to covered by the coastal Exclusion Zones. that modern small cell devices can acknowledge that they understand and We will work with NTIA and DoD to successfully operate in the presence of accept the risk of interference from develop appropriate coordination interference that is several orders of ¥ federal radar systems. This requirement procedures. magnitude stronger than the 6 dB I/N is consistent with the approach we We also require SAS Administrators considered in the NTIA Fast Track adopted in the recent AWS–3 to implement protocols to respond to Report. In addition, some commenters proceeding and will apply to all directions from the President of the claim that commercial devices, Citizens Broadband Radio Service users United States or another designated particularly LTE devices, can provide regardless of their area of operation or federal entity to manually discontinue viable service in close proximity to their status as a Priority Access Licensee operations of its associated CBSDs in a radar transmitters. One set of lab tests or GAA user (See 79 FR 47106, August given area pursuant to 47 U.S.C. 606. showed that LTE and Wi-Fi devices 12, 2014). Such acknowledgements may SAS Administrators must also could operate as close as 0.6 km from be made through the SAS upon implement protocols to manually incumbent radars under favorable registering a CBSD. SAS Administrators discontinue operations of their conditions and as close as 20.7 km must develop policies and procedures to associated CBSDs in response to under worst-case scenarios. ensure that such acknowledgements are enforcement actions taken by the NTIA states that Citizens Broadband properly recorded and maintained. Radio Service users should be required Commission. These requirements are We will also continue to work with consistent with the Commission’s to accept harmful interference from NTIA and DoD to study the effects of enforcement responsibilities and its federal radar operations and take all federal radars on CBSDs, including the statutory obligation to comply with practical measures to design their effects of high-powered radar Presidential orders to suspend or amend systems to overcome or avoid the interference. As new devices are the rules and regulations governing interference in the event that it occurs. developed and made available for use in designated transmitters during times of NTIA recommends that all Citizens the 3.5 GHz Band, we hope to gain a war or national emergency (47 U.S.C. Broadband Radio Service licensees be better understanding of the effects of 606(c)). required to accept harmful interference from the federal radar operations in and radar signals on device performance. We b. Protection of CBSDs from Radar near the 3.5 GHz Band and design their hope that this work can proceed Interference systems to overcome such interference collaboratively with SAS Background. In the Fast Track Report, effects. NTIA also agrees with the FCC Administrators and Citizens Broadband NTIA considered interference to and that Citizens Broadband Radio Service Radio Service users going forward. from commercial systems in users should take reasonable measures 2. Protection of Incumbent FSS Earth establishing the exclusion zones. The to protect themselves from high-power Stations distances used to establish the radar interference since such a. FSS Earth Stations in the 3.5 GHz Exclusion Zones were based on the interference can cause damage to CBSD Band protection of commercial systems from receivers under certain conditions. federal radar systems and were NTIA offers to work with the FCC and Background. As noted in this considerably larger than the distances the DoD to analyze where high-power proceeding, the Commission has deemed necessary to protect federal interference effects to CBSD receivers licensed primary FSS earth stations to radars from commercial systems. The could potentially occur based on current receive on frequencies in the 3600–3650 analysis performed by NTIA in the Fast and future radar operations. MHz band (Extended C-Band). Track Report considered small-signal Discussion. After review of the record, Currently, FSS earth station facilities in interference (e.g., degradation of we agree with commenters that argue 35 cities are authorized to receive in the receiver noise floor, reduction of data that Exclusion and Protection Zones 3625–3650 MHz sub-band, and Airbus throughput rates, increases in block should only account for the protection DS SatCom Government, Inc. operates error rates) and high-power interference of federal radar systems from harmful two gateway earth stations (located effects to commercial receivers. These interference and not protection of northeast of Los Angeles and New York effects include permanent electrical CBSDs from federal radar transmissions. City) that provide feeder links for

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Inmarsat’s L-band mobile-satellite devices and an FSS earth station. power limit at the FSS earth station can service system. WISPA argues that the Commission be calculated, taking into account the The NPRM and FNPRM sought should avoid the arbitrary circular zones FSS earth station and Citizens comment on appropriate interference that currently overprotect FSS earth Broadband Radio Service system protection and mitigation strategies for stations in the 3650–3700 MHz band. characteristics and deployment incumbent FSS earth stations. We asked According to WISPA, the SAS should scenarios. SIA asserts that whether this about the use of advanced analytic also be informed on an annual basis that received power limit is exceeded should approaches to modeling interference the earth stations are in actual use. CTIA be determined using an aggregate from Citizens Broadband Radio Service references earlier Qualcomm comments Equivalent Power Flux Density (EPFD) devices into FSS earth stations. We also that argued that exclusion zones could calculation. SIA uses I/N criteria set asked whether the SAS could effectively be reduced to less than 10 miles. The forth in Recommendations ITU–R implement such a model, ensuring FSS Wireless Innovation Forum disagrees S.1432 and ITU–R SF.1006 for earth stations are protected while with the use of fixed geographic interference from non-primary maximizing the areas available for exclusion zones for FSS spectrum. (including adjacent band) sources and Citizens Broadband Radio Service Rather, the Forum argues that a interference from co-primary sources operations. We sought comment on roadmap for better receivers is into FSS earth stations for its analysis. what SAS functionalities would need to appropriate for FSS earth stations. The SIA recommends the following be required by rule and what Wireless Innovation Forum also aggregate interference criteria for in- functionalities could be specified contends that the roadmap proposal band FSS earth stations: through other means (e.g., industry should be addressed by a multi- • Long Term I/N = ¥13 dB, not to be standards). For example, we asked stakeholder group. exceeded for more than 20% of the whether field strength, power-flux Several parties argue that the time density, or some other technical metric, geographic protection zones around FSS • Short Term I/N = ¥1.3 dB, not to be measured in relation to the earth earth stations may be adjusted through exceeded for more than 0.001667% of station’s technical configuration (look coordination. Both NSN and Motorola the time angle, antenna characteristics, etc.), Solutions assert that Priority Access could provide FSS earth stations with Licensees should be permitted to SIA also contends that the aggregate adequate protections while maximizing negotiate with individual FSS earth power emitted by CBSDs at an FSS earth the available geographic area and station licensees for smaller protection station receiver will be a function of bandwidth for Citizens Broadband zones. SIA disagrees, stating ‘‘[I]t is not multiple factors: (i) The EIRP density of Radio Service users. We also asked clear how or even whether such an each CBSD transmitter in the direction about mitigation techniques, such as the option would work as a practical matter of the FSS earth station receiver (which use of filters to reduce or eliminate when it comes to large numbers of in turn depends on the CBSD’s harmful interference. mobile Citizens Broadband Radio maximum EIRP density and its antenna Commenters offered a variety of Service devices, or how such pattern and orientation); (ii) the FSS perspectives on these questions in the agreements would be incorporated into earth station’s receive gain in the record. A number of technical reports an SAS.’’ Other commenters argue that direction of each CBSD transmitter and analyses have been provided using coordination zones would increase the (which depends on the FSS receiver’s different assumptions about geographic utility of the spectrum. For example, T- antenna pattern and orientation); (iii) protection zones that may be required to Mobile asserts that coordination zones the distance between the FSS earth protect earth stations, both in-band and maximize the potential use of spectrum. station receiver and each CBSD in the adjacent C-Band. Filings in ICONECTIV states that coordination transmitter; and (iv) the intervening response to the NPRM included zones could allow more efficient sharing terrain between each CBSD transmitter submissions from media companies, of this spectrum with commercial users. and the FSS earth station receiver. SIA Comsearch and Alion Science, SIA, WISPA agrees that operation inside FSS notes that, since the FSS earth stations Google, and others. protection zones should be permitted do not transmit, the Commission cannot We received a number of responses upon agreement between CBSD rely on sensing by CBSDs to help the concerning the need for protection licensees and FSS licensees. SIA asserts SAS protect these stations from harmful zones around FSS earth stations. SIA that significant work remains to be done interference. states that protection zones must be to develop and validate SAS-based Google claims that, by allowing established to prevent both in-band and coordination functionality and that devices with better OOBE performance adjacent-band interference to FSS earth existing technology would not be to take advantage of smaller protection stations. SIA claims that these zones capable of making such determinations. zones around FSS earth stations, the must be based on ITU interference Google presented an ex parte Commission would create a market criteria and take into account the demonstration of a system it claims is incentive for innovation that would be aggregate effect of multiple Citizens capable of performing the SAS functions self-adjusting to actual band usage and Broadband Radio Service devices. of Priority Access and GAA conditions. Google asserts that the According to SIA, the size of the zones authorization, protecting Priority methodology for determining will depend on the technical parameters Access, FSS users, and federal radar interference to C-Band downlinks from of Citizens Broadband Radio Service operation from PA and GAA users. in-band operation described in the 3.65 operations—in particular, power density Several parties opine on appropriate GHz Report and Order can be used to levels and OOBE limits—and these methods for FSS earth station compute both adjacent channel parameters are still in dispute. NPR protection. SIA provides an engineering interference and out-of-band emissions contends that preventing adjacent-band analysis using non-rural and point-to- to FSS operations above 3.7 GHz. interference requires a combination of point transmit power. SIA also supports Google also claims that SIA’s analysis appropriate emission mask limits from the use of I/N criteria listed in ITU fails to account for the effects of actual devices in the band and geographic Recommendations for the protection of antenna gain, directionality, and separation based on a conservative FSS earth stations. From these I/N elevation angles that are specific to each estimate of path-loss between such criteria, SIA claims that a received site. According to Google, in most

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locations in the United States, elevation orientation of those transmitters; (3) the coordination and CBSD authorization angles are high enough that the antenna FSS earth station receiver characteristics can be effective in protecting in-band gain will be no more than the front-to- (including location, antenna gain, FSS earth stations, using characteristic back ratio of the antenna. Therefore, elevation and azimuth of the main parameters of incumbent systems and Google argues that relying on these antenna beam); and (4) the relative potential interfering systems. We front-to-back ratios reduces the power distance, mutual orientation, therefore adopt rules that require CBSDs received by the FSS earth station by surrounding terrain and the propagation to protect specific incumbent in-band more than 30 dB as compared to SIA’s channel(s) between an FSS earth station FSS earth stations from interference analysis. As a result, Google claims that, and potential interfering transmitters. using power levels authorized and even in locations with low elevation However, the record contains large enforced by SAS. We seek comment on angles, the resulting geographic variations in computed protection specific protection methodologies in restrictions are minimal because the parameters and differing opinions Section IV(C). excluded area is likely to be long but among commenters about the efficacy of We adopt rules to protect FSS earth very narrow in shape as a result of the SAS-based interference mitigation stations in the 3.5 GHz Band, by directionality. techniques. allowing the FSS earth stations to Google also asserts that numerous We believe it is possible to balance register with the Commission annually, filter vendors have developed ‘‘radar the protection of incumbent FSS sites or upon making changes to any of the elimination filters’’ that are designed to and greater Citizens Broadband Radio parameters listed in Section 96.17(d). protect FSS earth stations from existing Service spectrum utilization instead of This registration information will be high-powered military radar systems in relying on a one-size-fits-all approach to made available to all approved SASs the 3500–3700 MHz band. According to protecting incumbent FSS sites using and may be used to determine Google, this equipment, which is widely worst-case interference assumptions. appropriate protection criteria for such available for less than $500, can be used The existing rules for the 3650–3700 earth stations. Annual registration for to filter out interference from small cell MHz Wireless Broadband Service define each earth station shall include, at a operations. Google opines that the a 150 km default separation distance minimum, the earth station’s geographic Commission should take account of with a circular contour around any location, antenna gain, horizontal and available filter performance when grandfathered satellite earth stations, vertical antenna gain pattern, antenna creating final rules to protect FSS separating them for protection from base azimuth relative to true north, and operations that might reduce the value and fixed stations (See 47 CFR 90.1331). antenna elevation angle. This of the Citizens Broadband Radio Service In a number of cases, coordination with information must be made available to band. incumbent FSS licensees resulted in SAS Administrators and maintained Sony provides a study on the deployment of sites within the default consistent with Section 96.55 of the protection of FSS earth stations using protection area. In the context of the rules. the proposed maximum output power Citizens Broadband Radio Service, we We also adopt a rule that CBSDs may levels of CBSDs, taking aggregate find these protections to be excessively operate within areas that are predicted interference into account. Sony large, overly simplistic, and inefficient to potentially cause interference to FSS calculates protection distances at given the capabilities of SASs to predict earth stations provided that the licensee various CBSD frequency offsets to C- realistic path loss in the 3.5 GHz Band. of the FSS earth station, the authorized Band earth stations, with and without In general, we expect that realistic and user of the CBSD, and an SAS RF filters, considering different earth predictable path loss between CBSDs Administrator mutually agree to such station elevation angles, different I/N and FSS earth stations will be operation at specified CBSD location(s) threshold and different CBSD substantially higher than (near) line-of- and the terms of any such agreement are installation heights. SIA claims that sight free space path loss, resulting in provided to, and can be enforced by, an Sony’s parameter choices tend to smaller protections distances than 150 SAS. The terms of any such agreement unrealistically downplay the km and a protection contour similar to shall be communicated promptly to all interference susceptibility of FSS earth the butterfly-like pattern shown in the SAS Administrators. stations. 3.65 GHz Order. We conclude that an b. Out-of-Band FSS Protection The Wireless Innovation Forum analytic framework similar to what the argues that the Commission should Commission offered in Part 90, Subpart Background. The Commission also focus on comprehensive interference Z for Wireless Broadband Service in the licenses FSS earth stations in the C- analysis rather than static component 3650–3700 MHz Band, for determining Band. In contrast to the Extended C- elements of a system such as antenna interference to C-Band downlink earth Band, the C-Band is highly utilized for angle, terrain, etc. The Forum contends stations from in-band operations, is FSS. As discussed above, the C-Band is that the issue of FSS user protection applicable in the 3.5 GHz Band. We used for a number of different should be addressed by a multi- therefore establish reasonable protection applications, including distribution of stakeholder group. Such a group should criteria for in-band FSS earth stations. multi-channel video content. FSS consider how and when to apply SAS As discussed in greater detail in providers value the C-Band because its control behavior associated with FSS Section III(K), we agree with Federated propagation characteristics allow for earth stations. Wireless, Google, Motorola Solutions, greater service reliability compared to Discussion. The record broadly SIA, the Wireless Innovation Forum, other bands, especially in adverse recognizes the need to protect and others, that a multi-stakeholder weather conditions. The C-Band is one incumbent FSS earth stations from process could provide insight into the of the oldest and most mature FSS harmful interference. There is also technical factors and interference limits bands in-use. Preventing harmful significant agreement about many of the between coexisting services in the 3.5 interference into the C-Band from technical factors that contribute to the GHz Band. While there are many Citizens Broadband Radio Service has interference equation, such as: (1) The technical implementation details to be been one of our goals throughout this actual EIRP density of CBSD and End worked out prior to equipment proceeding. User Device transmitters; (2) the certification and deployment, we agree C-Band FSS currently operates location, antenna pattern, and that an SAS-based system of frequency adjacent to two sources of signals

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emitting from below the 3700 MHz band coordinate in-band and adjacent band focus areas: (1) General Responsibilities edge: high-powered military radars and frequency use in the 3.5 GHz Band near and Composition of the SAS; (2) SAS the current Wireless Broadband Service international borders. This is approach Functional Requirements; (3) SAS operating in the 3650–3700 MHz band. is consistent with our usual practice for Monitoring and Management of With respect to the former, FSS new services. SAS Administrators will Spectrum Use; and (4) Issues related to operators benefit from over 50 be required to demonstrate that their the Initial Launch and Evolution of the megahertz of frequency separation, but systems can and will enforce SAS and Band Plan. otherwise receive no regulatory out-of- agreements between the U.S., Canadian, While commenters and workshop band protections. Indeed, it is with the and Mexican governments regarding presenters submitted a diverse set of purpose of mitigating interference from commercial operations in the 3.5 GHz positions regarding the necessary military radars that the ‘‘radar Band. The specific methods of features of the SAS, most agreed that an elimination filters’’ described by Google enforcement will be determined and effective SAS would need to be more were developed. For the latter, the implemented by SAS administrators, dynamic and responsive than the ‘‘standard’’ emissions limit of 43 + 10 with appropriate Commission oversight, current TVWS database. Moreover, log (P) dB, equivalent to ¥13 dBm/ after the agreements are in place. many commenters agreed that the FCC MHz, regulates emissions from the In addition, Industry Canada recently should set only baseline parameters and 3650–3700 MHz band into the C-Band. completed a consultation on the 3475– guidelines for the SAS and should allow We are not aware of any formal 3650 MHz band which will allow the industry stakeholders to develop complaints by C-Band FSS operators of introduction of mobile services in the detailed policies and standards to harmful interference from over 45,000 band. We will work with Canadian facilitate operation consistent with the wireless broadband site locations. officials to ensure effective cross-border Commission’s rules. We sought comment in the FNPRM coordination of new devices or services After thorough review of the record about establishing out-of-band introduced in the band. received in response to the Licensing emissions limits to protect C-Band earth PN, SAS Workshop, and NPRM, we H. Spectrum Access System stations from Citizens Broadband Radio proposed rules that would encourage Service operations below 3700 MHz. As we stated in the NPRM, FNPRM, the rapid development of a robust SAS, Specifically, we proposed a stringent and Licensing PN, the effectiveness of capable of managing the proposed three- limit of ¥40 dBm/MHz for emissions the Citizens Broadband Radio Service tier authorization framework. We sought into the C-Band. However, this proposal depends largely on the development comment on these proposed rules and did not assume adoption of the and implementation of one or more on the overall scope and functions of ‘‘supplemental proposal’’ to include robust SASs to coordinate use of the 3.5 the SAS. 3650–3700 MHz in the Citizens GHz Band. In this Section, we reaffirm Some commenters express concern Broadband Radio Service. our commitment to the expeditious about the complexity of the SAS and Discussion. The Commission has development of a fully functional SAS, argue that the Commission should adopt taken action in this R&O that we believe capable of protecting Incumbent Users rules to facilitate Priority Access will significantly reduce the potential from interference and facilitating licensing without the development of a for interference into FSS earth stations coexistence among and between Priority fully functional SAS. These concerns in the adjacent C-Band. We also believe Access Licensees and GAA users in the are frequently linked to commenters’ that with modern high-performance and band. We also adopt high-level proposals for transitional band plans or low-cost digital and RF transmit filters, requirements to govern the LSA licensing frameworks discussed in Citizens Broadband Radio Service authorization and operation of SASs in Section III(B) above. Advocates of LSA devices will be able to make extensive the band. In addition, we expect that tend to support SASs capable of use of the spectrum close to the band industry participants will take it upon managing their preferred two-tier edge, especially at lower power levels. themselves to develop technical framework. Other commenters support implementations of these requirements transitional plans and contend that the 3. Operations Near International Borders during the course of the SAS approval SAS is not yet fully developed and Background. In the FNPRM, we process and, where applicable, to could be deployed to support two-tier proposed that Citizens Broadband Radio develop industry-wide standards. This sharing immediately with a portion of Service operations along the Canadian Section addresses: (1) The general scope the band reserved for experimenting and Mexican borders would be subject of an SAS’s responsibilities; (2) high- with three-tier sharing. These to international agreements with Mexico level SAS requirements; (3) specific commenters contend that development and Canada. The SAS would be responsibilities relating to frequency of a fully functional SAS should not required to implement these assignment, security, and information delay the assignment of Priority Access requirements. We sought comment on retention; and (4) the SAS approval Licenses in the band or the deployment these proposals. processes. of robust Priority Access networks. In its comments, SIA agrees with the Under the proposed transitional importance of ensuring that FSS earth 1. General SAS Functions frameworks, the SAS could move from stations in Canada and Mexico are Background. Throughout this relatively basic functionality to more protected from Citizens Broadband proceeding, we have acknowledged that robust capabilities over time. Radio Service users in the United States. the SAS is essential to commercial use AT&T argues that there are significant However, SIA contends that there is no of the 3.5 GHz Band. We sought issues to be resolved in the development indication of how the SAS will protect comment on the appropriate scope and and implementation of an SAS capable cross-border sites that are not included functions of the SAS in the Licensing of managing three-tiers of authorized in the Commission’s licensing PN, NPRM, and FNPRM. In addition, users. These issues include: (1) databases. OET and WTB held a workshop to Implementation of appropriate security Discussion. We adopt the rule discuss the operational and functional protocols; (2) interference coordination; proposed in the FNPRM and commit to parameters of the SAS. The workshop (3) protocols to prevent the operation of working with Canadian and Mexican and associated technical papers were rogue GAA devices; and (4) other, authorities to determine how best to organized according to the following unforeseen complications. According to

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AT&T, the Commission should adopt a Access and Incumbent Users. Therefore, providing Priority Access Licensees phased approach to licensing and SAS according to Federated Wireless, with exclusive access to the band, even development to bring PALs to market perceived risks of GAA interference on a temporary basis, could provide an quickly while working towards the should not pose an impediment to the advantage to certain uses while future implementation of three-tiered rapid development and deployment of a hampering the development of other sharing across the entire band. fully functional SAS. However, innovative uses for the band. Verizon argues that the Commission Federated Wireless did suggest that the Given the dynamic nature of the SAS should only prescribe the minimum Commission should clarify that the role that was proposed in the FNPRM, it is functions that an SAS would have to of the SAS with regard to device understandable that some commenters follow. According to Verizon, these core management is to determine the are concerned about the degree to which functions must include: (1) Access to a maximum permissible operational the SAS would manage the power database with information about parameters for CBSDs to protect the levels, frequencies, and other Incumbent Users’ locations; and (2) spectrum rights of Citizens Broadband operational features of CBSDs in the 3.5 frequency uses and access to the results Radio Service Users and not to exercise GHz Band. We agree that the SAS of PAL auctions and subsequent PAL the level of operational control over should not micromanage the moment- frequency assignments. CTIA agrees networks that some commenters fear. to-moment operations of CBSDs in the with this basic premise, arguing that the Discussion. After thorough review of band and we note that the FNPRM did SAS should focus on core, high level the record, we continue to believe that not propose to allow the SAS this level functions. developing a fully functional SAS of control. We also agree with T-Mobile Some commenters also caution capable from the outset of managing that operators are in the best position to against allowing the SAS to manage the three tiers of authorized users would manage their own networks, and operations of wireless networks directly. benefit the public interest, spur coordinate their own internal Specifically, WISPA, T-Mobile, NSN, innovation, and encourage investment operations. However, we disagree with and CTIA argue that the SAS should not in the 3.5 GHz Band. As we stated in T-Mobile’s assertion that the SAS directly manipulate the EIRP and other Section III(B), we believe that should have no role in managing functions of attached CBSDs. T-Mobile immediately implementing the three- Priority Access users. As Google noted, asserts that SAS management of PALs is tier sharing framework originally set the SAS must be able to direct Priority inconsistent with a licensee’s obligation forth in the PCAST Report and proposed Access users to change their frequencies to manage its own network and that the in the NPRM and FNPRM, will promote of operation to protect Incumbent User SAS should be limited to managing the development of a robust device operations. We conclude that, to GAA devices. ecosystem and facilitate rapid network effectively coordinate Priority Access Dynamic Spectrum Alliance, deployment in the band. Thus, the SAS and GAA users in the band, the SAS Federated Wireless, Google, Microsoft, must be capable of coordinating must be responsible for authenticating PISC, Spectrum Bridge, WISPA and operations among and between Priority and authorizing CBSDs in both tiers of other commenters support the Access, GAA, and Incumbent Access service and ensuring that those CBSDs Commission’s proposal to expeditiously Users in the band as a condition of operate within permissible technical authorize and approve a robust SAS, authorization. parameters. In essence, we see the SAS’s capable of managing three-tiers of While we acknowledge the concerns role as akin to frequency coordination, service across the entire 3.5 GHz Band. expressed by some commenters a familiar concept in spectrum Notably, Google argues that the regarding complexity, we believe that management, but with a high degree of Commission should authorize fully the immediate use of the SAS to automation. functional SASs quickly to ensure that coordinate three tiers of service in the Under the rules we adopt herein, the the band is put to productive use in the 3.5 GHz Band will best serve the public SAS will be responsible for setting the near future. According to Google, from interest. As the Dynamic Spectrum maximum permissible power levels for the outset, the SAS should be capable Alliance noted, ‘‘There is no need to CBSDs—within the maximum of: (1) Managing three tiers of phase in three-tier spectrum permissible power limits established in authorized users; (2) accepting and management as under the transitional the rules—and authorizing them to applying detailed information from plan proposed by some commenters; operate over available frequencies in CBSDs; and (3) setting and modifying database technology can implement a authorized locations, and other maximum power levels and permissible three-tier system, and the approaches responsibilities consistent with the rules operational frequencies for CBSDs. required to protect first-tier incumbents set forth in Part 96. As Google SASs could also provide valuable can be applied equally effectively to accurately notes, these capabilities will additional services, including secondary user protection.’’ Indeed, we not affect operators’ abilities to manage recognizing coexistence agreements believe that delaying the development their networks so long as their between PAL licensees, at their option. of an SAS capable of managing three preferences do not run counter to the Federated Wireless also supports tiers of users in the band could cause requirements of the Citizens Broadband implementation of a fully functional spectrum to lie fallow and discourage Radio Service. We continue to believe SAS, capable of managing the proposed deployment in the band. In addition, as that the SAS should be responsible for three-tier framework. According to noted above, simultaneous availability setting and enforcing these high level Federated Wireless, moving away from of PAL and GAA use is critical to the parameters and for maintaining a stable the three-tiered authorization model— design of our auction framework, which spectral environment in the 3.5 GHz even temporarily—would reduce is intended to provide potential auction Band. We agree with Federated Wireless spectral and economic efficiency and bidders for PALs to have the choice of that, ‘‘the ability of the SAS to set introduce uncertainty into the band, bidding for PAL priority rights where maximum power levels and assign reducing network deployments. truly needed to implement their frequencies is critical to Citizens Federated Wireless also contends that networks or relying on free, shared GAA Broadband Radio Service band SAS-based sharing between GAA and use of the same frequencies in other interference management.’’ Priority Access users is conceptually no situations, thus promoting more In place of the manual processes that different than sharing between Priority efficient use of the spectrum. Moreover, have characterized some other

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frequency coordination regimes, the Numerous commenters submitted • Enforce Exclusion and Protection SAS would respond quickly to ensure their views on the scope and Zones, including any future changes to effective coexistence between and functionality of the SAS, offering widely such Zones, to ensure compatibility among the three tiers of users in the divergent opinions on the scope and between Citizens Broadband Radio band. As shown in Figure 3, the SAS necessary requirements for the system. Service users and incumbent federal would obtain information about Commenters generally support the operations; registered or licensed commercial users authorization of multiple SASs on a • Communicate with the ESC and in the band from the Commission and nationwide basis. Some commenters ensure that CBSDs operate in a manner information about federal incumbent also contend that the Commission that does not interfere with federal users of the band from ESC. The SAS should adopt a ‘‘light touch’’ regulatory users; could also interact directly or indirectly approach towards the SAS and allow • Ensure that CBSDs protect non- through a proxy—such as a network SAS Administrators, individual federal incumbent users consistent with manager—with CBSDs operating in the licensees, and the rest of the industry to the rules; band to ensure that Citizens Broadband work together to implement procedures • Protect Priority Access Licensees Radio Service users operate in a manner to meet the Commission’s regulations. from impermissible interference from consistent with their authorizations and Some commenters request that SASs other Citizens Broadband Radio Service promote efficient use of the spectrum be required or permitted to perform users; resource. SAS-to-SAS synchronization functions beyond those enumerated in • Facilitate coordination between will ensure coordination occurs even the proposed rules. For example, Google GAA users to promote a stable spectral proposes that SASs be permitted to between CBSDs that use different SAS environment; honor coexistence agreements between providers. • Ensure secure and reliable Priority Access Licensees to operate transmission of information between the 2. High Level SAS Requirements CBSDs at higher power levels than the SAS, ESC, and CBSDs; rules allow. Others, including Wireless Background. After thorough review of • Provide an approved ESC with any Innovation Forum, Federated Wireless, the record generated in response to the sensing information reported by CBSDs and Google argue that the SAS should NPRM, Licensing PN, and SAS if available; accept information from sensor Workshop, we proposed that the SAS • Protect Grandfathered Wireless networks to further develop advanced should perform a variety of high level Broadband Licensees until the end of functions to facilitate the spectrum management practices. Discussion. We continue to believe the grandfather period; and implementation of the Citizens • Facilitate coordination and Broadband Radio Service. Specifically, that a ‘‘light touch’’ regulatory approach is appropriate for this band and that the information exchange between SASs. we proposed that authorized SASs This revised list of functions is would perform the following core rules should include only the high-level requirements necessary to ensure the necessary to enforce the rules governing functions: protection of Incumbent Users and of • effective development and operation of Determine the available frequencies Grandfathered Wireless Broadband at a given geographic location and fully functional SASs. We agree with commenters that support collaborative, Licensees. We address public interest assign them to CBSDs; rationales for these rules in Sections • industry-wide efforts to create standards Determine the maximum III(G) and III(J). Authorization of permissible radiated transmission and best practices governing SAS operations. The Commission will assist multiple SASs and SAS Administrators power level for CBSDs at a given is addressed in Section III(H)(3). location and communicate that these efforts through the SAS Administrator approval process, as set We also adopt a policy to ensure that information to the CBSDs; the SAS facilitates coordination among • forth in III(H)(3)(b). We also believe that Register and authenticate the GAA users to promote a stable spectral identification information and location an active multi-stakeholder group could help develop industry consensus environment in the band. This of CBSDs; requirement includes any coordination • around the best methods of meeting the Enforce Exclusion Zones to ensure agreements entered into by users of compatibility between Citizens SAS requirements. After review of the record, we Category B CBSDs pursuant to Section Broadband Radio Service users and conclude that the SAS should perform 96.35(e). It also entails a general incumbent federal operations; the high level functions generally set responsibility for SASs to promote • Protect Priority Access Licensees forth in the FNPRM as well as certain spectral efficiency and non- from harmful interference from General additional functions needed to address discriminatory coexistence among GAA Authorized Access Users; changes to the rules governing CBSDs users. This policy is consistent with our • Reserve the use of GAA channels and Incumbent Users. We also agree adoption of a three-tier access model for use in a CAF; and is essential to the development of • with the commenters who contend that Ensure secure transmission of the SAS should provide nationwide a robust GAA device ecosystem and will information between the SAS and service. The core functions that an SAS foster innovation and investment in the CBSDs. must perform are as follows: band. It is also consistent with the In addition, we proposed that multiple • Determine the available frequencies recommendations of commenters that SASs could be authorized by the at a given geographic location and SASs be capable of integrating Commission and that each SAS would assign them to CBSDs; information from sensor networks or provide nationwide service. The • Determine the maximum CBSDs regarding the interference proposed rules outlined the essential permissible transmission power level environment and local spectrum usage requirements for a successful SAS and for CBSDs at a given location and to promote efficient use of the band. We would promote innovation and communicate that information to the further note that the specific policies productive use of the 3.5 GHz Band. We CBSDs; and protocols needed to enforce this sought comment on these proposals and • Register and authenticate the general requirement may be developed requested input regarding alternative or identification information and location as part of the SAS approval process and additional SAS guidelines. of CBSDs; may be informed by the work of an

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industry-led multi-stakeholder group. AT&T also contends that, since however, do not require users to While the SASs assign GAA users with spectrum assignment is an FCC function disclose information about specific a goal of minimizing harmful and the SAS will be acting as the FCC’s sites. We agree with PISC that interference among those users, we agent, all data collected by the SAS transparency is a key element of the recognize that enabling flexibility to should be confidential. authorization framework and that deploy whatever technologies meet the The Public Interest Spectrum certain information must be made standards in the rules can pose Coalition supports the Commission’s available to the public—and other SAS difficulties to completely manage proposal and argues that it is critical Administrators—consistent with usual interference. The SAS will help to that the informational inputs and Commission practices. We also minimize interference such as by outputs of the SAS, including exclusion understand that network owners may avoiding assignment of the same zone coordinates and notifications of not desire release of information related frequency to multiple GAA users at the ‘‘actual use’’ by Priority Access to network deployments and same location to the extent possible. Licensees, be available to the public. configurations to the public in a manner However, our rules provide no According to PISC, transparency is that could compromise personal privacy assurance of interference protection essential for the credibility and or affect competitive interests. between GAA users. To minimize accountability of the SAS. Regardless, some of this information interference, we encourage, but do not NTIA contends that SASs should not may need to be shared, confidentially, require, manufacturers to incorporate retain information on federal operations, with other SAS Administrators to spectrum sharing features, much like radar usage, or fleet movements. NTIA effectively coordinate frequency those commonly employed in asserts that such restrictions are assignments and avoid interference unlicensed uses. Contrary to Google’s necessary to protect the operational between CBSDs. suggestion that SASs be permitted to security of military operations and Therefore, we find make two findings honor coexistence agreements between installations in the United States. with respect to SAS Administrator Priority Access Licensees to operate Discussion. After review of the record, disclosure of CBSD information. First, CBSDs at higher power levels than the we conclude that an SAS must be SAS Administrators must make all rules allow, our rules supersede any capable of gathering and retaining information necessary to effectively private agreements, unless otherwise information submitted by registered coordinate operations between and specified. CBSDs necessary to perform its essential among CBSDs available to other SAS tasks under Part 96. Information not Administrators. Second, SAS a. Information Gathering and Retention pertaining to federal incumbent Administrators must make CBSD Background. In the FNPRM we operations must be retained for a registration information available to the proposed high-level information minimum of 60 months.18 SASs must general public, but they must obfuscate gathering and retention requirements also obtain essential licensing the identities of the licensees providing consistent with the responsibilities of information from Commission the information for any public the SAS, the security concerns of databases, maintain accurate records of disclosures. Citizens Broadband Radio Service users the parameters of Protection Zones, and We also note that, contrary to PISC’s and Incumbent users, and the enforce additional federal Incumbent assertions, the Commission is not Commission’s oversight and User protections based on information ‘‘effectively delegating its enforcement enforcement responsibilities. To protect received from the ESC. Absent access to authority to privately-operated SASs to Incumbent Users and effectively and retention of such essential enforce exclusions from the public coordinate Citizens Broadband Radio information, SASs will be unable to airwaves.’’ Based on the record before Service users, we proposed that the SAS effectively manage coexistence between us, we have concluded that approved retain information on all operations and among the different tiers of users in SAS will be capable of effectively within the 3.5 GHz Band. For CBSDs, the band. coordinating operations between and such information would include all data We acknowledge the concerns raised among a wide variety of Citizens that they are required to transmit to the by commenters about disclosure of Broadband Radio Service Users and SAS. For incumbent FSS operators, the confidential business information to the preventing disputes before they arise. SAS would maintain a record of the public. To some extent, the tension in However, as described in Section location of protected earth stations as the comments reflects different III(H)(2)(e), the Commission will retain well as the direction and look angle of traditions of spectrum management, ultimate responsibility for enforcing its all earth station receivers and any other which are intertwined in the Citizens rules, overseeing and approving SASs information needed to perform its Broadband Radio Service rules we adopt and SAS Administrators, resolving functions. For incumbent federal users, today. Site-based radio services, for disputes between licensees, and the SAS would include only the instance, typically require all site-based addressing consumer complaints. geographic coordinates of the Exclusion licensing information to be disclosed With regard to information on federal Zones. We sought comment on these and available in various FCC databases. Incumbent Users communicated from proposed rules and alternative The flexible-use and unlicensed rules, the ESC to the SAS and retention of that approaches. information, we adopt several Some parties express concern about 18 The 60 month information retention safeguards. We require that the SAS and the type of information that the SAS requirement mirrors the limitations period imposed the ESC must not have any connectivity would gather and maintain from on the Department of Justice to bring suit for to any military or other sensitive federal Citizens Broadband Radio Service users collection of a forfeiture assessed by the database or system. Nor shall they store, Commission for violation of its rules. See 28 U.S.C. and whether that information would be 2462. The 60 month information retention retain, transmit, or disclose operational secure and confidential. Notably, AT&T requirement ensures the preservation of information information on the movement or argues that the Commission should that may be relevant in future collection actions position of any federal systems. The clarify that information gathered by the brought by the Department of Justice on the Commission will work with NTIA and Commission’s behalf. See 47 U.S.C. 504(a) SAS is for registration purposes only (requiring any collection action to enforce a DoD to establish the information the and that licensees need not submit Commission forfeiture be brought by the ESC would need to transmit to the SAS information about network performance. Department of Justice in a civil suit). as necessary to manage connected

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CBSDs. For example, this data could be service. We reiterate that individual modifications of GAA devices or their limited to the ESC’s detection of CBSDs are not required to interface with firmware that would allow them to protected radar signals, their the SAS so long as the required operate on unauthorized frequencies. approximate locations, and the information is communicated by an Verizon stresses that such protocols are protection zone coordinates as required aggregation point or network control necessary to protect Priority Access for the SAS to instruct CBSDs to move device. We also note that these Licensees and promote a stable spectral off of a channel. We will restrict the requirements do not apply to End User ecosystem. storage and retention of this data and Devices. SASs must not collect, track, or Discussion. As we detailed in Section any other operational information to store information on End User Devices III(B)(2)(c), it is in the public interest to ensure only the effective operation of or their users without user consent. The establish a SAS-automated frequency the SAS and ESC, and for no other precise methods used to register, assignment model for the 3.5 GHz Band. purposes. The SAS shall only retain authenticate, and authorize CBSDs may This method of frequency assignment is records of information or instructions be determined during the SAS approval consistent with the Revised Framework received from the ESC in accordance process described in Section III(H)(3)(b). and the proposals set forth in the with information retention policies FNPRM. The record clearly reflects that c. Frequency Assignment established as part of the ESC approval automated coordination by a robust SAS process. These policies will include Background. In the FNPRM, we is essential to effective spectrum sharing appropriate safeguards for classified and proposed to dynamically assign PAL between the three tiers of authorized other sensitive data and will be channels and GAA frequencies in the users in the band. developed by the Commission in 3.5 GHz Band. Under that proposal, the We also acknowledge the concerns coordination with NTIA and DoD. These SAS would be responsible for raised by various commenters regarding rules implement the recommendations determining the available and frequency predictability and stability in set forth in the NTIA Letter. appropriate frequencies at a given an SAS-assigned frequency management location using the location information regime. As detailed in Section b. Registration, Authentication, and supplied by CBSDs, Exclusion Zone III(C)(2)(a), we adopt appropriate Authorization of CBSDs parameters, the authorization status and provisions to ensure that PAL Background. We proposed that the operating parameters of CBSDs in the assignments remain as stable and SAS would confirm and verify the surrounding area, and such other consistent as possible across different identity of any CBSD seeking to use the information necessary to ensure the channels and geographic boundaries. 3.5 GHz Band prior to authorizing its lawful operation of CBSDs. The SAS The SAS must respect and enforce these operation. The SAS would also prevent would also take into consideration any provisions to create a stable spectral CBSDs from operating within any channel or frequency requests submitted environment for all Citizens Broadband Exclusion Zones. We also proposed that by CBSDs as well as geographic and Radio Service users. registration information from multiple spectral efficiency considerations. We In assigning frequencies for Priority CBSDs could be communicated by a also proposed that the SAS be able to Access and GAA use, the SAS must take central network controller device. We provide a list of available frequencies in appropriate steps to ensure that CBSDs sought comment on these proposed a given area and confirm that any operate only on authorized frequencies rules. CBSDs causing harmful interference to at all times. As Verizon noted, ensuring As detailed in Section III(F)(2)(d), an Incumbent User have been that devices operate only on assigned many commenters generally agree with deactivated or reassigned upon request. frequencies is essential to maintaining the registration requirements for CBSDs. We sought comment on these proposals. stability in the band and protecting AT&T expresses concern about the As set forth in detail in Section III(B), network investments. However, while security of data collected by the SAS the record was divided over whether the Verizon focuses on GAA users, we find and argues that the Commission should SAS should be permitted to assign that the SAS should take appropriate clearly state that such information is frequencies and channels to Citizens steps to ensure that all Citizens collected for registration purposes only Broadband Radio Service users in the Broadband Radio Service users operate and that licensees are not required to proposed manner. Commenters only on their assigned frequencies. As submit information about network including Dynamic Spectrum Alliance, one element of this process, we require performance. Microsoft suggests that Federated Wireless, Google, Interdigital, that, when an SAS deauthorizes a CBSD there should be limits on the PISC, Shared Spectrum Company, or changes its permissible operational information the SAS collects and the Spectrum Bridge, the WhiteSpace frequencies, it may require that CBSD to time it maintains records for CBSDs. Alliance, and the Wireless Innovation confirm that it has complied with the Discussion. We find that registering, Forum support the Commission’s SAS’s instructions. As described below, authenticating, and authorizing CBSDs proposal to allow the SAS to assign we impose end-to-end security is an essential component of the SASs frequencies in the band for both Priority requirements that will prevent responsibilities. As described in Section Access Licensees and GAA Users. Other tampering with devices to circumvent III(F)(2)(b), CBSDs must report commenters, including AT&T, CTIA, SAS control or otherwise defeating the information on their technical NSN, 4G Americas, Ericsson, HKT purposes of our rules. specifications, location, and the identity Limited, and UK Broadband oppose the As detailed in Section III(H)(2)(e) the of their authorized operators or Commission’s proposal and argued that Commission will address any issues licensees to the SAS. The SAS must, in Priority Access Licensees should be concerning unauthorized frequency use turn, verify this information to ensure given static frequency assignments. or unauthorized equipment that arise in that CBSDs are used only by authorized In addition, Verizon stresses the the band. We believe that applying these users in accordance with the importance of strong security requirements to all users will help Commission’s rules. The SAS must also protocols—dubbed ‘‘channel use prevent interference, assist in network verify that the FCC ID of any CBSD surety’’—to ensure that GAA devices planning, and promote network seeking to provide Citizens Broadband operate only on frequencies assigned by investment in the 3.5 GHz Band. Radio Services is valid prior to the SAS. According to Verizon, these We acknowledge that our new authorizing it to begin providing protocols must be designed to prevent framework for the 3.5 GHz Band raises

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technological challenges that will likely information will be secure and support system and hinder competition- require novel and collaborative confidential. driven innovation in the band. solutions. Detailed implementation Discussion. After review of the record, In addition, federal Incumbent Users strategies for the frequency management we adopt our proposal to require secure have unique security concerns related to rules we adopt herein will be addressed and reliable communications among information that will be transmitted during the SAS Administrator approval and between CBSDs and SASs. We will from the ESC to the SAS. SAS process described in Section III(H)(3)(b). also require SASs to protect themselves Administrators and potential ESC These discussions may also be informed from unauthorized data input or Operators are required to develop by the outputs of any industry multi- alteration of stored data. Secure and security protocols that meet the stakeholder groups that are formed to reliable communication pathways standards set by the Commission in address issues in the 3.5 GHz Band. between SASs and CBSDs and between collaboration with NTIA. Issues related Through these processes, we hope to different SASs are essential for the to the ESC, including security policies, gather insight from potential SAS success of the Citizens Broadband Radio are addressed in greater detail Section administrators, future licensees, and Service. Due to the nature of the III(I). Citizens Broadband Radio Service, other industry stakeholders regarding e. Enforcement the most effective techniques for sensitive information relating to implementing these rules. network configuration and operations Background. In the FNPRM we noted will be routinely sent between CBSDs that many of our proposals could raise d. Security and SASs. This information must be novel enforcement issues for the Background. In the FNPRM, we protected from interception or Commission. Many of the proposals in proposed that the SAS employ protocols modification—during transmission and the FNPRM, including the SAS specifications, CBSD technical and procedures to ensure that all while stored in an SAS—to ensure that requirements, and security protocols communications and interactions the proprietary and confidential were designed to address these issues between the SAS and CBSDs are information provided by licensees is not and facilitate secure and consistent accurate and secure and that compromised. access to the 3.5 GHz Band for all unauthorized parties cannot access or However, while communications authorized users. We sought comment alter the SAS or the list of frequencies security in the band is paramount, we on additional techniques and protocols sent to a CBSD. These protocols and do not believe that mandating specific that could be implemented, inside or procedures would be reviewed and security protocols would serve the outside the SAS, to address the unique approved by the Commission before the public interest at this time. Instead, we enforcement concerns raised by the SAS Administrator could be certified. require potential SAS Administrators to develop and demonstrate that their proposals in the FNPRM. We sought comment on these proposed systems include robust communications Commenters that addressed rules and on any additional safeguards and information security features during enforcement issues mostly raised needed to protect sensitive federal the SAS Approval process. CBSDs shall concerns about the perceived information. demonstrate compliant security features complexity and unproven nature of the The record strongly supports the during the equipment authorization SAS. For instance, commenters inclusion of robust security protocols process. These security protocols will be including CTIA, SIA, and Verizon for communications between CBSDs subject to the Commission’s review and express concerns about the ability of the and SASs. For instance, Ericsson approval, with input from NTIA and SAS to manage three tiers of authorized supports a system wherein DoD. We anticipate that given the users and effectively protect Incumbent communications between CBSDs are immense value of industry-wide and Priority Access tier operations. SIA protected using standard Internet interoperability, groups—such as the questions the SAS’s ability to prevent security procedures. Federated Wireless types of multi-stakeholder groups interference from CBSDs into existing agrees that secure Internet-based discussed in Section III(K)—will FSS earth stations, especially given the communications should be the develop security models that SAS complexity of the management minimum requirement for CBSD-to-SAS Administrators may consider, subject to functions under consideration. CTIA interactions but contends that SAS Commission review. We also expect that argues that an SAS capable of managing Administrators should be permitted to security mechanisms will be updated on three tiers of operations has not been offer additional interfaces beyond the an ongoing basis to reflect state-of-the- tested and that, until such a system is minimum requirements to meet the art protection against ever-evolving vetted, Incumbent and Priority Access unique needs of various users. Google security threats. tier users would run a serious risk of contends that the Commission should We do not agree with AT&T’s interference from GAA users. not require manufacturers and operators argument that the SAS software should Discussion. We note that many of the to adopt specific security measures but be created for the Commission as a issues raised by commenters regarding should instead require that devices and ‘‘work for hire.’’ We believe that enforcement mechanisms are addressed services in the 3.5 GHz Band reflect allowing applicants to develop multiple in Sections III(H)(1) and III(H)(3). In ‘‘contemporary industry best practices SASs within the parameters set by the addition to the rules proposed in the for security.’’ Commission’s rules will foster FNPRM, after review of the record, we AT&T argues that, to ensure security innovation, competition, and lead to a also adopt additional requirements for of information in the SAS, the higher quality of service for all Citizens the SAS to help manage access to the Commission should contract with a Broadband Radio Service users. Indeed, band and assist the Commission in vendor approved by DoD, NTIA, and the this development path could lead to performing its enforcement General Services Administration to even more effective security features responsibilities. Specifically, to assist create the SAS software as a ‘‘work for than could be created under the more with the Commission’s oversight hire’’ and ensure that the Commission restrictive approach suggested by AT&T. responsibilities, we have added a retains control over the system. They Moreover, as Federated Wireless notes, requirement that SAS Administrators argue that this would give licensees a federal ownership of the software could adopt procedures to immediately greater degree of certainty that their lock the Commission into an expensive respond to requests from Commission

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personnel for information stored or innovation and encourage the • respond in a timely manner to maintained by the SAS and to development of market based solutions verify, correct or remove, as appropriate, discontinue CBSD operations as to the challenges involved with effective data in the event that the Commission directed by the Commission. We also spectrum management in the 3.5 GHz or a party brings claim of inaccuracies require SAS Administrators to establish Band. We believe that competition in the SAS to its attention; and follow protocols to comply with among multiple SAS providers is • securely transfer the information in enforcement instructions from the essential to the success of the 3.5 GHz the SAS to another designated entity in Commission, including discontinuance Band. Indeed, we believe our rules will the event it does not continue as an SAS of CBSD operations in designated provide much leeway for competitive Administrator at the end of its term; • geographic areas. These requirements SAS Administrators to provide cooperate with other SAS are necessary to ensure that the differentiated, value-added services in Administrators to develop a Commission is able to ascertain the the course of fulfilling the core standardized process for coordinating accuracy of information stored in the and exchanging required information; regulatory obligations. We hope that • SAS, obtain the information necessary such competition will create a ‘‘race to provide a means to make public to enforce the Commission’s rules, and the top’’ that yields advances in information available to the public in an ensure that CBSDs that do not comply technology, at reasonable cost, as SAS accessible manner. with the Commission’s rules are shut Administrators vie to serve different The record shows general support for authorizing multiple SAS down in a timely manner. parts of the market. We have seen this Administrators in the band. We expect that the SAS will be a dynamic begin to emerge in TV White Commenters emphasize that authorizing valuable tool for spectrum management Spaces, with the approval of multiple multiple SAS Administrators will and enforcement and that SAS database providers to-date, as well as in promote competition and innovation in Administrators, in cooperation with more conventional frequency- the band. Google also cautions against individual licensees, will be able to coordinated radio services. resolve many of the issues that will arise overly proscriptive rules, noting that At the same time we understand that SAS Administrators should be able to in the band. We address concerns raised network effects and technological ‘‘lock- about the SAS’s ability to manage and differentiate themselves based on the in’’ can also sometimes present technologies and services they offer. protect multiple tiers of authorized dynamics that hinder, rather than help, users elsewhere in this Report and The record was split on the issue of competition. Were this to occur in the whether SAS Administrators should be Order. We expect many of the detailed 3.5 GHz Band, an SAS Administrator enforcement mechanisms and permitted to act as Priority Access might use its position not only to Licensees. Some commenters, including procedures employed by SASs to be facilitate a particular use of the band, developed during the SAS Verizon and Google, support allowing but also to control access to the band. Administrator approval process SAS Administrators to also hold Priority Let us be clear: we do not intend to described in Section III(H)(3)(b). Access Licenses. Google argues that create a back-door ‘‘license’’, which However, we reiterate that, regardless of preventing SAS Administrators from vests exclusionary power in one or a the scope of the SAS, the Commission holding PALs would discourage parties few SAS Administrators (separate from retains the ultimate responsibility for from investing in SAS development, any licenses assigned pursuant to our and authority over licensees in the reducing overall competition in the Part 96 rules). We will carefully review band. In the event that the SAS is band. Microsoft disagrees, and argues SAS Administrator applications—and unable to resolve disputes between that SAS Administrators should not be will revise the rules, if necessary—to licensees or identify and address the permitted to hold PALs to prevent sources of harmful interference in the ensure that the SASs develop in a way conflicts of interest. band, we will address these issues, as that achieves the positive goals set forth Discussion. The primary function of well as any issues concerning in this Report and Order. any SAS Administrator will be to unauthorized frequency use or a. SAS Administrator Requirements develop protocols, procedures, and unauthorized equipment. systems to enforce the Commission’s 1. Background. In the FNPRM we rules governing SAS operations. We will 3. SAS Administrators proposed that SAS’s be operated only by require each SAS Administrator to In the FNPRM, we proposed that only approved SAS Administrators. Those provide services for a five-year term, designated SAS Administrators that SAS Administrators would be which, at the Commission’s discretion, have been approved by the Commission authorized for a five-year term, may be renewed. In the event that an could operate an SAS. We proposed to renewable at the Commission’s SAS Administrator does not wish to authorize multiple SAS Administrators, discretion. We proposed that the SAS continue at the end of its term, or if its though each Administrator would be Administrators establish protocols and term is not renewed, it will be required responsible for a single SAS. SAS procedures to manage Citizens to transfer its database along with the Administrators would have to Broadband Radio Service Users in the information necessary to access the demonstrate, in detail, how their SASs band, protect Incumbent Users from database to another designated SAS. will comply with the Commission’s harmful interference, and perform the The SAS administrator would be rules and establish detailed protocols to other proposed SAS functions set forth permitted to charge a reasonable fee for enforce the responsibilities set forth in in the Proposed Rules. We also conveyance of that resource. part 96. We hereby adopt many of the proposed that SAS Administrators be If the Commission approves multiple proposals described in the FNPRM, set required to: SAS Administrators, we must ensure forth general guidelines for SAS • Maintain a regularly updated that each SAS contains consistent, Administrators, and provide details database that contains the information accurate information. Because a CBSD regarding the SAS Approval process. described in the proposed rules; will only be required to contact a single We intend to foster a diverse, • establish a process for acquiring SAS, there is a need for SASs to share competitive marketplace of SAS and storing in the database necessary accurate registration information so that providers. We believe that the rules we and appropriate information from the each SAS has the same, current view of adopt will promote technological Commission’s databases; the radio environment. Therefore, we

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will require SAS Administrators to Finally, we permit SAS discriminatory conduct, and will review cooperate with one another to develop Administrators to hold PALs and act as applications during the approval a standardized process for coordinating GAA users. We disagree with process in the light of that goal. In these their operations, avoiding any Microsoft’s contention that allowing circumstances, we believe the foregoing conflicting assignments, maximizing SAS Administrators to hold or lease protections should be adequate. shared use of available frequencies, PALs would necessarily lead to b. SAS and SAS Administrator ensuring continuity of service to all discriminatory conduct based on Approval Process registered CBSDs, and sharing the data potential conflicts of interest. So long as collected from registered CBSDs. We an approved SAS Administrator Background. In the FNPRM, we will also require SAS Administrators to complies with all of our rules, proposed to authorize multiple SASs for coordinate with each other to facilitate coordinates fairly with other SAS five-year terms. We also proposed that non-interfering use by CBSDs connected Administrators, and is one of several the Bureau review applications for SAS to other SASs, maximize available GAA options available to end users in a certification and establish procedures frequencies by assigning PALs to similar competitive market for SAS services, we for reviewing the qualifications of channels in the same geographic believe that the public interest should prospective SAS Administrators. We regions, and perform such other be well served by the SAS community. sought comment on this approach and functions necessary to ensure that However, we include in our rules a on the appropriate process for selecting, available spectrum is used efficiently. requirement that SAS Administrators reviewing, and approving SAS SAS Administrators must share discharge their frequency assignment Administrators. information on the CBSDs and licensees functions, whether involving their own Several commenters, including AT&T, managed by their SAS to the extent users or those served by a different SAS Ericsson, Google, and PISC supported necessary to facilitate the effective Administrator, in a non-discriminatory the Commission’s proposal to require coordination of all approved SASs. manner, consistent with the priority prospective SAS administrators to In addition, an SAS will obtain much accorded to PAL users vis-a`-vis GAA complete a thorough review and of the information on licensed use of the users under our rules. approval process. AT&T notes that the 3.5 GHz Band from Commission In addition, in determining whether approval process, coupled with the SAS databases. This information will include to approve applicants to serve as SAS Administrator requirements, strikes a information on Priority Access Administrators, we will require a balance between Commission oversight Licensees and licensed in-band FSS demonstration of their intent and ability of the SAS and the need to avoid users. This information may be stored in to comply with all of our rules, adopting overly prescriptive rules about the Commission’s Universal Licensing including this nondiscrimination the SAS. While Google supports System database or another system. requirement as well as the requirement rigorous requirements to ensure that Each SAS will be required to that they cooperate with other SAS SAS Administrators have the technical synchronize itself with Commission Administrators in coordinating and expertise and financial security to databases at least once a day so that the exchanging required information. operate an SAS, it urges the information in the SAS remains current. Moreover, the Commission will monitor Commission not to mandate specific SAS Administrators must also the behavior of SAS Administrators and technology that SAS Administrators establish protocols and procedures to will take enforcement action if must use. Instead, Google asks that we protect Incumbent operations consistent necessary to ensure that SAS ‘‘establish basic functional requirements with information received from an Administrators comply with all that will protect both incumbent users approved ESC. SAS Administrators will applicable rules. The Commission will and the rights of PAL holders.’’ be responsible for ensuring that all also monitor the competitive balance in Discussion. We will designate one or information transmitted by the ESC is the 3.5 GHz Band and may take action more private sector administrators to acted upon and protected consistent to rectify any anti-competitive behavior create and operate an SAS, following a with any additional requirements that could be attributed to SAS thorough approval and review process. imposed during the SAS and ESC Administrators holding or leasing PALs We believe that a comprehensive approval processes. SAS Administrators or GAA licenses or operating CBSDs process for SASs and SAS may themselves provide an ESC (if (under PAL or GAA authorization) in Administrators will foster competition, approved) or work with another the band. promote the development of innovative approved ESC provider. In the past, we have recognized the technologies, and further the public We will expect SAS Administrators to need to avoid conflicts of interest in interest. An approval process that builds respond quickly to verify and correct or connection with frequency upon the TVWS experience should remove data in the event that a party or coordination. We believe the foregoing facilitate the testing and development of the Commission brings claims of protections are sufficient to guard multiple SASs to oversee the Citizens inaccuracies in the SAS to its attention. against such conflicts in the discharge of Broadband Radio Service. We adopt the This obligation to remedy inaccuracies SAS duties. First, as noted above, we proposed delegation of authority to applies to information entered into or contemplate approval of a number of WTB and OET and instruct them to take omitted from the SAS, whether willfully SAS Administrators, to ensure that 3.5 such actions as authorized by Sections or through operator error. Further, SAS GHz Band licensees have sufficient 0.241(j) and 0.331(f). Administrators must ensure that the choices and thereby promote As stated previously, the rules SAS is able, at all times, to promptly competition as to fees and service governing SASs and SAS respond to requests from Commission quality. We believe that establishment Administrators are high-level guidelines personnel for any information stored in of a competitive market for these that describe the minimum the SAS. SAS Administrators must services will help ensure against requirements for any authorized SAS. ensure that there is a capability in place discriminatory conduct based on We expect that applicants will develop to respond to emergency instances that potential conflicts of interest. Second, specific policies, procedures, and require CBSDs to cease operation in a we have designed the SAS function to technologies to show compliance with, geographic area or during a specified be a highly automated one that implement and enforce the rules during time period. minimizes the potential for such the approval process. We agree with

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Google that our rules should ‘‘provide a c. SAS Administrator Fees acquire spectrum access and bear the framework to enable efficient spectrum Background. In the FNPRM, we costs associated with managing access use’’ without mandating ‘‘the specific proposed that SAS Administrators be to the spectrum, including whether to technical means by which SAS permitted to collect reasonable fees from pay an SAS Administrator, is a business administrators achieve them.’’ All stages Priority Access Licensees and General decision to be made by the potential of the process, including review of Authorized Access users for use of the licensee. This approach is wholly applications and system compliance SAS and associated services. We based consistent with Commission precedent testing, will be overseen by WTB and this proposal on a similar rule adopted in other services, including Land Mobile OET, in close consultation with NTIA for TVWS database administrators (See Services authorized under part 90 of the and DoD. 47 CFR 47.1514). We sought comment Commission’s rules, wherein licensees pay the Commission to obtain a license After the release of this Report and on this proposal and on whether SAS and a third party for coordination Order, WTB and OET will issue a Public Administrators should be permitted to services. Notice requesting proposals from collect fees from all Citizens Broadband entities desiring to administer an SAS. Our determination is based on the Radio Service users. expectation that a competitive market Applicants will be required to, at a Many commenters, including for SAS services will emerge. We intend minimum, demonstrate how they plan Federated Wireless, Ericsson, Verizon, to allow the market to determine the to meet the Commission’s rules and PISC support our proposal to allow appropriate rates to be charged to governing SAS operations, demonstrate SAS Administrators to collect their technical qualifications to operate Citizens Broadband Radio Service users. reasonable fees from both Priority However, if SAS Administrators engage an SAS, and provide any additional Access Licensees and GAA users. T- information requested by WTB and in anti-competitive or collusive Mobile contends that SAS practices resulting in excessive fees, or OET. Based on these applications, WTB administrators should not be permitted and OET will determine whether to if a competitive market for SAS services to collect fees from Priority Access otherwise fails to materialize, the conditionally approve any of the Licensees since the Commission applicants. If an application is not Commission may take steps to address proposes to assign PALs via competitive such issues. accepted, the applicant may file an bidding. However, T-Mobile maintains Application for Review with the that if fees are necessary to recover SAS I. Environmental Sensing Capability Commission. costs, they should only be collected Background. In the FNPRM, we Any applicants that receive from GAA users. proposed that the SAS retain conditional approval must demonstrate, Discussion. We find that permitting information on all operations within the to the satisfaction of WTB and OET, that SAS Administrators to charge 3.5 GHz Band, including, for incumbent their SASs meet all of the requirements reasonable fees to Priority Access federal users, the geographic set forth in the Commission’s rules and Licensees and GAA users is in the coordinates of the Exclusion Zones. We any other conditions that these offices public interest. Our review of the record also noted that some commenters have deem necessary. WTB and OET will shows that there is widespread support argued that the SAS should be required provide detailed instructions to for allowing SAS Administrators to to incorporate spectrum sensing applicants throughout the process. At a collect reasonable fees from both information from CBSDs or other remote minimum, applicants will be required to Priority Access Licensees and GAA beaconing and sensing sites to allow their systems to be tested and users. As Ericsson notes, allowing SAS accurately detect incumbent usage analyzed by FCC staff prior to making Administrators to collect fees from PAL models and respond to the interference their systems available for a period of and GAA users in a manner similar to environment. In addition, we stated that public testing prior to release. users of the TVWS databases is we would explore the possibility of Applicants may also be required to ‘‘reasonable and appropriate.’’ Ericsson allowing dynamic coordinated access to attend workshops and meetings as explains that the collection of fees will spectrum within Exclusion Zones. We directed by the offices. NTIA will give SAS Administrators the flexibility sought comment on allowing Citizens provide input and guidance as needed to develop individual business models. Broadband Radio Service operations to ensure that the concerns of federal We agree; allowing SAS Administrators within Exclusion Zones as well as the incumbents are properly addressed the option of whether and which users use of sensors for frequency during the approval process. to charge for use of an SAS will give management and incumbent protection. We expect that this process will Administrators the greatest possible Several commenters support allowing facilitate the rapid development and flexibility and facilitate the Citizens Broadband Radio Service users deployment of multiple fully functional development t of various competitive to dynamically access areas within the SASs. We also expect that, through the business models. Accordingly, SAS Exclusion Zones proposed in the approval process, applicants and other Administrators may charge any Citizens FNPRM. In addition, as set forth in stakeholders will work collaboratively Broadband Radio Service user a Section III(G), many commenters to develop standards, procedures, and reasonable fee for provision of its supported using spectrum sensing industry best practices in several key services. technology to protect federal users from areas, including SAS coordination and We do not agree with T-Mobile’s harmful interference and facilitate more information exchange, communications assertion that SAS Administrators widespread commercial use of the 3.5 between CBSDs and SASs, and should not be permitted to charge fees GHz Band. Some commenters also information security. We believe that to Priority Access Licensees since those contend that the Commission should these collaborative efforts will yield licensees will have already paid for authorize the use of a federal SAS to flexible, innovative solutions to these, spectrum access at auction. We believe securely maintain information on and other, technical issues. However, if that allowing SAS Administrators the federal incumbent operations and satisfactory solutions are not reached freedom to determine whether to charge accelerate the process for reducing through industry consensus, the users for their valuable services—and exclusion zones. Commission may address these issues in which users to charge—will promote In its March 24, 2015 letter, NTIA the future. competition in the band. The choice to suggested that sensors could be used to

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protect federal operations using an ESC. ensuring that the ESC does not store, information that reveals other NTIA suggests that the ESC could retain, transmit, or disclose any operational information of any federal consist of one or more commercially information on the locations or system that is not required to effectively operated networks of device-based or movements of any federal systems. The operate the ESC by part 96. infrastructure-based sensors that would ESC will not provide any insights into Following ESC approval, approved SAS be used to detect signals from federal the operations, locations, parameters, or Administrators making use of an radar systems. According to NTIA, features of federal radar and other approved ESC may dynamically based on ESC inputs, the SAS could systems that could potentially affect authorize CBSDs nationwide, consistent instruct commercial users to vacate a their security posture. This is consistent with Section III(G). We also direct WTB channel when proximity to federal with NTIA’s recommended approach to and OET to submit a report to the operations (in frequency, location, or providing information on federal Commission on the status of the time) presents a risk of harmful systems that is necessary for the development, review, and approval of interference to federal radar systems. effective implementation of the ESC. SASs and ESCs at nine month intervals. The information communicated by the While some commenters support The first such report will be due on ESC could then be used by the SAS to establishing a federal SAS to retain and January 17, 2016. Overall, we believe direct Citizens Broadband Radio Service manage federal spectrum use data, given that the development of an ESC—in users to another channel or, if the sensitivity of the information in conjunction with an approved SAS— necessary, to cease transmissions to question, we do not think it would be will maximize efficient commercial use avoid potential interference to federal in the public interest to retain this data. of the 3.5 GHz Band while protecting radar systems. NTIA also asserts that Moreover, given the large number of important federal incumbent operations. ESC sensors would only be required in commenters who opined on the positive the vicinity of the Exclusion Zones benefits and technological feasibility of J. 3650–3700 MHz Band established to protect federal radar using sensing technology in the band, Background. In the NPRM, the systems. we believe that retaining information on Commission sought comment on a Discussion. We agree with NTIA’s federal operations will not be necessary supplemental proposal to include the suggestion to allow the use of one or to share the band effectively. adjacent 3650–3700 MHz band in the more ESCs to detect federal frequency Prospective ESC operators must have proposed Citizens Broadband Radio use in and adjacent to the 3.5 GHz Band. their systems reviewed, certified, and Service regulatory regime. As we noted As NTIA, Google, Federated Wireless, approved through the approval process in the NPRM, incorporating this and others have noted, spectrum used to approve SASs and SAS additional 50 megahertz would create a sensing technologies—in conjunction Administrators described in Section 150 megahertz contiguous block of with management of CBSDs by an III(H)(3)(b). While the processes are the spectrum that could be used by existing approved SAS—would allow Citizens same, ESCs and SASs shall be Broadband Radio Service users to licensees in the 3650–3700 MHz band— evaluated, tested, and approved as well as new licensees—to expand the operate near the coastline on a channel separately. However, these processes or frequency not being used by federal services that they are already providing. may be concurrent and the ability to Subsequently, in the Licensing PN the radar systems. This would allow for communicate with an SAS will be a key more efficient and widespread Commission specifically sought component of ESC approval. The comment on extending the Revised commercial use of the spectrum while approval process will be overseen by the ensuring that federal use of the band is Framework to the 3650–3700 MHz Commission in close consultation with band, and asked what provisions would protected. Moreover, sensing technology NTIA and DoD. To be approved, an ESC would allow federal users to deploy need to be made for existing operators must meet the following requirements: and how much transition time would be next generation radar systems without • Be managed and maintained by a fear of interference from commercial required. non-governmental entity; In the FNPRM, we reaffirmed our operators. • accurately detect federal frequency supplemental proposal to extend our We also agree with NTIA that the ESC use in the 3550–3700 MHz band and proposed rules for the 3.5 GHz Band to should be developed, managed, and adjacent frequencies; maintained by a non-governmental • communicate information about the 3650–3700 MHz band. The entity and should not require oversight detected frequency use to an approved Commission stated that, if it decided to or day-to-day input from NTIA or DoD. SAS; include the latter band segment in the We note that the rules governing the • maintain security of detected and Citizens Broadband Radio Service, the ESC are technologically neutral and, as communicated signal information; existing 3650–3700 MHz operations such, ESC developers may utilize • comply with all Commission rules would be grandfathered for a period of different sensing techniques that yield and guidelines governing the five years after the effective date of the the desired result. The sensors construction, operation, and approval of proposed rules. During the transition comprising an authorized ESC may be ESCs; period, existing licensees would be infrastructure-based, device-based, or a • be available at all times to permitted to operate stations in combination of the two, as long as the immediately respond to requests from accordance with the technical rules in ESC complies with the rules and authorized Commission personnel for part 90, subpart Z of this chapter, if any guidelines set forth by the Commission. any information collected or had been authorized. During this period, These sensors shall be deployed in the communicated by the ESC; Grandfathered Wireless Broadband vicinity of the Exclusion Zones • ensure that the ESC operates Providers would be required to avoid described in Section III(G) to ensure that without any connectivity to any military causing harmful interference to the all federal radar use in and adjacent to or other sensitive federal database or federal sites listed in 47 CFR 90.1331 the 3.5 GHz Band is accurately detected system; and grandfathered FSS earth stations, in and reported to an SAS. • ensure that the ESC does not store, accordance with existing part 90 rules In addition and as noted above, our retain, transmit, or disclose operational (47 CFR 90.1331). At the end of the rules protect the security and information on the movement or transition period, Grandfathered confidentiality of federal operations by position of any federal system or any Wireless Broadband Providers would

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have the option, available to all eligible proposed Part 96 rules to the 3650–3700 small-cell market.’’ The Shared 3.5 GHz Band users, to apply for PALs MHz band, we must do so by adopting Spectrum Company contends that the in the 3550–3650 MHz band or to sufficient protections to safeguard expanded bandwidth available for GAA operate on a GAA basis consistent with existing investment in the band and to use will result in the deployment of part 96 rules. The Commission sought mitigate any impact on incumbent innovative technologies such as sensing comment on the current equipment operations. Neptuno argues for a systems, which might not be financially upgrade cycles for equipment in the grandfathering period of five years or attractive under ‘‘the traditional capital band, and the incremental cost to part the remainder of the licensee’s ten-year and planning restrictions imposed on 90 incumbents of complying with Part term, whichever is longer, with the auction licensing paradigms.’’ Our 96 requirements weighed against the ability to continue using current band-wide operability requirement for benefits of obtaining access to an equipment. UTC, pointing to CBSDs will ensure that the benefits of additional 100 megahertz of spectrum CenterPoint’s investment to support a equipment scale and spectrum access on a PAL or GAA basis. smart grid system, proposes that described above inure to all users. This Many commenters support the incumbent operators be (1) scale should be far greater scale than proposal to create a 150 megahertz grandfathered permanently; (2) available under the current part 90 contiguous block of spectrum for the 3.5 protected from PAL and GAA regime, due in large part to the GHz Band. T-Mobile, for example, operations in the band; and (3) have the relatively small size of the incumbents’ observes that by extending the Citizens first option to access PALs in their area. band (only 50 megahertz of spectrum). Broadband Radio Service licensing WISPA asks that incumbent operators We have also endeavored with the framework to the 3650–3700 MHz band, be given priority access protection and Citizens Broadband Radio Service to we will ‘‘increase the utility of the band, be permitted to permanently retain and create a regulatory environment that benefitting existing operators, attracting operate their existing equipment. will preserve, encourage, or even new providers, and fostering a large, Discussion. We conclude that it is in accelerate network deployments, innovative equipment market.’’ the public interest to adopt our including those providing smart grid Similarly, Motorola Mobility asserts that supplemental proposal and include the and WISP services, which have taken including 3650–3700 MHz will meet the 3650–3700 MHz band in the Citizens root under the existing rules governing Commission’s policy goals of making Broadband Radio Service framework, the 3650–3700 MHz band (See 47 CFR additional spectrum available for mobile creating a 150 megahertz contiguous 90.1301, et seq.). In making our broadband service to the public, while band for flexible, shared uses. We have supplemental proposal to include the promoting interference mitigation tailored the 3.5 GHz Band rules in 3650–3700 MHz band, we recognized techniques and spectral efficiency. response to commenter concerns that that there were currently over 2,000 part Google similarly supports extension of incumbent 3650–3700 MHz licensees 90 incumbent licensees in this band the Citizens Broadband Radio Service should be able to continue operations with more than 25,000 registered sites. framework to the 3650–3700 MHz band, after transition to the broader Citizens As noted above, many of these Part 90 but notes that current users should only Broadband Radio Service framework. incumbents have made substantial be grandfathered to use the band for a We also provide for a transition investments in equipment deploying period of time based on their actual period—longer, for many licensees, than various services in the band. These current use. was proposed in the FNPRM—in which investments were made under a non- Some commenters oppose changing incumbent 3650–3700 MHz licensees exclusive licensing regime and subject the existing framework for the 3650– will enjoy interference protections that to their statutory waiver against any 3700 MHz band. These commenters ease the transition to the new rules. claim to use of the spectrum ‘‘as against assert that given existing investment in Including the 3650–3700 MHz band the regulatory power of the United the band, 3650–3700 MHz should not be will serve the public interest by States.’’ 19 Still, we strive to minimize integrated with the Citizens Broadband promoting spectrum availability, the adverse effects of rule changes on Radio Service framework. WISPA notes efficiency, and usability for all 3.5 GHz incumbents to the extent possible that Wireless Internet Service Providers Band users, including prior 3650–3700 without compromising the public (WISPs) currently use the 3650–3700 MHz licensees. There is substantial interest benefits that we believe such MHz band to provide fixed wireless support in the record for extending the rules changes will produce. broadband services. Cloud Alliance in Citizens Broadband Radio Service rules We have therefore modified our Vermont and Neptuno Networks in to the 3650–3700 MHz band. As Google proposal in four important ways to Puerto Rico, for example, use their 3650 notes, ‘‘[m]ore contiguous spectrum can MHz licenses to provide WiMAX support more uses, attract more 19 47 U.S.C. 304. It is also ‘‘undisputed that the service. Exelon and Ameren Services services, and encourage expansion of Commission always retain[s] the power to alter the Inc. state that they use 3650 MHz the equipment market—all of which term of existing licenses by rulemaking.’’ Celtronix Telemetry, Inc. v. FCC, 272 F.3d 585, 589 (D.C. Cir. licenses as part of their communications will increase the intensity and diversity 2001). Accord, Cellco Partnership v. FCC, 700 F.3d networks for the management of utility of 3.5 GHz operations.’’ PISC adds that 534, 543 (D.C. Cir. 2012). See also Committee for grids. UTC similarly notes that utilities common technical rules for PAL and Effective Cellular Rules v. FCC, 53 F.3d 1309, 1318– have used their licenses to deploy and GAA devices for the entire 3550–3700 20 (D.C. Cir. 1995); WBEN, Inc. v. United States, 396 F.2d 601, 617–18 (2d Cir.1968) (upholding support smart grid applications MHz Band will promote ‘‘a mass market rules resulting in increased interference during term including supervisory control and data ecosystem of devices that can operate on of fulltime AM stations’ licenses resulting from acquisition (SCADA) and advanced either licensed (PAL) or unlicensed operations of daytime licensees); California Citizens metering infrastructure (AMI) systems. (GAA) spectrum.’’ The Wi-Fi Alliance Band Ass’n v. United States, 375 F.2d 43, 50–52 (9th Cir. 1967). While such modifications may not UTC maintains that extending the maintains that extension of the rules extend to making ‘‘fundamental changes’’ to the proposed Part 96 rules to the 3650–3700 will ‘‘promote the availability and terms of existing licenses, Cellco, 700 F.3d at 534, MHz band would increase congestion in efficient use of the spectrum band’’ and here as noted below we have taken steps to ensure the band and impose undue costs on ‘‘provide economies of scale for that part 90 incumbents may continue to provide those same services [using the same technologies], incumbents. equipment across the full 150-megahertz over the same as well as substantially additional Alternatively, some commenters contiguous block of spectrum, thereby spectrum. See Community Television, Inc. v. FCC, suggest that if we decide to apply the facilitating the realization of a robust 216 F.3d 1133, 1140–41 (D.C. Cir. 2000).

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preserve existing 3650–3700 MHz ensure compatibility with our part 96 transition period, these licensees may investment. First, our decision not to rules. continue to operate their networks allow Priority Access use in the 3650– In short, we believe that we have under the GAA rules, but without the 3700 MHz band segment means that this made necessary and appropriate rule priority accorded them during the portion of the band will continue to be accommodations to allow prior existing transition. licensed on a non-exclusive basis, and 3650–3700 MHz licensees to continue During the transition period, thus will continue to be available on a operations in the band under a grandfathered licensees will receive non-exclusive basis to former part 90 framework that provides access to interference protection from other 3.5 incumbents.20 greater spectrum that may better meet GHz Band users operating in the 3650– Second, our technical rules for their needs in the long run. To the 3700 MHz band segment (i.e., GAA Category B CBSDs will accommodate extent that we may have overlooked any users) for network operations and existing 3650–3700 MHz network technical obstacles to achieving this frequencies that are in use at registered deployments and, in fact, will increase goal, we note that part 90 incumbents sites as of April 17, 2016. We agree with technical flexibility in rural areas. In may avail themselves of our waiver Google’s comment that ‘‘[c]onsistent urban areas, the power level authorized process on a case-by-case basis. with the logic of grandfathering, for Category B CBSDs is the same as Nevertheless, recognizing the protection should be provided only for allowed under the existing Part 90 rules. potential challenges that may come with the channels and locations where In rural areas, the levels are even higher. any regulatory transition, and in light of operations currently are deployed, These rules therefore address a the significant investment many rather than categorically granting principal concern of part 90 incumbents incumbent 3650–3700 MHz licensees incumbents exclusive rights to a full 50 about the potential for substantial have made in the band, we provide MHz of spectrum they may not be using decreases in coverage areas due to lower additional protections for these (and may not be authorized to use).’’ In power levels. incumbent operations during a defining the Grandfathered Wireless Third, while we believe our band- reasonable transition period. In place of Protection Zone, we intend to wide operability rule will ultimately the strict five-year term proposed in our distinguish between ‘‘real’’ networks benefit prior existing users of the 3650– FNPRM, we will protect incumbent that have received substantial 3700 MHz band by expanding 3650–3700 MHz nationwide licensees investment and provide socially equipment availability and spectrum (Grandfathered Wireless Broadband productive service from ‘‘paper access, we exempt equipment deployed Providers) for five years after the R&O networks’’ whose only effect is to under these preexisting rules from the Adoption Date or for the remainder of restrict spectrum accessible by the operability requirement. We believe that the license term, whichever is longer, Citizens Broadband Radio Service. this exemption will allow 3650–3700 with one exception. We do not believe The Grandfathered Wireless MHz users to continue operating under it would be appropriate to extend a Protection Zone therefore represents the the new 3.5 GHz Band rules, without transition period of more than five years exclusions, in geographic area and need to retrofit or abandon their existing to those Part 90 incumbents licensed frequency range, needed to reasonably equipment. after the January 8, 2013 Federal protect registered networks that are Fourth, defining a CBSD in a flexible Register publication date of the NPRM. constructed, in service, and in way to encompass a network of base Such licensees were on notice of our compliance with the prior existing rules stations should allow legacy network supplemental proposal to integrate the for the 3650–3700 MHz band. We 3650–3700 MHz band into the Citizens elaborate on these concepts as follows: equipment to interact with the SAS at • relatively low cost, through the addition Broadband Radio Service regulatory Registered means that any fixed or of a proxy controller device. The vast regime before obtaining their licenses, base stations defining the extent of the majority of equipment deployed in the and we believe according them more network have been properly registered than a five-year priority over GAA users with ULS. 3650–3700 MHz band uses the WiMAX • technology standard. We note that this of the band would unnecessarily curtail Constructed means that all of the standard, like most carrier-grade the spectral efficiencies contemplated requisite infrastructure elements are in- by our rules. managed network technologies, defines place and operational. These include The grandfathering period ‘‘allows network management interfaces that siting, FCC-certified radio equipment, incumbent licensees to benefit from the allow for operator control of network backhaul, power, etc. original term of the license they possess • In service means that the network operating parameters. These interfaces while giving them sufficient time to provides ongoing service to unaffiliated, provide software ‘‘hooks’’ that can decide whether to seek a new license paying subscribers (e.g., broadband enable deployment of a network proxy under a modified regime or look for service from a WISP) or for bona fide controller that intermediates between other alternatives’’ that may be available private uses (e.g., utility networks, the legacy network and the SAS, at that time. We are mindful of some network backhaul). effectively translating between the SAS commenters’ concerns that existing • Compliance means that to receive and network management layer to licensees in the 3650–3700 MHz band protection, licensees must be in entered the band with the expectation of compliance with all other applicable 20 We emphasize that the existing part 90 rules provide for non-exclusive spectrum access only. a ten-year license term under the prior FCC rules (or operating pursuant to a See 47 CFR 90.1307. See also Wireless Operations existing rules. As noted above, we waiver of those rules). in the 3650–3700 MHz Band, Memorandum believe our technical and licensing rules We will determine a Grandfathered Opinion and Order, 72 FR 40767 (July 25, 2007): will allow for continued operation in Wireless Protection Zone, after issuing a ‘‘In contrast to an exclusive licensing model in which a licensee may exclude others from a the band for the indefinite future. The Public Notice seeking comment on the particular license area, the non-exclusive licensing transition period will provide appropriate methodology and relevant model adopted in the 3650 MHz Order requires a incumbent licensees with the benefit of technical parameters. In conducting our potential entrant to consider that the presence of operating under the existing Part 90 technical analysis, we will use realistic other licensees will require cooperative use and modeling assumptions, reflecting the may, at times, restrict the amount of spectrum and/ framework for the remainder of their or time that spectrum is available to any particular full licensed term, or in some cases equipment, technical configuration, and licensee.’’ substantially longer. At the end of the propagation environment of real-world

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deployments authorized by the Part 90 April 17, 2015 and are constructed, in coordinate with one another as rules. Alternatively, a simplified metric service, and in full compliance with the currently required by part 90, subpart Z (e.g., distance from a base station) that rules by April 17, 2016. Additionally, of this chapter. sufficiently approximates such a the Grandfathered Wireless Protection Grandfathered Wireless Broadband technical analysis may be appropriate Zone will be reduced should any Licensees may register sites outside of instead. We also emphasize that the portions of the protected network fail to their Grandfathered Wireless Protection Grandfathered Wireless Protection Zone meet the above criteria after April 17, Zones, but these sites will not be shall only protect frequencies in use by 2016. Any registrations filed after April entitled to any interference protection a Grandfathered Wireless Broadband 17, 2015 will only be afforded from Citizens Broadband Radio Service Provider at a given site. protection from harmful interference users. We strongly encourage The Grandfathered Wireless under our rules within the licensee’s Grandfathered Wireless Broadband Protection Zone will be defined based Grandfathered Wireless Protection Licensees to procure equipment with an on fixed or base stations registered by Zone, i.e., a Grandfathered Wireless eye toward complying with the part 96 applications filed in ULS on or before Broadband Provider may not expand its technical rules once the transition April 17, 2015, the adoption date of this protected contour using sites registered period is completed. We expect all Report and Order.21 The use of the after April 17, 2015. Modifications to Grandfathered Wireless Broadband adoption date is necessary to prevent a ULS site registrations after the April 17, Licensees to comply with the Part 96 speculative ‘‘land rush’’ in site 2015 will not have the effect of rules once their transitions are registrations during the period between increasing the Grandfathered Wireless complete. At that point, use of legacy the adoption date and the effective date Protection Zone. equipment that does not operate across of the new and revised rules. This In order to be afforded Grandfathered the entire 150 megahertz band could approach will also help prevent the Wireless Broadband Provider hinder a former part 90 licensee’s protection of ‘‘paper’’ networks and protections, we require incumbent flexibility with respect to other GAA ensure that the 3650–3700 MHz band is operators to register their frequency operations in the band. On the other put to its most productive use. usage with approved SAS hand, the use of technology that is Additionally, we note that for any Administrators. Existing licensees must capable of, or can be upgraded to, assignments or transfers of control of register their fixed and base stations as operation throughout the band will Grandfathered Wireless Broadband well as their service contours with the provide for the possibility of much licenses or registered sites that occur SAS. In addition, existing licensees greater spectrum access. Grandfathered following the effective date of this must indicate the specific frequencies Wireless Broadband Licensees, and their Report and Order, the applicable and channel bandwidth in use at each vendors, should plan accordingly. transition period will run with the site. Subsequently, any Grandfathered As described in Section III(B)(1), we original license date, on a site-by-site Wireless Broadband Provider conclude that it is in the public interest basis. protections will only apply in the to limit 3650–3700 MHz use to GAA Under current procedures, we will frequency range registered by the operations. GAA operation closely generally consider a fixed or base incumbent. Registration with the SAS aligns with the current licensing regime station to be ‘unused’ if it has not will promote spectrum efficiency by in the band where licenses are awarded operated for one year or more. We identifying precisely which spectrum is on a non-exclusive basis and licensees believe this establishes an expectation reserved for Grandfathered Wireless must share spectrum and coordinate that any sites registered in ULS will be Broadband Providers and which operations. Similarly, GAA operators constructed within one year of spectrum may be available for GAA use will have shared use of the entire 3.5 registration. Therefore, we will establish under rules governing the Citizens GHz Band and access will be the Grandfathered Wireless Protection Broadband Radio Service. coordinated by the SAS. We believe that Zone around only those base and fixed Grandfathered Wireless Broadband limiting the 3650–3700 MHz band to stations that are registered by Licensees will be deemed incumbent GAA use post-transition, rather than applications filed in ULS on or before users within their registered service adopting our original proposal to allow contours for the duration of the both PALs and GAA use, will minimize 21 Under the current part 90 rules, stations that transition period. During this transition disruption to incumbent operators. By operate above the power limits specified in 47 CFR period, Grandfathered Wireless eliminating the availability of PALs in 90.1333 are required to be registered. We note that Broadband Providers must avoid the 3650–3700 MHz portion of the band, many subscriber units/customer premise equipment/remote terminals operate above the causing harmful interference to incumbent operators will continue to mobile/portable power limits. However, we believe authorized federal users and have access to the entire 50 MHz, post- that it is appropriate to define the Grandfathered grandfathered FSS earth stations, in transition. Grandfathered Wireless Wireless Protection Zones based on the contour of accordance with our rules (See 47 CFR Broadband Providers thus will have the base and fixed access points that define the network. As such, in this context, ‘‘fixed or base 90.1331). Thus, existing FSS sites will option, available to all eligible 3.5 GHz station’’ does not include subscriber units, customer be protected under part 90, subpart Z of Band users, to operate on a GAA basis premise equipment, or remote terminals that this chapter until the last Grandfathered consistent with Part 96 rules throughout communicate with base stations or access points. Wireless Broadband Licensee within a the 3650–3700 MHz band. We will rely on information provided in the equipment certification to distinguish base stations given protected area is transitioned to We disagree with commenters who and fixed access points from customer premise the new part 96 regime. After the maintain that the existing licensing equipment. Grandfathered Wireless Protection transition period, such facilities shall be regime should be retained for the 3650– Zones will not be specifically defined for subscriber protected from harmful interference 3700 MHz band specifically because the units operated by Grandfathered Wireless Broadband Licensees, regardless of whether they consistent with the protections afforded spectrum is used for critical have been registered in ULS. We expect, however, similarly situated facilities as set forth infrastructure applications such as that the methodology for defining the in Sections 96.15 and 96.17. Consistent Smart Grid. While we acknowledge the Grandfathered Wireless Protection Zone around with current practice, during the federal policy of supporting such based and fixed access points will provide appropriate protections for the subscriber units, transition period, Grandfathered modifications of the electrical customer premise equipment, and remote terminals Wireless Broadband Providers with transmission and distribution system associated with registered base and fixed stations. overlapping service contours must (See 47 U.S.C. 17381, et seq.), our new

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framework does not preclude such and other band opportunities. Broadband Radio Service, protect continued use of the band. Instead, the Consistent with the recommendations of valuable incumbent operations, and new framework promotes flexible, the TAC, we encouraged action to benefit all potential stakeholders in the shared use of the band for any suitable charter a technical group of stakeholders band. We do not, however, take a purpose, including critical to develop industry coordination position on the exact scope, makeup, or infrastructure use. Further, by extending agreements and protocols, including organizational structure of any such the band from 3550–3700 MHz, we technical options and methods for working group. increase the contiguous, interoperable managing spectrum access that would At this time, we also decline to adopt spectrum available for critical improve access to and make efficient a specific process for reviewing and infrastructure use. Critical infrastructure use of the 3.5 GHz Band. We sought responding to recommendations made users will now have access to up to 80 comment on the appropriate scope and by such a forum. We encourage working MHz of GAA spectrum in each census structure of such a group. group participants to share their tract with the ability to use an The record generally supports the findings with the Commission and to additional 70 MHz of PAL spectrum on formation of an industry led multi- incorporate their work, to the extent an opportunistic basis. The framework stakeholder group to study technical feasible, into the development of we adopt today increases, rather than issues in the 3.5 GHz Band. The CBSDs, SASs, and ESC components. We limits, the spectrum available for critical Wireless Innovation Forum asserts that also believe that the insights provided infrastructure use. Moreover, we note a technically focused multi-stakeholder by any such working group could be that existing licenses in the 3650–3700 group should address a variety of informative during the SAS MHz band are nationwide, non- outstanding SAS issues, including inter- Administrator approval process. exclusive licenses. Thus, licensees in SAS communications, communications this band were never afforded exclusive security, protections of higher tier users, IV. Procedural Matters use of the spectrum for any period of and CBSD-to-SAS communications. The A. Ex Parte Presentations Wireless Innovation Forum argues that time. By limiting Citizens Broadband This proceeding shall continue to be the Commission should establish Radio Service use in the band to GAA treated as a ‘‘permit-but-disclose’’ certification procedures to ensure that uses at the end of the transition period, proceeding in accordance with the we retain the non-exclusive, shared SASs and CBSDs conform to the Commission’s ex parte rules. Persons characteristic of this spectrum. procedures and methods developed by making ex parte presentations must file We decline to adopt additional this multi-stakeholder group. They also protections for Grandfathered Wireless propose a detailed organizational a copy of any written presentation or a Broadband Providers beyond those that framework for the working group, memorandum summarizing any oral we adopt today. The additional including a process for the group to presentation within two business days protections suggested by commenters provide proposals to the Federal after the presentation (unless a different will only serve to delay the ultimate Government and for government deadline applicable to the Sunshine integration of 3650–3700 MHz into the agencies to act on such proposals within period applies). Persons making oral ex Citizens Broadband Radio Service. In a limited period of time. Indeed, on parte presentations are reminded that addition, we note that incumbent February 12, 2014, the Wireless memoranda summarizing the licensees had no expectation of Innovation Forum announced the presentation must (1) list all persons exclusive access to the spectrum in the approval of a charter for a new attending or otherwise participating in 3650–3700 MHz band as all licenses Spectrum Sharing Committee focused the meeting at which the ex parte issued in the band were non-exclusive. on developing industry standards for presentation was made, and (2) We conclude that the modified the 3.5 GHz Band. summarize all data presented and protections for incumbent licensees that The Wi-Fi Alliance states that, while arguments made during the we adopt today will maximize the industry groups may play an important presentation. If the presentation benefits to all potential licensees, while role in guiding coexistence matters in consisted in whole or in part of the minimizing the costs to incumbent the 3.5 GHz Band, the Commission presentation of data or arguments licensees. Based on careful should take an active role in developing already reflected in the presenter’s consideration of the record in this spectrum management tools for the written comments, memoranda or other proceeding, we adopt modified rules for band. filings in the proceeding, the presenter transitioning the 3650–3700 MHz band Discussion. As we stated in the may provide citations to such data or into the Citizens Broadband Radio FNPRM, we believe that a multi- arguments in his or her prior comments, Service as provided in Appendix A. stakeholder group focused on the memoranda, or other filings (specifying complex technical issues raised by this the relevant page and/or paragraph K. Multi-Stakeholder Group proceeding could provide us with a numbers w where such data or Background. In the FNPRM, we noted wealth of valuable insights and useful arguments can be found) in lieu of that the TAC recommends that the information. A broad-based group summarizing them in the memorandum. Commission consider forming one or incorporating wireless carriers, network Documents shown or given to more multi-stakeholder groups to study equipment manufacturers, potential Commission staff during ex parte receiver standards and interference SAS Administrators, satellite operators, meetings are deemed to be written ex limits policy at service boundaries in existing 3650–3700 MHz band licensees, parte presentations and must be filed the 3.5 GHz Band. In addition, the and other parties with an interest in the consistent with Section 1.1206(b). In Wireless Innovation Forum 3.5 GHz Band could be instrumental in proceedings governed by Section 1.49(f) recommends that the FCC encourage the developing answers to some of the novel or for which the Commission has made formation of industry led multi- technical questions raised by the available a method of electronic filing, stakeholder groups, proposes key Citizens Broadband Radio Service rules. written ex parte presentations and characteristics of such a process, and We hope that any such group would memoranda summarizing oral ex parte commits to establishing such a multi- work collaboratively towards innovative presentations, and all attachments stakeholder process to develop solutions that would encourage the thereto, must be filed through the recommendations for the 3.5 GHz Band rapid development of the Citizens electronic comment filing system

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available for that proceeding, and must Commission’s Secretary must be comment on the new information be filed in their native format (e.g., .doc, delivered to FCC Headquarters at 445 collection requirements contained in .xml, .ppt, searchable .pdf). Participants 12th St. SW., Room TW–A325, this proceeding. in this proceeding should familiarize Washington, DC 20554. The filing hours E. Congressional Review Act themselves with the Commission’s ex are 8:00 a.m. to 7:00 p.m. All hand parte rules. deliveries must be held together with The Commission will send a copy of We note that our ex parte rules rubber bands or fasteners. Any this Report and Order in a report to be provide for a conditional exception for envelopes and boxes must be disposed sent to Congress and the Government all ex parte presentations made by NTIA of before entering the building. Accountability Office pursuant to the or Department of Defense D Commercial overnight mail (other Congressional Review Act (CRA), see 5 representatives. This proceeding raises than U.S. Postal Service Express Mail U.S.C. 801(a)(1)(A). significant technical issues implicating and Priority Mail) must be sent to 9300 V. Ordering Clauses federal and non-federal spectrum East Hampton Drive, Capitol Heights, allocations and users. Staff from NTIA, MD 20743. Accordingly, it is ordered, pursuant to DoD, and the FCC have engaged in D U.S. Postal Service first-class, Sections 1, 2, 4(i), 4(j), 5(c), 302a, 303, technical discussions in the Express, and Priority mail must be 304, 307(e), and 316 of the development of this Report and Order, addressed to 445 12th Street SW., Communications Act of 1934, as and we anticipate these discussions will Washington DC 20554. amended, 47 U.S.C. 151, 152, 154(i), continue after this Report and Order is People with Disabilities: To request 154(j), 155(c), 302a, 303, 304, 307(e), released. These discussions will benefit materials in accessible formats for and 316, that this Report and Order in from an open exchange of information people with disabilities (braille, large GN Docket No. 12–354 is adopted and between agencies, and may involve print, electronic files, audio format), shall become effective thirty (30) days sensitive information regarding the send an email to [email protected] or call after publication of the text or summary strategic federal use of the 3.5 GHz the Consumer & Governmental Affairs thereof in the Federal Register, except Band. Recognizing the value of federal Bureau at 202–418–0530 (voice), 202– for those rules and requirements that agency collaboration on the technical 418–0432 (tty). require approval by the Office of Management and Budget (OMB) under issues raised in this Report and Order, C. Regulatory Flexibility Analysis NTIA’s shared jurisdiction over the 3.5 the Paperwork Reduction Act, which GHz Band, the importance of protecting As required by the Regulatory shall become effective after the federal users in the 3.5 GHz Band from Flexibility Act of 1980, the Commission Commission publishes a notice in the interference, and the goal of enabling has prepared a Final Regulatory Federal Register announcing such spectrum sharing to help address the Flexibility Analysis (FRFA) and an approval and the relevant effective date. ongoing spectrum capacity crunch, we Initial Regulatory Flexibility Analysis It is further ordered that the find that this exemption serves the (IRFA) of the possible significant Commission’s Consumer and public interest. economic impact on small entities of the Governmental Affairs Bureau, Reference policies and rules adopted and Information Center, shall send a copy of B. Comment Filing Procedures proposed in this document, this Report and Order, including the Pursuant to Sections 1.415 and 1.419 respectively. The FRFA is set forth in Final Regulatory Flexibility Analysis of the Commission’s rules, 47 CFR Appendix B. The IRFA is set forth in and Initial Regulatory Flexibility 1.415, 1.419, interested parties may file Appendix C. Written public comments Analysis, to the Chief Counsel for comments and reply comments on or are requested on the IRFA. These Advocacy of the Small Business before the dates indicated on the first comments must be filed in accordance Administration. page of this document. Comments may with the same filing deadlines as It is further ordered, that the freeze on be filed using the Commission’s comments filed in response to this acceptance of applications with respect Electronic Comment Filing System Report and Order as set forth on the first to new earth stations in the fixed- (ECFS). See Electronic Filing of page of this document, and have a satellite service imposed in the 3.5 GHz Documents in Rulemaking Proceedings, separate and distinct heading NPRM is lifted, effective thirty (30) days 63 FR 24121 (1998). designating them as responses to the after publication of the text or summary D Electronic Filers: Comments may be IRFA. The Commission’s Consumer and of this Report and Order, in the Federal filed electronically using the Internet by Governmental Affairs Bureau, Reference Register. accessing the ECFS: http:// Information Center, will send a copy of fjallfoss.fcc.gov/ecfs2/. this Report and Order, including the Final Regulatory Flexibility Analysis D Paper Filers: Parties who choose to FRFA, to the Chief Counsel for As required by the Regulatory file by paper must file an original and Advocacy of the Small Business Flexibility Act of 1980, as amended one copy of each filing. If more than one Administration (SBA). In addition, the (RFA), the Commission has prepared docket or rulemaking number appears in Report and Order and FRFA (or this Final Regulatory Flexibility the caption of this proceeding, filers summaries thereof) will be published in Analysis (FRFA) of the possible must submit two additional copies for the Federal Register. significant economic impact on small each additional docket or rulemaking entities by the policies and rules number. Filings can be sent by hand or D. Paperwork Reduction Act adopted in this Report and Order (R&O). messenger delivery, by commercial The Report and Order contains new The Commission will send a copy of overnight courier, or by first-class or information collection requirements this R&O, including this FRFA, to the overnight U.S. Postal Service mail. All subject to the Paperwork Reduction Act Chief Counsel for Advocacy of the Small filings must be addressed to the of 1995 (PRA), Public Law 104–13. It Business Administration (SBA). In Commission’s Secretary, Office of the will be submitted to the Office of addition, the R&O and FRFA (or Secretary, Federal Communications Management and Budget (OMB) for summaries thereof) will be published in Commission. review under Section 3507(d) of the the Federal Register. D All hand-delivered or messenger- PRA. OMB, the general public, and As required by the RFA (See 5 U.S.C. delivered paper filings for the other Federal agencies are invited to 603), the Commission incorporated an

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Initial Regulatory Flexibility Analysis receive protection from GAA operations. Communications Act of 1934, as (IRFA) in the Notice of Proposed Priority Access Licenses, defined as an amended, 47 U.S.C. 151, 152, 154(i), Rulemaking and Order (NPRM) and authorization to use a 10 megahertz 154(j), 155(c), 302a, 303, 304, 307(e), Further Notice of Proposed Rulemaking channel in a single census tract for three and 316. (FNPRM). The Commission sought years, will be assigned in up to 70 C. Description and Estimate of the written public comment on the megahertz of the 3550–3650 MHz Number of Small Entities to Which the proposals in the NPRM and FNPRM, portion of the band. GAA will be Rules Will Apply including comment on the IRFA. No allowed, by rule, throughout the 150 comments were filed addressing the megahertz band. GAA users will receive The RFA directs agencies to provide IRFA. This present FRFA conforms to no interference protection from other a description of, and, where feasible, an the RFA (See 5 U.S.C. 604.) Citizens Broadband Radio Service users. estimate of the number of small entities In general, under this three-tiered that may be affected by the proposed A. Need for, and Objectives of, the Rules licensing framework incumbent users rules and policies, if adopted (5 U.S.C. In the R&O, the Commission adopted would be able to operate on a fully 603(b)(3)). The RFA generally defines rules for commercial use of 150 protected basis, while the technical the term ‘‘small entity’’ as having the megahertz in the 3550–3700 MHz band benefits of small cells are leveraged to same meaning as the terms ‘‘small (3.5 GHz Band). The 3.5 GHz Band is facilitate innovative and efficient uses business,’’ ‘‘small organization,’’ and currently used for Department of in the 3.5 GHz Band. ‘‘small governmental jurisdiction (5 Defense Radar services and commercial As a result of the Commission’s U.S.C. 601(6)).’’ In addition, the term fixed Satellite Service (FSS) earth actions in the R&O, small business will ‘‘small business’’ has the same meaning stations (space-to-earth). The creation of have access to spectrum that is currently as the term ‘‘small business concern’’ a new Citizens Broadband Radio Service unavailable to them. The potential uses under the Small Business Act (5 U.S.C. in this band will add much-needed for this spectrum are vast. For example, 601(3)). A ‘‘small business concern’’ is capacity to meet the ever-increasing wireless carriers can deploy small cells one which: (1) Is independently owned demands of wireless innovation. As on a GAA basis where they need and operated; (2) is not dominant in its such, it represents a major contribution additional capacity. Real estate owners field of operation; and (3) satisfies any toward the Commission’s goal of making can deploy neutral host systems in high- additional criteria established by the 500 megahertz newly available for traffic venues, allowing for cost-effective SBA (15 U.S.C. 632). broadband use and will help to unleash network sharing among multiple Small Businesses, Small broadband opportunities for consumers wireless providers and their customers. Organizations, and Small Governmental throughout the country, particularly in Manufacturers, utilities, and other large Jurisdictions. Our action may, over time, areas with overburdened spectrum economic sectors, can construct private affect small entities that are not easily resources. wireless broadband networks to categorized at present. We therefore The R&O also adopts a new approach automate industrial processes that describe here, at the outset, three to spectrum management, which makes require some measure of interference comprehensive, statutory small entity use of advances in computing protection and yet are not appropriately size standards that encompass entities technology to facilitate more intensive outsourced to a commercial cellular that could be directly affected by the spectrum sharing: Between commercial network. All of these applications can proposals under consideration (5 U.S.C. and federal users and among multiple potentially share common wireless 601(3)–(6)). As of 2010, there were 27.9 tiers of commercial users. This three- technologies, providing economies of million small businesses in the United tiered sharing framework is enabled by scale and facilitating intensive use of States, according to the SBA. a Spectrum Access System (SAS). The the spectrum. The Commission’s actions Additionally, a ‘‘small organization’’ is SAS incorporates a dynamic spectrum in the R&O thus constitute a significant generally ‘‘any not-for-profit enterprise database and interference mitigation benefit for small businesses. which is independently owned and techniques to manage all three tiers of In the R&O, the Commission also operated and is not dominant in its field authorized users (Incumbent Access, adopted its supplemental proposal to (5 U.S.C. 601(4)).’’ Nationwide, as of Priority Access, and General Authorized integrate the 3650–3700 MHz band 2007, there were approximately Access (GAA)). The SAS thus serves as within the Citizens Broadband Radio 1,621,315 small organizations. Finally, an advanced, highly automated Service, thereby encompassing an the term ‘‘small governmental frequency coordinator across the band— additional 50 megahertz of contiguous jurisdiction’’ is defined generally as protecting higher tier users from those spectrum. The Commission currently ‘‘governments of cities, counties, towns, beneath and optimizing frequency use licenses the 3650–3700 MHz band on a townships, villages, school districts, or to allow maximum capacity and non-exclusive basis, with protections for special districts, with a population of coexistence in the band. incumbent FSS operations. Smart grid, less than fifty thousand (5 U.S.C. Incumbent users represent the highest rural broadband, small cell backhaul, 601(5)).’’ Census Bureau data for 2007 tier in the new 3.5 GHz framework and and other point-to-multipoint networks indicate that there were 89,527 receive interference protection from will enjoy three times more bandwidth governmental jurisdictions in the Citizens Broadband Radio Service users. than was available under our previous United States. We estimate that, of this Protected incumbents include the 3650–3700 MHz band rules. The total, as many as 88,761 entities may federal operations described above, as adoption of the supplemental proposal qualify as ‘‘small governmental well as FSS and, for a finite period, will promote spectrum efficiency and jurisdictions.’’ Thus, we estimate that grandfathered terrestrial wireless availability, as well as economies of most governmental jurisdictions are operations in the 3650–3700 MHz scale for equipment across the full 150 small. portion of the band. The Citizens MHz band. Wireless Telecommunications Broadband Radio Service itself consists Carriers (except satellite). This industry of two tiers—Priority Access and GAA— B. Legal Basis comprises establishments engaged in both authorized in any given location The actions are authorized under operating and maintaining switching and frequency by an SAS. As the name Sections 1, 2, 4(i), 4(j), 5(c), 302a, 303, and transmission facilities to provide suggests, Priority Access operations 304, 307(e), and 316 of the communications via the airwaves.

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Establishments in this industry have connected with one or more terrestrial been registered. The Commission has spectrum licenses and provide services systems and capable of transmitting not developed a definition of small using that spectrum, such as cellular telecommunications to, and receiving entities applicable to 3650–3700 MHz phone services, paging services, telecommunications from, satellite band nationwide, non-exclusive wireless Internet access, and wireless systems. Establishments providing licensees. However, we estimate that the video services. The appropriate size Internet services or voice over Internet majority of these licensees are Internet standard under SBA rules is for the protocol (VoIP) services via client- Access Service Providers (ISPs) and that category Wireless Telecommunications supplied telecommunications most of those licensees are small Carriers. The size standard for that connections are also included in this businesses. category is that a business is small if it industry.’’ For this category, Census D. Description of Projected Reporting, has 1,500 or fewer employees (13 CFR Bureau data for 2007 show that there Recordkeeping, and Other Compliance 121.201, NAICS code 517210). Census were a total of 2,383 firms that operated Requirements for Small Entities Bureau data for 2007, show that there for the entire year (13 CFR 121.201, were 1,383 firms in this category that NAICS code 517919). Of this total, 2,346 Under the new rules, Citizens operated for the entire year. Of this firms had annual receipts of under $25 Broadband Radio Services Devices total, 1,368 had employment of 999 or million. We anticipate that some of (CBSDs) must comply with technical fewer, and 15 firms had employment of these ‘‘Other Telecommunications and operational requirements aimed at 1,000 employees or more. Thus, under firms,’’ which are small entities, are preventing interference to Incumbent this category and the associated small earth station applicants/licensees that Access and Priority Access users, business size standard, the Commission might be affected by our rule changes. including: Complying with technical estimates that the majority of wireless While, our rule changes may have an parameters (e.g., power and unwanted telecommunications carriers (except impact on earth and space station emissions limits) and specific satellite) are small entities that may be applicants and licensees, space station deployment conditions; reporting affected by our actions. applicants and licensees rarely qualify location information to an SAS as part Satellite Telecommunications and All under the definition of a small entity. of initial registration by a professional Other Telecommunications. Satellite Generally, space stations cost hundreds installer; having the ability to operate telecommunications service providers of millions of dollars to construct, across all frequencies from 3550–3700 include satellite and earth station launch and operate. Consequently, we MHz; having the ability to measure and operators. Since 2007, the SBA has do not anticipate that any space station report on their local interference levels; recognized two census categories for operators are small entities that would and incorporating security features to satellite telecommunications firms: be affected by our actions. protect against modification of software ‘‘Satellite Telecommunications’’ and Radio and Television Broadcasting and firmware by unauthorized parties, ‘‘Other Telecommunications.’’ Under and Wireless Communications and to protect communication data that the ‘‘Satellite Telecommunications’’ Equipment Manufacturing. The Census are exchanged between CBSDs and End category, a business is considered small Bureau defines this category as follows: User Devices. Under the new rules, End if it had $32.5 million or less in annual ‘‘This industry comprises User Devices must operate under the receipts (13 CFR 121.201, NAICS code establishments primarily engaged in power and control of an SAS-authorized 517410). Under the ‘‘Other manufacturing radio and television CBSD and contain security features to Telecommunications’’ category, a broadcast and wireless communications protect against modification of software business is considered small if it had equipment. Examples of products made and firmware by unauthorized parties. $32.5 million or less in annual receipts by these establishments are: The new rules require Citizens (13 CFR 121.201, NAICS code 517919). Transmitting and receiving antennas, Broadband Radio Service users to meet The first category of Satellite cable television equipment, GPS certain qualification requirements, Telecommunications ‘‘comprises equipment, pagers, cellular phones, designate whether they will provide establishments primarily engaged in mobile communications equipment, and service on a common carrier or non- providing point-to-point radio and television studio and common carrier basis, and register their telecommunications services to other broadcasting equipment.’’ The SBA has devices with an SAS. establishments in the developed a small business size In the R&O, the Commission adopted telecommunications and broadcasting standard for firms in this category, a number of measures to protect industries by forwarding and receiving which is: All such firms having 750 or Incumbent operators. To protect communications signals via a system of fewer employees (13 CFR 121.201, incumbent federal users, the satellites or reselling satellite NAICS code 334220). According to Commission established Exclusion telecommunications.’’ For this category, Census Bureau data for 2010, there were Zones and Protection Zones to ensure Census Bureau data for 2007 show that a total of 810 establishments in this compatibility between Federal there were a total of 512 satellite category that operated for the entire Incumbent Users and Citizens communications firms that operated for year. Of this total, 787 had employment Broadband Radio Service users. In the entire year. Of this total, 482 firms of under 500, and an additional 23 had addition, Fixed Satellite Service Earth had annual receipts of under $25 employment of 500 to 999. Thus, under Stations in the 3600–3650 MHz Band million. this size standard, the majority of firms and the 3700–4200 MHz Band will be The second category of Other can be considered small. afforded protection from harmful Telecommunications is comprised of 3650–3700 MHz Band Licensees. In interference from CBSDs under the new entities ‘‘primarily engaged in providing March 2005, the Commission released rules if they register with the specialized telecommunications an order providing for the nationwide, Commission annually. Likewise, services, such as satellite tracking, non-exclusive licensing of terrestrial Grandfathered Wireless Broadband communications telemetry, and radar operations, utilizing contention-based Providers in the 3650–3700 MHz Band station operation. This industry also technologies, in the 3650 MHz band must register their frequency usage with includes establishments primarily (i.e., 3650–3700 MHz). As of April 2010, an SAS in order to receive protection engaged in providing satellite terminal more than 1270 licenses have been from harmful interference during their stations and associated facilities granted and more than 7433 sites have grandfathered period.

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In addition, the Commission adopted E. Steps Taken To Minimize Significant Report and Order and FRFA (or its supplemental proposal to incorporate Economic Impact on Small Entities, and summaries thereof) will be published in the 3650–3700 MHz band into the Significant Alternatives Considered the Federal Register (5 U.S.C. 604(b)). Citizens Broadband Radio Service. The RFA requires an agency to List of Subjects Accordingly, small businesses operating describe any significant alternatives that in this band must transition from the it has considered in reaching its 47 CFR Part 0 current non-exclusive nationwide approach, which may include the Administrative practice and licensing approach to the Citizens following four alternatives (among procedure, Telecommunications. Broadband Radio Service licensing others): (1) The establishment of 47 CFR Part 1 framework. Recognizing that this differing compliance or reporting transition would likely entail additional requirements or timetables that take into Administrative practice and costs and administrative burdens, the account the resources available to small procedure, Communications common Commission adopted enhanced entities; (2) the clarification, carriers, Telecommunications. protections for Grandfathered Wireless consolidation, or simplification of 47 CFR Part 2 Broadband Providers in the 3650–3700 compliance or reporting requirements MHz Band. First, the Commission under the rule for small entities; (3) the Communications equipment, determined not to allow Priority Access use of performance, rather than design, Telecommunications. use in the 3650–3700 MHz band standards; and (4) an exemption from 47 CFR Part 90 segment; this means that this portion of coverage of the rule, or any part thereof, Business and industry. the band will continue to be licensed on for small entities (5 U.S.C. 604(a)(6)). a non-exclusive basis, and thus will The reporting, recordkeeping, and 47 CFR Part 95 other compliance requirements resulting continue to be available on a non- Radio. exclusive basis to former part 90 from the R&O will apply to all entities incumbents. Second, the Commission in the same manner. The Commission 47 CFR Part 96 believes that applying the same rules adopted technical rules for Category B Telecommunications, Radio. CBSDs, which will accommodate equally to all entities in this context Federal Communications Commission. existing 3650–3700 MHz network promotes fairness. The Commission Gloria J. Miles, deployments and, in fact, will increase does not believe that the costs and/or technical flexibility in rural areas. administrative burdens associated with Federal Register Liaison Officer. the rules will unduly burden small Third, the Commission exempted For the reasons discussed in the entities. The rules the Commission equipment already deployed under preamble, the Federal Communications adopts should benefit small entities by preexisting rules in part 90, subpart Z of Commission amends 47 CFR parts 0, 1, giving them more information, more 2, 90, 95 and 96 as follows: this chapter from the band-wide flexibility, and more options for gaining operability requirement. This exemption access to valuable wireless spectrum. PART 0—COMMISSION will allow 3650–3700 MHz users to Specifically, the hybrid framework ORGANIZATION continue operating under the new 3.5 adopted in the R&O leverages advances GHz Band rules, without need to retrofit in computing technology and economics ■ 1. The authority citation for part 0 or abandon their existing equipment. to select, automatically, the best continues to read as follows: Fourth, defining a CBSD in a flexible approach based on local conditions. Authority: Sec. 5, 48 Stat. 1068, as way to encompass a network of base Where competitive rivalry for spectrum amended; 47 U.S.C. 155, 225, unless stations should allow legacy network access is low, the General Authorized otherwise noted. equipment to interact with the SAS at Access tier provides a low-cost mode of ■ 2. Section 0.241 is amended by adding relatively low cost, through the addition access, similar to unlicensed uses. paragraph (j) to read as follows: of a proxy controller device. The Where rivalry is high, an auction Commission believes that it has made resolves mutually exclusive § 0.241 Authority delegated. necessary and appropriate rule applications in specific geographic areas * * * * * accommodations to allow prior existing for Priority Access Licenses. Finite-term (j) The Chief of the Office of 3650–3700 MHz licensees to continue licensing facilitates evolution of the Engineering and Technology is operations in the band under a band and an ever-changing mix of delegated authority jointly with the framework that provides access to General Authorized Access and Priority Chief of the Wireless greater spectrum that may better meet Access bandwidth over time. Telecommunications Bureau to administer the Spectrum Access System their needs in the long run. To the F. Federal Rules That May Duplicate, extent that the Commission may have (SAS) and SAS Administrator functions Overlap, or Conflict With the Final set forth in part 96 of this chapter. The overlooked any technical obstacles to Rules achieving this goal, part 90 incumbents Chief is delegated authority to develop may avail themselves of the None. specific methods that will be used to designate SAS Administrators; to Commission’s waiver process on a case- G. Report to Congress designate SAS Administrators; to by-case basis. The Commission will send a copy of develop procedures that these SAS While our proposals require small the Report and Order, including the Administrators will use to ensure businesses to register with an SAS and FRFA, in a report to Congress pursuant compliance with the requirements for comply with the rules established for to the Congressional Review Act (See 5 SAS operation; to make determinations the Citizens Broadband Radio Service, U.S.C. 801(a)(1)(A)). In addition, the regarding the continued acceptability of they will receive the ability to access Commission will send a copy the Report individual SAS Administrators; and to spectrum that is currently unavailable to and Order, including the FRFA, to the perform other functions as needed for them. On balance, this would constitute Chief Counsel for Advocacy of the Small the administration of the SAS. The a significant benefit for small business. Business Administration. A copy of this Chief is delegated the authority to

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perform these same functions with § 1.902 Scope. § 1.1307 Actions that may have a significant environmental effect, for which regard to the Environmental Sensing In case of any conflict between the Capability. Environmental Assessments (EAs) must be rules set forth in this subpart and the prepared. ■ 3. Section 0.331 is amended by adding rules set forth in parts 13, 20, 22, 24, 26, * * * * * paragraph (f) to read as follows: 27, 74, 80, 87, 90, 95, 96, 97, and 101 (b) * * * of title 47, chapter I of the Code of § 0.331 Authority delegated. (2)(i) Mobile and portable transmitting Federal Regulations, the rules in part 1 devices that operate in the Commercial * * * * * shall govern. Mobile Radio Services pursuant to part (f) The Chief of the Wireless ■ 7. Section 1.907 is amended by 20 of this chapter; the Cellular Telecommunications Bureau is revising the definitions to ‘‘Private Radiotelephone Service pursuant to part delegated authority jointly with the 22 of this chapter; the Personal Wireless Services,’’ ‘‘Wireless Radio Chief of the Office of Engineering and Communications Services (PCS) Services,’’ and ‘‘Wireless Technology to administer the Spectrum pursuant to part 24 of this chapter; the Telecommunications Services’’ to read Access System (SAS) and SAS Satellite Communications Services Administrator functions set forth in part as follows: pursuant to part 25 of this chapter; the 96 of this chapter. The Chief is § 1.907 Definitions. Miscellaneous Wireless delegated authority to develop specific Communications Services pursuant to * * * * * methods that will be used to designate part 27 of this chapter; the Maritime SAS Administrators; to designate SAS Private Wireless Services. Wireless Services (ship earth stations only) Administrators; to develop procedures Radio Services authorized by parts 80, pursuant to part 80 of this chapter; the that these SAS Administrators will use 87, 90, 95, 96, 97, and 101 that are not Specialized Mobile Radio Service, the to ensure compliance with the Wireless Telecommunications Services, 4.9 GHz Band Service, or the 3650 MHz requirements for SAS operation; to as defined in this part. Wireless Broadband Service pursuant to make determinations regarding the * * * * * part 90 of this chapter; the Wireless continued acceptability of individual Medical Telemetry Service (WMTS), or SAS Administrators; and to perform Wireless Radio Services. All radio the Medical Device other functions as needed for the services authorized in parts 13, 20, 22, Radiocommunication Service administration of the SAS. The Chief is 24, 26, 27, 74, 80, 87, 90, 95, 96, 97 and (MedRadio) pursuant to part 95 of this delegated the authority to perform these 101 of this chapter, whether commercial chapter; or the Citizens Broadband same functions with regard to the or private in nature. Radio Service pursuant to part 96 of this Environmental Sensing Capability. Wireless Telecommunications chapter are subject to routine Services. Wireless Radio Services, environmental evaluation for RF PART 1—PRACTICE AND exposure prior to equipment PROCEDURE whether fixed or mobile, that meet the definition of ‘‘telecommunications authorization or use, as specified in service’’ as defined by 47 U.S.C. 153, as §§ 2.1091 and 2.1093 of this chapter. ■ 4. The authority citation for part 1 amended, and are therefore subject to * * * * * continues to read as follows: regulation on a common carrier basis. Authority: 15 U.S.C. 79, et seq.; 47 U.S.C. Wireless Telecommunications Services PART 2—FREQUENCY ALLOCATIONS 151, 154(i), 154(j), 155, 157, 160, 201, 225, include all radio services authorized by AND RADIO TREATY MATTERS; 227, 303, 309, 332, 1403, 1404, 1451, 1452, parts 20, 22, 24, 26, and 27 of this GENERAL RULES AND REGULATIONS and 1455. chapter. In addition, Wireless ■ 9. The authority citation for part 2 ■ 5. Section 1.901 is revised to read as Telecommunications Services include continues to read as follows: follows: Public Coast Stations authorized by part 80 of this chapter, Commercial Mobile Authority: 47 U.S.C. 154, 302a, 303, and 336, unless otherwise noted. § 1.901 Basis and purpose. Radio Services authorized by part 90 of The rules in this subpart are issued this chapter, common carrier fixed ■ 10. Section 2.106, the Table of pursuant to the Communications Act of microwave services, Local Television Frequency Allocations, is amended as 1934, as amended, 47 U.S.C. 151 et seq. Transmission Service (LTTS), Local follows: The purpose of the rules in this subpart Multipoint Distribution Service (LMDS), ■ a. Revise pages 39–40. is to establish the requirements and and Digital Electronic Message Service ■ b. In the list of United States (US) conditions under which entities may be (DEMS), authorized by part 101 of this Footnotes, add footnotes US105, US107, licensed in the Wireless Radio Services chapter, and Citizens Broadband Radio and US433 in alphanumerical order, as described in this part and in parts 13, Services authorized by part 96 of this and revise footnote US109. 20, 22, 24, 26, 27, 74, 80, 87, 90, 95, 96, chapter. The revisions and additions read as 97 and 101 of this chapter. follows: ■ 8. Section 1.1307 is amended by ■ 6. Section 1.902 is revised to read as revising paragraph (b)(2)(i) to read as § 2.106 Table of frequency allocations. follows: follows: * * * * *

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VerDate Sep<11>2014 20:37 Jun 22, 2015 Jkt 235001 PO 00000 Frm 00057 Fmt 4701 Sfmt 4725 E:\FR\FM\23JNR3.SGM 23JNR3 mstockstill on DSK4VPTVN1PROD with RULES3 ER23JN15.018 36220 Federal Register / Vol. 80, No. 120 / Tuesday, June 23, 2015 / Rules and Regulations 40 ) (90) (96) (96) 01 Mobile (25) (25) Page ( 1 ( Land Mobile Broadband (87) Broadband Land Safety Microwave Communications Communications (90Y) Satellite Satellite Citizens Citizens Private Public Fixed Aviation mobile mobile mobile mobile (space-to-Earth) (space-to-Earth) (space-to-Earth) (space-to-Earth) aeronautical aeronautical aeronautical aeronautical US385 US245 except except except except US245 US433 US433 US349 US342 US342 US342 US107 NG169 NG185 NG180 5.441 MOBILE MOBILE MOBILE US105 US105 US109 US203 Radiolocation FIXED FIXED FIXED-SATELLITE FIXED FIXED-SATELLITE FIXED FIXED-SATELLITE FIXED-SATELLITE 5.282 3600-3650 3500-3550 3550-3600 3650-3700 3700-4200 4400-4500 4500-4800 4800-4940 MOBILE FIXED 5.339 4940-4990 G110 G110 US433 G122 G59 G59 RADIONAVI- RADIONAVI- RADIONAVIGATION US245 US385 (ground-based) (ground-based) US107 US349 US342 US261 US342 GATION GATION MOBILE MOBILE MOBILE US342 RADIOLOCATION RADIOLOCATION US105 US109 US245 US203 FIXED FIXED FIXED 4200-4400 4400-4500 4500-4800 4800-4940 4940-4990 3500-3550 3550-3650 3650-3700 3700-4200 5.339 5.440 AERONAUTICAL AERONAUTICAL AERONAUTICAL mobile mobile (space-to-Earth) (space-to-Earth) (space-to-Earth) aeronautical aeronautical 5.433 5.433 5.433 5.432A except except 5.432B 5.432 5.433A MOBILE Radiolocation MOBILE Mobile FIXED FIXED FIXED-SATELLITE Radiolocation FIXED-SATELLITE Radiolocation FIXED FIXED-SATELLITE 5.282 3400-3500 3500-3600 3600-3700 5.435 Amateur mobile mobile (space-to-Earth) (space-to-Earth) (space-to-Earth) aeronautical aeronautical 5.433 5/.433 except except 5.431A 5.438 MOBILE MOBILE Mobile FIXED FIXED-SATELLITE Radiolocation FIXED FIXED-SATELLITE Radiolocation FIXED FIXED-SATELLITE 5.282 3400-3500 3500-3700 3700-4200 Amateur 5.441 (space-to-Earth) (space-to-Earth) (space-to-Earth) RADIONAVIGATION 5.442 5.443 5.440A 5.440A 5.440A 5.430A 5.440 astronomy MOBILE MOBILE MOBILE Radio FIXED FIXED FIXED-SATELLITE FIXED 5.439 5.149 5.339 AERONAUTICAL 4200-4400 4400-4500 4500-4800 4800-4990 Mobile Mobile FIXED FIXED-SATELLITE Radiolocation FIXED FIXED-SATELLITE 5.431 3400-3600 3600-4200

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* * * * * through the National part 27 of this chapter; the Maritime Telecommunications and Information Services (ship earth station devices United States (US) Footnotes Administration frequency assignment only) pursuant to part 80 of this chapter; * * * * * process with new locations added to the the Specialized Mobile Radio Service, US105 In the band 3550–3650 MHz, list at: ntia.doc.gov/category/3550-3650- the 4.9 GHz Band Service, and the 3650 non-Federal stations in the mhz. Coordination of the Federal MHz Wireless Broadband Service radiolocation service that were licensed stations with Citizens Broadband Radio pursuant to part 90 of this chapter; the or applied for prior to July 23, 2015 may Service licensees or users is not Wireless Medical Telemetry Service continue to operate on a secondary basis necessary. Federal operations, other (WMTS) and the Medical Device until the end of the equipment’s useful than airborne radiolocation systems, Radiocommunication Service lifetime. shall be protected consistent with the (MedRadio), pursuant to subparts H and US107 In the band 3600–3650 MHz, procedures set forth in 47 CFR 96.15 I of part 95 of this chapter, respectively, the following provisions shall apply to and 96.67. unlicensed personal communication earth stations in the fixed-satellite (b) Non-federal fixed and mobile service, unlicensed NII devices and service (space-to-Earth): stations shall not claim protection from millimeter wave devices authorized (a) Earth stations authorized prior to, federal airborne radar systems. under §§ 15.253(f), 15.255(g), 15.257(g), or granted as a result of an application (c) Federal airborne radar systems 15.319(i), and 15.407(f) of this chapter; filed prior to, July 23, 2015 and shall not claim protection from non- and the Citizens Broadband Radio constructed within 12 months of initial Federal stations in the fixed and mobile Service pursuant to part 96 of this authorization may continue to operate except aeronautical mobile services chapter are subject to routine on a primary basis. Applications for operating in the band. environmental evaluation for RF modifications to such earth station exposure prior to equipment facilities filed after July 23, 2015 shall * * * * * ■ 11. Section 2.1091 is amended by authorization or use. not be accepted, except for changes in revising paragraph (c)(1) introductory polarization, antenna orientation, or * * * * * text to read as follows: ownership; and increases in antenna PART 90—PRIVATE LAND MOBILE size for interference mitigation § 2.1091 Radiofrequency radiation RADIO SERVICES purposes. exposure evaluation: Mobile devices. (b) The assignment of frequencies to * * * * * ■ 13. The authority citation for part 90 new earth stations after July 23, 2015 (c)(1) Mobile devices that operate in continues to read as follows: shall be authorized on a secondary the Commercial Mobile Radio Services Authority: Sections 4(i), 11, 303(g), 303(r), basis. pursuant to part 20 of this chapter; the US109 The band 3650–3700 MHz is and 332(c)(7) of the Communications Act of Cellular Radiotelephone Service 1934, as amended, 47 U.S.C. 154(i), 161, also allocated to the Federal pursuant to part 22 of this chapter; the 303(g), 303(r), 332(c)(7), and Title VI of the radiolocation service on a primary basis Personal Communications Services Middle Class Tax Relief and Job Creation Act at the following sites: St. Inigoes, MD pursuant to part 24 of this chapter; the of 2012, Pub. L. 112–96, 126 Stat. 156. (38°10′ N, 76°23′ W); Pascagoula, MS Satellite Communications Services ■ (30°22′ N, 88 29′ W); and Pensacola, FL 14. Section 90.103 is amended by: ° ′ ″ ° ′ ″ pursuant to part 25 of this chapter; the ■ a. Removing the ‘‘3500 to 3650’’ entry (30 21 28 N, 87 16 26 W). The FCC Miscellaneous Wireless shall coordinate all non-Federal and adding new ‘‘3500 to 3550’’ and Communications Services pursuant to ‘‘3550 to 3650’’ entries in numerical operations authorized under 47 CFR part 27 of this chapter; the Maritime part 90 within 80 km of these sites with order in the Megahertz portion of the Services (ship earth station devices Radiolocation Service Frequency Table NTIA on a case-by-case basis. For only) pursuant to part 80 of this chapter; stations in the Citizens Broadband in paragraph (b). the Specialized Mobile Radio Service, ■ b. Revising paragraph (c)(30). Radio Service these sites shall be and the 3650 MHz Wireless Broadband The additions and revision read as protected consistent with the Service pursuant to part 90 of this follows: procedures set forth in 47 CFR 96.15(b) chapter; and the Citizens Broadband and 96.67. Radio Service pursuant to part 96 of this § 90.103 Radiolocation Service. * * * * * chapter are subject to routine * * * * * US433 In the band 3550–3650 MHz, environmental evaluation for RF (b) * * * the following provisions shall apply to exposure prior to equipment Federal use of the aeronautical authorization or use if: RADIOLOCATION SERVICE FREQUENCY radionavigation (ground-based) and * * * * * TABLE radiolocation services and to non- ■ 12. Section 2.1093 is amended by Federal use of the fixed and mobile Frequency or Class of revising paragraph (c)(1) to read as band station(s) Limitation except aeronautical mobile services: follows: (a) Non-Federal stations in the fixed Kilohertz and mobile except aeronautical mobile § 2.1093 Radiofrequency radiation services are restricted to stations in the exposure evaluation: portable devices. Citizens Broadband Radio Service and * * * * * ***** shall not cause harmful interference to, (c)(1) Portable devices that operate in or claim protection from, Federal the Cellular Radiotelephone Service Megahertz stations in the aeronautical pursuant to part 22 of this chapter; the 3500 to 3550 ...... do ...... 12 radionavigation (ground-based) and Personal Communications Service (PCS) 3550 to 3650 ...... do ...... 30 radiolocation services at the locations pursuant to part 24 of this chapter; the listed at: ntia.doc.gov/category/3550- Satellite Communications Services 3650-mhz. New and modified federal pursuant to part 25 of this chapter; the ***** stations shall be allowed at current or Miscellaneous Wireless new locations, subject only to approval Communications Services pursuant to (c) * * *

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(30) This frequency band is shared Note to paragraph (b)(1): Licensees § 95.401 (CB Rule 1) What are Citizens with and is on a secondary basis to the installing equipment in the 3650–3700 MHz Band Radio Services? Government Radiolocation Service, the band should determine if there are any * * * * * nearby Federal Government radar systems Fixed Satellite Service (part 25), and the (h) Citizens Broadband Radio Citizens Broadband Radio Service (part that could affect their operations. Information regarding the location and operational Service—The rules for this service, 96). No new licenses for Non-Federal characteristics of the radar systems operating including technical rules, are contained Radiolocation Services in this band will adjacent to this band are provided in NTIA in part 96 of this chapter. Only Citizens be issued after July 23, 2015. TR–99–361. Broadband Radio Service Devices * * * * * authorized on a General Authorized * * * * * ■ 15. Section 90.1307 is revised to read Access basis, as those terms are defined as follows: ■ 18. Section 90.1338 is added to read in § 96.3, are considered part of the as follows: Citizens Band Radio Services. § 90.1307—Licensing. ■ (a) The 3650–3700 MHz band is § 90.1338 Grandfathered operation and 21. Section 95.601 is revised to read licensed on the basis of non-exclusive transition to Citizens Broadband Radio as follows: Service. nationwide licenses. Non-exclusive § 95.601 Basis and purpose. nationwide licenses will serve as a (a) Fixed and base station registrations This section provides the technical prerequisite for registering individual filed in ULS on or before April 17, 2015 standards to which each transmitter fixed and base stations. A licensee that are constructed, in service, and (apparatus that converts electrical cannot operate a fixed or base station fully compliant with the rules in part energy received from a source into RF before registering it under its license 90, subpart Z as of April 17, 2016 will (radio frequency) energy capable of and licensees must delete registrations be afforded protection from harmful being radiated) used or intended to be for unused fixed and base stations. interference caused by Citizens used in a station authorized in any of (b) The Commission shall issue no Broadband Radio Service users until the the Personal Radio Services listed below new licenses or license renewals under end of their license term (with one must comply. This section also provides this section after April 17, 2015, except exception that fixed and base stations requirements for obtaining certification as specified in paragraph (c) of this registered under licenses issued after for such transmitters. The Personal section. January 8, 2013 will only be afforded Radio Services to which these rules (c) If a license issued under this protection until April 17, 2020), apply are the GMRS (General Mobile Section expires between April 17, 2015 consistent with § 90.1307. Protection Radio Service)—subpart A, the Family and April 17, 2020, the licensee may criteria for such registered base stations Radio Service (FRS)—subpart B, the R/ request a one-time renewal and the are described in § 96.21of this chapter. C (Radio Control Radio Service)— Commission may renew that license for Registrations originally filed after April subpart C, the CB (Citizens Band Radio a term ending no later than April 17, 17, 2015 will only be afforded Service)—subpart D, the Low Power 2020. protection from harmful interference Radio Service (LPRS)—subpart G, the (d) Licenses that were issued after under this section within the licensee’s Wireless Medical Telemetry Service January 8, 2013 will be afforded Grandfathered Wireless Protection (WMTS)—subpart H, the Medical protection from harmful interference Zone, as defined in §§ 96.3 and 96.21 of Device Radiocommunication Service from Citizens Broadband Radio Service this chapter. users pursuant to § 90.1338 until April (MedRadio)—subpart I, the Multi-Use 17, 2020 regardless of their expiration (b) Existing licensees as of April 17, Radio Service (MURS)—subpart J, and date. 2015 may add new mobile or portable Dedicated Short-Range Communications ■ 16. Section 90.1311 is revised to read stations (as defined in § 90.1333) and/or Service On-Board Units (DSRCS– as follows: add new subscriber units that operate OBUs)—subpart L. above the power limit defined in ■ § 90.1311 License term. § 90.1333, only if they can positively 22. Add part 96 to read as follows: The license term is ten years, except receive and decode an enabling signal PART 96—CITIZENS BROADBAND as set forth in § 90.1307, beginning on from a base station. Such units will be RADIO SERVICE the date of the initial authorization afforded protection within the licensee’s (non-exclusive nationwide license) Grandfathered Wireless Protection Zone Subpart A—General Rules grant. Registering fixed and base (as defined in §§ 96.3 and 96.21 of this stations will not change the overall chapter) until April 17, 2020 or until the Sec. end of their license term, whichever is 96.1 Scope. renewal period of the license. 96.3 Definitions. ■ 17. Section 90.1331 is amended by later (with one exception that mobile 96.5 Eligibility. revising paragraph (b)(1) and the Note to and portable stations associated with 96.7 Authorization required. paragraph (b)(1) to read as follows: licenses issued after January 8, 2013 96.9 Regulatory status. will only be afforded protection until 96.11 Frequencies. § 90.1331 Restrictions on the operation of April 17, 2020). 96.13 Frequency assignments. base and fixed stations. Subpart B—Incumbent Protection * * * * * PART 95—PERSONAL RADIO (b)(1) Except as specified in paragraph SERVICES 96.15 Protection of federal incumbent (b)(2) of this section, base and fixed users. 96.17 Protection of existing fixed satellite ■ stations may not be located within 80 19. The authority citation for part 95 service (FSS) earth stations in the 3550– km of the following Federal Government continues to read as follows: 3650 MHz Band and 3700–4200 MHz radiolocation facilities: Band. ° ′ ° ′ Authority: 47 U.S.C. 154, 301, 302(a), 303, St. Inigoes, MD—38 10 N., 76 , 23 W and 307(e). 96.19 Operation near Canadian and Pensacola, FL—30° 21′ 28″ N., 87°, 16′ Mexican borders. 26″ W ■ 20. Section 95.401 is amended by 96.21 Protection of existing operators in Pascagoula, MS—30° 22′ N, 88° 29′ W adding paragraph (h) to read as follows: the 3650–3700 MHz Band.

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Subpart C—Priority Access Census tract. Statistical subdivisions commercial deployment of an ESC and 96.23 Authorization. of a county or equivalent entity that are SAS consistent with this part. 96.25 Priority access licenses. updated prior to each decennial census Fixed station. A CBSD or End User 96.27 Application window. as part of the Census Bureau’s Device that transmits and/or receives 96.29 Competitive bidding procedures. Participant Statistical Areas Program. radio communication signals at a fixed 96.31 Aggregation of priority access Census tracts are defined by the United location. Fixed Stations may be moved licenses. States Census Bureau and census tract from time to time but Fixed CBSDs must Subpart D—General Authorized Access maps can be found at http:// turn off and re-register with the SAS 96.33 Authorization. www.census.gov. For purposes of this prior to transmitting from a new 96.35 General authorized access use. part, Census Tracts shall be defined as location. they were in the 2010 United States Subpart E—Technical Rules Geo-location capability. The Census. The Commission may from time capability of a CBSD to register its 96.39 Citizens Broadband Radio Service to time update this definition to reflect geographic coordinates within the level Device (CBSD) general requirements. boundaries used in subsequent 96.41 General radio requirements. of accuracy specified in § 96.39. The 96.43 Additional requirements for category decennial Census definitions. CBSD location is used by the SAS to A CBSDs. Citizens Broadband Radio Service determine frequency availability and 96.45 Additional requirements for category Device (CBSD). Fixed Stations, or maximum transmit power limits for B CBSDs. networks of such stations, that operate CBSDs. 96.47 End user device additional on a Priority Access or General General Authorized Access (GAA) requirements. Authorized Access basis in the Citizens User. An authorized user of one or more 96.49 Equipment authorization. Broadband Radio Service consistent CBSDs operating on a General 96.51 RF safety. with this rule part. For CBSDs which Authorized Access basis, consistent Subpart F—Spectrum Access System comprise multiple nodes or networks of with subpart D of this part. 96.53 Spectrum access system purposes nodes, CBSD requirements apply to Grandfathered wireless broadband and functionality. each node even if network management licensee. A licensee authorized to 96.55 Information gathering and retention. and communication with the SAS is operate in the 3650–3700 MHz band 96.57 Registration, authentication, and accomplished via a single network consistent with § 90.1338 of this authorization of Citizens Broadband interface. End User Devices are not chapter. Radio Service Devices. considered CBSDs. Grandfathered wireless protection 96.59 Frequency assignment. (1) Category A CBSD. A lower power zone. A geographic area and frequency 96.61 Security. CBSD that meets the general range in which Grandfathered Wireless 96.63 Spectrum access system requirements applicable to all CBSDs administrators. Broadband Licensees will receive and the specific requirements for 96.65 Spectrum access system protection from Citizens Broadband Category A CBSDs set forth in §§ 96.41 administrator fees. Radio Service transmissions and and 96.43. Subpart G—Environmental Sensing (2) Category B CBSD. A higher power defined using methodology determined Capability CBSD that meets the general by the Wireless Telecommunications 96.67 Environmental sensing capability. requirements applicable to all CBSDs Bureau and Office of Engineering and and the specific requirements for Technology. Authority: 47 U.S.C. 154(i), 303, and 307. Category B CBSDs set forth in §§ 96.41 Incumbent user. A federal entity authorized to operate on a primary basis Subpart A—General Rules and 96.45. Coastline. The mean low water line in accordance with the table of § 96.1 Scope. along the coast of the United States frequency allocations, fixed satellite service operator, or Grandfathered (a) This section sets forth the drawn according to the principles, as Wireless Broadband Licensee regulations governing use of devices in recognized by the United States, of the authorized to operate on a primary basis the Citizens Broadband Radio Service. Convention on the Territorial Sea and on frequencies designated in § 96.11. Citizens Broadband Radio Service the Contiguous Zone, 15 U.S.T. 1606, Devices (CBSDs) may be used in the and the 1982 United Nations License area. The geographic frequency bands listed in § 96.11. The Convention on the Law of the Sea, 21 component of a PAL. Each License Area operation of all CBSDs shall be I.L.M. 1261. consists of one Census Tract. coordinated by one or more authorized End user device. A device authorized Mobile station. A device intended to Spectrum Access Systems (SASs). and controlled by an authorized CBSD. be used while in motion or during halts (b) The Citizens Broadband Radio These devices may not be used as at unspecified points. Service includes Priority Access and intermediate service links or to provide Portable station. A device designed to General Authorized Access tiers of service over the frequencies listed in be used within 20 centimeters of the service. Priority Access Licensees and § 96.11 to other End User Devices or body of the user. General Authorized Access Users must CBSDs. Priority Access License (PAL). A not cause harmful interference to Environmental Sensing Capability license to operate on a Priority Access Incumbent Users and must accept (ESC). A system that detects and basis, consistent with subpart C of this interference from Incumbent Users. communicates the presence of a signal part. General Authorized Access Users must from an Incumbent User to an SAS to Priority access licensee. A holder of not cause harmful interference to facilitate shared spectrum access one or more PALs. Priority Access Priority Access Licensees and must consistent with §§ 96.15 and 96.67. Licensees shall be entitled to protection accept interference from Priority Access Exclusion zone. A geographic area from General Authorized Access Users Licensees. wherein no CBSD shall operate. and other Priority Access Licensees Exclusion Zones shall be enforced and within the defined temporal, § 96.3 Definitions. maintained by the SAS. Exclusion geographic, and frequency limits of their The definitions in this section apply Zones will be converted to Protection PAL, consistent with the rules set forth to this part. Zones following the approval and in this part.

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Protection zone. A geographic area § 96.9 Regulatory status. (3) For Category A CBSDs, Exclusion wherein CBSDs may operate only with Priority Access Licensees and General Zones shall be maintained along the the permission of an approved SAS and Authorized Access Users are permitted Coastline, as shown at ntia.doc.gov/ ESC. to provide services on a non-common category/3550-3650-mhz. Exclusion Rural area. For purposes of this part, carrier and/or on a common carrier Zones shall also be maintained around any Census Tract which is not located basis. An authorized Citizens federal radiolocation sites as set forth at within, or overlapping: Broadband Radio Service user may ntia.doc.gov/category/3550-3650-mhz . (1) A city, town, or incorporated area render any kind of communications NTIA shall notify the Commission in that has a population of greater than service consistent with the regulatory writing if and when the list of protected 20,000 inhabitants; or status in its authorization and with the federal radiolocation sites is updated. Commission’s rules applicable to that Exclusion Zones shall be maintained (2) An urbanized area contiguous and service. and enforced until one or more ESCs are adjacent to a city or town that has a approved and used by at least one SAS, population of greater than 50,000 § 96.11 Frequencies. in accordance with § 96.67. Thereafter, inhabitants. (a) The Citizens Broadband Radio Exclusion Zones shall be converted to Service area. One or more contiguous Service is authorized in the 3550–3700 Protection Zones. License Areas held by the same Priority MHz frequency band. (i) Category A CBSDs may be Access Licensee. (1) General Authorized Access Users authorized by an approved SAS in Spectrum Access System (SAS). A may operate in the 3550–3700 MHz geographic areas outside of Exclusion system that authorizes and manages use frequency band. Zones before an ESC is approved. of spectrum for the Citizens Broadband (2) Priority Access Users may operate (ii) Once an ESC is approved and used Radio Service in accordance with in the 3550–3650 MHz frequency band. by at least one SAS, Category A CBSDs subpart F of this part. (3) Grandfathered Wireless Broadband may only be authorized consistent with Spectrum Access System (SAS) Licensees may continue to use the information on federal frequency use administrator. An entity authorized by 3650–3700 MHz band in accordance provided to the SAS by an approved the Commission to operate an SAS in with § 90.1338 of this chapter. ESC. (b) [Reserved] accordance with the rules and (iii) Category B CBSDs may only be procedures set forth in § 96.63. § 96.13 Frequency assignments. authorized consistent with information on the presence of a signal from a (a) Each PAL shall be authorized to § 96.5 Eligibility. federal system provided to the SAS by use a 10 megahertz channel in the 3550– Any entity, other than those an approved ESC. 3650 MHz band. (4) Within 60 seconds after the ESC precluded by Section 310 of the (1) No more than seven PALs shall be communicates that it has detected a Communications Act of 1934, as assigned in any given License Area at signal from a federal system in a given amended, 47 U.S.C. 310, and otherwise any given time. area, the SAS must either confirm meets the technical, financial, character, (2) Multiple channels held by the suspension of the CBSD’s operation or and citizenship qualifications that the same Priority Access Licensee in a given its relocation to another unoccupied Commission may require in accordance License Area shall be assigned frequency, if available. with such Act is eligible to be a Priority consistent with the requirements of Access Licensee or General Authorized (5) The Commission will, as § 96.25. necessary, add or modify Exclusion Access User under this part; provided (3) Any frequencies designated for Zones or Protection Zones to protect further, that no entity barred by 47 Priority Access that are not in use by a current and future federal Incumbent U.S.C. 1404 is eligible to be a Priority Priority Access Licensee may be utilized Access Licensee. Users. by General Authorized Access Users. (6) The Commission may temporarily (b) The 3650–3700 MHz band shall be extend or modify Exclusion Zones and § 96.7 Authorization required. reserved for Grandfathered Wireless Protection Zones to protect temporary (a) CBSDs and End User Devices must Broadband Licensees and GAA Users. be used and operated consistent with (c) An SAS shall assign authorized operations by federal Incumbent Users. the rules in this part. CBSDs to specific frequencies, which Federal Incumbent Users will coordinate with the Commission prior (b) Authorizations for PALs may be may be reassigned by that SAS, consistent with this part. to the beginning of any non-emergency granted upon proper application, operation requiring additional provided that the applicant is qualified Subpart B—Incumbent Protection protection. Such modifications will be in regard to citizenship, character, communicated to the SAS along with financial, technical and other criteria § 96.15 Protection of federal incumbent the expiration date and time of any established by the Commission, and that users. modification. the public interest, convenience and (a) This paragraph (a) applies only to (b) This paragraph (b) applies to necessity will be served. See 47 U.S.C. CBSDs operating in the 3550–3650 MHz CBSDs operating in the 3650–3700 MHz 301, 308, 309, and 310. The holding of band. band. an authorization does not create any (1) CBSDs and End User Devices must (1) CBSDs and End User Devices must rights beyond the terms, conditions, and not cause harmful interference to and not cause harmful interference to and period specified in the authorization must accept interference from federal must accept interference from federal and shall be subject to the provisions of Incumbent Users authorized to operate Incumbent Users authorized to operate the Communications Act of 1934, as in the 3550–3700 MHz band and below in the 3500–3700 MHz band. amended, and the Commission’s rules 3550 MHz. (2) Exclusion Zones shall be and policies thereunder. (2) The SAS shall only authorize the maintained for an 80 km radius around (c) Grandfathered Wireless Broadband use of CBSDs consistent with the federal radiolocation sites listed in Licensees are authorized to operate information on federal frequency use 47 CFR 90.1331 and 47 CFR 2.106, US consistent with § 90.1338 of this obtained from an approved ESC, except 109. These Exclusion Zones shall be chapter. as provided in this section. maintained and enforced until one or

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more ESCs are approved and used by at § 96.19 Operation near Canadian and Licensee’s license expires within the least one SAS, in accordance with Mexican borders. protection area defined for a particular § 96.67. Thereafter, Exclusion Zones Citizens Broadband Radio Service grandfathered FSS earth station. shall be converted to Protection Zones. operation in the 3550–3700 MHz band Thereafter, the protection criteria in (3) CBSDs may only be authorized is subject to current and future § 96.17 applicable to similarly situated within these Protection Zones international agreements with Mexico facilities shall apply. consistent with information on the and Canada. The terms of these presence of a signal from a federal agreements shall be implemented by the Subpart C—Priority Access system provided to the SAS by an SAS. § 96.23 Authorization. approved ESC, in accordance with § 96.67. § 96.21 Protection of existing operators in (a) Applications for PALs must: (4) Within 60 seconds after the ESC the 3650–3700 MHz Band. (1) Demonstrate the applicant’s communicates that it has detected a (a) Grandfathered Wireless Broadband qualifications to hold an authorization; signal from a federal system in a given Licensees shall be granted Incumbent (2) State how a grant would serve the area, the SAS must either confirm User status consistent with §§ 90.1307 public interest, convenience, and suspension of the CBSD’s operation or and 90.1338 of this chapter. necessity; its relocation to another unoccupied Notwithstanding this status, (3) Contain all information required frequency. Grandfathered Wireless Broadband by FCC rules and application forms; Licensees shall not cause harmful (4) Propose operation of a facility or § 96.17 Protection of existing fixed interference to federal Incumbent Users facilities in compliance with all rules satellite service (FSS) earth stations in the and grandfathered FSS earth stations governing the Citizens Broadband Radio 3600–3650 MHz Band and 3700–4200 MHz Band. consistent with the rules governing Service; and Citizens Broadband Radio Service (5) Be amended as necessary to (a) CBSDs shall protect the FSS earth operators in this part. remain substantially accurate and stations authorized to operate in the (1) Incumbent User protections for a complete in all significant respects, in 3600–3650 MHz band listed at fcc.gov/ Grandfathered Wireless Broadband accordance with the provisions of § 1.65 cbrs-protected-fss-sites in accordance Licensee shall only apply within its of this chapter. with the Commission’s rules. Grandfathered Wireless Protection (b) CBSDs used for Priority Access (b) CBSDs shall protect the FSS earth Zone. must register with an SAS and comply stations authorized to operate in the (2) Incumbent User protections for a with its instructions consistent with 3700–4200 MHz band listed at fcc.gov/ Grandfathered Wireless Broadband § 96.39 and subpart F of this part. cbrs-protected-fss-sites in accordance Licensee shall only apply to (c) Records pertaining to PALs, with the Commission’s rules. Grandfathered Wireless Protection including applications and licenses, (c) These protection criteria will be Zones around base or fixed stations that shall be maintained by the Commission enforced by the Spectrum Access are registered in ULS on or before April in a publicly accessible system. System authorized consistent with 17, 2015 and constructed, in service, subpart F of this part. and fully compliant with the rules in § 96.25 Priority access licenses. (d) FSS earth station licensees (a) Priority Access Licensees must requesting protection under this part part 90, subpart Z of this chapter as of April 17, 2016. Grandfathered Wireless operate CBSDs consistent with the must register with the Commission technical rules and interference annually, no later than 30 days before Protection Zones will be reduced in geographic area and/or applicable protection requirements set forth in this the end of the preceding calendar year, part. or upon making changes to any of the frequency range if portions of the protected network fail to meet the above (b) PALs have the following operational parameters listed in this parameters: section. Registration information will be criteria after April 17, 2016. Grandfathered Wireless Protection (1) Geography: Each PAL consists of made available to all approved SASs. a single License Area. (1) Annual registration for each earth Zones will not be defined for subscriber (i) Contiguous geographic areas: An station shall include, at a minimum: units operated by Grandfathered SAS must assign geographically (i) The earth station’s geographic Wireless Broadband Licensees, contiguous PALs held by the same location (Using NAD83 coordinates); regardless of whether they have been (ii) Antenna gain; registered in ULS. Priority Access Licensee to the same (iii) Azimuth and elevation antenna (3) Grandfathered Wireless Protection channels in each geographic area, to the gain pattern; Zones must be registered in the SAS for extent feasible. The SAS may (iv) Antenna azimuth relative to true these protections to apply. temporarily reassign individual PALs north; and (b) Grandfathered Wireless Broadband held by the same Priority Access (v) Antenna elevation angle. Licensees may operate within their Licensee to different channels, so that (2) Such information must be made Grandfathered Wireless Protection geographical contiguity is temporarily available to SAS Administrators and Zones and operational frequencies not maintained, to the extent necessary maintained consistent with § 96.55. consistent with the technical rules in to protect Incumbent Users or if (e) CBSDs may operate within areas part 90, subpart Z, consistent with the necessary to perform its required that may cause interference to FSS earth transition period set forth in §§ 90.1307 functions under subpart F of this part. stations provided that the licensee of the and 90.1338 of this chapter. (ii) [Reserved] FSS earth station and the authorized (c) Grandfathered Wireless Broadband (2) Channels: Each PAL consists of a user of the CBSD mutually agree on Licensees and Citizens Broadband Radio 10 megahertz channel within the such operation and the terms of any Service users must protect authorized frequency range set forth in § 96.11. such agreement are provided to an SAS grandfathered FSS earth stations in the Channels must be assigned by the SAS. Administrator that agrees to enforce 3650–3700 MHz band, consistent with Priority Access Licensees may request a them. The terms of any such agreement the existing protection criteria in part particular channel or frequency range shall be communicated promptly to all 90, subpart Z of this chapter until the from the SAS but will not be guaranteed other SAS Administrators. last Grandfathered Wireless Broadband a particular assignment.

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(i) Contiguous channels: An SAS must have applied, up to a maximum of interference problems through assign multiple channels held by the seven. technological solutions or by other same Priority Access Licensee to (d) When there is only one mutually satisfactory arrangements. contiguous channels in the same application for initial Priority Access License Area, to the extent feasible. The Licenses in a License Area that is Subpart E—Technical Rules accepted for filing for a specific auction, SAS may temporarily reassign § 96.39 Citizens Broadband Radio Service individual PALs to non-contiguous no PAL will be assigned for that License Device (CBSD) general requirements. channels to the extent necessary to Area, the auction with respect to that This section applies to all CBSDs. protect Incumbent Users or if necessary License Area will be canceled, and the Additional rules applicable only to to perform its required functions under spectrum will remain accessible solely Category A or Category B CBSDs are set subpart F of this part. for shared GAA use until the next filing forth in §§ 96.43 and 96.45. (ii) [Reserved] window for competitive bidding of (a) Geo-location and reporting (3) License term: Each PAL has a PALs. capability. (1) All CBSDs must be able three-year license term. Each PAL must § 96.31 Aggregation of priority access to determine their geographic automatically terminate at the end of its licenses. coordinates (referenced to the North three-year term and may not be Priority Access Licensees may American Datum of 1983 (NAD83)) to renewed. However, Priority Access aggregate up to four PAL channels in an accuracy of ±50 meters horizontal Licensees may reapply for subsequent any License Area at any given time. and ±3 meters of elevation. Such authorizations in the same License Area, geographic coordinates shall be reported subject to the limitations set forth in Subpart D—General Authorized to an SAS at the time of first activation § 96.27. Priority Access Licensees may Access from a power-off condition. hold consecutive PALs up to the (2) For professionally installed maximum number set forth in § 96.27. § 96.33 Authorization. CBSDs, geographic coordinates to the (c) Unused PAL channels shall be (a) Any party meeting the same accuracy specified in paragraph made available for assignment by the requirements set forth in § 96.5 is (a)(1) of this section may be determined SAS for General Authorized Access use. eligible to operate a CBSD on a General and reported to the SAS as part of the Authorized Access basis. installation and registration process. § 96.27 Application window. (b) CBSDs used for General Geographic coordinates must be (a) Applications for PALs will be Authorized Access must register with determined and reported each time the accepted every three years, or at such the SAS and comply with its CBSD is moved to a new location. other times with respect to PALs not instructions. previously licensed as determined by (3) A non-professionally installed the Wireless Telecommunications § 96.35 General authorized access use. CBSD must check its location and report Bureau in accordance with the rules in (a) General Authorized Access Users to the SAS any location changes ± this chapter. The application window shall be permitted to use frequencies exceeding 50 meters horizontal and 3 and application process will be assigned to PALs when such frequencies meters elevation from its last reported announced via public notice. are not in use, as determined by the location within 60 seconds of such (b) The Wireless Telecommunications SAS. location change. Bureau must make up to two (b) Frequencies that are available for (b) Operability. All CBSDs must be consecutive three-year terms for any General Authorized Access Use shall be capable of two-way operation on any given PAL available during the first made available on a shared basis. authorized frequency assigned by an application window. During subsequent (c) General Authorized Access Users SAS. Equipment deployed by application windows, the Wireless shall have no expectation of interference Grandfathered Wireless Broadband Telecommunications Bureau shall make protection from other General Licensees during their license term will only one three-year license term Authorized Access Users operating in be exempt from this requirement. available for any given PAL. accordance with this part. (c) Registration with SAS. A CBSD (d) General Authorized Access Users must register with and be authorized by § 96.29 Competitive bidding procedures. must not cause harmful interference to an SAS prior to its initial service (a) Mutually exclusive initial and must accept interference from transmission. The CBSD must provide applications for a Priority Access Priority Access Licensees and the SAS upon its registration with its License are subject to competitive Incumbent Users in accordance with geographic location, antenna height bidding. The general competitive this part. above ground level (in meters), CBSD bidding procedures set forth in part 1, (e) General Authorized Access Users class (Category A/Category B), requested subpart Q of this chapter will apply operating Category B CBSDs must make authorization status (Priority Access or unless otherwise provided in this every effort to cooperate in the selection General Authorized Access), FCC subpart. and use of available frequencies identification number, call sign, user (b) Applications for Priority Access provided by an SAS to minimize the contact information, air interface Licenses are mutually exclusive when potential for interference and make the technology, unique manufacturer’s they seek in total more PALs in a most effective use of the authorized serial number, sensing capabilities (if particular geographic area than the facilities. Such users shall coordinate supported), and additional information number of PALs available in that with an SAS before seeking station on its deployment profile required by geographic area. authorization, and make every effort to §§ 96.43 and 96.45. If any of this (c) When there are two or more ensure that their CBSDs operate at a information changes, the CBSD shall accepted applications for PALs in a location, and with technical parameters, update the SAS within 60 seconds of given License Area for a specific that will minimize the potential to cause such change, except as otherwise set auction, the Commission will make and receive interference among CBSDs. forth in this section. All information available for assignment one less PAL Operators of CBSDs suffering from or provided by the CBSD to the SAS must than the total number of PALs in that causing harmful interference are be true, complete, correct, and made in License Area for which all applicants expected to cooperate and resolve good faith.

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(1) A CBSD must operate at or below communications between CBSDs and requirements of this section. In the maximum power level authorized by SASs, between individual CBSDs, and addition, applications for certification of an SAS, consistent with its FCC between CBSDs and End User Devices CBSDs and End User Devices must equipment authorization, and within are secure to prevent corruption or identify at least one of the SAS geographic areas permitted by an SAS unauthorized interception of data. databases operated by an approved SAS on the channels or frequencies (1) For purposes of obtaining Administrator that the device will authorized by an SAS. operational limits and frequency access for channel/frequency (2) A CBSD must receive and comply availabilities and their updates, CBSDs availability and affirm that the device with any incoming commands from its shall only contact SASs operated by will conform to the communications associated SAS about any changes to SAS Administrators approved by the security methods used by such power limits and frequency Commission in accordance with subpart databases. assignments. A CBSD must cease F of this part. transmission, move to another (2) All communications between (h) Airborne operations. Airborne frequency range, or change its power CBSDs and SASs must be transmitted operations by CBSDs and End User level within 60 seconds as instructed by using secure methods that protect the Devices are prohibited. an SAS. systems from corruption or § 96.41 General radio requirements. (d) Signal Level Reporting. A CBSD unauthorized modification of the data. must report to an SAS regarding (3) Communications between a CBSD The requirements in this section received signal strength in its occupied and its associated End User Devices for apply to CBSDs and their associated frequencies and adjacent frequencies, purposes of obtaining operational End User Devices, unless otherwise received packet error rates or other power, location, and frequency specified. common standard metrics of assignments shall employ secure (a) Digital modulation. Systems interference for itself and associated methods that protect the system from operating in the Citizens Broadband corruption or unauthorized End User Devices as directed by an SAS. Radio Service must use digital (e) Frequency reporting. If directed by modification of the data. modulation techniques. the SAS, a CBSD that receives a range (g) Device security. All CBSDs and of available frequencies or channels End User Devices must contain security (b) Conducted and emitted power from an SAS must promptly report to features sufficient to protect against limits. Unless otherwise specified in the SAS which of the available channels modification of software and firmware this section, the maximum conducted or frequencies it will utilize. by unauthorized parties. Applications output power, maximum transmit (f) Security. CBSDs shall incorporate for certification of CBSDs and End User antenna gain, maximum EIRP, and security measures sufficient to ensure Devices must include an operational maximum Power Spectral Density (PSD) that they are capable of communicating description of the technologies and of any CBSD and End User Device must only with SASs operated by approved measures that are incorporated in the comply with the limits shown in the SAS Administrators, and that device to comply with the security table below:

Maximum conducted Maximum Maximum Device Geographic area output power EIRP conducted (dBm/10 (dBm/10 PSD (dBm/ megahertz) megahertz) MHz)

End User Device ...... All ...... n/a 23 n/a Category A CBSD ...... All ...... 24 30 14 Category B CBSD1 ...... Non-Rural ...... 24 40 14 Category B CBSD1 ...... Rural ...... 30 47 20 1 Category B CBSDs will only be authorized for use after an ESC is approved and commercially deployed consistent with §§ 96.15 and 96.67.

(c) Power management. CBSDs and channel PAL, shall not exceed an emission (whether in or outside of the End User Devices shall limit their average (rms) power level of ¥80 dBm authorized band) shall not exceed ¥13 operating power to the minimum in any direction when integrated over a dBm/MHz within 0–10 megahertz above necessary for successful operations. 10 megahertz reference bandwidth, with the upper SAS-assigned channel edge (1) CBSDs must support transmit the measurement antenna placed at a and within 0–10 megahertz below the power control capability and the height of 1.5 meters above ground level, lower SAS-assigned channel edge. At all capability to limit their maximum EIRP unless the affected PAL licensees agree frequencies greater than 10 megahertz and the maximum EIRP of associated to an alternative limit and communicate above the upper SAS assigned channel End User Devices in response to that to the SAS. edge and less than 10 MHz below the instructions from an SAS. (2) These limits shall not apply for co- lower SAS assigned channel edge, the (2) End User Devices shall include channel operations at the boundary power of any emission shall not exceed transmit power control capability and between geographically adjacent PALs ¥25 dBm/MHz. The upper and lower the capability to limit their maximum held by the same Priority Access SAS assigned channel edges are the EIRP in response to instructions from Licensee. upper and lower limits of any channel their associated CBSDs. (e) 3.5 GHz Emissions and assigned to a CBSD by an SAS, or in the (d) Received signal strength limits. (1) interference limits—(1) General case of multiple contiguous channels, For both Priority Access and GAA users, protection levels. Except as otherwise the upper and lower limits of the CBSD transmissions must be managed specified in this section, for channel combined contiguous channels. such that the aggregate received signal and frequency assignments made by the (2) Additional protection levels. strength, measured at any location on SAS to CBSDs, the power of any Notwithstanding paragraph (d)(1) of this the Service Area boundary of any co- emission outside the fundamental section, the power of any emissions

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below 3530 MHz or above 3720 MHz § 96.43 Additional requirements for these services must request equipment shall not exceed ¥40dBm/MHz. category A CBSDs. authorization following the procedures (3) Measurement procedure. (i) (a) Category A CBSDs shall not be set forth in subpart J of part 2 of this Compliance with this provision is based deployed or operated outdoors with chapter. on the use of measurement antennas exceeding 6 meters height instrumentation employing a resolution above average terrain. CBSDs deployed § 96.51 RF safety. bandwidth of 1 megahertz or greater. or operated outdoors with antennas Licensees and manufacturers are However, in the 1 megahertz bands exceeding 6 meters height above average subject to the radio frequency radiation immediately outside and adjacent to the terrain will be classified as, and subject exposure requirements specified in licensee’s authorized frequency to, the operational requirements of §§ 1.1307(b), 1.1310, 2.1091, and 2.1093 channel, a resolution bandwidth of no Category B CBSDs. of this chapter, as appropriate. less than one percent of the (b) When registering with an SAS, Applications for equipment fundamental emission bandwidth may Category A CBSDs must transmit all authorization of Mobile or Portable be employed. A narrower resolution information required under § 96.39. devices operating under this section bandwidth is permitted in all cases to This transmission shall also indicate must contain a statement confirming improve measurement accuracy whether the device will be operated compliance with these requirements for provided the measured power is indoors or outdoors. both fundamental emissions and integrated over the full reference (c) Any CBSD operated at higher unwanted emissions and technical bandwidth (i.e., 1 MHz or 1 percent of power than specified for Category A information showing the basis for this emission bandwidth, as specified). The CBSDs in § 96.41 will be classified as, statement must be submitted to the emission bandwidth is defined as the and subject to, the operational Commission upon request. width of the signal between two points, requirements of a Category B CBSD. one below the carrier center frequency Subpart F—Spectrum Access System and one above the carrier center § 96.45 Additional requirements for category B CBSDs. § 96.53 Spectrum access system purposes frequency, outside of which all and functionality. emissions are attenuated at least 26 dB (a) Category B CBSDs must be below the transmitter power. professionally installed. The purposes of the SAS include: (ii) When measuring unwanted (b) In the 3550–3650 MHz band, (a) To enact and enforce all policies emissions to demonstrate compliance Category B CBSDs must be authorized and procedures developed by the SAS with the limits, the CBSD and End User consistent with information received Administrator pursuant to § 96.63. Device nominal carrier frequency/ from an ESC, as described in § 96.15. (b) To determine and provide to channel shall be adjusted as close to the (c) Category B CBSDs are limited to CBSDs the permissible channels or licensee’s authorized frequency block outdoor operations. frequencies at their location. (d) When registering with an SAS, edges, both upper and lower, as the (c) To determine and provide to Category B CBSDs must transmit all design permits. CBSDs the maximum permissible (iii) Emission power measurements information required under § 96.39 plus transmission power level at their shall be performed with the CBSD and the following additional information: location. End User Devices operating at their antenna gain, beamwidth, azimuth, (d) To register and authenticate the maximum EIRP levels. downtilt angle, and antenna height identification information and location (iv) Emission power measurements above ground level. of CBSDs. (e) To retain information on, and shall be performed with a peak detector § 96.47 End user device additional in maximum hold. requirements. enforce, Exclusion Zones and Protection Zones in accordance with §§ 96.15 and (4) When an emission outside of the (a) End User Devices may operate 96.17. authorized bandwidth causes harmful only if they can positively receive and (f) To communicate with the ESC to interference, the Commission may, at its decode an authorization signal obtain information about federal discretion, require greater attenuation transmitted by a CBSD, including the Incumbent User transmissions and than specified in this section. frequencies and power limits for their (f) Reception limits. Priority Access instruct CBSDs to move to another operation. frequency range or cease transmissions. Licensees must accept adjacent channel (1) An End User Device must (g) To ensure that CBSDs operate in and in-band blocking interference discontinue operations, change geographic areas and within the (emissions from other authorized frequencies, or change its operational maximum power levels required to Priority Access or GAA CBSDs power level within 10 seconds of protect federal Incumbent Users from transmitting between 3550 and 3700 receiving instructions from its MHz) up to a power spectral density harmful interference, consistent with ¥ associated CBSD. level not to exceed 40 dBm in any (2) [Reserved] the requirements of §§ 96.15 and 96.21. direction with greater than 99% (b) Any device operated at higher (h) To ensure that CBSDs protect non- probability when integrated over a 10 power than specified for End User federal Incumbent Users from harmful megahertz reference bandwidth, with Devices in § 96.41 will be classified as, interference, consistent with the the measurement antenna placed at a and subject to, the operational requirements of §§ 96.17 and 96.21. height of 1.5 meters above ground level, requirements of a CBSD. (i) To protect Priority Access unless the affected Priority Access Licensees from interference caused by Licensees agree to an alternative limit § 96.49 Equipment authorization. other PALs and from General and communicates that to the SAS. (a) Each transmitter used for operation Authorized Access Users consistent Note to paragraph (f): Citizens under this part and each transmitter with § 96.25. Broadband Radio Service users should marketed as set forth in § 2.803 of this (j) To facilitate coordination between be aware that there are Federal chapter must be of a type which has GAA users operating Category B CBSDs, Government radar systems in the band been certificated for use under this part. consistent with § 96.35. and adjacent bands that could adversely (b) Any manufacturer of radio (k) To resolve conflicting uses of the affect their operations. transmitting equipment to be used in band while maintaining, as much as

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possible, a stable radio frequency § 96.57 Registration, authentication, and Users or if necessary to perform its environment. authorization of Citizens Broadband Radio required functions. Service Devices. (l) To ensure secure and reliable (a) An SAS must register, § 96.61 Security. transmission of information between the authenticate, and authorize operations (a) An SAS must employ protocols SAS and CBSDs. of CBSDs consistent with this part. and procedures to ensure that all (m) To protect Grandfathered Wireless (b) CBSDs composed of a network of communications and interactions Broadband Licensees consistent with base and fixed stations may employ a between the SAS and CBSDs are §§ 90.1307 and 90.1338 of this chapter, subsystem for aggregating and accurate and secure and that and § 96.21. communicating all required information unauthorized parties cannot access or (n) To implement the terms of current exchanges between the SAS and CBSDs. alter the SAS or the information it sends and future international agreements as (c) An SAS must also verify that the to a CBSD. they relate to the Citizens Broadband FCC identifier (FCC ID) of any CBSD (b) Communications between CBSDs Radio Service. seeking access to its services is valid and an SAS, between an ESC and an prior to authorizing it to begin providing SAS, between individual CBSDs, and § 96.55 Information gathering and service. A list of devices with valid FCC between different SASs, must be secure retention. IDs and the FCC IDs of those devices is to prevent corruption or unauthorized to be obtained from the Commission’s (a) The SAS shall maintain current interception of data. An SAS must be Equipment Authorization System. protected from unauthorized data input information on registered CBSDs, the (d) An SAS must not authorize geographic locations and configuration or alteration of stored data. operation of CBSDs within Protection (c) An SAS must verify that the FCC of protected FSS locations as set forth in Zones except as set forth in § 96.15. § 96.17, and the federal Incumbent User identification number supplied by a Exclusion Zones and Protection Zones. § 96.59 Frequency assignment. CBSD is for a certified device and must (a) An SAS must determine the not provide service to an uncertified (1) For registered CBSDs, such device. information shall include all available and appropriate channels/ information required by §§ 96.39 and frequencies for CBSDs at any given § 96.63 Spectrum access system 96.45. location using the information supplied administrators. by CBSDs, including location, the (2) SAS Administrators must make all The Commission will designate one or authorization status and operating information necessary to effectively more SAS Administrators to provide parameters of other CBSDs in the coordinate operations between and nationwide service. The Commission surrounding area, information among CBSDs available to other SAS may, at its discretion, permit the communicated by the ESC, other SASs, Administrators. functions of an SAS, such as a data and such other information necessary to repository, registration, and query (3) SAS Administrators must make ensure effective operations of CBSDs services, to be divided among multiple CBSD registration information available consistent with this part. All such entities; however, it shall designate one to the general public, but they must determinations and assignments shall be or more specific entities to be an SAS obfuscate the identities of the licensees made in a non-discriminatory manner, Administrator responsible for providing the information for any public consistent with this part. coordinating the overall functioning of disclosures. (1) Upon request from the an SAS and providing services to Commission or a CBSD, an SAS must (4) For non-federal Incumbent Users, operators in the Citizens Broadband confirm whether frequencies are the SAS shall maintain a record of the Radio Service. Each SAS Administrator available in a given geographic area. location of protected earth stations as designated by the Commission must: (2) Upon request from the well as the all registration information (a) Maintain a regularly updated required by § 96.17. Commission, an SAS must confirm that CBSDs in a given geographic area and database that contains the information (b) The SAS shall maintain records frequency band have been shut down or described in § 96.55. not pertaining to federal Incumbent moved to another available frequency (b) Establish a process for acquiring User transmissions for at least 60 range in response to information and storing in the database necessary months. received from the ESC. and appropriate information from the (c) The SAS shall only retain records (3) If an SAS provides a range of Commission’s databases, including PAL of information or instructions received available frequencies or channels to a assignments, and synchronizing the regarding federal Incumbent User CBSD, it may require that CBSD to database with the current Commission transmissions from the ESC in confirm which channel or range of databases at least once a day to include accordance with information retention frequencies it will utilize. newly licensed facilities or any changes policies established as part of the ESC (b) Consistent with the requirements to licensed facilities. approval process. of § 96.25, an SAS shall assign (c) Establish and follow protocols and geographically contiguous PALs held by procedures to ensure compliance with (d) The SAS shall be technically the same Priority Access Licensee to the the rules set forth in this part, including capable of directly interfacing with any same channels in each geographic area, the SAS functions set forth in subpart F necessary FCC database containing where feasible. The SAS shall also of this part. information required for the proper assign multiple channels held by the (d) Establish and follow protocols and operation of an SAS. same Priority Access Licensee to procedures sufficient to ensure that all (e) The SAS shall process and retain contiguous frequencies within the same communications and interactions acknowledgements by all entities License Area, where feasible. between the SAS, ESC, and CBSDs are registering CBSDs that they understand (c) An SAS may temporarily assign accurate and secure and that the risk of possible interference from PALs to different channels (within the unauthorized parties cannot access or federal Incumbent User radar operations frequency range authorized for Priority alter the SAS or the information in the band. Access use) to protect Incumbent Access transmitted from the SAS to CBSDs.

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(e) Provide service for a five-year (l) Establish and follow protocols to the Commission. The Commission may term. This term may be renewed at the respond to instructions from the revoke, modify, or condition ESC Commission’s discretion. President of the United States, or approval at its discretion. (f) Respond in a timely manner to another designated Federal government (c) An ESC must meet the following verify, correct or remove, as appropriate, entity, issued pursuant to 47 U.S.C. 606. requirements: data in the event that the Commission (m) Establish and follow protocols to (1) Be managed and maintained by a or a party brings a claim of inaccuracies comply with enforcement instructions non-governmental entity; in the SAS to its attention. This from the Commission. requirement applies only to information (n) Ensure that the SAS: (2) Accurately detect the presence of that the Commission requires to be (1) Operates without any connectivity a signal from a federal system in the stored in the SAS. to any military or other sensitive federal 3550–3700 MHz band and adjacent (g) Securely transfer the information database or system, except as otherwise frequencies using approved in the SAS, along with the IP addresses required by this part; and methodologies that ensure that any and URLs used to access the system, (2) Does not store, retain, transmit, or CBSDs operating pursuant to ESC will and a list of registered CBSDs, to disclose operational information on the not cause harmful interference to federal another approved entity in the event it movement or position of any federal Incumbent Users; does not continue as the SAS system or any information that reveals (3) Communicate information about Administrator at the end of its term. It other operational information of any the presence of a signal from a federal may charge a reasonable price for such federal system that is not required by Incumbent User system to one or more conveyance. this part to effectively operate the SAS. approved SASs; (h) Cooperate to develop a (4) Maintain security of detected and standardized process for coordinating § 96.65 Spectrum access system communicated signal information; operations with other SASs, avoiding administrator fees. any conflicting assignments, (a) An SAS Administrator may charge (5) Comply with all Commission rules maximizing shared use of available Citizens Broadband Radio Service users and guidelines governing the frequencies, ensuring continuity of a reasonable fee for provision of the construction, operation, and approval of service to all registered CBSDs, and services set forth in subpart F of this ESCs; providing the data collected pursuant to part. (6) Ensure that the ESC shall be § 96.55. (b) The Commission, upon request, available at all times to immediately (i) Coordinate with other SAS will review the fees and can require respond to requests from authorized Administrators including, to the extent changes to those fees if they are found Commission personnel for any possible, sharing information, to be unreasonable. information collected or communicated facilitating non-interfering use by by the ESC; and CBSDs connected to other SASs, Subpart G—Environmental Sensing (7) Ensure that the ESC operates maximizing available General Capability without any connectivity to any military Authorized Access frequencies by § 96.67 Environmental sensing capability. or other sensitive federal database or assigning PALs to similar channels in system and does not store, retain, (a) The primary purpose of the ESC is the same geographic regions, and other transmit, or disclose operational to facilitate coexistence of Citizens functions necessary to ensure that information on the movement or Broadband Radio Service users with available spectrum is used efficiently position of any federal system or any federal Incumbent Users through signal consistent with this part. information that reveals other sensing. An ESC will be operated by a (j) Provide a means to make non- operational information of any federal non-governmental entity and, except as federal non-proprietary information system that is not required by this part set forth in this section, will not rely on available to the public in a reasonably to effectively operate the ESC. accessible fashion in conformity with governmental agencies to affirmatively the rules in this part. communicate information about the (d) ESC equipment may be deployed (k) Ensure that the SAS shall be operations of incumbent radio systems. in the vicinity of the Exclusion Zones available at all times to immediately (b) An ESC may only operate after and Protection Zones to accurately respond to requests from authorized receiving approval by the Commission. detect federal Incumbent User Commission personnel for any and all Such approval shall be conditioned on transmissions. information stored or retained by the meeting the requirements of this part [FR Doc. 2015–14494 Filed 6–22–15; 8:45 am] SAS. and any other requirements imposed by BILLING CODE 6712–01–P

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Reader Aids Federal Register Vol. 80, No. 120 Tuesday, June 23, 2015

CUSTOMER SERVICE AND INFORMATION CFR PARTS AFFECTED DURING JUNE

Federal Register/Code of Federal Regulations At the end of each month the Office of the Federal Register General Information, indexes and other finding 202–741–6000 publishes separately a List of CFR Sections Affected (LSA), which aids lists parts and sections affected by documents published since Laws 741–6000 the revision date of each title. 9 CFR Presidential Documents 2 CFR Executive orders and proclamations 741–6000 600...... 31299 430...... 35178 The United States Government Manual 741–6000 3256...... 33155 Proposed Rules: 201...... 34097 Other Services 3 CFR Electronic and on-line services (voice) 741–6020 Proclamations: 10 CFR Privacy Act Compilation 741–6064 9288...... 31821 71...... 33988 Public Laws Update Service (numbers, dates, etc.) 741–6043 9289...... 31823 72...... 30924, 35829 TTY for the deaf-and-hard-of-hearing 741–6086 9290...... 31825 430...... 31971 9291...... 31827 Proposed Rules: 9292...... 31829 20...... 35870 ELECTRONIC RESEARCH 9293...... 34529 37...... 33450 9294...... 34823 World Wide Web 50...... 34559 9295...... 34825 72...... 35872 Full text of the daily Federal Register, CFR and other publications Executive Orders: 429 ...... 30962, 31324, 31487, is located at: www.fdsys.gov. 13696...... 35783 35874 430 ...... 30962, 31324, 31487, Federal Register information and research tools, including Public Administrative Orders: 31646, 33030, 34843, 35886 Inspection List, indexes, and Code of Federal Regulations are Memorandums: 431...... 35874 located at: www.ofr.gov. Memorandum of May 7, 2015 ...... 32849 E-mail Notices: 12 CFR Notice of June 10, 4...... 31463, 34039 FEDREGTOC-L (Federal Register Table of Contents LISTSERV) is 2015 ...... 34021 5...... 31463, 34039 an open e-mail service that provides subscribers with a digital Presidential 7...... 31463, 34039 form of the Federal Register Table of Contents. The digital form Determinations: 14...... 31463, 34039 of the Federal Register Table of Contents includes HTML and No. 2015–06 of May 24...... 31463, 34039 PDF links to the full text of each document. 19, 2015 ...... 32851 32...... 31463, 34039 To join or leave, go to http://listserv.access.gpo.gov and select No. 2015–07 of June 34 ...... 31463, 32658, 34039 Online mailing list archives, FEDREGTOC-L, Join or leave the list 3, 2015 ...... 32853 100...... 31463, 34039 (or change settings); then follow the instructions. 116...... 31463, 34039 5 CFR PENS (Public Law Electronic Notification Service) is an e-mail 143...... 31463, 34039 service that notifies subscribers of recently enacted laws. Ch. IV...... 32244 144...... 31463, 34039 Proposed Rules: 145...... 31463, 34039 To subscribe, go to http://listserv.gsa.gov/archives/publaws-l.html 410...... 34540 146...... 31463, 34039 and select Join or leave the list (or change settings); then follow 531...... 30955 150...... 31463, 34039 the instructions. 532...... 32042 152...... 31463, 34039 FEDREGTOC-L and PENS are mailing lists only. We cannot 550...... 34540 159...... 31463, 34039 respond to specific inquiries. 551...... 34540 160...... 31463, 34039 Reference questions. Send questions and comments about the 870...... 34540 161...... 31463, 34039 Federal Register system to: [email protected] Ch. C ...... 33199 162...... 31463, 34039 163...... 31463, 34039 The Federal Register staff cannot interpret specific documents or 7 CFR 174...... 31463, 34039 regulations. 205...... 35177 192...... 31463, 34039 CFR Checklist. Effective January 1, 2009, the CFR Checklist no 633...... 32439 193...... 31463, 34039 longer appears in the Federal Register. This information can be 930...... 30919 204...... 35565 found online at http://bookstore.gpo.gov/. 1980...... 34827 208...... 32658 3201...... 34023 225...... 32658 FEDERAL REGISTER PAGES AND DATE, JUNE 3202...... 34030 323...... 32658 3550...... 31971 390...... 32658 3560...... 34531 600...... 32294 30919–31298...... 1 34531–34826...... 17 Proposed Rules: 1026...... 32658 31299–31460...... 2 34827–35176...... 18 31461–31830...... 3 57...... 32867 1222...... 32658 35177–35564...... 19 319...... 30959 1238...... 35188 31831–31970...... 4 35565–35828...... 22 31971–32266...... 5 925...... 32043 Proposed Rules: 35829–36230...... 23 Ch. I ...... 32046 32267–32438...... 8 1211...... 32488, 32493 1220...... 34325 Ch. II ...... 32046 32439–32854...... 9 1493...... 34080 Ch. III ...... 32046 32855–33154...... 10 607...... 35888 33155–33396...... 11 8 CFR 614...... 35888 33397–34022...... 12 217...... 32267 615...... 35888 34023–34238...... 15 293...... 34239 620...... 35888 34239–34530...... 16 1003...... 31461 628...... 35888

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13 CFR 279...... 33590 26...... 35602 17...... 34794 120...... 34043 301...... 33211, 35602 51...... 34794 20 CFR 52...... 34794 14 CFR 404...... 31990, 34048 27 CFR 39 CFR 23...... 34242 416...... 31990 Proposed Rules: 25...... 34533 9...... 34857, 34864 601...... 31844 21 CFR 955...... 31303 33...... 32440 28 CFR 39 ...... 30928, 32294, 32441, 73...... 31466, 32303 3020...... 35575 32445, 32449, 32451, 32453, 107...... 35834 0...... 31998 Proposed Rules: 32456, 32458, 32460, 32461, 172...... 34274 16...... 34051 3050...... 35898 34244, 34247, 34249, 34252, 510...... 34276 552...... 32000 40 CFR 34256, 34258, 34262, 34534, 514...... 31708 Proposed Rules: 34827, 34831, 35191, 35192 520...... 34276 2...... 34111 9...... 32003 522...... 34276 52 ...... 30939, 30941, 31305, 61...... 33397 29 CFR 71 ...... 32464, 33401, 34264, 526...... 34276 31844, 32017, 32019, 32026, 35568, 35833 528...... 34276 1611...... 34538 32469, 32472, 32474, 33191, 73...... 34265 558...... 31708, 35841 2590...... 34292 33192, 33195, 33413, 33418, 95...... 31988 573...... 35568 4022...... 34052 33840, 34063, 34538, 34835 97...... 32297, 32299 870...... 32307 4044...... 34052 62...... 32474 121...... 33397 876...... 30931, 35842 4233...... 35220 63...... 31470 400...... 31831 895...... 31299 Proposed Rules: 81...... 32474 401...... 31831 Proposed Rules: 2509...... 34869 98...... 33425 Proposed Rules: 15...... 32868 2510...... 34869 180 ...... 31481, 32029, 32034, 39 ...... 30963, 31325, 32055, 558...... 31520 2550...... 34869 34065, 34070, 35249 32058, 32061, 32063, 32066, 1308...... 31521 721...... 32003 30 CFR 32069, 32072, 32315, 32316, Proposed Rules: 22 CFR 32508, 32510, 33208, 34098, Proposed Rules: Ch. I ...... 35297 34101, 34103, 34106, 34326, 135...... 31299 250...... 31560, 34113 52 ...... 30965, 30974, 30984, 34330, 34332, 34335, 34560, 145...... 31299 917...... 33456 31338, 31867, 32078, 32324, 35260 Proposed Rules: 32522, 32870, 32874, 33222, 31 CFR 61...... 34338 96...... 32869 33223, 33458, 33460, 35284, 71 ...... 32074, 34109, 34855, 120...... 31525 515...... 34053 35295 35597, 35598, 35599, 35601, 121...... 34572 596...... 34053 80...... 31870, 33100 35889, 35890 123...... 31525 Proposed Rules: 82...... 33460 91...... 34346 125...... 31525 1...... 31336 97...... 30988 141...... 34338 127...... 31525 228...... 34871 440...... 34110 32 CFR 271...... 31338 23 CFR 706...... 32002 435...... 31342 15 CFR Proposed Rules: 721...... 32879 740...... 34266 625...... 31327 33 CFR 745...... 31871 742...... 34266 100 ...... 32466, 35236, 35239, 41 CFR 744...... 31834, 35195 24 CFR 35843 752...... 34266 Ch. IX...... 33157 117 ...... 30934, 31300, 31466, 51–6...... 32038, 35847 774...... 34266 Proposed Rules: 31467, 32312, 32467, 34055, 42 CFR 902...... 32465, 35195 91...... 31538 34315, 34833, 35241, 35243, 922...... 34047 576...... 31538 35570 8...... 34837 Proposed Rules: 888...... 31332 165 ...... 30934, 30935, 30936, 100...... 35848 734...... 31505 31300, 31467, 31843, 32312, 413...... 31485 740...... 31505 25 CFR 32313, 32467, 32468, 33412, 425...... 32692 750...... 31505 502...... 31991 34056, 34058, 34061, 34316, Proposed Rules: 764...... 31505 513...... 31991 35244, 35570, 35571, 35844, 10...... 34583 772...... 31505 514...... 31991 35847 34...... 35899 774...... 34562 516...... 31991 Proposed Rules: 88...... 32333 522...... 31991 100 ...... 32512, 35281, 35892 431...... 31098 17 CFR 531...... 31991 105...... 32512 433...... 31098 14...... 32855 533...... 31991 165...... 32318, 32321 438...... 31098 200...... 31836, 35207 535...... 31991 334...... 35620, 35621 440...... 31098 230...... 31836, 35207 556...... 31991 457...... 31098 34 CFR 232...... 31836, 35207 559...... 31991 495...... 31098 239...... 31836, 35207 571...... 31991 Subtitle A ...... 32210, 34202 43 CFR 240...... 31836, 35207 573...... 31991 222...... 33157 249...... 31836, 35207 575...... 31991 Proposed Rules: Proposed Rules: 260...... 31836, 35207 580...... 31991 Ch. III ...... 34579 3100...... 31560 Proposed Rules: 37 CFR 44 CFR 32...... 31326 26 CFR 200...... 33590 1 ...... 31837, 31995, 31996, 2...... 33170 64...... 31847, 35851 210...... 33590 33402, 34051, 35207 7...... 33170 Proposed Rules: 230...... 33590 20...... 34279 42...... 34318 67 ...... 32334, 32335, 32336, 232...... 33590 25...... 34279 32337 239...... 33590 54...... 34292 38 CFR 240...... 33590 602...... 34279, 35207 2...... 34834 45 CFR 249...... 33590 Proposed Rules: 3...... 35246 1...... 34838 270...... 33590 1 ...... 33211, 33451, 33452, 36...... 34318 147...... 34292 274...... 33590 34111, 34856, 35262, 35602 Proposed Rules: 153...... 33198 275...... 33590 25...... 35602 4...... 32513 170...... 32477

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1155...... 33155 90...... 34119 16...... 31561 218...... 31310 Proposed Rules: 95...... 34119 19...... 31561, 32909 300...... 32313, 35195 Ch. XIII...... 35430 96...... 34119 52...... 31561, 32909 622 ...... 30947, 32478, 34538 Subch. B ...... 35430 517...... 34126 635...... 32040, 32478 48 CFR 552...... 34126 648 ...... 31864, 32480, 34841, 47 CFR 216...... 34078 49 CFR 35255 0...... 33425, 36164 217...... 34078 660 ...... 31486, 31858, 32465 1...... 33425, 36164 225...... 31309 10...... 32039 665...... 31863 2...... 33425, 36164 227...... 34079 383...... 35577 679...... 32866 4...... 34321 231...... 34324 384...... 35577 697...... 32487 15...... 33425 237...... 34324 385...... 34839, 35253 54...... 35575 1602...... 32859 389...... 32861 Proposed Rules: 64...... 32857 1615...... 32859 391...... 35577 17 ...... 30990, 31875, 32922, 68...... 33425 1652...... 32859 571...... 36050 34594, 34595, 35916 76...... 35854 Proposed Rules: 572...... 35858 20...... 33223 90...... 36164 1...... 32909 1510...... 31850 32...... 33342 95...... 36164 2...... 31561, 32909 Proposed Rules: 218...... 31738 96...... 36164 5...... 31561 393...... 34588 223...... 34594 Proposed Rules: 7...... 31561 665...... 36112 224...... 34594 1...... 34119 8...... 31561 800...... 34874 622...... 31880 2...... 34119 10...... 31561 635...... 33467 4...... 34350 12...... 31561 50 CFR 648...... 31343, 31347 64...... 32885 15...... 31561, 32909 17...... 34500, 35860 660...... 31884

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in today’s List of Public enacted public laws. To Laws. subscribe, go to http:// LIST OF PUBLIC LAWS Public Laws Electronic listserv.gsa.gov/archives/ Last List June 18, 2015 Notification Service publaws-l.html (PENS) Note: No public bills which Note: This service is strictly have become law were for E-mail notification of new received by the Office of the PENS is a free electronic mail laws. The text of laws is not Federal Register for inclusion notification service of newly available through this service. PENS cannot respond to specific inquiries sent to this address.

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